THE FEDERAL BUREACRACY Examining the “Fourth Branch”

bureaucracy literally means “rule by desks” government by clerks

bureaucracy Definition: an administrative system, especially in a government, that divides work into specific categories carried out by special departments of non-elected officials

Characteristics of a Bureaucracy administration of government through departments consists of unelected often highly trained professionals task specialization hierarchical authority

Introduction Classic conception of bureaucracy (Max Weber)—a hierarchical authority structure that use task specialization, operates on the merit principle, and behaves with impersonality Bureaucracies govern modern states.

Public Perceptions of Bureaucracies impersonal inclined to follow rigid or complex procedures may stifle effectiveness and innovation “red tape”

The Bureaucrats Some Bureaucratic Myths and Realities Americans dislike bureaucrats. Americans are generally satisfied with bureaucrats. Bureaucracies are growing bigger each year. Not in the federal bureaucracy. Most federal bureaucrats work in Washington, D.C. Only about 12 percent do. Bureaucracies are ineffective, inefficient, and always mired in red tape. No more so than private businesses. Some Bureaucratic Myths and Realities Americans dislike bureaucrats. Americans are generally satisfied with bureaucrats. Bureaucracies are growing bigger each year. Not in the federal bureaucracy. Most federal bureaucrats work in Washington, D.C. Only about 12 percent do. Bureaucracies are ineffective, inefficient, and always mired in red tape. No more so than private businesses.

The Federal Bureaucracy is:  4 million employees; 2.8 million are civilians or “civil servants”  President only appoints 3% (patronage or political appointments)  15 cabinet level departments  200+ independent agencies with 2,000+ bureaus, divisions, branches, etc.  Biggest - Dept. of Defense, U.S. Postal Service, Veterans Administration  4 million employees; 2.8 million are civilians or “civil servants”  President only appoints 3% (patronage or political appointments)  15 cabinet level departments  200+ independent agencies with 2,000+ bureaus, divisions, branches, etc.  Biggest - Dept. of Defense, U.S. Postal Service, Veterans Administration

The Bureaucrats

What Jobs Do Bureaucrats Do? Source: Brzovic/policeymakersChapters12-16/

The Bureaucrats Who They Are –Most demographically representative part of government –Diversity of jobs mirrors the private sector

Who are the “Bureaucrats?” 97% are career government employees Only 10% live in the D.C. area 30% work for the D.O.D. Less than 15% work for social welfare agencies Most are white collar workers: secretaries, clerks, lawyers, inspectors & engineers Civil employees more diverse demographically than Congress

The Bureaucrats How They Got There Civil Service: From Patronage to Protection Patronage: job given for political reasons Civil Service: system of hiring and promotion based on merit and nonpartisanship, created by the Pendleton Civil Service Act (1883) Merit Principle: entrance exams and promotion ratings to find people with talent and skill Hatch Act: prohibits government employees prohibited from active participation in partisan politics

The Bureaucrats How They Got There Civil Service: From Patronage to Protection Office of Personnel Management: the federal office in charge of most of the government’s hiring General Schedule (GS) rating: a schedule for federal employees ranging from GS 1 to 18, by which salaries can be keyed to rating and experience Senior Executive Service: an elite cadre of about 9,000 federal government managers established by the Civil Service Reform Act of 1978; mostly career officials

The Bureaucrats How They Got There The Other Route to Federal Jobs: Recruiting from the Plum Book Lists the very top jobs available for Presidential appointment Presidents work to find capable people to fill the positions. Some plum jobs (ambassadorships) are patronage. Their most important trait is transience.

Functions of the Federal Bureaucracy 1. Implementation 1. Implementation - carry out laws of Congress, executive orders of the POTUS (ex: executive order establishing the President's Economic Recovery Advisory Board (PERAB)) 2. Administration 2. Administration - routine administrative work; provide services (ex: SSA sends social security checks to beneficiaries) 3. Regulation 3. Regulation - issue rules and regulations that impact the public (ex: EPA sets clean air standards) Source: 1. Implementation 1. Implementation - carry out laws of Congress, executive orders of the POTUS (ex: executive order establishing the President's Economic Recovery Advisory Board (PERAB)) 2. Administration 2. Administration - routine administrative work; provide services (ex: SSA sends social security checks to beneficiaries) 3. Regulation 3. Regulation - issue rules and regulations that impact the public (ex: EPA sets clean air standards) Source:

The Federal Bureaucracy Consists of 1.Cabinet Departments 2.Independent Executive Agencies 3.Independent Regulatory Commissions 4.Government Corporations

How Bureaucracies Are Organized

Executive Office of the President Several separate agencies staffed by some of the POTUS’ closest advisors. President’s Chief of Staff directs all of the operations of the White House. Staff also includes the press secretary, legal counsel and personal physician.

Executive Office of the President President also has a National the Security Council (NSC). They advise the POTUS on all matters, foreign or domestic, that relate to the nation’s Security. Members include: VP Sec’y of State Sec’y of Defense CIA Director Chairman of the Joint Chiefs of Staff

How Bureaucracies Are Organized

The Cabinet Departments 15 cabinet departments headed by a cabinet secretary appointed by the POTUS and approved by the Senate Each department “expert” in specific policy area Each department has its own budget “Going native”-when Cabinet members place agency priorities above the President’s Department of Homeland Security, created in 2002, is newest department

Secretary Deputy Secretary Under Secretary Science and Technology Under Secretary Information Analysis and Infrastructure Protection Under Secretary Border & Transportation Security Under Secretary Emergency Preparedness and Response Under Secretary Management Inspector General Director of the Secret Service (1) Commandant of Coast Guard (1) Director, Bureau of Citizenship & Immigration Services (1) General Counsel State and Local Coordination Special Assistant to the Secretary (private sector) National Capital Region Coordination Shared Services Citizenship & Immigration Service Ombudsman (1) Legislative Affairs Public Affairs Civil Rights and Civil Liberties Department of Homeland Security Chief of Staff Privacy Officer Executive Secretary International Affairs Counter Narcotics Small & Disadvantaged Business Note (1): Effective March 1 st, 2003

How Bureaucracies Are Organized

Independent Agencies Some independent because: Their function didn’t fit well into an existing department To protect their officials from political pressure Of a peculiar/sensitive nature or function

Independent Executive Agencies Established by Congress with separate status outside the executive branch Given a specific mandate and generally perform a service function, not a regulatory one. Some examples include: Social Security Administration, CIA, NASA, EPA.

Independent Regulatory Commissions IRCs exist to regulate a specific economic activity or interest ie) the Federal Communications Commission (public air waves) or Federal Reserve Board (banking system, money supply) IRCs operate independently from Congress and the President Once appointed and seated, members cannot be removed without cause Quasi-legislative powers used in rule making & regulatory functions & have force of law behind them

Independent Regulatory Commissions Largely beyond presidential influence or control Other examples: Federal Trade Commission (FTC), Securities and Exchange Commission (SEC), Federal Energy Regulatory Commission (FERC)

Government Corporations Government owned businesses created by Congress Handle functions usually carried out by the private sector May or may not be profitable, but serve a public need Ex: U.S. Postal Service, Amtrak, Tennessee Valley Authority, Corporation for Public Broadcasting

Bureaucracies as Implementers What Implementation Means Translating the goals and objectives of a policy into an operating, ongoing program Implementation includes: Creating and assigning an agency the policy Translating policy into rules, regulations and forms Coordinating resources to achieve the goals Stage of policymaking that takes place between establishment and consequences of a policy

Bureaucracies as Implementers Why the Best-Laid Plans Sometimes Flunk the Implementation Test Program Design Lack of Clarity Congressional laws are ambiguous and imprecise. Sometimes the laws conflict with each other. Lack of Resources Agencies may be big, but may not have staff to carry out policy goals.

Bureaucracies as Implementers Why the Best-Laid Plans Sometimes Flunk the Implementation Test Lack of Resources (continued) Many different types of resources are needed: personnel, training, supplies, and equipment May also lack the authority to act Administrative Routine Standard Operating Procedures (SOPs) bring uniformity to complex organizations. It is often difficult to change the routines.

Bureaucracies as Implementers Why the Best-Laid Plans Sometimes Flunk the Implementation Test Administrator’s Dispositions Administrative discretion is the authority to select among various responses. Street-level bureaucrats have the most discretion. Discretion is greatest where SOPs are not prevalent. Fragmentation Some policies are spread among several agencies. Some agencies have different rules for the same policy.

Bureaucracies as Regulators Regulation in the Economy and in Everyday Life Regulation: use of governmental authority to control or change some practice in the private sector A Full Day of Regulation Federal agencies check, verify, and inspect many of the products and services we take for granted. Federal and state agencies provide many services.

Bureaucracies as Regulators Regulation: How It Grew, How It Works All regulation contains these elements: 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

Bureaucracies as Regulators Regulation: How It Grew, How It Works Command-and-Control Policy: The government tells business how to reach certain goals, checks the progress, and punishes offenders. Incentive System: market-like strategies used to manage public policy Some agencies are proactive; some are reactive.

Bureaucracies as Regulators Toward Deregulation Deregulation: the lifting of restrictions on business, industry, and professional activities Regulatory problems: Raises prices Hurts U.S.’s competitive position abroad Does not always work well But some argue regulation is needed

The President Supervises the Bureaucracy The President can: appoint & remove agency heads appoint & remove agency heads reorganize the bureaucracy reorganize the bureaucracy issue executive orders issue executive orders reduce an agency's budget reduce an agency's budget President Bush speaks about his budget priorities for FY 2007

Understanding Bureaucracies Bureaucracy and Democracy Presidents Try to Control the Bureaucracy Appoint the right people Issue executive orders  Carry force of law and are used to implement policies Alter an agency’s budget Reorganize an agency  Creation of Department of Homeland Security

Congress Oversees the Bureaucracy Congress can: create or abolish agencies & departments cut or reduce funding investigate agency activities hold committee hearings pass legislation that alters an agency's functions influence or even fail to confirm presidential appointments Former FEMA Chief Michael Brown testifies before House committee investigating Hurricane Katrina

Understanding Bureaucracies Bureaucracy and Democracy Congress Tries to Control the Bureaucracy Influence appointment of agency heads  Senate confirms presidential nominees Alter an agency’s budget Hold oversight hearings Rewrite legislation or make it more detailed

Federal Courts Check the Bureaucracy Federal courts can: through judicial review rule on whether the bureaucracy has acted within the law and the U.S. Constitution provide due process for individuals affected by a bureaucratic action Supreme Court of the United States

Understanding Bureaucracies Bureaucracy and Democracy Iron Triangles and Issue Networks Iron Triangles: a mutually dependent relationship between bureaucratic agencies, interest groups, and congressional committees or subcommittees Exist independently of each other They are tough, but not impossible, to get rid of Some argue they are being replaced by wider issue networks that focus on more than one policy.

Understanding Bureaucracies

Bureaucracy and the Scope of Government The size of federal bureaucracy is an example of a government out of control. Even though the size of the bureaucracy has shrunk Some agencies don’t have enough resources to do what they are expected to do. Bureaucracy only carries out policies; Congress and the president decide what needs to be done.

Summary Bureaucrats shape policy as administrators, implementers, and regulators. Bureaucracy’s primary responsibility is the implementation of public policy. Federal bureaucracy has not grown but has in fact shrunk of late.