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  1. 1. Bureaucracy <ul><li>What is a bureaucracy? </li></ul>
  2. 2. <ul><li>A bureaucracy is a model of organization. </li></ul><ul><li>We are going to be talking about the bureaucracy </li></ul>
  3. 3. Section 1: What is a bureaucracy? <ul><li>A large complex organization composed of appointed officials that handle the everyday business of an organization. They are based on: </li></ul><ul><ul><ul><li>Hierarchal Authority </li></ul></ul></ul><ul><ul><ul><li>Job Specialization </li></ul></ul></ul><ul><ul><ul><li>Formalized Rules </li></ul></ul></ul>
  4. 4. <ul><li>Bureaucracies are a feature of all modern societies, democratic and non-democratic. The American bureaucracy is distinctive for three reasons: </li></ul><ul><ul><ul><li>1. Political authority is not in one set of hands but shared among many institutions </li></ul></ul></ul>
  5. 5. <ul><li>2. Most of the agencies of the federal government share their functions with related agencies in state and local governments </li></ul><ul><li>3. Growth of “adversary culture”: --> definition and expansion of personal rights and the defense of these through lawsuits and political action </li></ul>
  6. 6. <ul><ul><li>NAMES </li></ul></ul><ul><ul><ul><li>Departments - largest is the Department of Defense </li></ul></ul></ul><ul><ul><ul><li>Agency, administration, commission, corporation and authority are common titles used </li></ul></ul></ul><ul><ul><ul><li>Often referred to by their initials...EXAMPLES: </li></ul></ul></ul><ul><ul><ul><ul><ul><li>EPA, FBI, FCC, IRS, CIA, TVA </li></ul></ul></ul></ul></ul>
  7. 7. <ul><li>Staff Agencies </li></ul><ul><ul><ul><li>Serve in a support capacity. They aid the president and other administrators by offering advice and assistance </li></ul></ul></ul>Types of Agencies
  8. 8. <ul><li>Line Agencies: </li></ul><ul><ul><ul><li>Actually perform the tasks for which the organization exists. Congress gives these goals to meet. </li></ul></ul></ul>
  9. 9. Section 2: The Role of the Bureaucracy <ul><li>Original Role - </li></ul><ul><ul><li>To serve the people or some group of people but not to regulate </li></ul></ul><ul><ul><li>Many felt that Congress had the power to authorize a regulating office and set the standards that they would run based on </li></ul></ul>
  10. 10. <ul><li>During War Time: </li></ul><ul><ul><ul><li>During war time the power of the bureaucracy grows </li></ul></ul></ul><ul><ul><ul><li>Most agencies/departments have the argument that they have something to do with the war </li></ul></ul></ul>
  11. 11. <ul><li>Current Role: </li></ul><ul><ul><ul><li>Product of Depression and WWII </li></ul></ul></ul><ul><ul><ul><li>Government is needed to play an active role in dealing with crises </li></ul></ul></ul><ul><ul><ul><li>Think 9/11 and Homeland Security </li></ul></ul></ul><ul><ul><ul><li>No president wants to admit they’ve made it grow, but they have </li></ul></ul></ul><ul><ul><ul><li>2 million direct workers, 13 million indirect </li></ul></ul></ul>
  12. 12. <ul><li>Discretionary Authority </li></ul><ul><ul><ul><li>Ability to choose courses of action and make policies that are not spelled out in advance by laws </li></ul></ul></ul><ul><ul><ul><li>Their power depends on this </li></ul></ul></ul>
  13. 13. <ul><li>Congress has delegated substantial authority to administer agencies in three areas </li></ul><ul><ul><ul><li>1. Paying subsidies to particular groups and organizations </li></ul></ul></ul><ul><ul><ul><li>2. Transferring money from federal government to state and local government (grants-in-aid) </li></ul></ul></ul>
  14. 14. <ul><li>3. Devising and enforcing regulations for various sectors of society and the economy </li></ul>
  15. 15. <ul><li>The Bureaucracy in the Constitution: </li></ul><ul><ul><ul><li>Not in it but considered part of the executive branch </li></ul></ul></ul><ul><ul><ul><li>It helps execute laws, provide defense, administer social programs, things that presidents do </li></ul></ul></ul><ul><ul><ul><li>Helps president (think santa and his elves) </li></ul></ul></ul>Section 3: Evolution of the Bureaucracy
  16. 16. <ul><li>Removal Debate 1789 </li></ul><ul><ul><li>A bill was created that established the Department of State to help the new Secretary of State fulfill his duties (TJ). </li></ul></ul><ul><ul><li>This bill said that the President alone could remove his authority because he appoints them, but there was 6 days of debate over this issue </li></ul></ul>
  17. 17. <ul><li>Many argued that Senate should consent to the removal because they consent to the appointment </li></ul><ul><li>Madison argued that he needed the right to remove so he could control subordinates, and he WON </li></ul>
  18. 18. <ul><li>Spoils System - “To the victor goes the spoils” </li></ul><ul><ul><li>Jackson </li></ul></ul><ul><ul><li>Practice of giving offices and other favors of government to political supporters and friends </li></ul></ul><ul><ul><li>AKA patronage </li></ul></ul>
  19. 19. <ul><li>Why use the spoils system?? </li></ul><ul><ul><li>Any normal person can do it </li></ul></ul><ul><ul><li>Rotation in Office </li></ul></ul><ul><ul><li>Long service can lead to tyranny and inefficiency </li></ul></ul>
  20. 20. <ul><li>Pendleton Act - Garfield was shot due to a disappointed office seeker, so they enacted the Pendleton Act, </li></ul><ul><li>AKA the Civil Service Act of 1883 </li></ul><ul><ul><li>a. Laid the foundation for the current system </li></ul></ul><ul><ul><li>b. Classified and unclassified, if you were to hire a classified official it was to be based on merit (examinations given by the Civil Service Commission) </li></ul></ul>
  21. 21. <ul><li>Hatch Act </li></ul><ul><ul><ul><li>1939 </li></ul></ul></ul><ul><ul><ul><li>To prevent harmful political activities. </li></ul></ul></ul><ul><ul><ul><li>Allows federal workers to vote in elections but forbids them to take part in partisan political activities </li></ul></ul></ul>
  22. 22. <ul><li>Federal Employees Political Activities Act of 1993 - relaxed much of the Hatch Act </li></ul><ul><li>CAN help register new voters </li></ul><ul><li>CAN help contribute money to candidates and parties </li></ul><ul><li>CAN participate in campaigns </li></ul><ul><li>CAN hold office in a party </li></ul>
  23. 23. <ul><li>continued </li></ul><ul><li>CANNOT: </li></ul><ul><ul><ul><li>Run in partisan elections </li></ul></ul></ul><ul><ul><ul><li>engage in party work while working </li></ul></ul></ul><ul><ul><ul><li>use position to influence </li></ul></ul></ul>
  24. 24. <ul><li>The selected officials will affect how laws are interpreted, </li></ul><ul><li>what tone the administration will display, </li></ul><ul><li>how effectively the business is done </li></ul><ul><li>how strong the party in power will be </li></ul>Section 4: Appointment
  25. 25. <ul><li>Behavior of Officials </li></ul><ul><ul><ul><li>1. The manner in which they are recruited and rewarded </li></ul></ul></ul><ul><ul><ul><li>2. personal attributes. ex. socioeconomic background, political attitudes </li></ul></ul></ul><ul><ul><ul><li>3. Nature of their job </li></ul></ul></ul><ul><ul><ul><li>4. Constraints that outside forces impose (political superiors, interest groups, journalists) </li></ul></ul></ul>
  26. 26. <ul><li>Competitive Service: </li></ul><ul><ul><ul><li>They are hired based on merit </li></ul></ul></ul><ul><ul><ul><li>Written exam or by applying certain criteria </li></ul></ul></ul>
  27. 27. <ul><li>Office of Personnel Management </li></ul><ul><ul><ul><li>OPM administers tests, devised by the hiring agency and approved by the OPM </li></ul></ul></ul><ul><ul><ul><li>Usually appoints one of the top 3 </li></ul></ul></ul>
  28. 28. <ul><li>Recruitment Now </li></ul><ul><ul><ul><li>Often, but not always, agencies hire their own workers without the OPM </li></ul></ul></ul>
  29. 29. <ul><li>Why? </li></ul><ul><ul><ul><li>Cumbersome and not relevant to the needs of the department </li></ul></ul></ul><ul><ul><ul><li>Need for more professionally trained employees who could not be ranked based on a standard exam </li></ul></ul></ul><ul><ul><ul><li>Pressure to make it more representative of the racial and ethnic composition of the nation </li></ul></ul></ul>
  30. 30. <ul><li>Buddy System </li></ul><ul><li>Recruitment of civil servants in middle and upper level jobs are more complicated and political than the laws suggest </li></ul><ul><li>Name Request: </li></ul><ul><ul><ul><li>a job is filled by a person whom an agency has already identified as a potential candidate </li></ul></ul></ul>
  31. 31. <ul><li>Firing a Bureaucrat </li></ul><ul><ul><ul><li>Must go through elaborate steps to fire, demote, or suspend a civil servant for those who are not presidential appointments </li></ul></ul></ul><ul><ul><ul><li>No one is fired or demoted unless his or her superior is prepared to invest a great deal of time and effort in the attempt </li></ul></ul></ul>
  32. 32. <ul><li>Firing, Continued </li></ul><ul><ul><ul><li>They have figured out ways to force civil servants out, such as denying promotions, transferring them to undesirable locations, or assigning them to meaningless work </li></ul></ul></ul>
  33. 33. <ul><li>Civil Service Reform Act of 1978 </li></ul><ul><ul><ul><li>Created the SES - Senior Executive Service </li></ul></ul></ul><ul><ul><ul><li>a group of executives selected for their leadership qualifications below top presidential appointments </li></ul></ul></ul><ul><ul><ul><li>Can be hired, fired and transfered more easily then the ordinary civil service </li></ul></ul></ul><ul><ul><ul><li>A pay-grade in the bureaucracy, higher up than average worker </li></ul></ul></ul>
  34. 34. <ul><li>Who is in the bureaucracy </li></ul><ul><ul><ul><li>Dominated by people who have been in government service most of their lives </li></ul></ul></ul><ul><ul><ul><li>Top-Tier bureaucrats are experts </li></ul></ul></ul>
  35. 35. <ul><li>Minorities are heavily represented in lowest grade levels and underrepresented at the executive level </li></ul><ul><li>typical high level workers --> middle aged white man with a college degree whose dad was advantaged </li></ul><ul><li>Usually more pro-government than average Americans </li></ul><ul><li>The kind of agency they work for tends to make a difference </li></ul>
  36. 36. <ul><li>Examples: </li></ul><ul><ul><ul><li>Activist agencies -- like Federal Trade Commission, EPA or FDA. They have more liberal views than those who work for “traditional agencies” --> Commerce, Defense, etc. </li></ul></ul></ul>
  37. 37. <ul><li>The White House Office </li></ul><ul><ul><ul><li>“Nerve Center” of the executive office </li></ul></ul></ul><ul><ul><ul><li>President and key personnel and political staff </li></ul></ul></ul><ul><ul><ul><li>Chief of Staff directs all operations </li></ul></ul></ul><ul><ul><ul><li>400 men and women, press secretary, counsel, physician to name a few </li></ul></ul></ul>Section 5: Executive Office of the President
  38. 38. <ul><li>Cabinet/Executive Departments </li></ul><ul><ul><ul><li>Not mentioned in Constitution </li></ul></ul></ul><ul><ul><ul><li>Created through custom and use </li></ul></ul></ul><ul><ul><ul><li>Instituted by Acts of Congress to help administer executive responsibilities </li></ul></ul></ul><ul><ul><ul><li>Secretaries appointed - requires approval by Senate </li></ul></ul></ul><ul><ul><ul><li>15 Secretaries </li></ul></ul></ul>
  39. 39. <ul><li>OMB (Office of Management and Budget) </li></ul><ul><ul><li>Prepares budget of US and can be used to control and manage executive agencies for President </li></ul></ul><ul><ul><li>Allocates $ to Cabinet departments through the budget process (usually less than they request) </li></ul></ul>
  40. 40. <ul><li>State </li></ul><ul><li>Treasury </li></ul><ul><li>Defense </li></ul><ul><li>Justice </li></ul><ul><li>Interior </li></ul><ul><li>Agriculture </li></ul><ul><li>Commerce </li></ul><ul><li>Labor </li></ul><ul><li>Health and Human Services </li></ul><ul><li>Housing and Urban Development </li></ul><ul><li>Transportation </li></ul><ul><li>Energy </li></ul><ul><li>Education </li></ul><ul><li>Veteran’s Affairs </li></ul><ul><li>Homeland Security </li></ul>Departments
  41. 41. Section 6: Independent Agencies <ul><li>Independent Agencies -- </li></ul><ul><ul><ul><li>Created by Congress, located outside the departments, nearly 150 of these </li></ul></ul></ul><ul><ul><ul><li>Laws are written in broad terms, they need to be interpreted </li></ul></ul></ul><ul><ul><ul><li>ex. Civil Rights Commission, NASA, EPA, FEC, Independent of Cabinet </li></ul></ul></ul>
  42. 42. <ul><li>Independent Agencies, Continued </li></ul><ul><ul><ul><li>Broad presidential oversight </li></ul></ul></ul><ul><ul><ul><li>Run of the mill </li></ul></ul></ul><ul><ul><ul><li>Do not fit well within a department </li></ul></ul></ul><ul><ul><ul><li>Protect them from partisan and political influence </li></ul></ul></ul><ul><ul><ul><li>OR peculiar and sensitive matter </li></ul></ul></ul>
  43. 43. <ul><li>Quasi Legislative -- Filling in gaps and writing rules </li></ul><ul><li>Quasi Judicial -- Rule enforcement and punishing violators </li></ul>
  44. 44. <ul><li>Independent Regulatory Commission - they have extraordinary degree of independence to act as a watchdog over the federal government </li></ul><ul><li>Congress and president should not be involved with these, they should not be regulated by politics (politicians have views and little expertise) </li></ul><ul><li>Bills are written in broad terms, and gaps need to be filled by bureaucracy </li></ul>
  45. 45. <ul><li>Examples of Regulatory Commissions </li></ul><ul><li>a. Federal Trade Commission --> prevent fraud in the marketplace </li></ul><ul><li>b. The Securities and Exchange Commission --> Regulated stock markets and polices corporations </li></ul><ul><li>c. Nuclear Regulatory Commission --> Controls how nuclear reactors are used/built </li></ul>
  46. 46. <ul><li>d. Federal Communications Commission --> Assigns frequencies, licenses programs, regulates wireless </li></ul><ul><li>e. Food and Drug Administration --> Ensure the health of the American people </li></ul><ul><li>f. Federal Energy Regulatory Commission --> Preventing price fixing and manipulation in utilities, oil and gas </li></ul><ul><li>g. Occupational Safety Administration --> Ensures workers are in a safe and healthy environment </li></ul>
  47. 47. <ul><li>h. Environmental Protection Agency </li></ul><ul><ul><ul><li>Enforce all environmental laws passed by Congress </li></ul></ul></ul><ul><ul><ul><li>For Example: 1970 Clean Air Act and Endangered Species Act </li></ul></ul></ul>
  48. 48. <ul><li>i. Equal Employment Opportunities Commission </li></ul><ul><ul><ul><li>Created by 1964 Civil Rights Act </li></ul></ul></ul><ul><ul><ul><li>Enforcing the anti-discrimination laws of the United States </li></ul></ul></ul><ul><ul><ul><li>Implement affirmative action programs, bring suits in cases of racial or sexual discrimination, and to enforce the Americans with Disabilities Act </li></ul></ul></ul>
  49. 49. <ul><li>Federal Reserve Board </li></ul><ul><ul><ul><li>Directly affects the buying power of the public </li></ul></ul></ul><ul><ul><ul><li>Regulates banks, value and supply of $ and interest rates </li></ul></ul></ul><ul><ul><ul><li>Members serve 14 year terms, chairmans 4 year terms </li></ul></ul></ul>
  50. 50. <ul><li>Why does it make sense to keep them independent from the executive and legislative branches of government? </li></ul>
  51. 51. <ul><li>Who runs regulatory agencies? </li></ul><ul><li>Panels of administrators called Board of Commissioners. The President with the consent of Senate appoints them. </li></ul><ul><li>They have staggered terms to minimize political pressure by the legislative or executive branches </li></ul>
  52. 52. <ul><li>Government Corporations </li></ul><ul><ul><ul><li>largely beyond the reach of presidential direction and control </li></ul></ul></ul><ul><ul><ul><li>Created by Congress to carry out certain businesslike activities </li></ul></ul></ul><ul><ul><ul><li>Set up much like a corporation in the private sector </li></ul></ul></ul>
  53. 53. <ul><li>Examples: </li></ul><ul><ul><ul><li>Bank of the US </li></ul></ul></ul><ul><ul><ul><li>Federal Deposit Insurance Corporation FDIC (insures bank) </li></ul></ul></ul><ul><ul><ul><li>US Postal Service </li></ul></ul></ul><ul><ul><ul><li>AMTRAK </li></ul></ul></ul><ul><ul><ul><li>TVA (to generate, sell, and distribute electric power) </li></ul></ul></ul>
  54. 54. <ul><li>Financed by public funds, but unlike a private business, money is plowed back into the business, not into shareholders pockets </li></ul><ul><li>American federal government owns the stock </li></ul>
  55. 55. <ul><li>Iron Triangle </li></ul><ul><ul><ul><li>A close relationship between an agency, congressional committee, and an interest group </li></ul></ul></ul><ul><ul><ul><li>Ex. Dept of Veterans’ Affairs, House and Senate committees on Veterans Affairs, and Veteran organizations (ex. American legion) </li></ul></ul></ul>Section 7: Allies
  56. 56. <ul><li>Iron Triangle Continued </li></ul><ul><ul><ul><li>Dept. does what committees want and in return they get political support and budget appropriations. </li></ul></ul></ul><ul><ul><ul><li>Committee members would get votes and campaign contributions aka client politics </li></ul></ul></ul>
  57. 57. <ul><li>Iron Triangles are much less common today than once was the case </li></ul><ul><li>Why? </li></ul><ul><li>The number of interest groups has increased so agencies are subject to pressures from a number of competing interests and interest groups rather than just one </li></ul>
  58. 58. <ul><li>Issue Network </li></ul><ul><ul><ul><li>A network of people in Washington D.C. Consisting of interest groups, members of Congress and bureaucrats, no matter if they are pro or con </li></ul></ul></ul><ul><ul><ul><li>President will recruit who are sympathetic to his views </li></ul></ul></ul>
  59. 59. <ul><li>Appropriate: A legislative grant of $ to finance a government program or agency </li></ul><ul><li>Appropriations Committee: in the HOUSE </li></ul><ul><ul><ul><li>Sets the specific expenditures of $ by governments to departments </li></ul></ul></ul><ul><ul><ul><li>Gives them control of $ </li></ul></ul></ul><ul><ul><ul><li>1947-1962 - 90% of recommendations approved by the full House </li></ul></ul></ul>Section 8: The Appropriations Committee and Legislative Committees
  60. 60. <ul><li>Appropriations Committee in Recent Years - </li></ul><ul><ul><ul><li>Lost some of their power over government agencies, especially because of deficits </li></ul></ul></ul><ul><ul><ul><li>try to keep spending down </li></ul></ul></ul>
  61. 61. Section 9: Constraints <ul><li>1. Congressional Oversight </li></ul><ul><li>2. Number of Masters </li></ul>
  62. 62. <ul><li>3. Congressional Investigations </li></ul><ul><li>4. Cannot hire, fire, build or sell without going through procedures set down by laws </li></ul><ul><li>5. To adopt a policy they usually must give notice and hold hearings (Admin. Procedure Act) </li></ul>
  63. 63. <ul><li>6. Freedom of Information Act - Right to inspect all government records except military, intelligence, or trade secrets </li></ul><ul><li>7. National Environment Policy Act - agency must issue an environmental impact statement </li></ul><ul><li>8. Privacy Act - Files about individuals must be kept secret </li></ul>
  64. 64. <ul><li>9. Open Meeting Laws - </li></ul><ul><ul><li>Agency meetings must be open to the public unless certain issues such as military, and intelligence is being discussed </li></ul></ul>
  65. 65. <ul><li>Americans complain about the bureaucracy in general because of what they go through </li></ul><ul><li>The contradiction is that they usually have positive feelings about a specific agency that they have dealt with and negative feelings about the whole bureaucratic system </li></ul>Section 10: Bureaucratic Pathologies
  66. 66. <ul><li>1. Red Tape </li></ul><ul><ul><ul><li>Complex bureaucratic rules and procedures that must be followed to get something done </li></ul></ul></ul><ul><ul><ul><li>Need to satisfy legal requirements and work in accordance with each other </li></ul></ul></ul><ul><li>2. Conflict </li></ul><ul><ul><ul><li>Some agencies seem to work at cross purposes than other agencies </li></ul></ul></ul>
  67. 67. <ul><li>3. Duplications </li></ul><ul><ul><ul><li>2 agencies seem to do the same thing </li></ul></ul></ul><ul><li>4. Imperialism </li></ul><ul><ul><ul><li>tendency of agencies to grow without regard to the benefits that their projects have or the costs they entail </li></ul></ul></ul>
  68. 68. <ul><li>5. Waste </li></ul><ul><ul><ul><li>Seem to spend more than necessary to buy some product or service </li></ul></ul></ul><ul><li>Why? </li></ul><ul><ul><ul><li>Because there are only weak incentives to keep costs down, $ goes back to treasury not their pockets, also red tapes says what they can and cannot buy </li></ul></ul></ul>
  69. 69. <ul><li>There have been countless efforts to reform the bureaucracy to make it work better and cost less </li></ul><ul><li>Latest reform is the National Performance Review - led by Al Gore while he was VP to reinvent government </li></ul>Section 11: Reform
  70. 70. <ul><li>Gore felt that the bureaucracy was staffed by well meaning officials who find themselves strung up by illogical procedures and unproductive directions </li></ul><ul><li>Emphasized customer satisfaction </li></ul><ul><li>Created incentives to promote entrepreneurial activity by government workers </li></ul><ul><li>Calls for less centralized management and more employee initiatives </li></ul><ul><li>hard to change...burs don’t want to irritate Congress or W.H. </li></ul>