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Elements of Bureaucracy Mr. Monk APGoPo LACES Magnet.

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1 Elements of Bureaucracy Mr. Monk APGoPo LACES Magnet

2 Newt Gingrich on the failures of the American Bureaucracy: 1Jzw

3 I. The Federal Bureaucracy  The bureaucracy is any large, complex administrative structure  A hierarchical organization with job specialization and complex rules  By definition, it is not privately owned.  The bureaucracy is based on the principle of hierarchical authority, job specialization, and formal rules  Merit really has nothing to do with it A. What is the Bureaucracy?

4 A bureaucracy is a way of organizing people to do work Bureau = desk; cracy = type of governmental structure (French) A bureaucrat is a person with defined responsibilities in a bureaucracy The main purpose of the federal bureaucracy is to carry out the policy decisions of the President and Congress I. The Federal Bureaucracy A. What is the Bureaucracy?

5 Examples:  General Motors  The Southern Baptist Convention  The Catholic Church  The Department of Justice  LAUSD I. The Federal Bureaucracy A. What is the Bureaucracy?

6 Nearly all of the bureaucracy of the Federal Government resides in the executive branch of government The Constitution gives almost NO guidance about the structure of the federal bureaucracy The Framers simply didn't lay out the organization of cabinet departments, much less the independent agencies I. The Federal Bureaucracy B. Major Elements fo the Federal Bureaucracy

7 The bureaucracy is made up of three major groups of administrative agencies  The Executive Office of the President  The 15 cabinet departments  Independent agencies I. The Federal Bureaucracy B. Major Elements fo the Federal Bureaucracy

8 The administration consists of the officials and agencies of the executive branch that carry out public policies These administrators impact public policy in the following ways:  Through delaying the implementation of policy dictated either by the legislative or executive branches  By writing rules and regulations;  By enforcing such rules, regulations and laws  Adjudicating conflicting interests I. The Federal Bureaucracy B. Major Elements fo the Federal Bureaucracy

9 Department Administration or Agency Commission Corporation or Authority I. The Federal Bureaucracy C. The Name Game

10 Department The term "department" is reserved for agencies of cabinet rank I. The Federal Bureaucracy C. The Name Game

11 Administration or Agency The terms "administration" or "agency" are used to refer to any governmental body or, more particularly, to a major unit headed by a single administrator of near- cabinet rank The terms agency and administration are used interchangeably I. The Federal Bureaucracy C. The Name Game

12 Commission The term "commission" is reserved for agencies charged with the regulation of business activities Commissions are headed by varying numbers of top-ranking officers, or commissioners I. The Federal Bureaucracy C. The Name Game

13 Corporation or Authority The terms "corporation" and "authority" are used for agencies that have a board and a manager and that is designed to conduct business-like activities I. The Federal Bureaucracy C. The Name Game

14 While the above terms have precise definition, they are not used consistently There is little uniformity in the use of terms describing units within the executive branch and the lines are now blurred I. The Federal Bureaucracy C. The Name Game

15 Three Distinct Growth Periods  Post Civil War Period  The Great Depression  The Great Society/Cold War II. History of Bureaucracy

16 Patronage (d) - Getting a job because of who you know or having the right connections It was an accepted practice for nineteenth century presidents staffed their government through the “spoils system” II. History of Bureaucracy A. Post Civil War Period

17 Era of FDR saw the development of the alphabet soup agencies and the development of social security II. History of Bureaucracy B. The Great Depression

18 Saw a massive government attempt to fight poverty, fix the environment, deal with civil rights and fight communism around the world II. History of Bureaucracy C. The Great Society/Cold War Era

19 Patronage (d) - Getting a job because of who you know or having the right connections. It was an accepted practice for nineteenth century presidents staffed their government through the “spoils system” III. Patronage System

20 A. Advantages of Patronage  Ensured loyalty in appointees  Allowed the president to somewhat control what the executive office was doing In other words, every government appointment was essentially political in nature III. Patronage System

21 A. Advantages of Patronage Andrew Jackson first got the reputation for creating the spoils system He called it “rotation in office” but Jackson wasn’t doing anything different than his predecessors III. Patronage System

22 B. Reform Things began to change in 1881 when a frustrated office-seeker who did not get a job under the Garfield Administration The man (Charles Giteau) shot and killed President James A. Garfield VP Chester Arthur – the Prince of Patronage himself – shocked everyone by encouraging the passage of the Pendleton Civil Service Act (1883) which created what is now known as the Civil Service III. Patronage System

23 B. Reform 1. Civil Service System The Civil Service System means that people are given jobs based upon merit-that is reward competence with neutrality (entrance exams, promotions) The idea being the need to create a non- partisan bureaucracy III. Patronage System

24 B. Reform 2. Hatch Act Passed in 1938 and amended in 1993, the Hatch Act was passed and stated that bureaucrats couldn’t engage in partisan politics while in duty Created a non-partisan civil service meant insulating government workers from the risk of being fired when a new party comes to power III. Patronage System

25 B. Reform 2. Hatch Act Under the terms of the Hatch Act, civil servants are permitted to:  Vote in primary elections  Contribute money to a political party  Attend a political rally  Place a bumper sticker on their personal property  PRIOR to the 1993 amendments, civil servants were prohibited from coordinating a campaign for a friend running for political office III. Patronage System

26 Although the spoils system officially ended with the Pendleton Act of 1883, presidents still have a chance to appoint the top positions in government Every four years, Congress publishes what is called the “Plum Book,” which includes about 4,000 of the top jobs in the bureaucracy IV. Appointment Powers

27 The president’s appointment powers are important for 3 reasons: 1. He can affect how laws will be interpreted 2. The president can set the tone for the administration through his appointments (Reagan is a good example) 3. The president can establish party dominance in the top positions IV. Appointment Powers

28 There are approximately 3 million bureaucrats (17 million if state and local public employees are included) Until about 100 years ago, a person got a job with the government through the spoils system (a hiring and promotion system based on knowing the right people) Patronage: the practice of giving government jobs to the President's friends and political supporters V. Civil Servants (GS Workers)

29 The spoils system was largely defended by President Jackson who believed that the largest number of citizens should have the privilege of serving in government office, that any person of "normal" intelligence was fit to hold any government position, and that all government officials should belong to the party elected by the people Support for a civil service system increased dramatically as a result of the assassination of President Garfield in 1881 V. Civil Servants (GS Workers)

30 President Jimmy Carter improved the system when he urged Congress to pass the Civil Service Reform Act of 1978 Reforms included the creation of the Office of Personnel Management (OPM), which now tests and hired most federal workers (Persons who pass civil service exams are placed on a "register" kept by OPM), and the Merit System Protection Board which enforces the merit system in the federal bureaucracy Consequently, today, most federal agencies are covered by some sort of civil service system, based on the merit principle V. Civil Servants (GS Workers)

31 Salaries are likewise proposed by the Civil Service System, subject to congressional appropriations In general, at lower and middle levels, the federal pay scale is comparable to that found in the private sector, but at higher levels, it is significantly lower For example, blue collar workers in the federal civil system are generally paid the same as blue collar workers in the private sector On the other hand, the Secretary of Transportation is paid significantly lower than the CEO of General Motors V. Civil Servants (GS Workers)

32 VI. Bureaucracy Today Any major organization by definition is a bureaucracy; corporations, universities, church, army, etc. Although not mentioned in the Constitution or any of the 27 Amendments – except briefly in Article II – Bureaucracies constitute one of America’s two unelected policymaking institutions (the other being the judiciary branch)



35 Everyone likes to bash bureaucracies It’s popular, especially when running against Washington as an outsider ◦ Reagan = Overregulation ◦ Carter = Wasteful government ◦ George Wallace = “Pointy-head” bureaucrats Reagan, Clinton and Carter ran as outsiders, claiming that they would downsize the bureaucracy and reform it VI. Bureaucracy Today

36 Liberals and conservatives have different viewpoints on bureaucracies Conservatives: Bureaucracy is too large and too liberal with too much power that is unaccountable – it must be downsized or eliminated completely (too much meddling in our lives) Liberals: Bureaucracy is too slow, too willing to keep status quo: not reform minded enough; doesn’t protect us enough VI. Bureaucracy Today

37 VII. MYTHS & REALITY A. Americans Do Not Like Bureaucrats Actually, Americans claim they dislike bureaucracies, not the bureaucrats themselves More than 2/3 claim that they’re experience was positive when it came to dealing with individual people When asked who they trust more, politicians or civil servants, people picked civil servants by 5:1.2 margin

38 B. Bureaucracies Are Way Too Intrusive Generally this refers to independent regulatory agencies Census Bureau is a good example VII. MYTHS & REALITY


40 C. Most Bureaucrats work in Washington D.C. Actually, only 10% of 3 million Federal workers work in D.C. - the rest work in states or overseas California has the most Federal civilian bureaucrats: 295,000 Who are they? Look in the phone book under “US Government” – postal office, social security, FBI, Department of Agriculture, etc VII. MYTHS & REALITY

41 D. Bureaucrats Are Ineffective and Inefficient Q: What are the rules for the game bureaucracy? A: There is only one rule – the one to move loses

42 VII. MYTHS & REALITY In the mid 1990’s, roughly 70% of Americans said that almost anything run by the federal bureaucracy was bound to be inefficient and wasteful


44 VII. MYTHS & REALITY Who is this?  Donald Duck was put on payroll of HUD (Housing and Urban Development) at a salary of $99,999 – twice the normal salary for civil service pay  HUD never figured it out and had to be told by Congressional investigators that they “hired’ Donald Duck.

45 VII. MYTHS & REALITY No proven substitute for bureaucracy When they run efficiently, no one praises them When there is a scandal or mismanagement, everyone believes bureaucracies are bad Everyone talks about red tape but some red tape is actually all the protections for consumers or minorities that were demanded by these groups in the first place!

46 VIII.BUREAUCRATIC THEORIES A.Weberian Model Around the turn of the century, Max Weber predicted that one day our lives would be dominated by a bureaucracy That day is here Everything major decision you will make in life will have to, in some way, goes through a bureaucracy

47 VIII.BUREAUCRATIC THEORIES A.Weberian Model Weber thought modern life was so complex and government was getting increasingly involved in people’s lives, bureaucracies were necessary and inevitable Weber believed bureaucracies drew their power from their expertise Because political rulers were in no position to argue with the technical knowledge of the bureaucrats, they should allow the bureaucrats to run things.

48 VIII.BUREAUCRATIC THEORIES B.Rational Model Associated with the Weberian model This theory states that bureaucracies are needed because of the complex decision that takes place in policymaking

49 VIII.BUREAUCRATIC THEORIES B.Rational Model Rational model states the following must be observed: 1. Hierarchical Authority Structure: ◦ Power flows from top down and responsibility from bottom up 2. Task Specialization With Rules: ◦ Experts implement jobs with detailed rules that are consistent and always in place so training will be easier 3. Merit Principle: ◦ Entrance and promotion are awarded on the basis of demonstrated abilities rather then “spoils system” – in other words, bureaucracy should be non-political

50 VIII.BUREAUCRATIC THEORIES C. Monopolistic Model: (Acquisitive) Parkinson’s law: Work expands so as to fill the time available for its completion This theory has less of a benign view of bureaucracies than does Weber’s Some political scientists dismiss the Weberian model as too neat and easy to explain – others see bureaucracies as essentially “acquisitive” - acting like corporations Instead of maximizing profits, corporations try and maximize their budgets – that is increase their size and power in terms of the government’s corporations

51 VIII.BUREAUCRATIC THEORIES C. Monopolistic Model: (Acquisitive) Bureaucracies can also be monopolistic - there is no alternative to them (fire department, Police, social security, welfare, and local schools) So like monopolistic firms, they are less efficient and more costly to operate because they lack competition

52 VIII.BUREAUCRATIC THEORIES D. Garbage Can According to this theory, there is no grand conspiracy to get power nor are bureaucracies completely rational Bureaucracies will grow as they try out ideas and experiment A lot of these ideas are trial and error – bureaucracies will latch onto to any idea (pull it out of the garbage can) and run it to see if it works.

53 IX. Firing A Bureaucrat We already know how a bureaucrat gets their job: Patronage System Appointment System  Plum Book The president’s appointment powers are important for 3 reasons:  He can affect how laws will be interpreted  The president can set the tone for the administration through his appointments  The president can establish party dominance in the top positions

54 IX. FIRING A BUREAUCRAT Once hired, civil service employees are protected by the civil service system Federal workers have incredible job security and know how to keep their job They file 12 times more complaints with EEOC when fired than private sector workers – take advantage of anti- discrimination laws The chart explaining the steps to take to fire a bureaucrat is 21 feet wide – one foot per each month

55 IX. FIRING A BUREAUCRAT Out of 3 million federal civil service workers, only about 200 will be fired for incompetence and 2,000 for misconduct That’s like in an office of 100 - 1 would be fired every 10 years and another would resign every 15 years.

56 X. BUREAUCRATIC ORGANIZATIONS A. Cabinet 15 Departments ◦ Dep’t of Agriculture ◦ Dep’t of Commerce ◦ Dep’t of Defense ◦ Dep’t of Education ◦ Dep’t of Energy ◦ Dep’t of Health and Human Services ◦ Dep’t of the Interior

57 X. BUREAUCRATIC ORGANIZATIONS A. Cabinet ◦ Dep’t of Justice ◦ Dep’t of Labor ◦ Dep’t of State ◦ Dep’t of Transportation ◦ Dep’t of Treasury ◦ Dep’t of Veterans Affairs ◦ Dep’t of Homeland Security ◦ Dep’t of Housing and Urban Development


59 X. BUREAUCRATIC ORGANIZATIONS A. Cabinet Cabinet departments are the most visible organizations in the federal bureaucracy Today’s Cabinet employs more than 70% of all federal civil servants and spends 93% of all federal dollars

60 X. BUREAUCRATIC ORGANIZATIONS B. Independent Regulatory Commissions The regulatory agencies operate outside of the 3 branches of government They were created by Congress because Congress felt it didn’t have the time nor the expertise to monitor policy in all the different areas of American society

61 X. BUREAUCRATIC ORGANIZATIONS B. Independent Regulatory Commissions The regulatory agencies actually operate in ways similar to the other 3 branches of government:  Legislatively, they make the rules that govern our lives  Executively, they provide enforcement of those rules  Judicially, they decide disputes involving the rules they have created

62 X. BUREAUCRATIC ORGANIZATIONS B. Independent Regulatory Commissions In contrast to Cabinet, heads of these independent agencies can not be fired by President or Congress without cause By law, each board and commission must be balanced with members of both political parties

63 X. BUREAUCRATIC ORGANIZATIONS C. Independent Executive Agencies Examples: CIA, NASA, EPA, GSA Not part of the Cabinet (are smaller) but still reports directly to the President Engage in service rather than regulatory operations


65 X. BUREAUCRATIC ORGANIZATIONS D. Government Corporations Examples: TVA, CPB (Corporation for Public Broadcasting), FDIC, Amtrak, US Postal Service Similar to private corporations in two ways: 1.Provide services that could be handled by private sector 2.Typically charge for their services


67 X. BUREAUCRATIC ORGANIZATIONS D. Government Corporations But …  No stockholders – you can’t buy stock  No distribution of dividends and no capitol gains taxes  Aren’t designed to make a profit but are supposed to look out for public good

68 XI. CONTROLLING THE BUREAUCRACY A. The President One way the president can control the bureaucracy is through the appointment process The president can appoint about 3, 000 of the top jobs in his administration - about 1% of all the executive employees The president can set the tone for his administration through is appointments (conservative, liberal, etc)

69 XI. CONTROLLING THE BUREAUCRACY A. The President Recent presidents have tired repeatedly to centralize the power of the executive branch in order to control the bureaucracy Ronald Reagan required that all regulations created by the executive departments need to be approved by the OMB (Office of Management and Budget) OMB in turn tried to push the departments to enforce largely conservative rules and regulations.


71 XI. CONTROLLING THE BUREAUCRACY A. The President Reagan tried to make sure that his top advisers were staunch conservatives who would follow his line of thinking about big government Many of Reagan’s appointees were personally opposed to the departments they headed  Interior: James Watt  EPA-HUD: Samuel Pierce

72 XI. CONTROLLING THE BUREAUCRACY B. Congress Although regulatory agencies are important and seem to dictate our lives more than Congress, it is Congress that can create and kill these bureaucracies

73 XI. CONTROLLING THE BUREAUCRACY B. Congress Congress affects bureaucracies in 3 major ways 1.Authorization of Funds: Once Congress allows a bureaucracy to exist, it has to authorize funds for it carry out its functions. NASA for example has periodic reauthorization while Social Security is permanent. The more control over authorization that Congress has the more control it can get over the bureaucracy. Sunset laws require that an existing program or agency be regularly reviewed for its effectiveness

74 XI. CONTROLLING THE BUREAUCRACY B. Congress 2.Appropriating funds: Just because the bureaucracy has money authorized - it doesn’t mean that Congress will appropriate all that money Congress has to pass appropriations bills in order for the bureaucracy to actually use its money

75 XI. CONTROLLING THE BUREAUCRACY B. Congress 3.Investigations and hearings (oversight) Congressional committees conduct investigations and hearings if they think bureaucracies are out of control or abusing people Bureaucratic agency heads can be ordered to testify in front of a committee. Congress can ask the GAO (General Accounting Office) or CBO (Congressional Budget Office) to investigate agencies budgets in order to inform Congress on how that bureaucracy is doing


77 XI. CONTROLLING THE BUREAUCRACY C. Agency Allies Agency Allies seek outside group in order to cement a useful relationship of a Congressional committee or interest group. Iron Triangle (3-way alliance among legislators in Congress, bureaucrats, and interest groups).


79 XI. CONTROLLING THE BUREAUCRACY C. Agency Allies Many agencies have important allies in Congress and the private sector, especially those bureaus that serve the need of specific sectors of the economy or certain regions of the country  Department of Agriculture = Farm organizations  Department of Interior = Environmental groups, ranchers, grazers, business  Department of HUD = Mayors and real estate developers


81 XI. CONTROLLING THE BUREAUCRACY C. Agency Allies But Iron Triangles are much less common today than they once were:  Growth of Interest groups creates counterpressures on Bureaucracy and Congress  Growth of subcommittees in Congress means that most agencies are subject to control by many different legislative groups  The courts have made it easier for all kinds of individuals and interests to intervene in agency affairs

82 X. ISSUE NETWORKS Are slowly replacing iron triangles as policymaking becomes more and more complex Instead of a 3-way alliance, issue networks can contain a multitude of interested parties Issue networks also tend to be temporary alliances joining and disbanded after policy is panned and executed


84 X. ISSUE NETWORKS Due to the growth of sub-committees, interest groups and divided government, it is not just the bureaucracy and Congress making the decisions Issue networks can contain congressmen and bureaucrats but also interest groups, think tanks, the media These networks are constantly changing, as members who have technical expertise in the areas of policy become involved

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