Bureaucracy• Def’n: A large, complex organization composed of

appointed officials• No one person can make all the decisions• 3 peculiarities of American bureaucracy:• 1) Political authority over the bureaucracy is shared

—in Britain, bureaucrats don’t deal with Parliament• 2) Most of the agencies of the federal government

share their functions with related agencies in state/local government (FEDERALISM)

• 3)Adversary culture; litigious society. In Sweden, decisions made by bureaucrats are rarely challenged

Bureaucracy…in the Beginning

• Constitution does not mention departments/bureaus

• Madison introduced bill to create Department of State; debate on whether President could remove subordinates, settled in favor of President

• But Congress could appropriate money, could investigate, and shape the laws that are executed

• Still, bureaucracy had potential to become a “spoils system” or patronage system

Weber’s ideal type bureaucracy• Individual officials are personally free, but constrained by their

employment when performing the impersonal duties of their offices

• There is a clear hierarchy of officials • The functions of each official in the hierarchy are clearly specified • Each official has a contract of employment • Officials are selected by professional qualification, ideally through

competitive examinations • Officials have a monetary salary, usually with pension rights, and

reflecting their position in the hierarchy. Officials may leave their jobs when they desire and their contracts may be terminated under certain circumstances

• The official’s post is his sole or main occupation • There is a clear career structure with promotion by seniority or

merit according to the judgement of superiors • The official may not appropriate for his personal use the post or

its resources • The official is under a unified control and disciplinary system

Appointments

• Congressional preferences often controlled the appointment of officials, esp. 1800s.

• Civil service reform in 1880s, Pendleton Act (1883)• 1816-CW: Jobs increased 8X• CW led to massive bureaucracy• After CW, rapid industrialization created a need to

control burgeoning industries; balanced by laissez-faire attitude of Americans and Cong. oversight

• Dep’t of Agriculture, 1862; Dep’t of Labor (1882); Dep’t of Commerce (1903)

• Difference: Clientele agencies, supposed to serve

Changing Role of the Bureaucracy

• Today’s bureaucracy is a product of the 1930s Depression and World War II

• Supreme Court in 1930s changed its mind and allowed Congress to delegate legislative authority to bureaucratic agencies

• Nixon in 1971 set up a system of wage/price controls after Congress passed legislation

• World War II brought income taxes; IRS

• No President today, however, wants to admit that he has increased the bureaucracy—but the # working for private agencies funded by gov’t has increased

Bureaucratic Power

• Real measure of authority: Discretionary Authority—the ability to choose actions independent of laws

• Bureaucracy has grown much in this respect; Subsidies to farmers, grants-in-aid; arsenic standard in water, granting TV licenses, corporate mergers

• To really find out where the power is, talk to program managers—not top appointees

• Average life of cabinet appointee= 20 months• Average career of project manager= 20 years

4 Factors that Explain Behavior

• 1. The manner of recruitment/rewards

• 2. Their personal attributes, socioeconomic backgrounds, political attitudes

• 3. The nature of their jobs

• 4. The constraints of outside forces—political superiors, legislators, interest groups, and journalists—impose on their agencies

#1 Factor: Recruitment/Retention• Many federal officials belong to competitive service (passed

exam/credential check by OPM)• Recent trend—each agency hires without OPM ok• 3 Reasons: 1) Old system was cumbersome, 2) Agencies

needed professionals, 3)Minority hiring • Diverse, white color workforce now the rule; biologists

AND paper-pushers• Excepted service: makes up half of all workers, appointed

(3%) or hired by agencies like CIA, FBI, USPS that have their own selection process

• Patronage consists of reg. appointments, Schedule C (confidential) appt’s, NEA (noncareer exec. Assignments) NEAs participate heavily in policy and decision-making

The Buddy System

• Actual recruitment more difficult

• Name-request job: Filled by a person who the agency has already identified

• Frequently a capable way of hiring employees, but can be a way to put political hacks into office

• “Old boys” and “Old girls” networks

Firing a Bureaucrat

• Executives must jump through hoops to fire non-appointed bureaucrats, and this rarely works

• .1% of Federal workers get fired • Civil Service Reform Act of 1978: Rationale: Many high-level senior civil

servants actually make policy. Therefore, they should be easily hired/fired, transferred, and paid better

• Created SES (Senior Executive Service): 8000 people, theoretically, can be hired/fired more easily, can be transferred from department to department more easily, employees get cash bonuses for job well done

• Didn’t quite work out as planned: None fired, very very jobs filled via interagency transfer

#2 Factor Shaping Bureaucratic Behavior: Personal Attributes

• Bureaucracy as a whole resembles American population; white males rule top

• 1/3 of public Conservative, 1/5 of Civil Service is• “Activist” vs. “Traditionalist” Agencies• Bureaucrats can either drag heels or be overzealous in policy

enforcement/making processes—usually they obey and carry out directives

• Whistle blower Protection Act, 1989: Created Office of Special Counsel, investigates bureaucratic complaints

• Even bureaucrats within agencies have power struggles (ex: FTC lawyers and economists)

#3 Factor Shaping Bureaucratic Behavior: Nature of their Jobs

• Jobs are spelled out by formal and informal rules (a.k.a. the “culture of the agency”

• Most bureaucrats don’t have much freedom; if you are an AF pilot, you don’t order the planes you fly

• Jobs are ranked; some jobs more prestigious than others

• Strong cultures motivate employees but makes it hard to change an agency

#4 Factor Shaping Bureaucratic Behavior: Constraints

• Exact procedures can be spelled out by Congress• EX: DOD must contract out to small businesses• Administrative Procedures Act of 1946: Agency must give

notice, solicit comments before adopting a new rule/policy• Freedom of Information Act (1946): Citizens may inspect

any nonsensitive government record• National Environmental Policy Act (1969): Agencies must

issue environmental impact statement• Privacy Act (1974): Gov’t files on persons are kept secret• Open Meeting Law (1974): Exception: military/trade secrets• Few policies under only 1 agency (drugs)

Effects of Constraints

• Government is slower• Inconsistency (FOIA endangers right to privacy)• Blocking action is easier than taking action• Lower-ranking employees do not feel empowered• Citizens complain of red tape• Rosenbloom: 3 sets of goals contradictory: Legal,

Political, Managerial

Examples of Red Tape: FEIS

• The US-31 freeway connection to I-94 was approved in 1981for construction later (orange)

• The discovery of the Mitchell’s Satyr Butterfly halted construction in the 1990s.

• The freeway remains incomplete but new alternatives are being explored. (red and blue)

Example of Citizen Input: St. Louis, MI CAG

• The EPA Superfund program signed a consent judgement with Velsicol Chemical in 1982 (Velsicol bought Michigan Chemical, which had polluted the area with DDT and PCBs

• Cleanup was done in 1980s but was faulty

• In 1998, cleanup began again

• In 1999, the CAG forced EPA to move more slowly and install misters so chemicals did not become airborne during the cleanup

Agency Allies

• Iron Triangle/cozy Triangle• EX: Department of Veterans Affairs, Senate

Committee on Veterans Affairs, American Legion form a tight, mutually advantageous alliance

• Even Reagan couldn’t defeat Small Business Administration

• Iron triangles much less common today—politics more complicated

• Issue Network now the rule—Washington-based interest groups, Congressional staffs, recruiting source for Presidents

Congressional Oversight

• No agency may exist without Congress’s approval• Money can’t be spent w/o authorization legislation• Funds must be appropriated (budget cutter)• In past, appropriations committee cuts rarely challenged by

House as a whole..this has changed now…3 reasons…1) Trust funds operate quasi-independently, 2) Annual reauthorizations 3) Existence of huge budget deficits in 1980s

• Individual Congressmen can help constituents, order committee clearance rule

• Legislative Veto• Hearings

Bureaucratic “Pathologies”

• Red tape—can actually be good; think of a terrorist trying to get a passport

• Imperialism—agency trying to expand role, scope, funding,

• Duplication—2 agencies working on similar problem (Customs/DEA)

• Waste

Reform Efforts

• Brownlow Commission (1939): “The President needs help.”

• Hoover Commissions: top-level management

• Ash Council (1969-1971): “Big departments”

• National Performance Review (1993): “customer satisfaction”

Ways to Eliminate a Bureaucrat (Without actually firing them)

• Frontal Assault— “Quit and I’ll give you a nice letter of recommendation

• Transfer Technique—Send a Bostonian to Texas

• Special-Assignments• Layering Technique—put loyal

subordinates in charge of the troublemaker

Chapter 15 Learning Objectives

• After reading and reviewing the material in this chapter, the student should be able to do each of the following:

• 1. Compare and contrast the United States and British models of government bureaucracy.

• 2. Sketch the history of the executive branch bureaucracy and the different uses to which it has been put.

• 3. Discuss the recruitment, retention, and demographic profiles of federal bureaucrats.

• 4. Show how the roles and missions of the agencies are affected by internal and external factors.

• 5. Review congressional measures to control the bureaucracy and evaluate their effectiveness.

• 6. List the “pathologies” that may affect bureaucracies and discuss why it is so difficult to reform the executive branch bureaucracy.