G-13: The Federal Bureaucracy 1

2 Weber’s Five Characteristics of Bureaucracy 1. Specialization 2. Record-keeping 3. Formality 4. “Professionalization” 5. Hierarchy What is a Bureaucracy? Government agencies that implement Gov. policies

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

Four Types of Federal Agencies 1. Executive Departments – Cabinet Heads appointed by the president – Confirmed by Senate with its advice & consent 2. Independent Regulatory Commissions – Small commissions w/greater independence – Fix terms – can only be fired “for cause” 3. Government Corporations – Government companies that serve Public for fee – Suppose to be self supporting (examples?) * – Insurance (FDIC), Energy (TVA), Comms (PO), Trans (AMTRAC) 4. Independent Agencies – Not part of Executive Department w/sub-cabinet rank – NASA, EPA, CIA – All heads serve at Pleasure of President 4

5 ?__________ 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 ?__________ 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 ?__________ Commissions Federal Trade Commission What kind of Federal Agencies are these?

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

The Tasks of the Federal Bureaucracy Bureaucracies Perform Three Functions: 1. Rule Administration – Administer ?_______ o f public policy – Core bureaucratic function 2. Rule Making* – Put general ?_______ into Federal Regulations – Develop new rules as required 3. Rule Adjudication – Determine if & when the rules have been ?__________ or ?__________ 9

Federal Government Rule Making ( ) 10

Development of Federal Bureaucracy Constitutional Foundations Role of Congress & the President: – Share powers to devise & operate Bureaucracy – President’s power to appoint & ensure laws executed – Power of Congress to create, and advise & consent Federal Bureaucracy => Constitutional hybrid – Created by Congress & Directed by the President – Therefore: Federal Bureaucracy is accountable to both Has the Federal Bureaucracy grown over the years? – Answer: ?__________ * 11

Civilian Federal Employees

Federal Government Growth ( ): Per Capita Spending vs. People Employed 13

National ?__________ 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?* 14

Early Federal Departments & Government Responsibilities 15 ?__________ Department ?__________ General Post Office

1. Clientele Services (mid-19th century) Serve special needs of influential Interest Groups Agencies created to serve clients’ special interest 16 Department of Agriculture Bureau of Labor* *Bureau of Labor => later: Dept of Commerce and Labor

Client Service Needs of 20 th Century 1930s=> Great Depression=> FDR’s New Deal: – Federal Activism and Bureaucracy expands: 17 Department of Health, Education, and ?__________ 1960s=> War on Poverty=> LBJ’s Great Society: Department of Housing and Urban Development

More Government Bureaucracy Created during the 20 th Century All formed to address other client’s needs 18 Department of Transportation Department of Energy Department of Education Department of Veteran’s Affairs Latest edition to Federal Bureaucracy?*

Department of ?_________ _______ 19 * *( Formerly FEMA)

3. Regulation of Private Sector Responsibility for regulating American economy – Federal Agencies established included: – ICC, Federal Reserve, Federal Trade Commission In 1960s focus expanded to Regulate Society – AKA: Social Regulation – Examples: EPA, OSHA What’s the fourth category of the Federal Bureaucracy's expanding functions?* 20

4. ?__________ Redistribution Agencies were also formed to re-distribute economic benefits – Shift $$$ either directly or indirectly to different sectors – Direct payments made to elderly or poor individuals: Social Security =>the elderly & AFDC (to minors) Some programs even transfer $$$ to wealthy: – Dept of Agriculture programs benefit wealthy farmers – Social Security (SS) payments also to wealthy retirees Bill Gates will get the maximum payment made by SS Income Redistribution not always a one way street – (i.e. only from rich to poor) 21

Federal Bureaucracy’s Personnel System A History of Change… ( ) 22 Political appointees were generally recruited from the educated elite class. “Government by Gentleman” (A Calling or Duty in service to the Nation)

Changes in Fed Bureaucracy’s Personnel System ( ) 23 Appointees of the President replace the previous President’s appointees. Government jobs = “spoils of war” The “Spoils System” Spoils System first associated with whose Administration? Spoils System is also known as?*

?__________ 24 The 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 in 1881? Pendleton Act of 1883 (from 10% then => 80+% now) Garfield assassinated: Congressional reaction in response? Signaled beginning of what system based on what?

Civil ?__________ & “ ?__________ ” (1883-present ) 25 Major changes to Federal hiring ensued: Competence for job stressed Political affiliation & political loyalty not a requirement for getting hired (at least in theory) “What you know” more important than “who you know” Civil Servants ranked and paid IAW “General Schedule Classification System” or “GS” rankings

Civil Service Reform Act of President Carter initiated major reforms to Civil Service Reorganized agencies that oversee civil service in order to eliminate previous conflicts of interests: Office of Personnel Management (Gov. interest) Merit System Protection Board (Protect employee) 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” (NA to Homeland Security)

Politics of the Federal Bureaucracy Theory versus Reality: Theory: political neutrality & competence – (Based on 19 th century social theory of Max Weber) – Bureaucracy mechanically implement laws & policies – Always act in Public’s best interest Above theory is the traditional (mythological) view of how the Government Bureaucracy works as illustrated in the following model* 27

28 Traditional View of Government Bureaucracy President Congress Formulate Policy Bureaucracy ?__________ that Policy Role of Bureaucracy?The Reality?

Political Character of the Federal Bureaucracy- The Reality: Reality: Inherently ?__________ 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 – 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: what’s good for them is good for the USA 29

Key Goals of the Federal Bureaucracy 30 ?________ Goals ?________ Goals ?________ Goals ?________ 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 Key Goals:

Potential Threats to those Goals Various Potential threats include: – Conflict & competition with other political actors: Congress & The President (EOP) Other Federal Agencies & Interests Groups State & local governments “Lifeblood” of bureaucracy? – Political ?__________ (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? 31

Political Resources of Federal Bureaucracy 1. Administrative ?__________ 2. ?__________ Support 3. Agency ?__________ 32

33 ?___________ Discretion Political power through rule making procedures. The use of rules to reflect an agency’s view of the public good. Power how to shape & administer policy (EPA=> strict or lax enforcement of regulations)

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

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 (Space) versus DOS (foreign policy) 35 Expertise is specialized knowledge acquired through work experience or training and education. Agency ?__________

Differences in Agency Power Mission & survival goals affected by all three: – Agency Discretion, Clientele Support, & Expertise 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 – DOD more powerful than DOS – Both more powerful than DOT & DOE – And so on down the Cabinet “pecking order” 36

37 Political Constraints On Federal Bureaucracy ?__________ The ?__________ Groups The ?__________ Other ?__________ Examine in greater detail*

Political Constraints on the Federal Bureaucracy: The Congress Congress=> Article I: enumerated powers: – Create => also implies: modify or abolish – Determine Bureaucracy’s structure & responsibility – Appropriate funds to accomplish responsibilities Congress implied powers: – Oversight (GAO & CRS) Committee & Sub-committee’s role – Budget authorization & appropriation for programs Interest Group's influence on Congress – Can be significant=> motivating Congress to act 38

Political Constraints on the Federal Bureaucracy: The President President => IAW interpretation of Article II: – In addition to Enumerated also has implied powers Key examples of Presidential Power: – See that all laws are faithfully executed – Appointment powers=> influence who heads agency – Shape how his policies are implemented by the agency – Can offer Budget proposals & legislation to Congress – Power of the veto threat – Power to reorganize structure & reassign functions – OMB=> clear all new agency regulations Presidents do have power to compel compliance – If willing to spend the time to follow up – Time presidents simply don’t have 39

Political Constraints on the Federal Bureaucracy: Interest Groups, The Courts & Other Agencies Interest Groups=> options available for relief: – Turn to President (EOP), Congress, or The Courts Other Agencies=> overlapping responsibilities – On-going competition for power & influence – FBI vs. CIA vs. DOS vs. DOD Impact: check & balance power of the other The Courts=> can place legal constraints – Politically immune during deliberations – Determine if rules exceed authority or not lawful 40

Alliances and the Federal Bureaucracy Iron ?_________ * (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 or earmarks on Bills ?_______ 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 interest’s influence 41

Iron Triangles 42

Reinventing the Federal Bureaucracy Americans negative perception of federal government – Wasteful & inefficient (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? – Recent post 9/11 trend: organizational changes: Homeland Security established (Effectiveness? – control of FEMA?) Usual result? (mixed at best) => why? – Conflicting ?_________ & ?_________ for all affected: Agency’s survival goals & bureaucratic self interest Interest Group (Public & clients) demands (often in conflict) 43

Next Week’s Assignment- Week 11 Text- Chapter 14: The Courts – Review Article III of Constitution – Note: Quiz next Wednesday on Key Terms (Part III) Continue to prepare for Test II: Key Terms – Review Key Terms in context of Chapters Learning Objectives – Test II administered a week from next Monday Class 12a 44

Chapter 13: Key Terms Advice 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. 45

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 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. 46

Back-up Slide 47

Presidents and the Federal Bureaucracy Cannot command obedience of Federal agencies=> – Must bargain & persuade to comply w/agenda Presidential resources to pressure bureaucracy behavior – Appointment power- heads of agencies – Budget making power- cut or increase $$$ – Authority to reorganize structure & duties – Executive order Presidents have power to compel compliance w/wishes – If willing to spend the time to follow up – Time presidents simply don’t have – Must move on to more pressing issues – Agencies & departments know this fact – Feather pillow analogy of FDR with The “Naaavy” (WWI) 48