Chapter 9: Federal...
Transcript of Chapter 9: Federal...
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Chapter 9: Federal Bureaucracy
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Chapter 9: Federal Bureaucracy
o Chapter 9.1:OBJECTIVES:
o Trace growth and development of
the federal bureaucracy
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1Co_14:40 Let all things be
done decently and in order.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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Regulating Commerce:
o The Progressive movement also
increased federal bureaucracy.
o To regulate businesses and industries
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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.
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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.
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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.
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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.
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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.
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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)
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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.
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SHORT ANSWER:
o How did the Civil War, the Civil Rights
Movement, and the Great Society affect
the bureaucracy?
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Chapter 9: Federal Bureaucracy
o THE MODERN BUREAUCRACY: 9.2.
We will examine the Modern
bureaucrats and outline the
structure of the modern
bureaucracy.
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(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:
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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.
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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.
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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.
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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.
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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.
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(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.
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(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.
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(3) Low level non-policy patronage positions.
o These types of positions generally
concern secretarial assistants to policy
makers.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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Independent Executive Agencies:
o Independent agencies exist apart from
executive departments from practical
or symbolic reasons.
o NASA and the EPA are examples.
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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.
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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.
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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.
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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.
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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
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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.
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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).
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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.
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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.
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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.
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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.
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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.
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SHORT ANSWER:
o What are Cabinet departments? List at
least three reasons for their creation and
provide examples.
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Chapter 9: Federal Bureaucracy
o How the Bureaucracy Works:
o 9.3: We will examine how the
bureaucracy Makes Policy.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.”
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Administrative Procedure Act:
o Established rule-making procedures
to give everyone the chance to
participate in the process.
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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.
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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.
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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.
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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.
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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.
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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.
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Chapter 9: Federal Bureaucracy
o TOWARD REFORM: Making
Agencies Accountable: 9.4:
Evaluate controls designed to
make agencies more accountable.
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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.
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CONGRESSIONAL REVIEWS: Review various Agencies through:
o Oversight committee investigation.
o Hearings.
o The power of the purse.
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Federal Judiciary:
o Has the ultimate authority to review
administrative actions, like it most
other cases.
o To determine if its Constitutional or
not.
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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.
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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.
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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.
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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.
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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).
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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SHORT ANSWER:
o What are iron triangles? How do the three
entities interact with one another?
o QUIZLET: https://quizlet.com/_2zvbe0