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Bureaucracy

Reference notes by Lydia Andrade, University of the Incarnate Word, San Antonio, Texas

BureaucracyDescribe the rationale that leads to detailed regulation and mountains of paperwork and the extensive review process that exits

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BureaucracyYou live in a bureaucracy

BureaucracyA. U.S. bureaucracy about average in size compared to other western countries.

B. Considered by foreigners to be one of the best in the world—why?

C. Unlike France, there is no specific school for training—L’Ecole National d’ Administration

D. Competitive, highly trained, competent

E. Public sees bureaucracy as lazy, wasteful, incompetent, unimaginative - results of Congress and President running against the

institution— always pointing a finger at them -false claims of too much waste and fat—these

people work HARD

F. Actually, size of bureaucracy as percent of the population has steadily declined in the last 25 years—efficiency created by technology

G. Number of consultants and private contractors has increased—civilian, non-civil-service experts the government pays to do things

•NASA contracts out building space vehicles—Boeing, Jeep

Bureaucracy

Step 1

BureaucracyWe study the bureaucracy to understand its power and influence and why it behave the way it does (and why it regulates the way it does, etc.)

Causes of bureaucratic behavior Implications of bureaucratic behavior

Bureaucracy

Step 2

Bureaucracy

Be able to distinguish between “a bureaucracy” and “the bureaucracy” The Bureaucracy is simply defined as various federal agencies. It is the people who do the day-to-day job of governing. the EPA inspector who checks

factories the FDA inspector who checks on

poultry processing plants The IRS agent with checks your

taxes and...?

Bureaucracy

Step 3

Bureaucracy

The bureaucracy as a model of organization Why some organizations are designed

to be bureaucracies (including the bureaucracy) and why this structure leads to dissatisfaction (...the bureaucracy in a negative sense)

Bureaucracy

Characteristics of the bureaucracy as a model of organization Internal division of labor and specialization by function Employees are recruited and promoted based

on relevant technical expertise Various units of bureaucracy are arranged

in a hierarchy (chain of authority and communications) Operations are guided and constrained by

established rules and procedures (SOPs) Emphasis is on establishing goals

efficiently and effectively are these reasonable goals? why negativity?

Bureaucracy

Conflicts or Trade-offs

Inherent in a Bureaucracy

Bureaucratic Trade-Offs

Fairness vs. ResponsivenessDo we want bureaucracies to be fair and treat each individual or case as a special instance, or do we want them to be as responsive as possible?When we talk of an agency/institution intended to handle an lg. workload, treating each case individually would reduce the agency’s ability to respond quickly to anyone.

Ex: should the IRS individually read each tax form?

Bureaucratic Trade-Offs

Efficiency vs. Effectiveness

Do we want our bureaucracy to select the most efficient way (i.e. best use of resources, cost, time) to do something, or do we want it to select the most effective (best, most successful?)

Ex: the EPA. Should they inspect each and every manufacturing facility in the U.S. for pollution compliance (which would take an enormous amount of time- many plants wouldn’t be inspected for years- but it would be effective and expansive), or should they use the reports required of facilities to suggest which plants might require closer scrutiny (fewer facilities would be inspected, costing less, but might mean some could fill out forms to evade inspection)

Bureaucratic Trade-Offs

Professional Independence vs. AccountabilityWhat do we want and expect of our bureaucrats? Do we want them to have professional independence to make decisions as needed, or do we want them to be accountable, and we can know what conditions/s will yield what type of decisions?Ex: OSHA. Should we empower OSHA inspectors to decide to warn/give fines to a company when they find a safety violation based on interpretation of the intent or attitude of the company toward safety issues, or do we want to guarantee that each inspector will yield the same results/decisions in each case?

Bureaucracy

The Structure of the Federal Bureaucracy

Bureaucracy

1. Cabinet agencies

2. Independent agencies

3. Regulatory commissions

4. Government corporations

BureaucracyCabinet agencies - broad mission, political focus, leadership is appointed by the president (confirmed by the Senate) and does not have long tenure in office, extremely visible/political job. Ex: State Department

Why is this set up the way it is in terms of leadership? What about leadership in the

organization if the leaders stay in office for the length of time they do? How do you get this job? What is the ability of the president

to control these people.

Bureaucracy

Cabinet agencies

A. SECRETARIES administer departments B. Are not particularly expert in their field—they can fake it—political appointments C. Rely on career employees for advice—compare Sergeants and Lieutenants D. Expected to fight for their department’s budget and for its personnel—go to bat for $ and resources E. Usually become loyal to department over administration F. Can be fired at President’s will G. Require Senatorial confirmation (advice and consent) (not Senatorial Courtesy—no advice from senator taken into account) H. Presidents pick members of Congress to gain support in Congress I. Secretaries are administrators—they do the day to day running and organization of the department J. Eventually they get on-the-job training and could become very good at policy implementation and support for the department K. Candidates use the bureaucracy as a “whipping boy”—no P.R. for B, so they’re blamed for everything—really no PUBLIC actability L. Place blame for failed policies on the implementers (claim incompetence, corruption, disloyalty)

BureaucracyIndependent agencies - smaller or more focused mission, leadership is appointed by the president (confirmed by the Senate) but NOT in the cabinet so not intended to be as political, leadership tends to have long tenure in office - even across administrations. Ex: NASA Why is this set up the way it is in

terms of leadership? What about leadership in the

organization if the leaders stay in office for the length of time they do? How do you get this job? What is the ability of the president

to control these people?

BureaucracyRegulatory agencies - specific functions (usually economic) with some judicial responsibility (i.e. the ability to punish). As such, the leadership is designed to be outside the political control of any president or members of Congress. Commissioners typically serve long, staggered, overlapping terms. Ex: Federal Communications Commission

Why is this set up the way it is in terms of leadership? What about leadership in the

organization if the leaders stay in office for the length of time they do? How do you get this job? What is the ability of the president

to control these people?

Bureaucracy

Government Corporations - specific functions that private corporation could handle but usually cheaper. Directors/board of governors usually appointed by President and confirmed by the Senate Ex: Post Office Why is this set up the way it is in terms of leadership? What about leadership in the

organization if the leaders stay in office for the length of time they do? How do you get this job? What is the ability of the president to

control these people?

Bureaucracy

Hierarchy

BureaucracyA. Secretary—directly responsible to the President

B. Undersecretary—(Deputy or Asst Sec) does part of administrative work— directs major programs within the dept

C. Bureau—smaller units of the dept

1. basis of division a. function--commerce(census and patent) b. clientele—Bureau of Indian Affairs in Dept Interior Bureau of Mines

D. Agency-independent—still under Congressional scrutiny and President Authority (EPA, NASA)

E. Commissions—independent regulatory board/commission—operate “independently” and are “bi-partisan” 一 regulate particular areas of the nation’s economy 一 headed by 5 person commission appointed by President/Senate consent 一 Securities and Exchange Commission 一 Federal Reserve Board 一 Federal Communications Commission 一 Many created in the 1930’s—purpose to free Congress from having to deal with economy; Commissions supposed to be experts that implemented policy 一 3-14 year appointment, but President CAN fire 一 F. Government Corporations: combine aspects of private business with government agencies—governed by a board and usually perform a service (FDIC, TVA)

Bureaucracy

The Sources of Bureaucratic

Power

Bureaucracy

1. They are essential

2. Expertise

3. Discretion

4. Clientele groups

Bureaucracy

1. They are essentialThe public needs work done by the agencies.

Ex: Someone needs to monitoring air traffic in the U.S. for our safety. If the public comes to rely on an agency for some task, then the agency becomes powerful

Bureaucracy

2. ExpertiseThe employees and agency have technical knowledge and skills the public lacks.

Ex: The FDA inspects the meat supply, or the NRC inspects nuclear power plants. The average member of the public does not have the knowledge or skills to do these things so they rely on the bureaucracyThink of leadership. How can that make some agencies more powerful than others?

Bureaucracy

3. DiscretionWhen Congress passes legislation, it frequently give s the bureaucracy the discretion to determine major aspects of implementation. This ability to decide how laws are to be carried out can translate into a great deal of power.

Note: This explains the structural need for Congress to be vague in its legislation

Bureaucracy

4. Clientele groupsThe people who use or benefit from an agency can help provide influence for an agency. If the people who use an agency (ex: farmers and the Dept of Agriculture) are politically powerful, then agency budgets are less likely to be cut, agency initiatives are more likely to be successful in Congress, etc. Note: iron triangleThink of leadership. How can that make some agencies more powerful than others?

Bureaucracy

The Civil Service

BureaucracyVI. The Civil Service A. Civil Service Reform Act 1978 1. abolished Civil Service Commission—3 person

bipartisan board in place from 1883-1978 under the Pendleton Act

2. This act set up two agencies to take over the

responsibilities of the CSC a. Office of Personnel Management: OPM—administrates

laws, rules, and regulations b. Merit Systems Protection Board: protects rights

of employees—can take actions against agency or individual employees

c. OPM administers Civil Service Examinations—makes up the list of openings for jobs—hiring on basis of merit

Bureaucracy

VII. Hatch Act, 1939: passed to prevent malicious political actions and prevent civil service dictation of government. A. Can’t run for office B. Can’t be involved in campaigns—no political activity C. Can’t make political speeches D. Can’t publish political information E. Can’t work to partisan register people in a party F. Can still vote

Bureaucracy--Revisions under Clinton 1993 1. may register and vote as they choose 2. may assist in voter registration 3. may express opinions about candidates and issues 4. may contribute money to political organizations or attend political fund-raising functions 5. may wear or display badges, buttons, stickers 6. may attend political rallies and meetings 7. may hold positions in political parties 8. may not be candidates for public office in partisan elections 9. may not use official authority to interfere with or affect the results of an election 10. may not solicit partisan support in the workplace

Bureaucracy

The Bureaucratic

Model

Bureaucracy The U.S. Bureaucratic Model A. Congress compels agencies to interpret and apply

(administer) law as intended 1. conduct oversight hearings and investigations before

committees 2. can threaten Secretaries and Administrative heads

with making new rules or changing rules and cutting off budget (restrict appropriations)

B. Closely monitors procedures and rules Administrative Procedures Act of 1946: agencies must publicly disclose procedures and organization—public notification of rule changes with required public comment by interested parties

C. Final actions (punishments) and rules of agencies can be appealed to the courts

D. General Accounting Office—independent auditor of government-watchdog of all agencies and departments—audits spending within dept.

E. Political checks on bureaucracy—Congress, Party, The President, interest groups, loyalty to department

Bureaucracy

Bureaucrats as Administrators

Bureaucracy Bureaucrats as Administrators A. called upon from advice and policy judgments

B. try to increase their own agencies budget

C. from alliances to protect their own organizations and turf—iron triangles—alliances formed between Congressmen, interest groups, and bureaucrats to pursue common goals D. push high-visibility programs which promote own organizations—popular stuff i.e. Clean Water Act—EPA

E. resist change and outside directions—including Presidents—“they/he aren’t here everyday, they don’t know what’s going on”

F. actually become their own pressure group (on legislature and President) for their own agency” interests •FBI always seeking more funds, new projects, and as much independence as possible from the Justice Department

Bureaucracy

The Bureaucratic Alliances

BureaucracyIron Triangles and Alliance Building

A.outside interest groups and middle level bureaucrats and members of Congress particularly appropriations committee members (money and constituent service)—interest group alliances for and against agencies and rules

B. Lobbyists “work on” middle manager bureaucrats and Congressional Committee members.

Their intent is to promote a special interest agenda claiming it is in the best interest of the country

2. Farm subsidies—we give money to farmers to NOT grow crops, and there’s a world-wide shortage of grain and record prices

3. Give campaign money to Congressperson to put pressure on bureaucracy to change the rules to make them favorable to the contributor who pays the lobbyist

Bureaucracy

The Bureaucratic

Employee

Bureaucracy1. The Careerist

2. Politician

3. ProfessionalDiffered by their reward system (not necessarily money). These differences indicate where they will likely be found in the agency, how they will affect the agency, and what type of management best suits them

Bureaucracy

The CareeristThese people spend long time periods, if not their entire careers, working for a single agency. They associate their own success with that of the agency. They are usually found at the bottom of the agency are risk adverse. They may be a source of loyalty, reliability, and stability, but it can also be very difficult to change their behavior

Bureaucracy

PoliticianThese employees tend to work in the agency for relatively short periods of time, as they use the agency as a stepping-stone to something bigger and better. They are motivated by self-interest and do that which benefits themselves. They tend to be found in the middle of an organizational structure and can be a valuable source of creativity and risk-taking ideas. They may also be a source of destabilization.

Bureaucracy

Professional

These employees get their rewards, norms, and standards from their professional groups outside the agency (e.g. attorneys, academics, etc.) This means that if the agency’s goals and expectations are in line with those of their profession, then these employees will be very productive and easy to manage. However, if the agency seeks behavior that is contrary to what is valued by the profession, conflict is likely