Chapter 9: Federal Bureaucracy

Transcription

1 Chapter 9: Federal Bureaucracy

2 Chapter 9: Federal Bureaucracy o Chapter 9.1:OBJECTIVES: o Trace growth and development of the federal bureaucracy

3 1Co_14:40 Let all things be done decently and in order.

4 o In 1789 only three executive departments existed under the Articles of Confederation: o Foreign Affairs, o War, o Treasury. o When President George Washington inherited as his Cabinet.

5 Overview o The head of each department was called its secretary. o The foreign affairs was renamed the Department of State. o The Attorney General office was created to provide the president with legal advice.

6 Early History: o Cabinet Secretaries and the Attorney General were subject to approval by the Senate. o They could be removed from the office of the President alone. o The First Congress realized how important it was that a president be surrounded by those in whom he had complete confidence and trust.

7 Early History: o The size of the Federal Executive Branch and bureaucracy crew (1816 to 1861). o Increased demands were made on existing departments and new departments were created. o Andrew Jackson appointed positions of the growing executive branch as rewards for friends and loyalists (Spoil System). o To the victors belong the spoils.

8 SPOIL SYSTEM: o An executive s ability to fire publicoffice holders of the defeated political party and replace them with party loyalists. o The spoil system was a form of patronage. o Jobs, grants, or other special favors given as rewards to friends and political allies for their support.

9 The Civil War and the Growth of Government: o The Civil War permanently changed the nature of the federal bureaucracy. o As the nation geared up for war, thousands of additional employees were added to existing departments. o The Civil War also spawned the need for new government agencies. o The Department of Agriculture was formed in 1862 to make sure troops were fed.

10 The Civil War and the Growth of Government: o Pension Office was established in 1866 to pay benefits to thousands of Union veterans who had fought in the war. o Department of Justice headed by the Attorney General was made a Cabinet department in o Other departments were added through 1900.

11 From the Spoils System to the Merit System: o President Rutherford B. Hayes favored the idea of the replacement of the spoils system with a merit system. o A system of employment based on qualifications, test scores, and ability, rather than loyalty. o His successor James Garfield was seeking for this reform as well but was assassinated.

12 From the Spoils System to the Merit System: o Public reaction to Garfield s death and increasing criticism of the spoils system. o Prompted Congress to pass the Civil Service Reform Act in 1883, more commonly known as the Pendleton Act.

13 From the Spoils System to the Merit System: o It established a merit system of federal employment on the basis of open competitive exams. o Created a bi-partisan three-member Civil Service Commission, which operated until 1978.

14 From the Spoils System to the Merit System: o Initially only about 10 percent of the positions in the federal Civil Service System were covered by the law. o Later laws and executive orders extended coverage of the act to over 90 percent of all federal employees. o The Federal Civil Service System by which many federal bureaucrats are selected.

15 Regulating Commerce: o With the growth of commerce and industry and the rise of big business and monopolies. o There was a call for greater regulation of big business due to price fixing and other unfair business practices.

16 INTERSTATE COMMERCE COMMISSION (ICC) 1887 o Created by Congress in reaction to public anger of railroad companies charging exuberant rates for hauling freight. o It became the first independent regulatory commission, an entity outside a major executive department.

17 Regulating Commerce: o Independent regulatory Commission such as the ICC was created by Congress. o Were generally are concerned with particular aspects of the economy. o Commission members are appointed by the president and hold their jobs for fixed terms. o Cannot be removed by the president unless they fail to uphold their oaths of office.

18 Regulating Commerce: o The creation of the ICC also marked a shift in the focus of the bureaucracy from a service to regulation. o Its creation gave the government in the shape of the bureaucracy vast powers over individual and property rights.

19 Regulating Commerce: o The Progressive movement also increased federal bureaucracy. o To regulate businesses and industries

20 INCOME TAX: o The Sixteenth Amendment of the Constitution in 1913 also affected the size and growth potential of government. o It gave Congress the authority to implement a federal income tax to supplement the national treasury. o Provided a huge infusion of funds to support new federal agencies, services, and programs.

21 The World Wars and the Growth of Government: o FDR created hundreds of new government agencies to regular business practices and various aspects of the national economy. o In reaction to the stock market crash, bank failures, that led to the Great Depression. o Roosevelt believed that a national depression called for national intervention.

22 The World Wars and the Growth of Government: o The president proposed and the Congress enacted far-ranging economic legislation. o The desperate mood of the nation supported these moves. o Most Americans began to reconsider their ideas about the proper role of government and the provision of Governmental services.

23 The World Wars and the Growth of Government: o In World War II, the national government regulated prices on food, to ration supplies for the war effort and to increase taxes. o At the war s aftermath, the Federal Government provided financial assistance for veterans to attend school o And for families to purchase homes via government loans.

24 The World Wars and the Growth of Government: o These programs led Americans to be accustomed to the National Government s new role. o Such as affordable middle class housing. o Scholarships that allowed lower and middle class veterans their first opportunity for higher education.

25 THE CIVIL RIGHTS MOVEMENT AND THE GREAT SOCIETY o The 1960s produced additional growth in the bureaucracy. o The Equal Employment Opportunity Commission (EEOC) was created in 1965 by the Civil Rights Act of o The department of Housing and Urban Development (1965) o Department of Transportation (1966)

26 The World Wars and the Growth of Government: o The expansions of the bureaucracy correspondence to increases in the president s power. o His ability to persuade Congress that new commission and departments would be an effective way to solve pressing social problems.

27 SHORT ANSWER: o How did the Civil War, the Civil Rights Movement, and the Great Society affect the bureaucracy?

28 Chapter 9: Federal Bureaucracy o THE MODERN BUREAUCRACY: 9.2. We will examine the Modern bureaucrats and outline the structure of the modern bureaucracy.

29 (Rev 1:1) The Revelation of Jesus Christ, which God gave unto him, to shew unto his servants things which must shortly come to pass; and he sent and signified it by his angel unto his servant John:

30 DIFFERENCES BETWEEN NATIONAL GOVERNMENT AND PRIVATE BUSINESS: o Governments exist for the public good, not to make money. o Businesses are driven by a profit motive, o Government leaders, but not bureaucrats are driven by reelection. o Businesses earn their money from customers. o National government raises revenue from taxpayers.

31 o It is a difficult to determine to whom bureaucracies are accountable. o Is it the president? o Congress? o The People? o The government should not completely act as a business. o Nor does it seek reward for ambition like a business.

32 Who are Bureaucrats? o Federal Bureaucrats are career government employees who work in the Cabinet-level and independent agencies. o Comprises more than 2.7 million federal workers. o Over one-quarter of all civilian employees in the government work in the U.S. Postal Service.

33 Who are Bureaucrats? o The lower levels of the U.S. Civil Service, most positions are filled by competitive examinations. o These usually involve a written test. o Mid-Level to Upper Ranges of Federal Positions submit resumes and do not normally require tests.

34 Who are Bureaucrats? o Personnel departments evaluate potential candidates. o Rank candidates according to how well they fit a particular job opening. o Only those names designated qualified are then forwarded to the official filling vacancy. o The remaining ten percent of the federal workforce is made up of persons not covered by the civil service system.

35 (1) Appointive policy-makings positions: o Nearly 3,500 people are presidential appointees. o Included are Cabinet secretaries and under and assistant secretaries, subject to Senate confirmation. o These appointments in turn are responsible for appointing high-level policy-making assistants.

36 (2) Independent Regulatory Commissioners. o Although each president gets to appoint as many as one hundred commissioners. o They become independent of his direct political influence once they take office.

37 (3) Low level non-policy patronage positions. o These types of positions generally concern secretarial assistants to policy makers.

38 Bureaucracies: o More than 15,000 job skills are represented in the federal government. o Include forest rangers, FBI agents, computer programmers, doctors, engineers, post office carriers, scientists, among others. o There are about 344,400 federal workers in the nation s capital. o The rest are located in regional, state, and local offices scattered throughout the country.

39 Bureaucracies: o One of the major concerns for the federal workforce was the high turnover rate. o Many leave for private jobs that may pay more, o Others concerned with dangerous postings in the Middle East, etc. o Government is relying more and more on private contractors to fill the gap. o Also many in the federal workforces are nearing retirement age.

40 Formal Organization: o Agencies fall into four general types o (1) Cabinet Departments o (2) government corporations o (3) Independent executive agencies o (4) independent regulatory commissions.

41 Cabinet Departments: o The fifteen Cabinet departments are major administrative units responsible for conducting broad areas of government operations. o Cabinet departments account for about 60 percent of the federal workforce.

42 THE CABINET: o The Vice President, o The heads of all the departments, o Heads of the Environmental Protection Agency (EPA), o Office of Management and Budget (OMB), the U.S. Trade Representatives, o The Council of Economic Advisors, o the U.S. Ambassadors to the United Nations o The president s chief of staff.

43 Cabinet Departments: o Executive branch departments are headed by Cabinet members called secretaries. o (Except the Department of Justice, which headed by the attorney general). o Secretaries are responsible for establishing their department s general policy and overseeing its operations.

44 Cabinet Departments: o Cabinet secretaries are directly responsible to the president. o But viewed as having two masters the president and citizens. o Affected by the business of their departments. o Cabinet secretaries also are tied to Congress. o Through the appropriations process and their role in implementing legislation and making rules and policy.

45 Cabinet Departments: o Each secretary is assisted by one or more deputies or undersecretaries. o Who take part of the administrative burden off the secretary s shoulders. o As well as by several assistant secretaries who direct major programs within the department. o In addition each secretary has numerous assistants. o Who help with planning, budgeting, personnel, legal services, public relations, and key staff functions.

46 Cabinet Departments: o Most departments are subdivided into bureaus, divisions, sections, or other smaller units. o It is at this level and that the real work of each agency is done. o Most departments are subdivided along functional lines. o But the basis for division may be geography, work processes.

47 Independent Executive Agencies: o Independent executive agencies closely resemble Cabinet departments. o But have narrower areas of responsibility. o Generally speaking, independent agencies are appointed by the president. o Serve like Cabinet secretaries at his pleasure.

48 Independent Executive Agencies: o Independent agencies exist apart from executive departments from practical or symbolic reasons. o NASA and the EPA are examples.

49 Independent Executive Agencies: o As an independent agency, the EPA is less indebted to the president on a day-to-day basis. o Than it would be if it were within a Cabinet department. o The president still has the ability to appoint its director. o Often intervenes on high-profile environmental issues and decisions.

50 Independent Regulatory Commissions: o Independent regulatory commissions are agencies created by Congress. o To exist outside the major departments to regulate a specific economic activity of interest. o Because of the complexity of modern economic issues, Congress sought to create commissions.

51 Independent Regulatory Commissions: o That could develop expertise and provide continuity of policy. o With respect to economic issues because neither Congress nor the courts have the time or specific talents to do so.

52 Older Boards and Commissions: o Older boards and commissions, (SEC and the Federal Reserve board) generally are charged with overseeing a certain industry. o Most were created specifically to be free from partisan political pressure.

53 Old Boards and Commissions: o Each is headed by a board composed of five to seven members (always an odd number to avoid tie votes). o Who are selected by the president and confirmed by the Senate. o For fixed staggered terms to increase the chances of bipartisan board

54 Independent Regulatory Commissions: o Unlike executive department heads, they cannot easily be removed by the president. o In 1935, the U.S. Supreme Court ruled that in creating independent commissions, Congress intended that they be independent panel of experts. o As far removed as possible from immediate political pressures.

55 Government Corporations: o Government corporations are the most recent addition to the bureaucracy. o Dating from the early 1930s, they are businesses established by Congress. o To preform functions that could be provided by private businesses. o Some of the better-known government corporations include AMTRAK and the Federal Deposit Insurance Corporation (FDIC).

56 Government Corporations: o Unlike other governmental agencies, government corporations charge a fee for their services. o The Tennessee Valley Authority (TVA) for example provide electricity at reduced rates to millions of Americans in Appalachia.

57 Government Workers and Political Involvement o As the number of federal employees agencies grew during the 1930s. o Many Americans began to fear members of the Civil Service would play a major role implementing public policy. o And elect members of Congress, and even the president.

58 Political Activity Act (1939) Hatch Act o Congress passed this act. o Designed to prohibit federal employees from becoming directly involved in working for political candidates. o Although this act allayed many critics fears, other people argue that the Hatch act was too extreme.

59 Political Activities Act of 1993: o Today the Government s political activity is regulated by this act. o This liberalization of the Hatch Act allows employees to run for public office in non-partisan elections. o Contribute money, to political organizations. o Campaign for or against candidates to partisan elections.

60 Government Workers and Political Involvement o Federal employees still however are prohibited from engaging in political activity while on duty. o Soliciting contributions from the general public. o Running for office in partisan elections.

61 SHORT ANSWER: o What are Cabinet departments? List at least three reasons for their creation and provide examples.

62 Chapter 9: Federal Bureaucracy o How the Bureaucracy Works: o 9.3: We will examine how the bureaucracy Makes Policy.

63 Gen_39:4 And Joseph found grace in his sight, and he served him: and he made him overseer over his house, and all that he had he put into his hand.

64 INTRODUCTION: o Congress recognizes it does not have the time or expertise to involve itself in every detail of every Federal Program. o Congress sets general guidelines for agency action. o It leaves it to the agency to work out the details. o How agencies execute congressional wishes is called implementation o The process by which a law or policy is put into operation.

65 CREATING DEPARTMENT AGENCIES OR COMMISSION: o Congress is actually delegated some of its powers from Article I, Section 8 of the U.S. Constitution. o Laws creating departments, agencies, corporations, or commissions carefully describe their purpose. o Give them the authority to make numerous policy decisions which have the effect of law.

66 Iron Triangles: o Historically, political scientists who study how bureaucracy made policy terms it iron triangles. o Relative stable relationships and patterns of interaction. o Between Federal workers in agencies and departments, interest groups, and relevant Congressional Committees and subcommittees.

67 IRON TRIANGLES: o Today, iron triangles no longer dominate most policy processes. o Some do persist however such as the relationship between the Department of Veterans Affairs and House Committee on Veteran Affairs, etc.

68 ISSUE NETWORK: o Many political scientists examining external influences on the modern bureaucracy prefer to examine issue networks. o In general, issue networks like iron triangles, include agency officials, members of Congress (and committee staffers) and interest groups and lobbyists.

69 Issue Networks: o But also include lawyers, consultants, academics, public relations specialists, and sometimes even the courts. o Unlike iron triangles, issue networks constantly are changing. o As members with technical expertise or newly interested parties become involved in issue areas.

70 INTERAGENCY COUNCILS: o Increasing complexity of many policy domains, many alliances have also been created within the bureaucracy. o One such example is an interagency councils. o Working groups created to facilitate the coordination of policy making and implementation across a host of agencies.

71 Interagency Councils: o Depending on how well these councils are funded. o They can be the prime movers of administration policy in any area where an interagency council exists.

72 Policy Coordinating Committees: o Recent Presidential administrations created the PCCs. o To facilitate interaction among agencies and departments at the subcabinet level. o To deal with issues where there are extraordinary complex policy problems.

73 PCC: o One example of this is the Homeland Security Council PCC. o Oversees multiple agencies and executive departments to ensure consistent effective homeland security policies in the federal, state, and local level in the aftermath of 9-11.

74 Making Policy: o The main purpose of these decisionmaking bodies is policy making. o Policy making and implementation take place on both informal and formal levels. o Practically, many decisions are left to individual government and employees on a day-to-day basis.

75 Making Policy: o First they exercise broad judgment in decisions concerning citizens with whom they interact. o Second, taken together their individual actions add up to the agency; o Apply various policies are equally important parts of the policy-making process.

76 Administrative Discretion: o The ability of bureaucrats to make choices concerning the best way to implement congressional or executive intentions. o Also allows decisions made by bureaucrats tremendous amount of leeway. o Exercised through two formal administrative procedures. o Rule making o Administrative adjudication.

77 Rule Making: o Is a quasi-legislative process that results in regulations that have the characteristics of a legislative act. o Regulations are the rules that govern the operation of all government programs and have the force of law.

78 Rule Making: o Bureaucratic rule makers often act as lawmakers as well as law enforcers. o When they make rules or draft regulations to implement various congressional statutes. o Some political scientist say that rule making is the single most important function performed by agencies of government.

79 Administrative Procedure Act: o Established rule-making procedures to give everyone the chance to participate in the process.

80 Administrative Procedure Act: o (1) public notice of the time, place, and nature of the rule-making proceedings be provided in the Federal Register. o (2) Interested partied by given the opportunity to submit written arguments and facts relevant to the rule. o (3) The statutory purpose and basis of the rule be stated. o Once rules are written, thirty days generally must elapse before they take effect.

81 Administrative Procedure Act: o Sometimes, agency is required by law to conduct a formal hearing before issuing rules. o Evidence is gathered and witnesses testify and are cross-examined. o Agency administrators must review the entire record and then justify the new rules.

82 Administrative Adjudication: o Agencies regularly find that persons or businesses are not in compliance with the federal laws. o The agencies are charged with enforcing o Or that they are in violation of an agency rule or regulation.

83 Administrative Adjudication: o To force compliance, some agencies resort to administrative adjudication, o A quasi-judicial process in which a bureaucratic agency settles disputes between two parties. o In a manner similar to the way courts revolve disputes.

84 Administrative Adjudication: o Administrative adjudication is referred to as quasi judicial. o Adjudication by any body other than the judiciary would be a violation of the constitutional principle of separation of powers.

85 Administrative Adjudication: o Several agencies and boards employ administrative law judges to conduct hearings. o Although these judges are employed by the agencies, they are strictly independent and cannot be removed except for gross misconduct.

86 Chapter 9: Federal Bureaucracy o TOWARD REFORM: Making Agencies Accountable: 9.4: Evaluate controls designed to make agencies more accountable.

87 OVERSIGHT: o Under the Constitutional system, the President provides accountability to the agencies. o Congress creates agencies, funds them, and establishes the broad rules for their operation.

88 CONGRESSIONAL REVIEWS: Review various Agencies through: o Oversight committee investigation. o Hearings. o The power of the purse.

89 Federal Judiciary: o Has the ultimate authority to review administrative actions, like it most other cases. o To determine if its Constitutional or not.

90 GROWTH OF THE EXECUTIVE BRANCH: o With the enormous increased growth of the National Government and Executive Branch. o President has delegated more and more to the bureaucrats. o But most presidents have continued to try to exercise some control over the bureaucracy.

91 PRESIDENTIAL POWER OVER BUREAUCRACY: o Presidents try to appoint the best possible people to carry out their wishes and policy preferences. o Presidents with the approval of Congress can reorganize the bureaucracy. o They also can make changes in an agency s annual budget requests. o Ignore legislative initiatives originating within the bureaucracy.

92 EXECUTIVE ORDERS: o Presidents also can shape policy and provide direction to bureaucrats by issuing executive orders. o Executive orders are rules or regulations issued by the president that have the effect of law. o All executive orders must be published in the Federal Register.

93 PRESIDENT POWER OVER BUREAUCRACY: o A president can direct an agency to act, but it may take some time for the order to be carried out. o Given the many jobs of any president, few can ensure that all their orders will be carried out or that they will like all the rules that are made.

94 Congressional Control: o Congress can confirm or reject nominees to top bureaucratic positions. o Plays an important role in checking the power of the bureaucracy. o Constitutionally, it possesses the authority to create or abolish department agencies. o It may also transfer agency functions and expand to contract bureaucratic discretion, (e.g., Creation of the Department of Homeland Security).

95 Congressional Control: o Can use it investigatory powers to conduct program evaluations or hold oversight hearings. o Representatives of agencies also appear before these committees on a regular basis. o To inform members about agencies activities ongoing investigations and budget requests. o There are two different forms of congressional oversight.

96 Police Patrol and fire alarm oversight: o As the name implies police patrol oversight. o Allows congress to set its own agenda for programs or agencies to review. o In contrast, fire alarm oversight is reactive and generally involves a congressional response to a complaint filed by a constituent. o Or politically significant actor.

97 Police Patrol and fire alarm oversight: o Most frequently used for of oversight is the fire alarm oversight. o The most effective communication is between House staffers and agency personnel.

98 Power of the Purse: o Congress also has the power of the purse. o To control the bureaucracy, Congress uses its abilities to authorize spending and appropriate funds for an agency s activities. o Money can be a powerful tool to coerce bureaucrats to make particular policies.

99 Police Patrol and fire alarm oversight: o The first step in the funding process is authorization. o Authorization legislation originates in various legislative committees. o That oversee particular agencies and sets the maximum amounts that agencies can spend on a particular program.

100 Power of the Purse: House Appropriation Committee o Once programs are authorized, funds for them must be appropriated before they can be spent. o Appropriations originate with the House Appropriation Committee. o Not the specialized legislative committees. o The committee routinely holds hearings to allow agency heads to justify their budget requests.

101 Police Patrol and fire alarm oversight: o To help Congress s oversight of the bureaucracy's financial affairs. o Congress created the Government Accountability Office (GAO). o At the same time that the Office of management of budget (OMB) was created by the executive branch. o Congress essentially created its own bureaucracy to keep an eye on what the executive branch and bureaucracy were doing.

102 Police Patrol and fire alarm oversight: o Legislators also increase their formal oversight of the executive branch. o By allowing citizens to appeal adverse bureaucratic decisions to agencies, congress and even the courts.

103 Judicial Control: o Federal judges can issue injunctions or orders to an executive agency even before a rule is publicized. o Giving the federal judiciary a potent check on the bureaucracy. o The courts also have ruled that agencies must give all affected individuals their due process rights guaranteed by the U.S. Constitution.

104 Judicial Control: o On a more informal and indirect level, litigation or even a threat of litigation often exerts a strong influence on bureaucrats. o Injured parties can bring suit against agencies for their failure to enforce a law. o In general, courts give greater weight to the opinions of bureaucrats and usually defer to their expertise.

105 Judicial Control: o The development of specialized courts, have altered this relationship in some agencies with the federal courts. o Apparently resulting in less judicial deference to agency rulings. o Specialized Courts (e.g., Court of International Trade), because their judges are experts defer less to agency decisions than more generalized federal courts.

106 SHORT ANSWER: o What are iron triangles? How do the three entities interact with one another? o QUIZLET: