Post on 11-Jul-2018
Chapter 9: Federal Bureaucracy
Chapter 9: Federal Bureaucracy
o Chapter 9.1:OBJECTIVES:
o Trace growth and development of
the federal bureaucracy
1Co_14:40 Let all things be
done decently and in order.
o In 1789 only three executive
departments existed under the
Articles of Confederation:
o Foreign Affairs,
o War,
o Treasury.
o When President George Washington
inherited as his Cabinet.
Overview
o The head of each department was
called its secretary.
o The foreign affairs was renamed the
Department of State.
o The Attorney General office was
created to provide the president with
legal advice.
Early History:
o Cabinet Secretaries and the Attorney General were subject to approval by the Senate.
o They could be removed from the office of the President alone.
o The First Congress realized how important it was that a president be surrounded by those in whom he had complete confidence and trust.
Early History:
o The size of the Federal Executive Branch
and bureaucracy crew (1816 to 1861).
o Increased demands were made on
existing departments and new
departments were created.
o Andrew Jackson appointed positions of
the growing executive branch as rewards
for friends and loyalists (Spoil System).
o “To the victors belong the spoils.
SPOIL SYSTEM:
o An executive’s ability to fire public-
office holders of the defeated
political party and replace them with
party loyalists.
o The spoil system was a form of
patronage.
o Jobs, grants, or other special favors
given as rewards to friends and
political allies for their support.
The Civil War and the Growth of Government:
o The Civil War permanently changed the nature of the federal bureaucracy.
o As the nation geared up for war, thousands of additional employees were added to existing departments.
o The Civil War also spawned the need for new government agencies.
o The Department of Agriculture was formed in 1862 to make sure troops were fed.
The Civil War and the Growth of Government:
o Pension Office was established in 1866 to pay benefits to thousands of Union veterans who had fought in the war.
o Department of Justice headed by the Attorney General was made a Cabinet department in 1870.
o Other departments were added through 1900.
From the Spoils System to the Merit System:
o President Rutherford B. Hayes favored the idea of the replacement of the spoils system with a merit system.
o A system of employment based on qualifications, test scores, and ability, rather than loyalty.
o His successor James Garfield was seeking for this reform as well but was assassinated.
From the Spoils System to the Merit System:
o Public reaction to Garfield’s death
and increasing criticism of the
spoils system.
o Prompted Congress to pass the
Civil Service Reform Act in 1883,
more commonly known as the
Pendleton Act.
From the Spoils System to the Merit System:
o It established a merit system of
federal employment on the basis of
open competitive exams.
o Created a bi-partisan three-member
Civil Service Commission, which
operated until 1978.
From the Spoils System to the Merit System:
o Initially only about 10 percent of the positions in the federal Civil Service System were covered by the law.
o Later laws and executive orders extended coverage of the act to over 90 percent of all federal employees.
o The Federal Civil Service System by which many federal bureaucrats are selected.
Regulating Commerce:
o With the growth of commerce and
industry and the rise of big business
and monopolies.
o There was a call for greater regulation
of big business due to price fixing and
other unfair business practices.
INTERSTATE COMMERCE COMMISSION (ICC) 1887
o Created by Congress in reaction to
public anger of railroad companies
charging exuberant rates for hauling
freight.
o It became the first independent
regulatory commission, an entity
outside a major executive department.
Regulating Commerce:
o Independent regulatory Commission such as the ICC was created by Congress.
o Were generally are concerned with particular aspects of the economy.
o Commission members are appointed by the president and hold their jobs for fixed terms.
o Cannot be removed by the president unless they fail to uphold their oaths of office.
Regulating Commerce:
o The creation of the ICC also marked a
shift in the focus of the bureaucracy
from a service to regulation.
o Its creation gave the government in
the shape of the bureaucracy vast
powers over individual and property
rights.
Regulating Commerce:
o The Progressive movement also
increased federal bureaucracy.
o To regulate businesses and industries
INCOME TAX:
o The Sixteenth Amendment of the
Constitution in 1913 also affected the
size and growth potential of government.
o It gave Congress the authority to
implement a federal income tax to
supplement the national treasury.
o Provided a huge infusion of funds to
support new federal agencies, services,
and programs.
The World Wars and the Growth of Government:
o FDR created hundreds of new government agencies to regular business practices and various aspects of the national economy.
o In reaction to the stock market crash, bank failures, that led to the Great Depression.
o Roosevelt believed that a national depression called for national intervention.
The World Wars and the Growth of Government:
o The president proposed and the Congress enacted far-ranging economic legislation.
o The desperate mood of the nation supported these moves.
o Most Americans began to reconsider their ideas about the proper role of government and the provision of Governmental services.
The World Wars and the Growth of Government:
o In World War II, the national government
regulated prices on food, to ration
supplies for the war effort and to
increase taxes.
o At the war’s aftermath, the Federal
Government provided financial
assistance for veterans to attend school
o And for families to purchase homes via
government loans.
The World Wars and the Growth of Government:
o These programs led Americans to be
accustomed to the National
Government’s new role.
o Such as affordable middle class
housing.
o Scholarships that allowed lower and
middle class veterans their first
opportunity for higher education.
THE CIVIL RIGHTS MOVEMENT AND THE GREAT SOCIETY
o The 1960s produced additional
growth in the bureaucracy.
o The Equal Employment Opportunity
Commission (EEOC) was created in
1965 by the Civil Rights Act of 1964.
o The department of Housing and Urban
Development (1965)
o Department of Transportation (1966)
The World Wars and the Growth of Government:
o The expansions of the bureaucracy
correspondence to increases in the
president’s power.
o His ability to persuade Congress that
new commission and departments
would be an effective way to solve
pressing social problems.
SHORT ANSWER:
o How did the Civil War, the Civil Rights
Movement, and the Great Society affect
the bureaucracy?
Chapter 9: Federal Bureaucracy
o THE MODERN BUREAUCRACY: 9.2.
We will examine the Modern
bureaucrats and outline the
structure of the modern
bureaucracy.
(Rev 1:1) The Revelation of Jesus
Christ, which God gave unto him,
to shew unto his servants things
which must shortly come to pass;
and he sent and signified it by his
angel unto his servant John:
DIFFERENCES BETWEEN NATIONAL GOVERNMENT AND PRIVATE BUSINESS:
o Governments exist for the public good, not to make money.
o Businesses are driven by a profit motive,
o Government leaders, but not bureaucrats are driven by reelection.
o Businesses earn their money from customers.
o National government raises revenue from taxpayers.
o It is a difficult to determine to whom bureaucracies are accountable.
o Is it the president?
o Congress?
o The People?
o The government should not completely act as a business.
o Nor does it seek reward for ambition like a business.
Who are Bureaucrats?
o Federal Bureaucrats are career
government employees who work in the
Cabinet-level and independent agencies.
o Comprises more than 2.7 million federal
workers.
o Over one-quarter of all civilian
employees in the government work in
the U.S. Postal Service.
Who are Bureaucrats?
o The lower levels of the U.S. Civil
Service, most positions are filled by
competitive examinations.
o These usually involve a written test.
o Mid-Level to Upper Ranges of
Federal Positions submit resumes
and do not normally require tests.
Who are Bureaucrats?
o Personnel departments evaluate potential candidates.
o Rank candidates according to how well they fit a particular job opening.
o Only those names designated qualified are then forwarded to the official filling vacancy.
o The remaining ten percent of the federal workforce is made up of persons not covered by the civil service system.
(1) Appointive policy-makings positions:
o Nearly 3,500 people are presidential appointees.
o Included are Cabinet secretaries and under and assistant secretaries, subject to Senate confirmation.
o These appointments in turn are responsible for appointing high-level policy-making assistants.
(2) Independent Regulatory Commissioners.
o Although each president gets to
appoint as many as one hundred
commissioners.
o They become independent of his direct
political influence once they take
office.
(3) Low level non-policy patronage positions.
o These types of positions generally
concern secretarial assistants to policy
makers.
Bureaucracies:
o More than 15,000 job skills are represented in the federal government.
o Include forest rangers, FBI agents, computer programmers, doctors, engineers, post office carriers, scientists, among others.
o There are about 344,400 federal workers in the nation’s capital.
o The rest are located in regional, state, and local offices scattered throughout the country.
Bureaucracies:
o One of the major concerns for the federal workforce was the high turnover rate.
o Many leave for private jobs that may pay more,
o Others concerned with dangerous postings in the Middle East, etc.
o Government is relying more and more on private contractors to fill the gap.
o Also many in the federal workforces are nearing retirement age.
Formal Organization:
o Agencies fall into four general types
o (1) Cabinet Departments
o (2) government corporations
o (3) Independent executive agencies
o (4) independent regulatory
commissions.
Cabinet Departments:
o The fifteen Cabinet departments
are major administrative units
responsible for conducting broad
areas of government operations.
o Cabinet departments account for
about 60 percent of the federal
workforce.
THE CABINET:
o The Vice President,
o The heads of all the departments,
o Heads of the Environmental Protection Agency (EPA),
o Office of Management and Budget (OMB), the U.S. Trade Representatives,
o The Council of Economic Advisors,
o the U.S. Ambassadors to the United Nations
o The president’s chief of staff.
Cabinet Departments:
o Executive branch departments are
headed by Cabinet members called
secretaries.
o (Except the Department of Justice, which
headed by the attorney general).
o Secretaries are responsible for
establishing their department’s general
policy and overseeing its operations.
Cabinet Departments:
o Cabinet secretaries are directly responsible to the president.
o But viewed as having two masters the president and citizens.
o Affected by the business of their departments.
o Cabinet secretaries also are tied to Congress.
o Through the appropriations process and their role in implementing legislation and making rules and policy.
Cabinet Departments:
o Each secretary is assisted by one or more deputies or undersecretaries.
o Who take part of the administrative burden off the secretary’s shoulders.
o As well as by several assistant secretaries who direct major programs within the department.
o In addition each secretary has numerous assistants.
o Who help with planning, budgeting, personnel, legal services, public relations, and key staff functions.
Cabinet Departments:
o Most departments are subdivided into bureaus, divisions, sections, or other smaller units.
o It is at this level and that the real work of each agency is done.
o Most departments are subdivided along functional lines.
o But the basis for division may be geography, work processes.
Independent Executive Agencies:
o Independent executive agencies closely
resemble Cabinet departments.
o But have narrower areas of responsibility.
o Generally speaking, independent
agencies are appointed by the president.
o Serve like Cabinet secretaries at his
pleasure.
Independent Executive Agencies:
o Independent agencies exist apart from
executive departments from practical
or symbolic reasons.
o NASA and the EPA are examples.
Independent Executive Agencies:
o As an independent agency, the EPA is
less indebted to the president on a
day-to-day basis.
o Than it would be if it were within a
Cabinet department.
o The president still has the ability to
appoint its director.
o Often intervenes on high-profile
environmental issues and decisions.
Independent Regulatory Commissions:
o Independent regulatory commissions
are agencies created by Congress.
o To exist outside the major departments
to regulate a specific economic activity
of interest.
o Because of the complexity of modern
economic issues, Congress sought to
create commissions.
Independent Regulatory Commissions:
o That could develop expertise and
provide continuity of policy.
o With respect to economic issues
because neither Congress nor the
courts have the time or specific talents
to do so.
Older Boards and Commissions:
o Older boards and commissions, (SEC
and the Federal Reserve board)
generally are charged with overseeing
a certain industry.
o Most were created specifically to be
free from partisan political pressure.
Old Boards and Commissions:
o Each is headed by a board composed
of five to seven members (always an
odd number to avoid tie votes).
o Who are selected by the president and
confirmed by the Senate.
o For fixed staggered terms to increase
the chances of bipartisan board
Independent Regulatory Commissions:
o Unlike executive department heads, they cannot easily be removed by the president.
o In 1935, the U.S. Supreme Court ruled that in creating independent commissions, Congress intended that they be independent panel of experts.
o As far removed as possible from immediate political pressures.
Government Corporations:
o Government corporations are the most recent addition to the bureaucracy.
o Dating from the early 1930s, they are businesses established by Congress.
o To preform functions that could be provided by private businesses.
o Some of the better-known government corporations include AMTRAK and the Federal Deposit Insurance Corporation (FDIC).
Government Corporations:
o Unlike other governmental agencies,
government corporations charge a fee
for their services.
o The Tennessee Valley Authority (TVA)
for example provide electricity at
reduced rates to millions of Americans
in Appalachia.
Government Workers and Political Involvement
o As the number of federal employees
agencies grew during the 1930s.
o Many Americans began to fear
members of the Civil Service would
play a major role implementing public
policy.
o And elect members of Congress, and
even the president.
Political Activity Act (1939) Hatch Act
o Congress passed this act.
o Designed to prohibit federal employees
from becoming directly involved in
working for political candidates.
o Although this act allayed many critics
fears, other people argue that the
Hatch act was too extreme.
Political Activities Act of 1993:
o Today the Government’s political activity is regulated by this act.
o This liberalization of the Hatch Act allows employees to run for public office in non-partisan elections.
o Contribute money, to political organizations.
o Campaign for or against candidates to partisan elections.
Government Workers and Political Involvement
o Federal employees still however
are prohibited from engaging in
political activity while on duty.
o Soliciting contributions from the
general public.
o Running for office in partisan
elections.
SHORT ANSWER:
o What are Cabinet departments? List at
least three reasons for their creation and
provide examples.
Chapter 9: Federal Bureaucracy
o How the Bureaucracy Works:
o 9.3: We will examine how the
bureaucracy Makes Policy.
Gen_39:4 And Joseph found
grace in his sight, and he served
him: and he made him overseer
over his house, and all that he
had he put into his hand.
INTRODUCTION:
o Congress recognizes it does not have the time or expertise to involve itself in every detail of every Federal Program.
o Congress sets general guidelines for agency action.
o It leaves it to the agency to work out the details.
o How agencies execute congressional wishes is called implementation
o The process by which a law or policy is put into operation.
CREATING DEPARTMENT AGENCIES OR COMMISSION:
o Congress is actually delegated some of its powers from Article I, Section 8 of the U.S. Constitution.
o Laws creating departments, agencies, corporations, or commissions carefully describe their purpose.
o Give them the authority to make numerous policy decisions which have the effect of law.
Iron Triangles:
o Historically, political scientists who study how bureaucracy made policy terms it iron triangles.
o Relative stable relationships and patterns of interaction.
o Between Federal workers in agencies and departments, interest groups, and relevant Congressional Committees and subcommittees.
IRON TRIANGLES:
o Today, iron triangles no longer
dominate most policy processes.
o Some do persist however such as
the relationship between the
Department of Veterans Affairs and
House Committee on Veteran Affairs,
etc.
ISSUE NETWORK:
o Many political scientists examining external influences on the modern bureaucracy prefer to examine issue networks.
o In general, issue networks like iron triangles, include agency officials, members of Congress (and committee staffers) and interest groups and lobbyists.
Issue Networks:
o But also include lawyers, consultants, academics, public relations specialists, and sometimes even the courts.
o Unlike iron triangles, issue networks constantly are changing.
o As members with technical expertise or newly interested parties become involved in issue areas.
INTERAGENCY COUNCILS:
o Increasing complexity of many policy domains, many alliances have also been created within the bureaucracy.
o One such example is an interagency councils.
o Working groups created to facilitate the coordination of policy making and implementation across a host of agencies.
Interagency Councils:
o Depending on how well these
councils are funded.
o They can be the prime movers of
administration policy in any area
where an interagency council exists.
Policy Coordinating Committees:
o Recent Presidential administrations created the PCCs.
o To facilitate interaction among agencies and departments at the subcabinet level.
o To deal with issues where there are extraordinary complex policy problems.
PCC:
o One example of this is the Homeland Security Council PCC.
o Oversees multiple agencies and executive departments to ensure consistent effective homeland security policies in the federal, state, and local level in the aftermath of 9-11.
Making Policy:
o The main purpose of these decision-making bodies is policy making.
o Policy making and implementation take place on both informal and formal levels.
o Practically, many decisions are left to individual government and employees on a day-to-day basis.
Making Policy:
o First they exercise broad judgment in
decisions concerning citizens with
whom they interact.
o Second, taken together their individual
actions add up to the agency;
o Apply various policies are equally
important parts of the policy-making
process.
Administrative Discretion:
o The ability of bureaucrats to make choices concerning the best way to implement congressional or executive intentions.
o Also allows decisions made by bureaucrats tremendous amount of leeway.
o Exercised through two formal administrative procedures.
o Rule making
o Administrative adjudication.
Rule Making:
o Is a quasi-legislative process that
results in regulations that have the
characteristics of a legislative act.
o Regulations are the rules that govern
the operation of all government
programs and have the force of law.
Rule Making:
o Bureaucratic rule makers often act as lawmakers as well as law enforcers.
o When they make rules or draft regulations to implement various congressional statutes.
o Some political scientist say that rule making “is the single most important function performed by agencies of government.”
Administrative Procedure Act:
o Established rule-making procedures
to give everyone the chance to
participate in the process.
Administrative Procedure Act:
o (1) public notice of the time, place, and nature of the rule-making proceedings be provided in the Federal Register.
o (2) Interested partied by given the opportunity to submit written arguments and facts relevant to the rule.
o (3) The statutory purpose and basis of the rule be stated.
o Once rules are written, thirty days generally must elapse before they take effect.
Administrative Procedure Act:
o Sometimes, agency is required by
law to conduct a formal hearing
before issuing rules.
o Evidence is gathered and witnesses
testify and are cross-examined.
o Agency administrators must review
the entire record and then justify the
new rules.
Administrative Adjudication:
o Agencies regularly find that persons
or businesses are not in compliance
with the federal laws.
o The agencies are charged with
enforcing
o Or that they are in violation of an
agency rule or regulation.
Administrative Adjudication:
o To force compliance, some agencies
resort to administrative adjudication,
o A quasi-judicial process in which a
bureaucratic agency settles disputes
between two parties.
o In a manner similar to the way courts
revolve disputes.
Administrative Adjudication:
o Administrative adjudication is
referred to as quasi judicial.
o Adjudication by any body other than
the judiciary would be a violation of
the constitutional principle of
separation of powers.
Administrative Adjudication:
o Several agencies and boards employ
administrative law judges to conduct
hearings.
o Although these judges are employed
by the agencies, they are strictly
independent and cannot be removed
except for gross misconduct.
Chapter 9: Federal Bureaucracy
o TOWARD REFORM: Making
Agencies Accountable: 9.4:
Evaluate controls designed to
make agencies more accountable.
OVERSIGHT:
o Under the Constitutional system, the
President provides accountability to
the agencies.
o Congress creates agencies, funds
them, and establishes the broad
rules for their operation.
CONGRESSIONAL REVIEWS: Review various Agencies through:
o Oversight committee investigation.
o Hearings.
o The power of the purse.
Federal Judiciary:
o Has the ultimate authority to review
administrative actions, like it most
other cases.
o To determine if its Constitutional or
not.
GROWTH OF THE EXECUTIVE BRANCH:
o With the enormous increased growth
of the National Government and
Executive Branch.
o President has delegated more and
more to the bureaucrats.
o But most presidents have continued
to try to exercise some control over
the bureaucracy.
PRESIDENTIAL POWER OVER BUREAUCRACY:
o Presidents try to appoint the best possible people to carry out their wishes and policy preferences.
o Presidents with the approval of Congress can reorganize the bureaucracy.
o They also can make changes in an agency’s annual budget requests.
o Ignore legislative initiatives originating within the bureaucracy.
EXECUTIVE ORDERS:
o Presidents also can shape policy and
provide direction to bureaucrats by
issuing executive orders.
o Executive orders are rules or
regulations issued by the president
that have the effect of law.
o All executive orders must be
published in the Federal Register.
PRESIDENT POWER OVER BUREAUCRACY:
o A president can direct an agency to
act, but it may take some time for
the order to be carried out.
o Given the many jobs of any
president, few can ensure that all
their orders will be carried out or that
they will like all the rules that are
made.
Congressional Control:
o Congress can confirm or reject nominees to top bureaucratic positions.
o Plays an important role in checking the power of the bureaucracy.
o Constitutionally, it possesses the authority to create or abolish department agencies.
o It may also transfer agency functions and expand to contract bureaucratic discretion, (e.g., Creation of the Department of Homeland Security).
Congressional Control:
o Can use it investigatory powers to conduct program evaluations or hold oversight hearings.
o Representatives of agencies also appear before these committees on a regular basis.
o To inform members about agencies activities ongoing investigations and budget requests.
o There are two different forms of congressional oversight.
Police Patrol and fire alarm oversight:
o As the name implies police patrol oversight.
o Allows congress to set its own agenda for programs or agencies to review.
o In contrast, fire alarm oversight is reactive and generally involves a congressional response to a complaint filed by a constituent.
o Or politically significant actor.
Police Patrol and fire alarm oversight:
o Most frequently used for of oversight
is the fire alarm oversight.
o The most effective communication is
between House staffers and agency
personnel.
Power of the Purse:
o Congress also has the power of the purse.
o To control the bureaucracy, Congress uses its abilities to authorize spending and appropriate funds for an agency’s activities.
o Money can be a powerful tool to coerce bureaucrats to make particular policies.
Police Patrol and fire alarm oversight:
o The first step in the funding process
is authorization.
o Authorization legislation originates in
various legislative committees.
o That oversee particular agencies and
sets the maximum amounts that
agencies can spend on a particular
program.
Power of the Purse: House Appropriation Committee
o Once programs are authorized, funds for them must be appropriated before they can be spent.
o Appropriations originate with the House Appropriation Committee.
o Not the specialized legislative committees.
o The committee routinely holds hearings to allow agency heads to justify their budget requests.
Police Patrol and fire alarm oversight:
o To help Congress’s oversight of the bureaucracy's financial affairs.
o Congress created the Government Accountability Office (GAO).
o At the same time that the Office of management of budget (OMB) was created by the executive branch.
o Congress essentially created its own bureaucracy to keep an eye on what the executive branch and bureaucracy were doing.
Police Patrol and fire alarm oversight:
o Legislators also increase their formal
oversight of the executive branch.
o By allowing citizens to appeal
adverse bureaucratic decisions to
agencies, congress and even the
courts.
Judicial Control:
o Federal judges can issue injunctions or orders to an executive agency even before a rule is publicized.
o Giving the federal judiciary a potent check on the bureaucracy.
o The courts also have ruled that agencies must give all affected individuals their due process rights guaranteed by the U.S. Constitution.
Judicial Control:
o On a more informal and indirect level, litigation or even a threat of litigation often exerts a strong influence on bureaucrats.
o Injured parties can bring suit against agencies for their failure to enforce a law.
o In general, courts give greater weight to the opinions of bureaucrats and usually defer to their expertise.
Judicial Control:
o The development of specialized courts, have altered this relationship in some agencies with the federal courts.
o Apparently resulting in less judicial deference to agency rulings.
o Specialized Courts (e.g., Court of International Trade), because their judges are experts defer less to agency decisions than more generalized federal courts.
SHORT ANSWER:
o What are iron triangles? How do the three
entities interact with one another?
o QUIZLET: https://quizlet.com/_2zvbe0