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Chapter 13- The Federal Chapter 13- The Federal Bureaucracy Bureaucracy (1). Define what a (1). Define what a bureaucracy bureaucracy is, and summarize its key characteristics and is, and summarize its key characteristics and its nature. its nature. (2). Examine the (2). Examine the structure, organization, roles structure, organization, roles and and tasks tasks of the of the Federal Bureaucracy Federal Bureaucracy. (3). Examine the President’s (3). Examine the President’s Cabinet Cabinet and discuss their key departmental and discuss their key departmental responsibilities. responsibilities. (4). Contrast the diverse functions of the (4). Contrast the diverse functions of the Executive Departments Executive Departments , , Independent Independent Regulatory Commissions, Government Corporations Regulatory Commissions, Government Corporations , , and and Independent Independent Agencies Agencies. (5). Contrast the key tasks of (5). Contrast the key tasks of rule administration, rule making rule administration, rule making , , and and rule rule adjudication adjudication. (6). Examine the development & growth of the Bureaucracy’s power and (6). Examine the development & growth of the Bureaucracy’s power and responsibilities. responsibilities. (7). Outline how the (7). Outline how the Federal Personnel System Federal Personnel System has evolved and changed, and has evolved and changed, and discuss the discuss the spoils system, patronage spoils system, patronage and the and the Civil Service System Civil Service System and its attempted reforms and its attempted reforms. (8). Examine the (8). Examine the Federal Bureaucracy's Federal Bureaucracy's political character, goals, political character, goals, and and resources. resources. (9). Outline the ways that (9). Outline the ways that Congress, Congress, the the President President , , Interest Groups Interest Groups , and other , and other agencies agencies place constraints on the place constraints on the Federal Bureaucracy Federal Bureaucracy. (10). Explain the (10). Explain the " iron triangle iron triangle" theory and contrast it with the rise of theory and contrast it with the rise of issue issue networks networks. (11). Assess the recent efforts to reform or "reinvent" the Federal (11). Assess the recent efforts to reform or "reinvent" the Federal Bureaucracy. Bureaucracy.

Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

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Page 1: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Chapter 13- The Federal BureaucracyChapter 13- The Federal Bureaucracy

• (1). Define what a (1). Define what a bureaucracybureaucracy is, and summarize its key characteristics and its nature. is, and summarize its key characteristics and its nature.• (2). Examine the (2). Examine the structure, organization, rolesstructure, organization, roles and and taskstasks of the of the Federal BureaucracyFederal Bureaucracy..• (3). Examine the President’s (3). Examine the President’s CabinetCabinet and discuss their key departmental responsibilities. and discuss their key departmental responsibilities.• (4). Contrast the diverse functions of the (4). Contrast the diverse functions of the Executive DepartmentsExecutive Departments, , Independent Independent

Regulatory Commissions, Government CorporationsRegulatory Commissions, Government Corporations, , andand IndependentIndependent AgenciesAgencies..• (5). Contrast the key tasks of (5). Contrast the key tasks of rule administration, rule makingrule administration, rule making, , and and rule adjudicationrule adjudication..• (6). Examine the development & growth of the Bureaucracy’s power and responsibilities.(6). Examine the development & growth of the Bureaucracy’s power and responsibilities.• (7). Outline how the (7). Outline how the Federal Personnel System Federal Personnel System has evolved and changed, and discuss the has evolved and changed, and discuss the

spoils system, patronagespoils system, patronage and the and the Civil Service SystemCivil Service System and its attempted reforms and its attempted reforms..• (8). Examine the (8). Examine the Federal Bureaucracy'sFederal Bureaucracy's political character, goals, political character, goals, and and resources.resources.• (9). Outline the ways that (9). Outline the ways that Congress,Congress, the the PresidentPresident, , Interest GroupsInterest Groups, and other agencies , and other agencies

place constraints on the place constraints on the Federal BureaucracyFederal Bureaucracy..• (10). Explain the (10). Explain the ""iron triangleiron triangle"" theory and contrast it with the rise of theory and contrast it with the rise of issue networksissue networks..• (11). Assess the recent efforts to reform or "reinvent" the Federal Bureaucracy.(11). Assess the recent efforts to reform or "reinvent" the Federal Bureaucracy.

Page 2: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Weber’s Five Characteristics of Bureaucracy

Specialization

Record-keeping

Formality

Professionalization

HierarchyWhat is a Bureaucracy?

Gov. agencies that implement Government policies

Page 3: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Structure & Tasks of Federal BureaucracyStructure & Tasks of Federal Bureaucracy((TheThe Executive BranchExecutive Branch))

Homeland Security

Executive

Departments

(The Cabinet)

Page 4: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Types of Federal AgenciesTypes of Federal Agencies• Executive DepartmentsExecutive Departments

– CabinetCabinet appointed by the president appointed by the president– Confirmed by Senate with its Confirmed by Senate with its advice & consentadvice & consent

• Independent Regulatory CommissionsIndependent Regulatory Commissions– Small commissions w/greater independenceSmall commissions w/greater independence– Fix terms – can only be fired “for cause”Fix terms – can only be fired “for cause”

• Government CorporationsGovernment Corporations– Government companies that serve Public for feeGovernment companies that serve Public for fee– Suppose to be self supporting (example?) Suppose to be self supporting (example?) – Finance, energy, insuranceFinance, energy, insurance

• Independent AgenciesIndependent Agencies – Not part of Executive Department Not part of Executive Department w/sub-cabinet rankw/sub-cabinet rank**– NASA, EPA, *(NASA, EPA, *(ExceptionException: : CIACIA))– All heads serve at Pleasure of President All heads serve at Pleasure of President

Page 5: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

ExecutiveDepartments

State DefenseTreasury Justice

Interior Agriculture Labor

Homeland Security

What kind of Departments or Agencies are these?

Commerce

Health & Human Svs

EnergyHousing &Urban Dev.

Transportation

VeteransAffairs

Education

Page 6: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

EPAFEMA GSA

NASAPeaceCorps

SBA

CIA*

NationalArchives &Records

IndependentAgencies

What kind of Federal Agencies are these?

*Exception: Cabinet Rank (Since Clinton Administration)

Page 7: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

FCCFederal Reserve

SEC

FEC

OSHA

EEOC

Nuclear Regulatory

Commission

Consumer Product Safety

IndependentRegulatory

Commissions

FederalTrade

Commission

What kind of Federal Agencies are these?

Page 8: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

FDIC

Export-ImportBank

TVA

AMTRAK

Corp. for National & Community

Service

GovernmentCorporations

Inter-America

Foundation

Postal Service

What kind of Federal Agencies are these?

Page 9: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Federal Departments & Agencies (summary)Federal Departments & Agencies (summary)

Page 10: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

The Tasks of the Federal BureaucracyThe Tasks of the Federal Bureaucracy

• Bureaucracies Perform Three FunctionsBureaucracies Perform Three Functions::• 1. 1. Rule AdministrationRule Administration

– Administer the rules of public policy Administer the rules of public policy – Core bureaucratic functionCore bureaucratic function

• 2. 2. Rule Making*Rule Making*– Put general principles into Federal RegulationsPut general principles into Federal Regulations– Develop new rules as requiredDevelop new rules as required

• 3. 3. Rule AdjudicationRule Adjudication– Determine if & when the rules have been Determine if & when the rules have been

followed or brokenfollowed or broken

Page 11: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Federal Government Federal Government Rule MakingRule Making (1940-2004) (1940-2004)

Page 12: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Development of Federal BureaucracyDevelopment of Federal BureaucracyConstitutional FoundationsConstitutional Foundations

• Role of Congress & the PresidentRole of Congress & the President– Shared powersShared powers to devise & operate Bureaucracy to devise & operate Bureaucracy

– President’s power to appoint & ensure laws executedPresident’s power to appoint & ensure laws executed

• Federal Bureaucracy => Federal Bureaucracy => Constitutional hybridConstitutional hybrid– Created by Congress Created by Congress

– Directed by the PresidentDirected by the President

– Accountable to both Accountable to both

• Has the Federal Bureaucracy grown over the Has the Federal Bureaucracy grown over the years?years?– Answer: Yes and No*Answer: Yes and No*

Page 13: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Civilian Federal Employees 1820-2003Civilian Federal Employees 1820-2003

Page 14: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Federal Government Growth (1820-2003):Federal Government Growth (1820-2003):Per Capita Spending vs. People Employed Per Capita Spending vs. People Employed

Page 15: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Growth of the Federal BureaucracyGrowth of the Federal Bureaucracy

• Chart Chart (Figure 13-4)*(Figure 13-4)* illustrated (from 1890): illustrated (from 1890):– Steady Federal growth to 1945 highpoint (3.8M)Steady Federal growth to 1945 highpoint (3.8M)

– Steep growth began between 1931=> 1945 Steep growth began between 1931=> 1945 (why?)(why?)

• Per capita growth & spendingPer capita growth & spending (Figure 13-5)* (Figure 13-5)*shows:shows:– As US population grew (now at about 300 Million) => As US population grew (now at about 300 Million) =>

– Federal spending per person grew significantly, while…Federal spending per person grew significantly, while…

– Federal Bureaucrats employed declinedFederal Bureaucrats employed declined

• Bottom Line:Bottom Line:– Federal Bureaucracy now spending & doing more per Federal Bureaucracy now spending & doing more per

person (per capita) w/less federal employees to do itperson (per capita) w/less federal employees to do it

Page 16: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Expanding Functions of the FederalExpanding Functions of the Federal BureaucracyBureaucracy

• Four major categories of Federal functionsFour major categories of Federal functions::– National MaintenanceNational Maintenance

– Clientele ServicesClientele Services

– Regulation of Private SectorRegulation of Private Sector

– Income RedistributionIncome Redistribution

Let’s look at these major Federal functions in greater detail.

Page 17: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

National MaintenanceNational Maintenance

• Early Federal Government Functions & Early Federal Government Functions & Responsibilities primarily limited to:Responsibilities primarily limited to:– Collect tax revenueCollect tax revenue

– Defend the Nation Defend the Nation

– Conduct foreign relationsConduct foreign relations

– Enforce Federal lawsEnforce Federal laws

– Promote internal communicationsPromote internal communications

• Which Government Departments & Agencies Which Government Departments & Agencies administered these functions?*administered these functions?*

Page 18: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Treasury Department

War Department

State Department

Attorney General

Post Office

Early Federal Departments & Early Federal Departments & Government ResponsibilitiesGovernment Responsibilities

Page 19: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Clientele ServicesClientele Services (mid-19th century)(mid-19th century)

• Serve special needs of influential Serve special needs of influential Interest GroupsInterest Groups

• Agencies created to serve clients’ Agencies created to serve clients’ special interestspecial interest

Department ofAgriculture

Bureau ofLabor

Bureau of Labor => later: Dept of Commerce and Labor

Page 20: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Client Service Needs of 20Client Service Needs of 20thth Century Century

• 1930s=> 1930s=> Great DepressionGreat Depression=> => FDR’s New DealFDR’s New Deal::– Federal Activism and Bureaucracy expands:Federal Activism and Bureaucracy expands:

Department ofHealth, Education, and

Welfare

1960s=> War on Poverty=> LBJ’s Great Society:

Department ofHousing and Urban

Development

Page 21: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Department ofTransportation

Department ofEnergy

Department ofEducation

Department ofVeteran’s Affairs

More Government Bureaucracy Created More Government Bureaucracy Created during the 20during the 20thth Century Century

• All formed to address other client’s needsAll formed to address other client’s needs

Latest edition to Federal Bureaucracy?*

Page 22: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Department of Department of Homeland SecurityHomeland Security

Page 23: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Regulation of Private SectorRegulation of Private SectorExpanding Federal Responsibilities More:

• Responsibility or regulating Responsibility or regulating American economyAmerican economy

• Federal Agencies established:Federal Agencies established:– ICC, Federal Reserve, Federal Trade CommissionICC, Federal Reserve, Federal Trade Commission

• 1960s=> 1960s=> Regulate SocietyRegulate Society (Social Regulation) (Social Regulation)– Examples:Examples: EPA, OSHA EPA, OSHA

• Social RegulationSocial Regulation entails what kind of Federal entails what kind of Federal function?*function?*

Page 24: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Income RedistributionIncome Redistribution

• Agencies formed to re-distribute economic Agencies formed to re-distribute economic benefitsbenefits– Shift $$$ either directly or indirectlyShift $$$ either directly or indirectly

– Direct payments made to poor individuals:Direct payments made to poor individuals:• Social SecuritySocial Security (elderly) & AFDC (minors) (elderly) & AFDC (minors)

• Some programs even transfer $$$ to wealthy:Some programs even transfer $$$ to wealthy:– Dept of Agriculture programs (wealthy farmers)Dept of Agriculture programs (wealthy farmers)

– Social SecuritySocial Security payments to wealthy retirees payments to wealthy retirees

• Not alwaysNot always a one way street (i.e. a one way street (i.e. from rich to poorfrom rich to poor) )

Page 25: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Political appointees were generally

recruited from the educated elite class.

““Government by Gentleman”Government by Gentleman”

Federal Bureaucracy’s Personnel SystemFederal Bureaucracy’s Personnel SystemA History of Change…A History of Change…

(A Calling or Duty in service to the Nation)

Page 26: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Appointees of the President replace the previous President’s

appointees. Government jobs = “spoils of war”

The The ““Spoils SystemSpoils System””

Changes in Fed Bureaucracy’s Personnel Changes in Fed Bureaucracy’s Personnel System (2)System (2)

Spoils System first associated with whose Administration?

Spoils System is also known as?*

Page 27: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

The practice of rewarding partisan supporters with government jobs.

(AKA: spoils system)

PatronagePatronage

Strong support for Patronage or Spoils System lasted until late 1800s when what happened?

Congressional reaction?

Pendleton Act of 1883 (from 10% - 80+%) => Signaled beginning of what system based on what?

Page 28: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

• Competence for job stressed

• Political affiliation & political loyalty not a requirement for getting hired

• “What you know” is more important than “who you know”

Civil ServiceCivil Service & & ““MeritMerit””

Civil Servants ranked and paid IAW “General Schedule Classification System” or “GS” rankings

Page 29: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

• President Carter initiated major reforms

• Reorganized agencies that oversee civil service in order to eliminate previous conflicts of interests:

• Office of Personnel Management

• Merit System Protection Board

• 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” (Homeland Security)

Civil Service Reform Act of 1978Civil Service Reform Act of 1978

Page 30: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Politics of the Federal BureaucracyPolitics of the Federal Bureaucracy Theory versus RealityTheory versus Reality

• TheoryTheory: : political neutrality & competence political neutrality & competence – ((Based on 19Based on 19thth century century social theorysocial theory of of Max Weber)Max Weber)

– Bureaucracy mechanically implement laws & policiesBureaucracy mechanically implement laws & policies

– Always act in Public’s best interestAlways act in Public’s best interest

• Above theory is the traditional (mythological) Above theory is the traditional (mythological) view of how the Government Bureaucracy works view of how the Government Bureaucracy works as illustrated in the following model*as illustrated in the following model*

Page 31: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Traditional View of GovernmentBureaucracy

President Congress

Formulate Policy

Bureaucracy Implements the Policy

Role of Bureaucracy?

Page 32: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Political Character of the Federal Political Character of the Federal Bureaucracy- Bureaucracy- The RealityThe Reality::

• RealityReality:: Inherently politicalInherently political institutions institutions– Translate principles & goals=> concrete programsTranslate principles & goals=> concrete programs– Take board policies & laws => detailed regulationsTake board policies & laws => detailed regulations– Range of DiscretionRange of Discretion => and conflicting guidance => and conflicting guidance– President vs. Congress intentions often competePresident vs. Congress intentions often compete

• ResultResult:: Bureaucracy Bureaucracy serves two mastersserves two masters – Can Play one off the other (depending on own agenda)Can Play one off the other (depending on own agenda)– Exercises discretion => Exercises discretion => freedom to shape own rulesfreedom to shape own rules– Usually made consistent with their own best interests Usually made consistent with their own best interests – With BeliefWith Belief: what’s good for them is good for the USA : what’s good for them is good for the USA

Page 33: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

MissionGoalsMissionGoals

SurvivalGoals

SurvivalGoals

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 Goals:

Goals of the Federal BureaucracyGoals of the Federal Bureaucracy

Page 34: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Potential Threats to those GoalsPotential Threats to those Goals• Potential threatsPotential threats=> =>

– Conflict & competition with other political actors:Conflict & competition with other political actors:– Congress & The President (EOP)Congress & The President (EOP)– Other Federal Agencies & Interests Groups Other Federal Agencies & Interests Groups – State & local governmentsState & local governments

• ““Lifeblood”Lifeblood” of bureaucracy? of bureaucracy? – PowerPower ( A ( A zero/sumzero/sum game in Washington arena) game in Washington arena)– Constant competition for power, influence, & growthConstant competition for power, influence, & growth

• What are the Political Resources available to the What are the Political Resources available to the Federal Bureaucracy to counter these threats?Federal Bureaucracy to counter these threats?

Page 35: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

AdministrativeDiscretion

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)

Page 36: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Clientele are the recipients of the services a government agency's

programs provide.

Clientele Support

Example: DOD versus DOS=> who’s most likely to win?

Domestic vs. foreign clients & the captive agency

The power an agency exercises depends heavily on the power of

its clientele.

Page 37: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Expertise is specialized knowledge acquired through work experience or training and education.

Agency Expertise

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 versus DOS & foreign policy

Page 38: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Assessment:Assessment:Effect of differences in Agency PowerEffect of differences in Agency Power

• Mission & survival goals Mission & survival goals affected by all threeaffected by all three

• Strong clients, great expertise, more knowledge =Strong clients, great expertise, more knowledge =– More say & therefore More say & therefore more powermore power = =

– Expanded mission & bigger budget ($$)Expanded mission & bigger budget ($$)

– More likely to surviveMore likely to survive at other agencies’ expense at other agencies’ expense

• All affect All affect status & status & pecking orderpecking order in Washington in Washington – DOD more powerful than DOSDOD more powerful than DOS

– Both more powerful than DOT & DOEBoth more powerful than DOT & DOE

– And so on down the And so on down the CabinetCabinet “pecking order” “pecking order”

Page 39: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

PoliticalConstraints

OnFederal

Bureaucracy

Congress

ThePresident

InterestGroups

The Courts

Other Agencies

Examine in greater detail*

Page 40: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Political Constraints on the Federal Political Constraints on the Federal Bureaucracy:Bureaucracy: The Congress The Congress

• Congress=> Article I: Congress=> Article I: enumerated powersenumerated powers::– Create => implies:Create => implies: modify or abolish modify or abolish

– Determine Determine Bureaucracy’s Bureaucracy’s structure & responsibilitystructure & responsibility

– Appropriate funds to accomplish responsibilities Appropriate funds to accomplish responsibilities

• Congress Congress implied powersimplied powers: : – OversightOversight ( (GAO & CRS)GAO & CRS)

• Committee & Sub-committee’s role Committee & Sub-committee’s role – Budget authorization & appropriation for programsBudget authorization & appropriation for programs

• Interest Group's Interest Group's influence on Congressinfluence on Congress– Can be significant=> motivating Congress to act Can be significant=> motivating Congress to act

Page 41: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Political Constraints on the Federal Political Constraints on the Federal Bureaucracy:Bureaucracy: The President The President

• President => IAW President => IAW interpretation of interpretation of Article II: Article II: – In addition to In addition to EnumeratedEnumerated also hasalso has implied powersimplied powers

• Key examplesKey examples::– See that all laws areSee that all laws are faithfully executed faithfully executed– Appointment powers=> Appointment powers=> influence who heads agencyinfluence who heads agency– Shape how policies are implementedShape how policies are implemented– Can offer Budget proposals & legislation to CongressCan offer Budget proposals & legislation to Congress– Power of the Power of the vetoveto threat threat– Power to Power to reorganize structurereorganize structure & & reassign functionsreassign functions– OMBOMB=> => clear all new agency regulationsclear all new agency regulations

Page 42: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Political Constraints on the Federal Bureaucracy:Political Constraints on the Federal Bureaucracy: Interest Groups, The Courts & Other AgenciesInterest Groups, The Courts & Other Agencies

• Interest GroupsInterest Groups=> options available for relief:=> options available for relief:– Turn to President Turn to President ((EOPEOP),), Congress, or The Courts Congress, or The Courts

• Other AgenciesOther Agencies=> => overlapping responsibilitiesoverlapping responsibilities– On-going competitionOn-going competition for power & influence for power & influence

– FBI vs. CIA vs. DOS vs. DODFBI vs. CIA vs. DOS vs. DOD • Impact: check & balance power of the otherImpact: check & balance power of the other

• The CourtsThe Courts=> => can placecan place legal constraintslegal constraints– Politically immune during deliberationsPolitically immune during deliberations

– Determine if rules exceed authority or not lawful Determine if rules exceed authority or not lawful

Page 43: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Alliances and the Federal BureaucracyAlliances and the Federal Bureaucracy

• Iron TrianglesIron Triangles** (Figure 13-6)* (Figure 13-6)*– Effective when interest & impact are very narrowEffective when interest & impact are very narrow– Downside: Downside: narrow interests that benefit the fewnarrow interests that benefit the few– Taxpayers (Public) pay for these special benefitsTaxpayers (Public) pay for these special benefits– Highly undemocratic => last minute Highly undemocratic => last minute riders riders onon Bills Bills

• Issue NetworksIssue Networks => (offset above influences) => (offset above influences)– Create range of competing positions on an issueCreate range of competing positions on an issue– Tends to offset narrow interests of Tends to offset narrow interests of iron trianglesiron triangles– Agency & Congress Agency & Congress respond to all potential votersrespond to all potential voters

• Result: Result: dampens special interest’s influencedampens special interest’s influence

Page 44: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Iron TrianglesIron Triangles

Page 45: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Reinventing the Federal BureaucracyReinventing the Federal Bureaucracy

• Americans negative perception of federal governmentAmericans negative perception of federal government– Wasteful & inefficient Wasteful & inefficient (Red Tape)(Red Tape)

• Politicians efforts to change government Politicians efforts to change government red tapered tape– Clinton & Gore (National Performance Review)Clinton & Gore (National Performance Review)

– Previous commissions created in past to do same thing:Previous commissions created in past to do same thing:• Grace Commissions (Reagan Administration) => result?Grace Commissions (Reagan Administration) => result?

– Recent post 9/11 trend: organizational changes: Recent post 9/11 trend: organizational changes: • Homeland SecurityHomeland Security established (Effectiveness? – control of FEMA?) established (Effectiveness? – control of FEMA?)

• Usual resultUsual result? (mixed at best) ? (mixed at best) => why?=> why?– Conflicting demands & objectives for all affected:Conflicting demands & objectives for all affected:

• Agency’s Agency’s survival goalssurvival goals & & bureaucratic self interestbureaucratic self interest

• Interest GroupInterest Group (Public & clients) demands (Public & clients) demands (often in conflict) (often in conflict)

Page 46: Chapter 13- The Federal Bureaucracy (1). Define what a bureaucracy is, and summarize its key characteristics and its nature. (1). Define what a bureaucracy

Next AssignmentNext Assignment

• Text- Chapter 14: Text- Chapter 14: The CourtsThe Courts– Review Review Article III of ConstitutionArticle III of Constitution

• Continue to prepare for Continue to prepare for Test IITest II: : Key TermsKey Terms– Review Review Key TermsKey Terms in context of Chapters 11-14 in context of Chapters 11-14

Learning ObjectivesLearning Objectives

– Note: possible Note: possible QuizQuiz next Wednesday on next Wednesday on Key TermsKey Terms

• Test IITest II administered a week from next Monday administered a week from next Monday– Bring SCANTRON 50/50 & #2 pencilBring SCANTRON 50/50 & #2 pencil

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Chapter 13: Chapter 13: Key TermsKey Terms

• Advice and consentAdvice and consent:: Refers to the provision in Article II of the Constitution that requires the 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.president to gain the Senate’s approval of appointees to a variety of government positions.

• BureaucracyBureaucracy: : In general usage, the set of government agencies that carries out government In general usage, the set of government agencies that carries out government policies. The bureaucracy is characterized by formalized structures, specialized duties, a policies. The bureaucracy is characterized by formalized structures, specialized duties, a hierarchical system of authority, routine record keeping, and a permanent staff.hierarchical system of authority, routine record keeping, and a permanent staff.

• BureaucratsBureaucrats:: A term used generally to identify anyone who works within a large, formal 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.organization. More specifically, it refers to career civil service employees of the government.

• CabinetCabinet: : An informal designation that refers to the collective body of individuals appointed 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 by the president to head the executive departments. The cabinet can, but rarely does, function as an advisory body to the president.as an advisory body to the president.

• Civil serviceCivil service:: The method by which most government employees have been hired, promoted, 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 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.individual to do the job, rather than the individual’s political loyalties.

• ClienteleClientele:: The recipients of the services a government agency’s programs provide. The recipients of the services a government agency’s programs provide.• ExpertiseExpertise: : Specialized knowledge acquired through work experience or training and Specialized knowledge acquired through work experience or training and

education.education.

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Chapter 13: Chapter 13: Key TermsKey Terms (2)(2)• Iron trianglesIron triangles:: The alliance of a government agency, congressional committee The alliance of a government agency, congressional committee

or subcommittee, and political interest group for the purpose of directing or subcommittee, and political interest group for the purpose of directing government policy within the agency’s jurisdiction to the mutual benefit of the government policy within the agency’s jurisdiction to the mutual benefit of the three partners.three partners.

• Issue networksIssue networks:: A loose collection of groups or people in and out of 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 government who interact on a policy issue on the basis of their interest and knowledge rather than just on the basis of economic interests.knowledge rather than just on the basis of economic interests.

• PatronagePatronage:: The practice of rewarding partisan supporters with government The practice of rewarding partisan supporters with government jobs. Also known as the jobs. Also known as the spoils systemspoils system..

• Rule adjudicationRule adjudication:: Determining whether an agency’s rules have been violated. Determining whether an agency’s rules have been violated.• Rule administrationRule administration:: The core function of the bureaucracy—to carry out the The core function of the bureaucracy—to carry out the

decisions of Congress, the president, or the courts.decisions of Congress, the president, or the courts.• Rule makingRule making:: Formulating the rules for carrying out the programs a Formulating the rules for carrying out the programs a

bureaucratic agency administers.bureaucratic agency administers.• Spoils systemSpoils system: : The method used to hire and fire government employees during The method used to hire and fire government employees during

most of the 1800s. Government employees of the new president’s choosing most of the 1800s. Government employees of the new president’s choosing would replace those a previous president had appointed. Government jobs were 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 the “spoils” (or rewards) of the electoral “wars.” This system was also known as patronage.patronage.