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Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy.

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Presentation on theme: "Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy."— Presentation transcript:

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

2 Webers Five Characteristics of Bureaucracy Specialization Record-keeping Formality Professionalization Hierarchy What is a Bureaucracy? Gov. agencies that implement Government policies

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

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

5 Executive Departments State Defense TreasuryJustice Interior AgricultureLabor Homeland Security What kind of Departments or Agencies are these? Commerce Health & Human Svs Energy Housing & Urban Dev. Transportation Veterans Affairs Education

6 EPAFEMAGSA NASA Peace Corps SBA CIA* National Archives & Records Independent Agencies What kind of Federal Agencies are these? *Exception: Cabinet Rank (Since Clinton Administration)

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

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

9 Federal Departments & Agencies (summary)

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

11 Federal Government Rule Making ( )

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

13 Civilian Federal Employees

14 Federal Government Growth ( ): Per Capita Spending vs. People Employed

15 Growth of the Federal Bureaucracy Chart (Figure 13-4)* illustrated (from 1890): 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: 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: 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: Four major categories of Federal functions: – National Maintenance – Clientele Services – Regulation of Private Sector – Income Redistribution Lets look at these major Federal functions in greater detail.

17 National Maintenance Early Federal Government Functions & Responsibilities primarily limited to: 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?* Which Government Departments & Agencies administered these functions?*

18 Treasury Department War Department State Department Attorney General Post Office Early Federal Departments & Government Responsibilities

19 Clientele Services (mid-19th century) Serve special needs of influential Interest Groups Serve special needs of influential Interest Groups Agencies created to serve clients special interest 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 20 th Century 1930s=> Great Depression=> FDRs New Deal: 1930s=> Great Depression=> FDRs New Deal: – Federal Activism and Bureaucracy expands: Department of Health, Education, and Welfare 1960s=> War on Poverty=> LBJs Great Society: Department of Housing and Urban Development

21 Department of Transportation Department of Energy Department of Education Department of Veterans Affairs More Government Bureaucracy Created during the 20 th Century All formed to address other clients needs All formed to address other clients needs Latest edition to Federal Bureaucracy?*

22 Department of Homeland Security

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

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

25 Political appointees were generally recruited from the educated elite class. Government by Gentleman Federal Bureaucracys Personnel System A History of Change… (A Calling or Duty in service to the Nation)

26 Appointees of the President replace the previous Presidents appointees. Government jobs = spoils of war The Spoils System Changes in Fed Bureaucracys Personnel System (2) Spoils System first associated with whose Administration? Spoils System is also known as?*

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

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

29 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) Civil Service Reform Act of 1978

30 Politics of the Federal Bureaucracy Theory versus Reality Theory: political neutrality & competence Theory: political neutrality & competence – (Based on 19 th century social theory of Max Weber) – Bureaucracy mechanically implement laws & policies – Always act in Publics best interest Above theory is the traditional (mythological) view of how the Government Bureaucracy works as illustrated in the following model* 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 PresidentCongress Formulate Policy Bureaucracy Implements the Policy Role of Bureaucracy?

32 Political Character of the Federal Bureaucracy- The Reality: Reality: Inherently political institutions 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 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: whats good for them is good for the USA

33 Mission Goals Mission Goals Survival Goals Survival Goals 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 Two Goals: Goals of the Federal Bureaucracy

34 Potential Threats to those Goals Potential threats=> Potential threats=> – Conflict & competition with other political actors: – Congress & The President (EOP) – Other Federal Agencies & Interests Groups – State & local governments Lifeblood of bureaucracy? 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? 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 agencys view of the public good. Power how to shape & administer policy (EPA=> strict or lax enforcement of regulations)

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

37 Expertise is specialized knowledge acquired through work experience or training and education. Agency Expertise Agencies gain power from the expertise their employees develop. 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 Mission & survival goals affected by all three Strong clients, great expertise, more knowledge = 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 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 Political Constraints On Federal Bureaucracy Congress The President Interest Groups The Courts Other Agencies Examine in greater detail*

40 Political Constraints on the Federal Bureaucracy: The Congress Congress=> Article I: enumerated powers: Congress=> Article I: enumerated powers: – Create => implies: modify or abolish – Determine Bureaucracys structure & responsibility – Appropriate funds to accomplish responsibilities Congress implied powers: Congress implied powers: – Oversight (GAO & CRS) Committee & Sub-committees role Committee & Sub-committees role – Budget authorization & appropriation for programs Interest Group's influence on Congress 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: President => IAW interpretation of Article II: – In addition to Enumerated also has implied powers Key examples: 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 Political Constraints on the Federal Bureaucracy: Interest Groups, The Courts & Other Agencies Interest Groups=> options available for relief: Interest Groups=> options available for relief: – Turn to President (EOP), Congress, or The Courts Other Agencies=> overlapping responsibilities Other Agencies=> overlapping responsibilities – On-going competition for power & influence – FBI vs. CIA vs. DOS vs. DOD Impact: check & balance power of the other Impact: check & balance power of the other The Courts=> can place legal constraints 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)* 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) 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 interests influence Result: dampens special interests influence

44 Iron Triangles

45 Reinventing the Federal Bureaucracy Americans negative perception of federal government Americans negative perception of federal government – Wasteful & inefficient (Red Tape) Politicians efforts to change government 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? Grace Commissions (Reagan Administration) => result? – Recent post 9/11 trend: organizational changes: Homeland Security established (Effectiveness? – control of FEMA?) Homeland Security established (Effectiveness? – control of FEMA?) Usual result? (mixed at best) => why? Usual result? (mixed at best) => why? – Conflicting demands & objectives for all affected: Agencys survival goals & bureaucratic self interest Agencys survival goals & bureaucratic self interest Interest Group (Public & clients) demands (often in conflict) Interest Group (Public & clients) demands (often in conflict)

46 Next Assignment Text- Chapter 14: The Courts Text- Chapter 14: The Courts – Review Article III of Constitution Continue to prepare for Test II: Key Terms 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 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 Senates approval of appointees to a variety of government positions. Advice and consent: Refers to the provision in Article II of the Constitution that requires the president to gain the Senates 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. 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. 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. 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 individuals political loyalties. 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 individuals political loyalties. Clientele: The recipients of the services a government agencys programs provide. Clientele: The recipients of the services a government agencys programs provide. Expertise: Specialized knowledge acquired through work experience or training and education. 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 agencys jurisdiction to the mutual benefit of the three partners. 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 agencys 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. 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. Patronage: The practice of rewarding partisan supporters with government jobs. Also known as the spoils system. Rule adjudication: Determining whether an agencys rules have been violated. Rule adjudication: Determining whether an agencys rules have been violated. Rule administration: The core function of the bureaucracyto carry out the decisions of Congress, the president, or the courts. Rule administration: The core function of the bureaucracyto 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. 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 presidents 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. Spoils system: The method used to hire and fire government employees during most of the 1800s. Government employees of the new presidents 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.


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