1. Chapter 13- The Federal Bureaucracy
(1). Define what a bureaucracy is, and summarize its key characteristics and its nature.
(2). Examine the structure, organization, roles and tasks of the Federal Bureaucracy.
(3). Examine the President’s Cabinet and discuss their key departmental responsibilities.
(4). Contrast the diverse functions of the Executive Departments, Independent
Regulatory Commissions, Government Corporations, and Independent Agencies.
(5). Contrast the key tasks of rule administration, rule making, and rule adjudication.
(6). Examine the development & growth of the Bureaucracy’s power and responsibilities.
(7). Outline how the Federal Personnel System has evolved and changed, and discuss the
spoils system, patronage and the Civil Service System and its attempted reforms.
(8). Examine the Federal Bureaucracy's political character, goals, and resources.
(9). Outline the ways that Congress, the President, Interest Groups, and other agencies
place constraints on the Federal Bureaucracy.
(10). Explain the "iron triangle" theory and contrast it with the rise of issue networks.
(11). Assess the recent efforts to reform or "reinvent" the Federal Bureaucracy.

2. Weber’s Five Characteristics of Bureaucracy
What is a Bureaucracy?
Hierarchy
Gov. agencies that implement Government policies
Professionalization
Weber’s Five Characteristics of Bureaucracy
Formality
13-1 Weber’s Five Characteristics of Bureaucracy
Record-keeping
Specialization

3. Structure & Tasks of Federal Bureaucracy (The Executive Branch)
Departments
(The Cabinet)
Homeland
Security

4. Types of Federal Agencies
Executive Departments
Cabinet appointed by the president
Confirmed by Senate with its advice & consent
Independent Regulatory Commissions
Small commissions w/greater independence
Fix terms – can only be fired “for cause”
Government Corporations
Government companies that serve Public for fee
Suppose to be self supporting (example?)
Finance, energy, insurance
Independent Agencies
Not part of Executive Department w/sub-cabinet rank*
NASA, EPA, *(Exception: CIA)
All heads serve at Pleasure of President

5. What kind of Departments or Agencies are these?
Executive
Departments
What kind of Departments or Agencies are these?
Treasury
Defense
Justice
State
Agriculture
Commerce
Labor
Interior
13-3 Executive Departments
Health &
Human Svs
Housing &
Urban Dev.
Transportation
Energy
Education
Veterans
Affairs
Homeland
Security

6. What kind of Federal Agencies are these?
Independent
Agencies
What kind of Federal Agencies are these?
FEMA
GSA
EPA
CIA*
13-3 Independent Agencies
Peace
Corps
SBA
NASA
National
Archives &
Records
*Exception: Cabinet Rank (Since Clinton Administration)

7. What kind of Federal Agencies are these?
Independent
Regulatory
Commissions
What kind of Federal Agencies are these?
FCC
Federal
Reserve
EEOC
OSHA
SEC
Nuclear
Regulatory
Commission
13-3 Independent Regulatory Commissions
Federal
Trade
Commission
FEC
Consumer
Product
Safety

8. What kind of Federal Agencies are these?
Government
Corporations
What kind of Federal Agencies are these?
Postal Service
AMTRAK
Export-
Import
Bank
FDIC
Inter-
America
Foundation
13-3 Government Corporations
TVA
Corp. for National &
Community
Service

9. Federal Departments & Agencies (summary)

10. The Tasks of the Federal Bureaucracy
Bureaucracies Perform Three Functions:
1. Rule Administration
Administer the rules of public policy
Core bureaucratic function
2. Rule Making*
Put general principles into Federal Regulations
Develop new rules as required
3. Rule Adjudication
Determine if & when the rules have been followed or broken
13-2 Three Functions of Bureaucracies

11. Federal Government Rule Making (1940-2004)

12. Development of Federal Bureaucracy Constitutional Foundations
Role of Congress & the President
Shared powers to devise & operate Bureaucracy
President’s power to appoint & ensure laws executed
Federal Bureaucracy => Constitutional hybrid
Created by Congress
Directed by the President
Accountable to both
Has the Federal Bureaucracy grown over the years?
Answer: Yes and No*

13. Civilian Federal Employees 1820-2003
13-3d Civilian Government Employees

14. Federal Government Growth (1820-2003): Per Capita Spending vs
Federal Government Growth ( ): Per Capita Spending vs. People Employed
13-3c Growth of the Federal Government

15. Growth of the Federal Bureaucracy
Chart (Figure 13-4)* illustrated (from 1890):
Steady Federal growth to 1945 highpoint (3.8M)
Steep growth began between 1931=> 1945 (why?)
Per capita growth & spending (Figure 13-5)*shows:
As US population grew (now at about 300 Million) =>
Federal spending per person grew significantly, while…
Federal Bureaucrats employed declined
Bottom Line:
Federal Bureaucracy now spending & doing more per person (per capita) w/less federal employees to do it

16. Expanding Functions of the Federal Bureaucracy
Four major categories of Federal functions:
National Maintenance
Clientele Services
Regulation of Private Sector
Income Redistribution
Let’s look at these major Federal functions in greater detail.

17. National Maintenance
Early Federal Government Functions & Responsibilities primarily limited to:
Collect tax revenue
Defend the Nation
Conduct foreign relations
Enforce Federal laws
Promote internal communications
Which Government Departments & Agencies administered these functions?*

18. Early Federal Departments & Government Responsibilities
State Department
Treasury Department
War Department
Attorney General
13-4 Early Federal Government Responsibilities
Post Office

19. Clientele Services (mid-19th century)
Serve special needs of influential Interest Groups
Agencies created to serve clients’ special interest
Department of
Agriculture
Bureau of
Labor
Bureau of Labor => later: Dept of Commerce and Labor

20. Client Service Needs of 20th Century
1930s=> Great Depression=> FDR’s New Deal:
Federal Activism and Bureaucracy expands:
Department of
Health, Education, and
Welfare
1960s=> War on Poverty=> LBJ’s Great Society:
Department of
Housing and Urban
Development

21. More Government Bureaucracy Created during the 20th Century
All formed to address other client’s needs
Department of
Energy
Department of
Transportation
Department of
Education
th Century Government Bureaucracy
Department of
Veteran’s Affairs
Latest edition to Federal Bureaucracy?*

22. Department of Homeland Security

23. Regulation of Private Sector Expanding Federal Responsibilities More:
Responsibility or regulating American economy
Federal Agencies established:
ICC, Federal Reserve, Federal Trade Commission
1960s=> Regulate Society (Social Regulation)
Examples: EPA, OSHA
Social Regulation entails what kind of Federal function?*

24. Income Redistribution
Agencies formed to re-distribute economic benefits
Shift $$$ either directly or indirectly
Direct payments made to poor individuals:
Social Security (elderly) & AFDC (minors)
Some programs even transfer $$$ to wealthy:
Dept of Agriculture programs (wealthy farmers)
Social Security payments to wealthy retirees
Not always a one way street (i.e. from rich to poor)

25. Federal Bureaucracy’s Personnel System A History of Change…
“Government by Gentleman”
Political appointees were generally
recruited from the educated elite class.
13-4 Political Appointees
(A Calling or Duty in service to the Nation)

26. Changes in Fed Bureaucracy’s Personnel System (2)
The “Spoils System”
Appointees of the President replace the previous President’s appointees.
Government jobs = “spoils of war”
13-4 The Spoils System
Spoils System first associated with whose Administration?
Spoils System is also known as?*

27. Patronage
The practice of rewarding partisan supporters with government jobs. (AKA: spoils system)
Strong support for Patronage or Spoils System lasted until late 1800s when what happened? Congressional reaction?
13-4 Patronage
Pendleton Act of 1883 (from 10% - 80+%) => Signaled beginning of what system based on what?

28. Civil Service & “Merit”
Competence for job stressed
Political affiliation & political loyalty not a requirement for getting hired
“What you know” is more important than “who you know”
13-4 Civil Service
Civil Servants ranked and paid IAW “General Schedule Classification System” or “GS” rankings

29. Civil Service Reform Act of 1978
President Carter initiated major reforms
Reorganized agencies that oversee civil service in order to eliminate previous conflicts of interests:
Office of Personnel Management
Merit System Protection Board
Also created the Senior Executive Service (SES)
Allows high level civil servants to move into other vacant policy making positions.
Remains a “work in progress” (Homeland Security)
13-4 Civil Service Reform Act

30. Politics of the Federal Bureaucracy Theory versus Reality
Theory: political neutrality & competence
(Based on 19th century social theory of Max Weber)
Bureaucracy mechanically implement laws & policies
Always act in Public’s best interest
Above theory is the traditional (mythological) view of how the Government Bureaucracy works as illustrated in the following model*

31. Traditional View of Government
Bureaucracy
President
Congress
Formulate Policy
13-4 Traditional View of Bureaucracy
Role of Bureaucracy?
Bureaucracy
Implements the Policy

32. Political Character of the Federal Bureaucracy- The Reality:
Reality: Inherently political institutions
Translate principles & goals=> concrete programs
Take board policies & laws => detailed regulations
Range of Discretion => and conflicting guidance
President vs. Congress intentions often compete
Result: Bureaucracy serves two masters
Can Play one off the other (depending on own agenda)
Exercises discretion => freedom to shape own rules
Usually made consistent with their own best interests
With Belief: what’s good for them is good for the USA

33. Goals of the Federal Bureaucracy
Two Goals:
Mission
Goals
Survival
Goals
13-4b Two Goals of Government Agencies
The policy objectives that justify the creation and existence of an agency
The desire bureaucrats have to see the agency they work for grow and prosper

34. Potential Threats to those Goals
Conflict & competition with other political actors:
Congress & The President (EOP)
Other Federal Agencies & Interests Groups
State & local governments
“Lifeblood” of bureaucracy?
Power ( A zero/sum game in Washington arena)
Constant competition for power, influence, & growth
What are the Political Resources available to the Federal Bureaucracy to counter these threats?

35. Administrative Discretion
Political power through rule making procedures. The use of rules to reflect an agency’s view of the public good.
13-4 Administrative Discretion
Power how to shape & administer policy
(EPA=> strict or lax enforcement of regulations)

36. Clientele Support
Clientele are the recipients of the services a government agency's programs provide.
13-4 Clientele Support
The power an agency exercises depends heavily on the power of its clientele.
Example: DOD versus DOS=> who’s most likely to win?
Domestic vs. foreign clients & the captive agency

37. Agencies gain power from the expertise their employees develop.
Agency Expertise
Agencies gain power from the expertise their employees develop.
Expertise is specialized knowledge acquired through work experience or training and education.
13-4 Agency Expertise
Critical factors affecting value of expertise:
Extent that agency is only one with the expertise
Size of the knowledge gap with other “experts”
Example: NASA versus DOS & foreign policy

38. Assessment: Effect of differences in Agency Power
Mission & survival goals affected by all three
Strong clients, great expertise, more knowledge =
More say & therefore more power =
Expanded mission & bigger budget ($$)
More likely to survive at other agencies’ expense
All affect status & pecking order in Washington
DOD more powerful than DOS
Both more powerful than DOT & DOE
And so on down the Cabinet “pecking order”

39. Examine in greater detail*
Political
Constraints On
Federal
Bureaucracy
Congress
Other
Agencies
The Courts
The
President
Interest
Groups
13-4d Political Constraints on Federal Bureaucracy
Examine in greater detail*

40. Political Constraints on the Federal Bureaucracy: The Congress
Congress=> Article I: enumerated powers:
Create => implies: modify or abolish
Determine Bureaucracy’s structure & responsibility
Appropriate funds to accomplish responsibilities
Congress implied powers:
Oversight (GAO & CRS)
Committee & Sub-committee’s role
Budget authorization & appropriation for programs
Interest Group's influence on Congress
Can be significant=> motivating Congress to act

41. Political Constraints on the Federal Bureaucracy: The President
President => IAW interpretation of Article II:
In addition to Enumerated also has implied powers
Key examples:
See that all laws are faithfully executed
Appointment powers=> influence who heads agency
Shape how policies are implemented
Can offer Budget proposals & legislation to Congress
Power of the veto threat
Power to reorganize structure & reassign functions
OMB=> clear all new agency regulations

42. Interest Groups=> options available for relief:
Political Constraints on the Federal Bureaucracy: Interest Groups, The Courts & Other Agencies
Interest Groups=> options available for relief:
Turn to President (EOP), Congress, or The Courts
Other Agencies=> overlapping responsibilities
On-going competition for power & influence
FBI vs. CIA vs. DOS vs. DOD
Impact: check & balance power of the other
The Courts=> can place legal constraints
Politically immune during deliberations
Determine if rules exceed authority or not lawful

43. Alliances and the Federal Bureaucracy
Iron Triangles* (Figure 13-6)*
Effective when interest & impact are very narrow
Downside: narrow interests that benefit the few
Taxpayers (Public) pay for these special benefits
Highly undemocratic => last minute riders on Bills
Issue Networks => (offset above influences)
Create range of competing positions on an issue
Tends to offset narrow interests of iron triangles
Agency & Congress respond to all potential voters
Result: dampens special interest’s influence

44. Iron Triangles
13-4 Iron Triangles

45. Reinventing the Federal Bureaucracy
Americans negative perception of federal government
Wasteful & inefficient (Red Tape)
Politicians efforts to change government red tape
Clinton & Gore (National Performance Review)
Previous commissions created in past to do same thing:
Grace Commissions (Reagan Administration) => result?
Recent post 9/11 trend: organizational changes:
Homeland Security established (Effectiveness? – control of FEMA?)
Usual result? (mixed at best) => why?
Conflicting demands & objectives for all affected:
Agency’s survival goals & bureaucratic self interest
Interest Group (Public & clients) demands (often in conflict)

46. Next Assignment Text- Chapter 14: The Courts
Review Article III of Constitution
Continue to prepare for Test II: Key Terms
Review Key Terms in context of Chapters Learning Objectives
Note: possible Quiz next Wednesday on Key Terms
Test II administered a week from next Monday
Bring SCANTRON 50/50 & #2 pencil

47. Chapter 13: Key Terms
Advice and consent: Refers to the provision in Article II of the Constitution that requires the president to gain the Senate’s approval of appointees to a variety of government positions.
Bureaucracy: In general usage, the set of government agencies that carries out government policies. The bureaucracy is characterized by formalized structures, specialized duties, a hierarchical system of authority, routine record keeping, and a permanent staff.
Bureaucrats: A term used generally to identify anyone who works within a large, formal organization. More specifically, it refers to career civil service employees of the government.
Cabinet: An informal designation that refers to the collective body of individuals appointed by the president to head the executive departments. The cabinet can, but rarely does, function as an advisory body to the president.
Civil service: The method by which most government employees have been hired, promoted, and fired since the 1880s. Personnel decisions are based on merit, or the competence of the individual to do the job, rather than the individual’s political loyalties.
Clientele: The recipients of the services a government agency’s programs provide.
Expertise: Specialized knowledge acquired through work experience or training and education.

48. Chapter 13: Key Terms (2)
Iron triangles: The alliance of a government agency, congressional committee or subcommittee, and political interest group for the purpose of directing government policy within the agency’s jurisdiction to the mutual benefit of the three partners.
Issue networks: A loose collection of groups or people in and out of government who interact on a policy issue on the basis of their interest and knowledge rather than just on the basis of economic interests.
Patronage: The practice of rewarding partisan supporters with government jobs. Also known as the spoils system.
Rule adjudication: Determining whether an agency’s rules have been violated.
Rule administration: The core function of the bureaucracy—to carry out the decisions of Congress, the president, or the courts.
Rule making: Formulating the rules for carrying out the programs a bureaucratic agency administers.
Spoils system: The method used to hire and fire government employees during most of the 1800s. Government employees of the new president’s choosing would replace those a previous president had appointed. Government jobs were the “spoils” (or rewards) of the electoral “wars.” This system was also known as patronage.