Presentation on theme: "Chapter 13- The Federal Bureaucracy"— Presentation transcript:
1Chapter 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, IndependentRegulatory 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 thespoils 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 agenciesplace 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.
2Weber’s Five Characteristics of Bureaucracy What is a Bureaucracy?HierarchyGov. agencies that implement Government policiesProfessionalizationWeber’s Five Characteristics of BureaucracyFormality13-1 Weber’s Five Characteristics of BureaucracyRecord-keepingSpecialization
3Structure & Tasks of Federal Bureaucracy (The Executive Branch) Departments(The Cabinet)HomelandSecurity
4Types of Federal Agencies Executive DepartmentsCabinet appointed by the presidentConfirmed by Senate with its advice & consentIndependent Regulatory CommissionsSmall commissions w/greater independenceFix terms – can only be fired “for cause”Government CorporationsGovernment companies that serve Public for feeSuppose to be self supporting (example?)Finance, energy, insuranceIndependent AgenciesNot part of Executive Department w/sub-cabinet rank*NASA, EPA, *(Exception: CIA)All heads serve at Pleasure of President
5What kind of Departments or Agencies are these? ExecutiveDepartmentsWhat kind of Departments or Agencies are these?TreasuryDefenseJusticeStateAgricultureCommerceLaborInterior13-3 Executive DepartmentsHealth &Human SvsHousing &Urban Dev.TransportationEnergyEducationVeteransAffairsHomelandSecurity
6What kind of Federal Agencies are these? IndependentAgenciesWhat kind of Federal Agencies are these?FEMAGSAEPACIA*13-3 Independent AgenciesPeaceCorpsSBANASANationalArchives &Records*Exception: Cabinet Rank (Since Clinton Administration)
7What kind of Federal Agencies are these? IndependentRegulatoryCommissionsWhat kind of Federal Agencies are these?FCCFederalReserveEEOCOSHASECNuclearRegulatoryCommission13-3 Independent Regulatory CommissionsFederalTradeCommissionFECConsumerProductSafety
8What kind of Federal Agencies are these? GovernmentCorporationsWhat kind of Federal Agencies are these?Postal ServiceAMTRAKExport-ImportBankFDICInter-AmericaFoundation13-3 Government CorporationsTVACorp. for National &CommunityService
10The Tasks of the Federal Bureaucracy Bureaucracies Perform Three Functions:1. Rule AdministrationAdminister the rules of public policyCore bureaucratic function2. Rule Making*Put general principles into Federal RegulationsDevelop new rules as required3. Rule AdjudicationDetermine if & when the rules have been followed or broken13-2 Three Functions of Bureaucracies
12Development of Federal Bureaucracy Constitutional Foundations Role of Congress & the PresidentShared powers to devise & operate BureaucracyPresident’s power to appoint & ensure laws executedFederal Bureaucracy => Constitutional hybridCreated by CongressDirected by the PresidentAccountable to bothHas the Federal Bureaucracy grown over the years?Answer: Yes and No*
13Civilian Federal Employees 1820-2003 13-3d Civilian Government Employees
14Federal Government Growth (1820-2003): Per Capita Spending vs Federal Government Growth ( ): Per Capita Spending vs. People Employed13-3c Growth of the Federal Government
15Growth 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 declinedBottom Line:Federal Bureaucracy now spending & doing more per person (per capita) w/less federal employees to do it
16Expanding Functions of the Federal Bureaucracy Four major categories of Federal functions:National MaintenanceClientele ServicesRegulation of Private SectorIncome RedistributionLet’s look at these major Federal functions in greater detail.
17National MaintenanceEarly Federal Government Functions & Responsibilities primarily limited to:Collect tax revenueDefend the NationConduct foreign relationsEnforce Federal lawsPromote internal communicationsWhich Government Departments & Agencies administered these functions?*
18Early Federal Departments & Government Responsibilities State DepartmentTreasury DepartmentWar DepartmentAttorney General13-4 Early Federal Government ResponsibilitiesPost Office
19Clientele Services (mid-19th century) Serve special needs of influential Interest GroupsAgencies created to serve clients’ special interestDepartment ofAgricultureBureau ofLaborBureau of Labor => later: Dept of Commerce and Labor
20Client Service Needs of 20th Century 1930s=> Great Depression=> FDR’s New Deal:Federal Activism and Bureaucracy expands:Department ofHealth, Education, andWelfare1960s=> War on Poverty=> LBJ’s Great Society:Department ofHousing and UrbanDevelopment
21More Government Bureaucracy Created during the 20th Century All formed to address other client’s needsDepartment ofEnergyDepartment ofTransportationDepartment ofEducationth Century Government BureaucracyDepartment ofVeteran’s AffairsLatest edition to Federal Bureaucracy?*
23Regulation of Private Sector Expanding Federal Responsibilities More: Responsibility or regulating American economyFederal Agencies established:ICC, Federal Reserve, Federal Trade Commission1960s=> Regulate Society (Social Regulation)Examples: EPA, OSHASocial Regulation entails what kind of Federal function?*
24Income Redistribution Agencies formed to re-distribute economic benefitsShift $$$ either directly or indirectlyDirect payments made to poor individuals:Social Security (elderly) & AFDC (minors)Some programs even transfer $$$ to wealthy:Dept of Agriculture programs (wealthy farmers)Social Security payments to wealthy retireesNot always a one way street (i.e. from rich to poor)
25Federal Bureaucracy’s Personnel System A History of Change… “Government by Gentleman”Political appointees were generallyrecruited from the educated elite class.13-4 Political Appointees(A Calling or Duty in service to the Nation)
26Changes 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 SystemSpoils System first associated with whose Administration?Spoils System is also known as?*
27PatronageThe 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 PatronagePendleton Act of 1883 (from 10% - 80+%) => Signaled beginning of what system based on what?
28Civil Service & “Merit” Competence for job stressedPolitical affiliation & political loyalty not a requirement for getting hired“What you know” is more important than “who you know”13-4 Civil ServiceCivil Servants ranked and paid IAW “General Schedule Classification System” or “GS” rankings
29Civil Service Reform Act of 1978 President Carter initiated major reformsReorganized agencies that oversee civil service in order to eliminate previous conflicts of interests:Office of Personnel ManagementMerit System Protection BoardAlso 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
30Politics of the Federal Bureaucracy Theory versus Reality Theory: political neutrality & competence(Based on 19th century social theory of Max Weber)Bureaucracy mechanically implement laws & policiesAlways act in Public’s best interestAbove theory is the traditional (mythological) view of how the Government Bureaucracy works as illustrated in the following model*
31Traditional View of Government BureaucracyPresidentCongressFormulate Policy13-4 Traditional View of BureaucracyRole of Bureaucracy?BureaucracyImplements the Policy
32Political Character of the Federal Bureaucracy- The Reality: Reality: Inherently political institutionsTranslate principles & goals=> concrete programsTake board policies & laws => detailed regulationsRange of Discretion => and conflicting guidancePresident vs. Congress intentions often competeResult: Bureaucracy serves two mastersCan Play one off the other (depending on own agenda)Exercises discretion => freedom to shape own rulesUsually made consistent with their own best interestsWith Belief: what’s good for them is good for the USA
33Goals of the Federal Bureaucracy Two Goals:MissionGoalsSurvivalGoals13-4b Two Goals of Government AgenciesThe policy objectives that justify the creation and existence of an agencyThe desire bureaucrats have to see the agency they work for grow and prosper
34Potential Threats to those Goals Conflict & competition with other political actors:Congress & The President (EOP)Other Federal Agencies & Interests GroupsState & local governments“Lifeblood” of bureaucracy?Power ( A zero/sum game in Washington arena)Constant competition for power, influence, & growthWhat are the Political Resources available to the Federal Bureaucracy to counter these threats?
35Administrative Discretion Political power through rule making procedures. The use of rules to reflect an agency’s view of the public good.13-4 Administrative DiscretionPower how to shape & administer policy(EPA=> strict or lax enforcement of regulations)
36Clientele SupportClientele are the recipients of the services a government agency's programs provide.13-4 Clientele SupportThe 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
37Agencies gain power from the expertise their employees develop. Agency ExpertiseAgencies gain power from the expertise their employees develop.Expertise is specialized knowledge acquired through work experience or training and education.13-4 Agency ExpertiseCritical factors affecting value of expertise:Extent that agency is only one with the expertiseSize of the knowledge gap with other “experts”Example: NASA versus DOS & foreign policy
38Assessment: Effect of differences in Agency Power Mission & survival goals affected by all threeStrong clients, great expertise, more knowledge =More say & therefore more power =Expanded mission & bigger budget ($$)More likely to survive at other agencies’ expenseAll affect status & pecking order in WashingtonDOD more powerful than DOSBoth more powerful than DOT & DOEAnd so on down the Cabinet “pecking order”
39Examine in greater detail* PoliticalConstraintsOnFederalBureaucracyCongressOtherAgenciesThe CourtsThePresidentInterestGroups13-4d Political Constraints on Federal BureaucracyExamine in greater detail*
40Political Constraints on the Federal Bureaucracy: The Congress Congress=> Article I: enumerated powers:Create => implies: modify or abolishDetermine Bureaucracy’s structure & responsibilityAppropriate funds to accomplish responsibilitiesCongress implied powers:Oversight (GAO & CRS)Committee & Sub-committee’s roleBudget authorization & appropriation for programsInterest Group's influence on CongressCan be significant=> motivating Congress to act
41Political Constraints on the Federal Bureaucracy: The President President => IAW interpretation of Article II:In addition to Enumerated also has implied powersKey examples:See that all laws are faithfully executedAppointment powers=> influence who heads agencyShape how policies are implementedCan offer Budget proposals & legislation to CongressPower of the veto threatPower to reorganize structure & reassign functionsOMB=> clear all new agency regulations
42Interest Groups=> options available for relief: Political Constraints on the Federal Bureaucracy: Interest Groups, The Courts & Other AgenciesInterest Groups=> options available for relief:Turn to President (EOP), Congress, or The CourtsOther Agencies=> overlapping responsibilitiesOn-going competition for power & influenceFBI vs. CIA vs. DOS vs. DODImpact: check & balance power of the otherThe Courts=> can place legal constraintsPolitically immune during deliberationsDetermine if rules exceed authority or not lawful
43Alliances and the Federal Bureaucracy Iron Triangles* (Figure 13-6)*Effective when interest & impact are very narrowDownside: narrow interests that benefit the fewTaxpayers (Public) pay for these special benefitsHighly undemocratic => last minute riders on BillsIssue Networks => (offset above influences)Create range of competing positions on an issueTends to offset narrow interests of iron trianglesAgency & Congress respond to all potential votersResult: dampens special interest’s influence
45Reinventing the Federal Bureaucracy Americans negative perception of federal governmentWasteful & inefficient (Red Tape)Politicians efforts to change government red tapeClinton & 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 interestInterest Group (Public & clients) demands (often in conflict)
46Next Assignment Text- Chapter 14: The Courts Review Article III of ConstitutionContinue to prepare for Test II: Key TermsReview Key Terms in context of Chapters Learning ObjectivesNote: possible Quiz next Wednesday on Key TermsTest II administered a week from next MondayBring SCANTRON 50/50 & #2 pencil
47Chapter 13: Key TermsAdvice 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.
48Chapter 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.