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The Bureaucracy
The Fourth Branch of Government
The word “bureaucracy” comes from the French word “bureau” which refers to the desk of a government worker and “cracy” representing a form of government
What is a bureaucracy?
(1) A hierarchical chain of command(2) Division of labor and specialization
of jobs(3) Clear lines of authority (everyone
reports to someone)(4) Impersonal rules and merit based
decision making (promotions are based on skills-not who you know)
Who is the Bureaucracy?
Approximately 5 million government workers made up today’s federal bureaucracy
The number is even greater if you count state and local workers
Most work in regional offices throughout the country
Only about 10 percent of the federal employees actually work in Washington, D.C.
For instance, each state has many offices dealing with Social Security
About a third of federal employees work for the armed forces or defense agencies
History of our Bureaucracy
1789 George Washington headed a federal bureaucracy with several departments Congress had created
Each department was headed by a “secretary”
Government grew slowly as needs arose and demands were articulated (usually grew during a time of crisis and times of war)
After the Civil War, demands on our government continued to grow
1830s-1880s-public jobs came to be known as the “spoils of politics”
New federal employees were hired every time there was a change in the Executive Branch (President who won awarded the jobs)
By 1880, many were calling for a change-Congress passed the Civil Service Reform Act, more commonly known as the Pendleton Act
this act was supposed to reduce “patronage “
And build up a “merit-based” system of public jobs in the federal government (career employees instead of changing every 4 years)
Created the principle of federal government based on competitive exams and created a bipartisan Civil Service Commission to oversee reforms
Hatch Act
Today over 90% of government jobs are under the Civil Service
The Hatch Act, enacted in 1939, was designed to protect federal employees from being forced to contribute to or work for election campaigns
Hatch Act also prevented federal government employees from being directly involved in political campaigns
But today federal employees can still vote!
Wear political buttons
Join political parties
In 1978, the Civil Service Commission was replaced with the Office of Personnel Management and the Merit Systems Protection Board
These two agencies are responsible for enforcing existing civil service laws, coordinating the testing of applicants, setting up pay scales and appointing people to federal jobs
Federal Employee Political Activities Act
Many felt the Hatch Act went too far-Under Bill Clinton, the Federal Employee Political Activities Act was passed which allows employees of the federal government to run for office in nonpartisan elections (like school boards), contribute money if they wish and participate in campaigns in their after-work hours-
Executive Branch
The Executive Branch of government includes four major types of bureaucratic structures
(1) Executive Departments(2) Independent Executive Agencies(3) Independent Regulator Agencies(4) Government Corporations
(1) Executive Departments
They are directly accountable to the President
They are responsible for performing government functions such as training our military troops (Department of Defense), printing money (Treasury Department), and protecting our borders (Homeland Security)
Helping farmers with new technology (Department of Agriculture); help students with loans (Department of Education); help a family with benefits for their father who served in WWII (Department of Veterans Affairs)
Department of
Commerce Taking the 2010
Census
Department of Education
Helping students get loans
Helping our nation’s veterans
Issue you a passport so you can travel
Issuing Savings Bonds
Keeping track of unemployment statistics
Each Department was created by CONGRESS as the need arose
Each department manages a specific policy area
Head of each department is known as a “Secretary (except for the Department of Justice)
Each Secretary appointed by the President and confirmed by the Senate by a SIMPLE MAJORITY
These Secretaries serve at the President’s pleasure (they can be hired and filed at will)
They loose their job when the President leaves office
But the Executive Branch has many duties that do not “fit” into any of the 15 Executive Departments
(2) Independent Agencies
Federal bureaucracy also contains more than 100 independent agencies, boards and commissions that are not part of any cabinet department
President appoints heads of these organizations also
The Constitution says little about the organization of the executive branch
As our government’s role has expanded, it became clear that a single type of organization would not be appropriate for every task assigned to the bureaucracy
Cabinet departments for example, are headed by people who serve at the pleasure of the president and are there to help him carry out his policies
But other agencies must implement or carry out the LAWS, without reference to an individual president’s preferences
The agencies require protection from political interference, as do those established to do highly technical work
(II.) Independent Executive Agencies
Differ from our 15 Departments in that they are usually smaller, and their heads do not sit in the Cabinet
Agency heads, however are appointed and responsible to the President-they are like Cabinet Secretaries, and serve at his “pleasure”
Occasionally, the President does extend Cabinet “rank” to these heads, as in the case of the Director of the Environmental Protection Agency
Today there are over 200 independent executive agencies
(1) These Independent agencies closely resemble Cabinet departments but have narrower areas of responsibility
(2) They perform a “service” rather than regulatory functions
(3) They exist apart from our Departments for practical or symbolic reasons
Examples
(1) Environmental Protection Agency
Some of these agencies are so big they resemble an executive department such as the Environmental Protection Agency
Environmental Protection Agency
charged to protect human health and the environment, by writing and enforcing regulations based on laws passed by Congress.
EPA was proposed by President Richard Nixon and began operation on December 2, 1970
It is led by its Administrator, who is appointed by the President of the United States.
The EPA is not a Cabinet agency, but the Administrator is normally given cabinet rank.
Environmental Protection Agency
Was created in 1970 to administer programs aimed at controlling pollution and protecting the nation’s environment
It administers all congressional laws concerning the environment and pollution
They also advise the President about environmental concerns
(2) National Aeronautics and Space Administration
NASA could have been part of the Defense Department
But that would have conjured up thoughts of the space program dedicated solely for military purposes rather than for civilian satellite communication or scientific exploration
Some perform services for the Executive Branch
(3) General Services Administration is responsible for contracting and maintaining all government buildingsAlso supplies equipment for federal offices
(4) National Archives and Records Administration
Maintains all records and publishes all rules applying to various federal agencies
(5) Central Intelligence Agency
Gathers information about what is going on in other countries, evaluates it, and passes it on to the president and other foreign-policy decision makers
Uses its own secret agents, paid informants, foreign news sources and friendly governments to collect such information
III. Independent Regulatory
Commissions
Independent regulatory commissions are agencies that were created by Congress to exist outside of the major departments and REGULATE a specific economic activity or interest
They are independent of all three branches of the national government
To keep the regulatory commission impartial, Congress has been careful to protect them form political pressure.
How?
(1) Each COMMISSION has from 5 to 1l “commissioners” whom the president appoints with Senate consent (no one person in charge)
(2) The terms of office of these board members are long-in some cases, as long as 14 years-and the starting dates of the terms are staggered
(3) Unlike other bureaucrats, these commissioners do not report to he president, nor can the president fire them
Because of the complexity of modern economic issues, Congress sought to create agencies that could develop expertise and provide continuity of policy because Congress nor the Courts have the time or talent to do so
They are part quasi legislative and quasi judicial in nature because they make regulations and they must enforce them
They are also known as the alphabet agencies
Alphabet Agencies
(1) Interstate Commerce Commission (ICC) founded in 1887to regulate specific issues of interstate relations
(2) Federal Trade Commission (FTC) founded in 1914 to regulate unfair or deceptive advertising or products that may be unsafe; and for stopping the formation of monopolies in the business sector and for protecting consumer rights
(3) Federal Reserve System Board of Governors (the Fed) founded in 1913; responsible for determining policy with respect to interest rates, credit availability and the money supply
What IS the Federal Reserve System?
The Federal Reserve System, also known as "The Fed," is the central bank of the United States.
It was created to provide the nation with a safer, more flexible, and more stable monetary and financial system.
The Federal Reserve System is a network of twelve Federal Reserve Banks and a number of branches under the general oversight of the Board of Governors.
(4) Federal Communications Commission (FCC) founded in 1934 to regulate radio, television and cable industries and grant licenses to t.v. and radio stations
(5) Securities and Exchange Commission (SEC) founded in 1934 during the New Deal to regulate the sale of securities and the stock markets hopefully preventing such abuses as “insider trading”
(6) Consumer Product Safety Commission
Congress created the Consumer Product safety Commission in 1972
Its purpose is to protect consumers against “unreasonable risk of injury from hazardous products
To reduce consumer risks, the CPSC investigates injuries caused by merchandize such as lawn mowers, kitchen appliances, toys, children’s clothing and sports equipment
It then establishes standards of safety for each type of consumer product
If any project fail to meet these standards, the CPSC can order it off the market
Consumer Product Safety Commission (CPSC) founded in 1972; tests and reports about products that may injure the public and issues warnings for those products deemed unsafe
(7) Federal Election Commission (FEC) founded in 1975; responsible for monitoring campaign contributions and provides some PUBLIC funding to presidential candidates through matching grants (from our federal income tax returns)
(8) Nuclear Regulatory Commission (NRC) founded in 1974; responsible for ensuring that electricity-generated nuclear reactors in the U.S. are built and operated safety; regularly inspects operations of such reactors
Congress started setting up regulatory commissions as early as 1887, recognizing t he need for close and continuous guardianship of particular economic activities
Regulatory agencies created since the 1960s are more concerned with how the business sector relates to public health and safety
Unlike Executive Department heads, they cannot be easily removed by the President
But new boards such as the (9) Equal Employment Opportunity Commission are far more susceptible to political pressure and the political wishes of the president who appointed them
10. Federal Energy Regulatory Commission
Regulates and fixes rates for the transportation and sale
of natural gas and oil
Are these Agencies Important?
You only have to go as far as tracing your daily routine to see how influential regulatory commission have become
Some examples are the regulations made for…
Cable television by the Federal Communications Commission
Food labeling by the Federal Trade Commission
Meat inspection by the Food and Drug Administration
Pollution control by the Environmental Protecting Agency
Airline safety by the National Transportation Safety Board
Seat belt mandates by the National Highway Traffic Safety Administration
Gas mileage standards developed by the Department of Transportation
Mediation of labor disputes by the National Labor Relations Board
Factory inspections for workers by the Occupational Safety and Health Administration
Coordination of relief efforts by the Federal Emergency Management Agency…???
Problems with Regulatory Commissions
Independent regulatory commissions were created to make rules for large industries and businesses that affect the interests of the public.
Commissions also regulate the conduct of these businesses and industries
The regulatory agencies decide such questions as who will receive a license to operate a radio station or to build a natural gas pipeline to serve a large city
Commissions may also act as courts They may investigate a business for breaking on
the commission’s rules The commission may hold hearings, collect
evidence and set penalties for any business that violate the rules
Conflicts/Problems with Regulatory Agencies
Decisions of regulatory commissions can involve millions of dollars and greatly affect businesses(1) As a result, these agencies are often under intense pressure from lobbyists(2) Lawyers for industries that the commissions regulate have sometimes gone thru the “back door” to argue their clients’ cases in private with agency officials
(3) Critics of the commissions also charge that the commissioners and the industries they are supposed to regulate sometimes have a “revolving door” relationship-New Commissioners come from the regulated industry
(4) And then the Commissioners leave their job as “regulators” and go back to the industry they came from
(5) As a result, critics charge, some commissioners have seemed more interested in protecting regulated industries than in making sure they serve
the public interest
Deregulation
In recent years, Congress has responded to complaints of overregulation by taking steps to deregulate, or reduce the powers of regulatory agencies
(4) Government Corporations
Government Corporations are most recent addition to the bureaucratic maze
Dating from the 1930s, they are businesses set up and created by Congress to perform functions that could not be provided by private businesses
Government Corporations are formed when the government chooses to engage in activities that are primarily commercial in nature, produce revenue, and require greater flexibility than Congress generally allows regular departments
Unlike other government agencies, they government corporations CHARGE for their services
But there are reasons for their existence Sometimes Congress has had to step in to
salvage valuable public assets For example, when passenger rail service
in the U.S. was no longer profitable, Congress stepped in to create Amtrak and thus nationalized the passenger-train industry to keep passenger trains running
Examples of Government Corporations
The (1) Tennessee Valley Authority founded in 1933; provides electricity at reduced rates to millions of Americans in the Appalachian region of the Southeast, generally a low-income area that had failed to attract a private utility company to provide this service
(2) Federal Deposit Insurance Corporation founded in 1933; insures individual’s bank deposits up to $200,000; overseas the business activities of banks
(3) United States Postal Service (formed from the Postmaster General of the Treasury Department) in 1971; delivers mail throughout the U.S. and its territories; the largest government corporation
(4) National Railroad Passenger Corporation (AMTRAK) founded in 1970; provides an integrated, balanced national and intercity rail passenger service network; controls over 23,000 miles of track with aver 500 stations
Federal Jobs
We already know that most of the high level government positions are appointed by the President and confirmed by the U.S. Senate
But what about the millions of other career civil servants or bureaucrats that work for the government?
So how DO all of these “civil servants” get their jobs?
Office of Personnel Management
Established by the Civil Service Reform Act of 1978
OPM recruits, interviews and tests potential workers and determines who should be hired
OPM also includes the “Merit Systems Protection Board” which oversees employees’ rights and other employment matters
Goals of our Bureaucracy
Businesses are supposed to make a profit; if
they don’t, they fail For the most part, our government
agencies don’t exist to make money; instead their job is to promote the “general interest” of the people
If they do not, they fail to serve the people who pay their salaries
Although the American people disagree about the definition of “public interest” (conservative vs. liberal), they at least agree that it is not the same as making a profit
The government is NOT a business Although many Americans
experience ‘RED TAPE,” they still expect the government to provide a vast array of services that cost BILLIONS of dollars a year…
From highways that accommodate high speed cars to
Social Security payments that arrive on the 1st of every month
To clean water, protection from foreign enemies to
A cure for cancer We expect a lot from our
government
Openness
Another way that our federal government is different than private industry is that it has tried to have greater visibility or openness hoping to make our government more responsive
How?
(1) Federal Register
As our government grew it became harder for the public to keep track of what government was doing
In 1934, Congress passed the Federal Register Act, requiring all government rules, regulations and laws be published in the FEDERAL REGISTER
(2) Freedom of Information ActCongress also increased public access to the bureaucracy by passing the Freedom of Information Act in 1974This allows any member of the public to apply to an agency for access to unclassified government documentsFOIA cannot be used to gain access to personnel records but it can be used to get your FBI file, should you have one, or the file of a person no longer living
(3) Sunshine Act Another significant
law mandating openness in government is the aptly named Sunshine Act
Adopted in 1977, it requires that most government meetings be conducted in public and that notice of such government meetings must be posted in advance
(4) Whistleblower Act
A whistleblower is a person who raises a concern about wrongdoing occurring in an organization
Whistleblowers frequently faced reprisal - sometimes at the hands of the organization or group which they have accused, sometimes from related organizations, and sometimes under law
The “whistleblower” reveals misconduct-for example, a violation of a law, rule, regulation and/or a direct threat to public interest, such as fraud, health/safety violations, and corruption.
So What DO these Bureaucrats do ALL day?
After Congress makes a law, SOMEONE has to carry it out
This is the primary function of the bureaucracy
BUREAUCRATS CONVERT LAWS PASSED BY CONGRESS AND SIGNED BY THE PRESIDENT INTO RULES AND ACTIONS THAT HAVE AN ACTUAL IMPACT ON PEOPLE AND THINGS
We call this process “policy implementation”
The general process of policy implementation has two parts
(1) administering policies and (2) making policies
Administering Policies
The bureaucracy's oldest job is to administer the law
To administer means to “execute” or “carry out” or “apply rules” that have been made by Congress
For example, if the “policymakers” (Congress) decided to go to war, they must empower agencies to acquire weapons, recruit and train soldiers, and devise a winning strategy
“Administration” includes thousands of different kinds of activities
It includes writing checks to farmers who receive payments for growing and NOT growing crops
Providing direct serves to the public Evaluating how well programs are working Prosecuting those who are trying to defraud the
government Maintaining government buildings Forest rangers helping backpackers in the Grand
Canyon For postal workers, delivering the mail
Making Policy
When Congress passes a law, it cannot possible spell out exactly what needs to be done and enforce it
The bureaucracy shapes what the law actually means
They do this by issuing rules and regulations designed to translate the law into action
Approximately 20 rules or regulations are made to carry out each law
A major function of a regulatory agency is rule-making-the formulation of new regulations
For Example, OSHA was authorized by the Occupational Safety and Health Act of 1970 to develop and issue rules governing safety in the workplace (like a dentist or doctor’s office)
They made rules requiring the health industry to use certain measures so as to not spread AIDS, how contaminated instruments should be handled, etc.
When issuing rules governing electrical equipment, OSHA predicted that the rules would cost businesses 21 billion annually but would save 60 lives a year and eliminate 1600 work injuries
It also cited that the safety equipment for manufacturing workers would cost 52 billion, save 4 lives and prevent over 700,000 lost workdays because of injuries
Other examples are making regulations on the quality of our drinking water
Deciding the amount of particulate matter a local power plant can emit
Requiring food labels to list content and nutritional info
Safety guidelines for using farming equipment
Content of t.v. programs that children watch
Another good example…in 1935, the Social Security Act established the Social Security Program-part of the law makes it possible for “disabled” workers to receive payments from the government
But what does “disabled” mean? Are workers “disabled” if they can only work part time? Are they disabled if they can work, but not at the same job they once had?
The Social Security Administration (an Independent Executive Agency-was part of HHS) developed 14 PAGES of rules and regulations describing “disability” regulations
Even stating what “blindness” means and how it is measured!
Without rules, people who are not really blind might receive benefits they do not deserve-
But of course, it also protects those who need them
Rules will state that if a person meets the requirements, they can not be denied the benefits they deserve
If the Social Security Administration were to try and change these rules about what constitutes “blindness” they must provide public notice as to the time, place and nature of the rule making and give interested parties the opportunity to submit written comments or provide testimony through formal hearings
Responsibility for administering policy after Congress passes a law always falls on the BUREACURACY-the Americans with Disabilities Act is a great example
The ADA directs employers to make a “reasonable accommodation” for a competent worker with a disability that “substantially limits” a major life activity such as seeing or walking, except when it causes “undue hardship”
This seemingly straightforward law is in fact extremely complex and its impact far reaching
Although the act went into effect in 1992, the Equal Employment Opportunity Commission (EEOC) which has responsibility for implementation, is still clarifying what specific provisions actually mean
What is the difference between a “reasonable accommodation” and an “undue hardship?”
When voters want local governments to spend less of their tax dollars, is the $2 million that Des Plaines, Illinois had to shell out for sidewalks and curb cuts an “undue hardship” or not?
Will the EOC let colleges and universities make only some classrooms and offices accessible to students and staff in wheelchairs, or must every classroom and faculty office be accessible to people with disabilities at a cost of millions of dollars for large universities?
Rule-Making Steps
1. Issuance of a notice of proposed ruling making
2. Publication of the proposed rules3. 30-60 days for comment period4. Publication of final rules5. Rules can be challenged in court
Federal Register
All of these proposed “regulations” and changes to existing regulations are published in the Federal Register
But don’t think all of this rule making is isolated from politics!
The Iron Triangle
The Iron Triangle is a three way alliance among legislators in Congress, bureaucrats and interests groups in a given policy area
Issue Network
Although “iron triangles” still exist, often they are inadequate as descriptions of how policy is actually made
An “issue network” consists of a group of individuals, or organizations that support a particular policy position on the environment, taxation, consumer safety or some other issue
Typically, an issue network includes legislators and/or their staff members, interest groups, bureaucrats, scholars with experts and representatives from the media
Members of an “issue network” work together to influence the president, members of Congress, administrative agencies and the courts to change public policy on a specific issue
Of course each policy issue may involve conflicting positions taken by two or more issue networks
