Ap gov Bureaucracy

Characteristics of a Bureaucracy

*A bureaucracy is a system of organization noted for its size and complexity. *Everything within a bureaucracy — responsibilities, jobs, and assignments — exists to achieve some goal. *Bureaucracies are found at the federal, state, county, and municipal levels of government, and even large private corporations may be bureaucratically organized. *People who work for government agencies, from high-level managers and executives to clerical staff, are called bureaucrats. *The superintendent of a large urban school district is a bureaucrat, as are the teachers, librarians, nurses, and security guards. *The simplest requests are tangled in red tape, the paperwork that slows down accomplishment of an otherwise simple task. *Despite this popular perception, bureaucracy is necessary for big governmental agencies to operate. *All bureaucracies share similar characteristics, including specialization, hierarchical organization, and formal rules.

Making agencies accountable- The president has the authority to

*Appoint and remove agency heads and other top bureaucrats *Reorganize the bureaucracy (with approval) *Make changes in an agency's annual budget proposals *Ignore legislative initiatives originating within the bureaucracy *Initiate or adjust policies that would, if enacted by congress, alter the bureaucracy's activities *Issue executive orders *Reduce an agency's annual budget Interest group influence *Lobbying *"Revolving door:" many agencies are staffed by people who move back and forth between the public and private sectors. The concern is that these people would not really regulate very carefully the very industries that might be their next employers. *Client groups: some agency-interest group relations are so close that the interest group is said to be a client of the agency (e.g., dairy groups and the Agriculture Dept., defense contractors and Defense Dept.). *Iron triangles/issue networks/policy networks (subgovernments): congressional committee, relevant agency, related interest groups. Informal groups of people within both the public and private sectors who have common interests Media *Scrutiny of agency behavior, e.g., investigations of whether FBI and CIA heeded warning signs prior to 9-11 terrorist attack. *Use of "whistle blowers" within the bureaucracy, e.g., FBI memo concerning ineptitude in pursuing terrorist threats before 9/11. Federal legislation protects whistle blowers. *Releasing "leaks" from government officials *Courts: use of injunctions and writs of mandamus. *Privatization, e.g., of concessions within national parks, as a means of making the bureaucracy more efficient

Laws of bureaucratic procedure

*Boren's Laws: When in doubt, mumble. When in trouble, delegate. When in charge, ponder. *Smith's Principle: Never do anything for the first time. *Peter Principle: In every hierarchy, each employee tends to rise to his level of incompetence; thus, every post is filled by an incompetent employee. *Parkinson's 2nd Law: Expenditures rise to meet income.

Formal Rules

*Bureaucracies function under formal rules. These instructions state how all tasks in the organization, or in a particular tier of the hierarchy, are to be performed. *The rules are often called standard operating procedures (SOP) and are formalized in procedures manuals. By following the rules, bureaucrats waste no time in making appropriate decisions. *There are contradictions in the operation of a bureaucracy, however. The narrow focus on special expertise may blind a bureaucrat to a flaw in the performance of a task. Compounding the problem may be the bureaucrat's inability to recognize the problem if it occurs in an area outside the bureaucrat's expertise. *The hierarchical structure also prevents a democratic approach to problem-solving. Lower-level staff find it difficult to question the decisions of supervisors, and executives and managers may be unaware that a problem exists several rungs down the organizational ladder.

Structure of the US Bureaucracy

*Bureaucracy: the agencies, departments, commissions, etc. within the executive branch. *Executive Office of the President: already covered (White House Office, OMB, NSC). *Cabinet *Independent Executive agencies (Organized much like Cabinet departments, but lack Cabinet status- NASA)nick *Independent Regulatory Commissions -Created by congress to regulate important aspects of the nation's economy - Decisions beyond presidential control, though commissioners are appointed but the President with Senate Consent - Serve long terms (5-14) *Government corporations- Created by congress to carry out various business operations (Postal Service FDIC

Legal constraints on influences on bureaucratic behavior

*Freedom of Information Act - to prevent excessive secrecy. *Hatch Act: limits political activities of bureaucrats. *Affirmative action hiring guidelines. *Environmental impact report requirement of projects.

Controlling the size of bureaucracy

*In the 1980s and 1990s, calls for controlling the federal bureaucracy became commonplace. The public saw the bureaucracy as being too large and lacking in accountability. Indeed, the number of civilian employees of the federal government declined slightly over the last 25 years. Bureaucracy can be reduced in a number of ways, although success is often limited.

Demographic attributes of bureaucrats.

*Lower and middle-level bureaucrats are fairly representative of a broad cross-section of the American people on the basis of race, sex, religion, etc. They are certainly more representative on these bases than members of Congress *Upper-level bureaucrats are unrepresentative: mostly middle-aged white males with college degrees from an advantaged background ***The Left believes that upper-level bureaucrats defend class privileges ---> conservative bias. ***The Right believes that upper-level bureaucrats are trained by liberal faculty at elite colleges ---> liberal bias *Surveys reveal that bureaucrats tend to be more liberal than the general public. *Only 10% live in DC *Most are white-collar workers

Effects of the influences on bureaucratic behavior

*Many bureaucrats have a "loyal" or "agency" point of view. *Continuity of agency behavior. *Expertise in policies and procedures among many bureaucrats. Agency managers must cultivate the support of subordinates

Reason for growth of power of the bureaucracy

*National growth- need for agencies to cope with additional population. *Technology- need for agencies to manage new technology (e.g., ICC, FAA, FCC). *International Crises- increase in power for the Defense Department, Dept. Homeland Security. *Citizen demands that the federal government assume some responsibility for the welfare of the nation. *Persistent nature of agencies to survive. Once they are created, they develop constituencies that make it difficult for Congress to kill them

Independent regulatory commissions continued

*Only a bare majority can belong to the same party *Terms of commissioners are staggered *Commissioners can be fired by the President only for causes that Congress has specified *Have quasi-legislative power *They have the authority to make rules and regulations (published in the Federal Register) which have the force of law. (Policy implementation) *They also have quasi-judicial power: they can settle disputes in their fields, e.g., the FCC fined Howard Stern $250,000 for objectionable material that was broadcast on radio, CBS was fined $500,000 for broadcasting the Super Bowl show in which Janet Jackson exposed her breast (with pasties).

Making agencies accountable- Congress has the authority to

*Pass legislation that alters the bureaucracy's activities *Abolish existing programs *Refuse to appropriate funds for certain programs *Investigate bureaucratic activities and compel bureaucrats to testify about them *Influence presidential appointments of agency heads and other top bureaucratic officials *Write legislation to limit the bureaucracy's discretion

Influences on Bureaucratic Behavior

*Recruitment and retention policies: -90% of bureaucrats are appointed by virtue of some sort of merit exam. However, agencies can circumvent the merit system in various ways: *Writing job qualifications that fit only one person, i.e., the person that the manager wants to hire. * Making "temporary appointments" of the desired person, and renewing them yearly. *Bringing a person into a lower level job, but giving him the duties of the actual job. *** The above practices lead to charges of a "buddy system" or a "good ol' boys network" *"Bonus points" for veteran status/race/gender *Extremely difficult to fire a civil servant. Elaborate steps ensure that due process must be followed. *In a recent year, for example, only 434 fed. employees were fired (0.014%). *Sheer size of agencies makes it difficult for bureaucrats to take bold action. *Red tape inhibits bureaucrats. *Lack of monetary incentives and presence of various disincentives inhibit bureaucrats from taking bold action. (Public opinion)

Making agencies accountable- The Judiciary has the authority to

*Rule whether bureaucrats have acted within the law and require policy changes to comply with the law *Force the bureaucracy to respect the rights of individuals through hearings and other proceedings *Rule on the constitutionality of all challenged rules and regulations

Some important Regulatroy commissions

*The Federal Reserve Board *The Federal Communications Commission *The Federal Elections Commission *The National Labor Relations Board *The Securities and Exchange Commission *The Federal Trade Commission

The Federal Bureaucracy

*The federal bureaucracy began with the three cabinet departments established by George Washington in 1789. *Since that time, not only have the number of departments in the cabinet more than tripled, but now there are also myriad agencies, bureaus, government corporations, authorities, and administrations that take care of the government's business. *The federal bureaucracy performs three primary tasks in government: implementation, administration, and regulation.

Hierarchical Organization

*The structure of a bureaucracy is called a hierarchy, a succession of tiers from the most menial worker in the organization to the highest executive. *Each level has clearly defined authority and responsibilities.

Size of the Bureaucracy

*There are about 3 million civilian federal employees. Current NumbersThere are about 3 million civilian federal employees. Current Numbers and Salaries *The number has been fairly constant since 1950. 250,000 jobs cut under Clinton.

In defense of the bureaucracy

*To correct excessive red tape would require more regulations -- more red tape! *Red tape is used to ensure fairness and impartiality. *To reduce agency conflicts and duplication would require Congress to set priorities. This is difficult for members of Congress to do because of the constituencies that support programs within the states or districts. "Cut programs in other states, but not mine." *To reduce waste would require more regulations -- more red tape! *To reduce excessive growth, Congress would have to set priorities. As we have seen, for political reasons, this is difficult for members of Congress to do. *Some agencies have in fact shrunk, e.g., Postal Service, Defense Department. *A few agencies have even been eliminated, e.g., ICC. *The public is inconsistent: it demands that government do things, but then gripes when government grows. Compared to other nations, the U.S. bureaucracy is fairly efficient

History of our bureaucracy

*Wealthy men dominated the bureaucracy through the 1820s. *This changed with the election of President Andrew Jackson (1828), who opened government jobs to the common people. *Spoils system- This was the beginning of patronage, and it continued through the late 19th century.

Specialization

*Workers in a bureaucracy perform specialized tasks that call for training and expertise. *Trained personnel can accomplish their jobs efficiently. *The downside of specialization is that bureaucrats often cannot (or refuse to) "work out of class" — that is, take on a task that is outside the scope of their job description.

Power of the Bureaucracy

*cannot be measured in the number of bureaucrats alone *Discretionary authority: agencies have the power to choose various courses of action when Congress writes broadly-worded laws that allow for bureaucratic interpretation *Passing rules and regulations, e.g., TSA airport security regulations, OSHA workplace regulations, IRS tax code regulations (tens of thousands of pages!) *Helping Congress draft legislation *Providing advice to the White House *Settling disputes

Growth of the Bureaucracy- Development of the civil service system

*rior to late 19th century, the spoils system was used for filling federal jobs. Though fraught with corruption, the system did ensure a certain responsiveness of government as presidential supporters were more likely to carry out the will of the elected president. *Assassination of President Garfield by a disappointed office-seeker in 1881 led to passage of the Pendleton Act (1881): this created a civil service in which an exam-based merit system would be used to fill government jobs. A Civil Service Commission was created to administer these exams (this function is now carried out by The Office of Personnel Management ) *Employees are also protected from losing their jobs when the administration changed. *To encourage a nonpartisan bureaucracy, the Hatch Act (1939) prohibited federal workers from running for office or actively campaigning for other candidates. *Such limitations on civil liberties are considered by many the price that has to be paid for a professional, nonpolitical bureaucracy. *Today, > 90% of federal employees are civil service workers. *Well under 10% of top-level federal jobs are still filled by presidential appointment. People in this category are known as political appointees

How a regulation is made

1. New rules drafted for preliminary consideration 2. Office of management and budget reviews objectives and evaluates costs (if disapproval is given it stops) 3. Approval (with or without modifications) 4. Advance notice of proposed rule-making issue 5. Draft circulated to industry, affected groups; hearings held if necessary (if disapproval is given it stops) 6. Approval 7. Proposed regulations published in the Federal Register 8. Comments evaluated; final draft written 9. OMB reviews final version (if disapproval is given it stops) 10. Approval (with or without modifications) 11. Regulation published in the federal register

Discretionary spending of bureaucracy

58% military 6% Environment energy and science 6% Housing and community 6% Govt 5% Health 5% Veterans benefits

The recent history of the political bureaucratic system has demonstrated a rise in political extremism due to

A vast increase in the number of issues with which the govt deals

In addition to getting reelected, members of Congress have an incentive to influence bureaucracies by

Addressing policy concerns that ensure Congress gets what it wants

Due to increased judiciary rulings that created procedural standards on bureaucracies, Congress passed the

Administrative Procedure Act (APA)

A "captured" agency refers to a bureaucracy that

Becomes an agent for the industry it is supposed to regulate

The executive branch directs the bureaucracy and its policies, but it has to make sure it complies with

Both houses of Congress

When party control in Congress is powerful, rather than committees of individuals, the relationship between Congress and the bureaucracy relies on

Budgetary tools and appropriation bills

The institutionalized presidency is a form of ex ante control on policy implementation because

Congress has a disproportionate amount of govt control

The Department of Homeland Security- created after 9/11- was the largest government organization since the formation of the

Department of Defense

Since the 1950's what characteristic of govt has had a significant impact on the relationship of the legislative and executive branches and the bureaucracy

Divided government

Bureaucratic agencies that are places outside of cabinet departments to achieve political goals for the president are

Executive agencies

Which of the following is a significant tactic Congress can use to maintain the balance of power with the executive and judicial branches and bureaucracies

Holding investigations

The US postal service is the best representation of what type of bureaucracy

Independent Govt Corporation

When bureaucratic staff, members of congress, and organized interest groups form alliances, they are commonly referred to as

Iron triangles

Red tape, the colloquialism used for bureaucracy, exists because

It allows both the beneficiary and bureaucrat to see progress, no matter how slow

Regulatory commissions are bureaucratic agencies that

Maintain their independence from the president and executive departments

The departments of Agriculture, Labor and Commerce differ from the Treasury, the Justice Department, and the Department of Defense because the former

Naturally grew out of the needs of society

Govt corporations are created by Congress to

Offer specific services, act as private companies would, control services the public associates with the govt, and rehabilitate an industry that has lost market support

The threefold problem with delegation in controlling the bureaucracy compromises bureaucratic expertise, multiple reporting structure, and

Political turnover

Controlling the bureaucracy

President influences: *Appointment of top-level bureaucrats *Power to fire top-level bureaucrats *Power to propose the reorganization of the executive branch *Proposes agency budgets Appointment of Senior Executive Service personnel. *700 senior career officials can be appointed without senate consent *Greater leeway in firing, transferring, promoting, and rewarding these people. The idea here is to make agencies more accountable. *"Central clearance:" all agency proposals to Congress have to be cleared by OMB. *OMB oversight of agencies to ensure effectiveness, and that agencies carry out the will of the administration. Checks on presidential influence *Senate confirmation needed for top personnel *President cannot fire vast majority of bureaucrats *Reorganization must go through the Congress. *Agency budgets must go through the Congress. *Senior Executive Service has had little impact on the accountability of the bureaucracy Congressional Influences *Appropriations of agency budgets *Standing committee oversight, investigations, and hearings. *Power to subpoena agency employees *Power to swear agency employees under oath - threat of perjury charges *Power to charge agency employees with contempt of Congress *Govt. Accountability Office (GAO, formerly General Accounting Office), a congressional watchdog agency, ensures that agencies spend money in accordance w/cong. law *Reorganization *Appointment confirmation *Sunset laws that give agencies a limited life and require that they justify their existence. Limits on congressional influence *Members profit politically from the existence of federal programs within their states of districts (e.g., military base closure issue, education). *Easier for Congress to simply pass broadly worded laws and have experts within the bureaucracy fill in the holes.

Evaluation of the Bureaucracy

Public opinion *General attitude is negative (too much red tape, waste, inefficiency, bureaucrats are underworked and overpaid). Specific attitude is more favorable: public's personal dealings with bureaucrats are generally favorable. *Another contradiction: some believe that bureaucrats are too lazy and ineffective, yet they also believe that bureaucrats are too powerful. *Bureaucrats are often viewed as scapegoats by politicians when things go wrong. Criticisms of the bureaucracy *Excessive red tape. *Agency conflicts, e.g., Agriculture Dept. administers tobacco subsidies while at the same time the Surgeon General warns the public not to smoke. *Agency duplication, e.g., numerous agencies are responsible for drug enforcement. *Excessive waste, e.g., Defense Department procurement scandals. Excessive growth *the number of federal employees has not risen dramatically in the last 50 years *Federal government has shifted much of its work to state and local governments through grants. *In effect, this has led to the creation of about 5 million jobs that, even though they are ostensibly state or local, are in effect federal. *When one considers the private sector jobs that are dependent on federal spending, that makes an additional 8-10 million more jobs that are dependent on the federal govt. *On the other hand, Congress HAS dismantled some agencies (e.g., ICCOn the other hand, Congress HAS dismantled some agencies (e.g., ICC), it HAS reduced scope/funding of agencies, such as NEA. Some Republicans have furthermore stated that they would like to dismantle the Education and Energy Departments. *Number of rules and regulations has dramatically grown in last 50 years. *Lack of a good incentive system to encourage bureaucrats to be more efficient and productive *Status quo bias of the bureaucracy: don't rock the boat with bold initiatives. Why bother? "There is a parlor game called 'Bureaucracy" and there is only one rule: the first one to move loses." *Due to essentially permanent job tenure, bureaucrats are part of a "permanent government" that is unresponsive to the public

All of the following cabinet departments were created in response to social need and an extension of federal authority except

The Department of Veterans Affairs

Policy disagreements among the bureaucracy's political principles creates a control problem because

The bureaucracy pits Congress against the president over policy

The primary level of federal bureaucracy that helps the president and Congress administer policy is

The cabinet

All of the following are reasons that Congress might delegate authority to other branches or bureaucracies except

The constitution requires it

Bureaucracies are perpetually trying to be reformed into more efficient systems but to little avail because of

The nature of govt

The president has control of executive bureaucracies; this control is exercised best through

The power of appointment

The information problems associated with bureaucracy are complexity of information and

The preference of bureaucratic agancies

Over the past 50 years, the Supreme court has been reluctant to make strong decisions against the use of military force or foreign relations because

These are political questions best resolved by Congress and the president

In the 19th century, the rotation in office and the spoils system led to the bureaucratization of government workers, because

These systems were the primary sources for maintaining party machines

National bureaucracies are important in setting policy agendas because

They often come up with necessary innovations that pertain to issues

The Supreme Court has been more aggressive in it adjudication of certain executive and congressional determinations, such as immigration policy, because

They represent a gray area between foreign and domestic policy

Iron triangles and captured agencies exist only as long as

They stay under the political radar

The Department of Defense was a consolidation of several departments after

World War II

Bureaucrats suffer all of the following except

a lack of institutional autonomy

Elected officials in the legislative and executive branches delegate authority to the bureaucracy to

address the myriad citizen demands made on the govt

The control problems of policy implementation among different parts of the govt are solved by all of the following except

bureaucratic review

Indirect administration is a way for federal bureaucracies to operate programs

but reduce the federal bureaucracy

The judiciary has authority over the bureaucracy because it is independent and the courts

defend individual rights, which constrains government agencies

The creation of the federal bureaucracy is due to the constitutional management of

the president delegating executive authority

Bureaucracies that mix legislative and executive powers have led the Supreme Court to adopt a highly formal separation of powers doctrine due to

the violation of Article I of the constitution

Iron Triangles control policy in their domains

with no oversight in operations