Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Chapter 15: The Federal Bureaucracy The Bureaucrats How Bureaucracies Are Organized Bureaucracies as Implementors Bureaucracies as Regulators Understanding Bureaucracies Summary

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Chapter Outline and Learning Objectives The Bureaucrats LO 15.1: Describe the federal bureaucrats and the ways in which they obtain their jobs. How Bureaucracies Are Organized LO 15.2: Differentiate the four types of agencies into which the federal bureaucracy is organized.

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Chapter Outline and Learning Objectives Bureaucracies as Implementors LO 15.3: Identify the factors that influence the effectiveness of bureaucratic implementation of public policy. Bureaucracies as Regulators LO 15.4: Describe how bureaucracies regulate, and assess deregulation and alternative approaches to regulation.

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Chapter Outline and Learning Objectives Understanding Bureaucracies LO 15.5: Assess means of controlling unelected bureaucrats in American democracy and the impact of the bureaucracy on the scope of government.

The Bureaucrats LO 15.1: Describe the federal bureaucrats and the ways in which they obtain their jobs. Bureaucracy (Max Weber) Has a hierarchical authority structure. Uses task specialization. Operates on the merit principle. Develops extensive rules. Behaves with impersonality. To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman

The Bureaucrats Some Bureaucratic Myths and Realities Civil Servants Political Appointees LO 15.1 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The Bureaucrats Some Bureaucratic Myths and Realities Americans dislike bureaucrats. Americans are generally satisfied with bureaucrats and the treatment they get from them. LO 15.1 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The Bureaucrats Some Bureaucratic Myths and Realities (cont.) Bureaucracies are growing bigger each year. All growth is state and local. Employees – 20 million state and local and 2.8 million federal civilian (2% of workforce) and 1.4 million federal military. LO 15.1 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The Bureaucrats Some Bureaucratic Myths and Realities (cont.) Most federal bureaucrats work in Washington, D.C. About 12% of the 2.8 million federal civilian employees work in Washington. LO 15.1 To Learning Objectives

LO 15.1 To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman

The Bureaucrats Some Bureaucratic Myths and Realities (cont.) Bureaucracies are ineffective, inefficient, and always mired in red tape. Government bureaucracies are no more or less inefficient, ineffective, or mired in red tape than private bureaucracies. To Learning Objectives LO 15.1

To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.1

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The Bureaucrats Civil Servants Patronage – Jobs and promotions awarded for political reasons. Pendleton Civil Service Act of 1883 created a federal civil service so hiring and promotion would be based on merit. Civil Service – Hiring and promotion based on the merit and nonpartisan government service. To Learning Objectives LO 15.1

To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.1

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The Bureaucrats Civil Servants (cont.) Merit Principle – Entrance exams and promotion ratings to get people with talent and skill. Hatch Act (1939) – Government employees can not participate in partisan politics while on duty. Office of Personnel Management created in 1978 to hire for most federal agencies using rules. To Learning Objectives LO 15.1

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The Bureaucrats Civil Servants (cont.) GS (General Schedule) rating – A schedule for federal employees, ranging from GS 1 to GS 18, by which salaries can be keyed to rating and experience. Senior Executive Service – 9,000 federal government managers that provide leadership at the top of the civil service system. To Learning Objectives LO 15.1

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The Bureaucrats Political Appointees Plum Book – A listing of the top federal jobs available for direct presidential appointment, often with Senate confirmation. 500 top policymaking posts (mostly cabinet secretaries, undersecretaries, assistant secretaries, and bureau chiefs) and 2,500 lesser positions. To Learning Objectives LO 15.1

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The Bureaucrats Political Appointees (cont.) Incoming presidents seek people who combine executive talent, political skills, and policy positions similar to the administration. Incoming presidents try to ensure diversity and balance in terms of gender, ethnicity, region, and party interests. To Learning Objectives LO 15.1

How Bureaucracies Are Organized LO 15.2: Differentiate the four types of agencies into which the federal bureaucracy is organized. Cabinet Departments Independent Regulatory Commissions Government Corporations The Independent Executive Agencies To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman

LO 15.2 To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman

How Bureaucracies Are Organized Cabinet Departments Each department manages specific policy areas, and each has its own budget and its own staff. Each department has a mission and is organized differently. Bureaus (sometimes they are called administration, service, or office) divide the work into more specialized areas. To Learning Objectives LO 15.2

To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.2

Copyright © 2011 Pearson Education, Inc. Publishing as Longman How Bureaucracies Are Organized Independent Regulatory Commissions Government agency responsible for making (legislative) and enforcing (executive) rules to protect the public interest in some sector of the economy and for judging (judicial) disputes over these rules. Example – Federal Reserve Board To Learning Objectives LO 15.2

To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.2

Copyright © 2011 Pearson Education, Inc. Publishing as Longman How Bureaucracies Are Organized Government Corporations Government organization provides a service that could be provided by private sector and typically charges for its services. You can not buy stock and you can not collect dividends like with private corporations. Example – U.S. Postal Service To Learning Objectives LO 15.2

Copyright © 2011 Pearson Education, Inc. Publishing as Longman How Bureaucracies Are Organized The Independent Executive Agencies The government agencies not accounted for by cabinet departments, independent regulatory commissions, and government corporations. Example – Social Security Administration To Learning Objectives LO 15.2

Bureaucracies as Implementors LO 15.3: Identify the factors that influence the effectiveness of bureaucratic implementation of public policy. What Implementation Means Why the Best-Laid Plans Sometimes Flunk the Implementation Test A Case Study of Successful Implementation: The Voting Rights Act of 1965 Privatization To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Bureaucracies as Implementors What Implementation Means Policy Implementation – The stage of policymaking between the establishment of a policy and the consequences of the policy for the people affected. Implementation involves translating the goals and objectives of a policy into an operating, ongoing program. LO 15.3 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors What Implementation Means (cont.) 3 elements of implementation: Create new agency or assign new responsibility to an old agency. Translate policy goals into operational rules and develop guidelines for the program. Coordination of resources and personnel to achieve the goals. To Learning Objectives LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors Why the Best-Laid Plans Sometimes Flunk the Implementation Test Program Design – It’s impossible to implement a policy or program that is defective in its basic theoretical conception. To Learning Objectives LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors Why the Best-Laid Plans Sometimes Flunk the Implementation Test (cont.) Lack of Clarity – Bureaucracies are often asked to implement unclear laws and Congress can thus escape the messy details. Example – Title IX of Education Act of 1972 was unclear, making implementation very complex. To Learning Objectives LO 15.3

To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors Why the Best-Laid Plans Sometimes Flunk the Implementation Test (cont.) Lack of Resources – Bureaucracy can lack the staff, necessary training, funding, supplies, equipment, and/or authority to carry out the tasks it has been assigned to do. To Learning Objectives LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors Why the Best-Laid Plans Sometimes Flunk the Implementation Test (cont.) Administrative Routine – SOPs bring efficiency and uniformity to everyday decision making. Routines become frustrating “red tape” or potentially dangerous obstacles to action when not appropriate to a situation. To Learning Objectives LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors Why the Best-Laid Plans Sometimes Flunk the Implementation Test (cont.) Administrators’ Dispositions – A bureaucrat uses administrative discretion to select from many responses to a given problem. Street-level bureaucrats are in constant contact with public and have considerable discretion. To Learning Objectives LO 15.3

To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors Why the Best-Laid Plans Sometimes Flunk the Implementation Test (cont.) Fragmentation – Responsibility for a policy is dispersed among many units within bureaucracy. Makes coordination of policies time consuming and difficult. Produces contradictory signals among the agencies involved. To Learning Objectives LO 15.3

To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors A Case Study of Successful Implementation: The Voting Rights Act of 1965 Goal was clear – To register large numbers of African American voters. Implementation was straightforward – Sending out people to register them. To Learning Objectives LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors A Case Study of Successful Implementation: The Voting Rights Act of 1965 (cont.) Authority of the implementors was clear – They had the support of the attorney general and even U.S. marshals. Authority concentrated in the Justice Department disposed to implementing the law vigorously. To Learning Objectives LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Implementors Privatization Private contractors have become a 4 th branch of government. Contracting for services – The theory is that private sector competition will result in better service at lower costs, but no evidence has proved this. Contracting leads to less public scrutiny as programs are hidden. To Learning Objectives LO 15.3

Bureaucracies as Regulators LO 15.4: Describe how bureaucracies regulate, and assess deregulation and alternative approaches to regulation. Regulation Use of governmental authority to control or change some practice in the private sector. Congress gives bureaucrats broad mandates to regulate activities as diverse as interest rates, the location of nuclear power plants, and food additives. To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman

LO 15.4 To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Bureaucracies as Regulators Regulation in the Economy and in Everyday Life Munn v. Illinois (1877) – Right of government to regulate the business operations of a firm. Interstate Commerce Commission (1887) was the 1 st regulatory agency and it regulated the railroads, their prices, and their services to farmers. To Learning Objectives LO 15.4

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Regulators Regulation in the Economy and in Everyday Life (cont.) Command-and-control policy – The government tells business how to reach certain goals, checks that these commands are followed, and punishes offenders. Incentive system – Market like strategies such as rewards are used to manage public policy. To Learning Objectives LO 15.4

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Regulators Regulation in the Economy and in Everyday Life (cont.) 3 elements of regulation: A grant of power and set of directions from Congress. A set of rules and guidelines by the regulatory agency itself. Some means of enforcing compliance with congressional goals and agency regulations. To Learning Objectives LO 15.4

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Regulators Deregulation The lifting of government restrictions on business, industry, and professional activities. Regulation critics – Regulation distorts market forces, raises prices, hurts America’s competitive position abroad, and fails to work well. To Learning Objectives LO 15.4

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Bureaucracies as Regulators Deregulation (cont.) Deregulation critics – Point out that deregulation does not protect the public against severe environmental damage and power shortages, failures in the savings and loan industry, and bursts in real estate market. To Learning Objectives LO 15.4

Understanding Bureaucracies LO 15.5: Assess means of controlling unelected bureaucrats in American democracy and the impact of the bureaucracy on the scope of government. Bureaucracy and Democracy Bureaucracy and the Scope of Government To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Understanding Bureaucracies Bureaucracy and Democracy Popular control of government depends on elections, but we do not elect the 4.2 million federal employees. The fact that voters do not elect civil servants does not mean that bureaucracies cannot respond to and represent the public’s interests. LO 15.5 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Understanding Bureaucracies Bureaucracy and Democracy (cont.) Presidents – Methods to control the bureaucracy are (1) appoint the right people to head the agency; (2) issue executive orders; (3) alter an agency’s budget; and (4) reorganize an agency. To Learning Objectives LO 15.5

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Understanding Bureaucracies Bureaucracy and Democracy (cont.) Congress – Methods to control the bureaucracy are (1) influence the appointment of agency heads; (2) alter an agency’s budget; (3) hold hearings; and (4) rewrite the legislation or make it more detailed. To Learning Objectives LO 15.5

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Understanding Bureaucracies Bureaucracy and Democracy (cont.) Iron Triangles – Subgovernments; a mutually dependent and advantageous relationship between bureaucratic agencies, interest groups, and congressional committees or subcommittees. Iron triangles dominate some areas of domestic policymaking. To Learning Objectives LO 15.5

To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.5

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Understanding Bureaucracies Bureaucracy and Democracy (cont.) Issue Networks – Have led to more widespread participation in bureaucratic policymaking. They include many participants who have technical policy expertise and are drawn to issues because of intellectual or emotional commitments rather than material interests. To Learning Objectives LO 15.5

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Understanding Bureaucracies Bureaucracy and the Scope of Government Size of federal bureaucracy has shrunk compared to labor force. Agencies need more resources to do what they are expected to do. Bureaucracy carry out policies, but Congress and the president decide what government does. To Learning Objectives LO 15.5

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.1 Summary The Bureaucrats Bureaucrats perform vital services the federal government provides, although their number has not grown, even as the population has increased and the public has made additional demands on government. Bureaucrats shape policy as administrators, as implementors, and as regulators. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.1 Summary The Bureaucrats (cont.) Most federal bureaucrats get their jobs through the civil service system; as a group, these civil servants are broadly representative of the American people. The top policymaking posts, however, are filled through presidential appointments, often with Senate confirmation. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The civil service system was designed to A.hire and promote bureaucrats on the basis of merit. B.produce an administration with talent and skill. C.protect workers from politically motivated firings. D.all of the above. LO 15.1 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The civil service system was designed to A.hire and promote bureaucrats on the basis of merit. B.produce an administration with talent and skill. C.protect workers from politically motivated firings. D.all of the above. To Learning Objectives LO 15.1

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.2 Summary How Bureaucracies Are Organized The organization of the federal bureaucracy categorizes agencies into four types: cabinet departments, independent regulatory commissions, government corporations, and independent executive agencies. The 15 cabinet departments each manage a specific policy area. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.2 Summary How Bureaucracies Are Organize (cont.) Independent regulatory commissions make and enforce rules in a particular sector of the economy. Government corporations provide services and charge for services. Independent executive agencies account for most of the rest of the federal bureaucracy. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Which of the following is NOT one of the four types of agencies into which the federal bureaucracy is organized? A.Cabinet Departments B.Independent Regulatory Commissions C.Government Corporations D.Independent Legislative Agencies LO 15.2 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Which of the following is NOT one of the four types of agencies into which the federal bureaucracy is organized? A.Cabinet Departments B.Independent Regulatory Commissions C.Government Corporations D.Independent Legislative Agencies To Learning Objectives LO 15.2

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.3 Summary Bureaucracies as Implementors As policy implementors, bureaucrats translate legislative policy goals into programs. The policy or program design and the clarity of the legislation or regulations being implemented influence the effectiveness of policy implementation. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.3 Summary Bureaucracies as Implementors (cont.) The resources available for implementation; the ability of administrators to depart from SOPs when necessary; and the disposition of administrators toward the policy they implement influence the effectiveness of policy implementation. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.3 Summary Bureaucracies as Implementors The extent to which responsibility for policy implementation is concentrated rather than dispersed across agencies influence the effectiveness of policy implementation. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Which of the following is NOT one of the three main factors that make policy implementation difficult? A.faulty program design B.unclear laws C.lack of resources D.clear goals LO 15.3 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Which of the following is NOT one of the three main factors that make policy implementation difficult? A.faulty program design B.unclear laws C.lack of resources D.clear goals To Learning Objectives LO 15.3

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.4 Summary Bureaucracies as Regulators Congress increasingly delegates large amounts of power to bureaucratic agencies to develop rules regulating practices in the private sector. Agencies apply and enforce their rules, in court or through administrative procedures. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.4 Summary Bureaucracies as Regulators (cont.) Regulation affects most areas of American society, and criticism that regulations are overly complicated and burdensome has led to a movement to deregulate. However, many regulations have proved beneficial, and deregulation has itself resulted in policy failures. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Government is the use of governmental authority to control or change some practice in the private sector. A.regulation B.command-and-control policy C.incentive system D.deregulation LO 15.4 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Government is the use of governmental authority to control or change some practice in the private sector. A.regulation B.command-and-control policy C.incentive system D.deregulation To Learning Objectives LO 15.4

Copyright © 2011 Pearson Education, Inc. Publishing as Longman LO 15.5 Summary Understanding Bureaucracies Bureaucrats are not elected, but they are competent and reasonably representative of Americans. The president and Congress try to control the bureaucracies, but iron triangles challenge their control. The role of government and hence the size of the bureaucracy depends more on voters than on bureaucrats. To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The development of subgovernments to include a system of issue networks ensures more A.presidents are now involved in all policy areas. B.subgovernments are virtually impossible to dismantle. C.policymaking is stable and predictable. D.widespread participation in the policy process. LO 15.5 To Learning Objectives

Copyright © 2011 Pearson Education, Inc. Publishing as Longman The development of subgovernments to include a system of issue networks ensures more A.presidents are now involved in all policy areas. B.subgovernments are virtually impossible to dismantle. C.policymaking is stable and predictable. D.widespread participation in the policy process. To Learning Objectives LO 15.5

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Text Credits U.S. Department of Commerce, Statistical Abstract of the United States, 2010 (Washington, DC: U.S. Government Printing Office, 2010),Table 486. Budget of the United States Government, Fiscal Year 2011: Analytical Perspectives (Washington, DC: U.S. Government Printing Office, 2010),Tables 23-1 and United States Office of Personnel Management, Profile of Federal Civilian Non-Postal Employees, September 30, Federal Register, Office of the Federal Register, United States Government Manual (Washington, DC: U.S. Government Printing Office, 2010), 21. Office of the Federal Register, United States Government Manual 2009–2010 (Washington, DC: U.S. Government Printing Office, 2010), 240.

Copyright © 2011 Pearson Education, Inc. Publishing as Longman Photo Credits 434: AP Photos 443T: Jim West/The Image Works 433TC: Chuck Nacke/Woodfin Camp 433TB: Brian Pohorylo/Corbis 433B: Jack Kurtz/The Image Works 440: “Lot #1” 444: Jim West/the Image Works 443: Chuck Nacke/Woodfin Camp 444: Brian Pohoryllo/Corbis 454: Joe Heller 449: Jack Kurtz/The Image Works 451: Bettmann/Corbis 448: Frank Cotham/The New Yorker Collection/