The Federal Bureaucracy AP Government Unit 4
Bureaucracy what the heck is it? Professional corps of unelected officials organized in a pyramid hierarchy, functioning under impersonal uniform rules and procedures.
Bureaucracy literally means rule by desks
Characteristics Administration of government through departments Consists of unelected often highly trained professionals Task specialization Hierarchical authority Impersonal Inclined to follow rigid or complex procedures May stifle effectiveness and innovation Red tape
Parts of the Executive Branch AKA The Bureaucracy President Executive Office of the President Includes White House Staff Independent Agencies, Boards & Commissions Executive Branch Departments Makes up the main portion of the Cabinet
U.S. Department of Justice Organizational Chart
Federal Bureaucracy Mechanism that carries out day to day business of government. Created to carry out broad range of tasks, to provide necessary services, and to act as experts in particular areas of policy. Grown to 2.8 million civilian employees AKA the Fourth Branch
The Bureaucrats Who They Are and How They Got There Most demographically representative part of government. Diversity of jobs mirrors private sector. Figure 15.2
Organization of Federal Bureaucracy Consists of: Executive Office EOP of the President Executive departments Independent agencies Government corporations Includes Independent Executive Agencies Independent regulatory commissions President Executive Departments Independent Agencies, Boards & Commissions
Executive Office of the President The EOP Not a single office or department, but a collection of agencies that are directly responsible for helping president deal with Congress and manage larger executive branch. President Executive Office of the President Independent Agencies, Boards & Commissions Executive Departments
Parts of the EOP: White House Staff White House staffers are usually Former campaigners, trusted workers Hired and fired at will of president Most powerful White House Staffer is Chief of Staff Chief of Staff one of President's closest advisers, also close friend. Nicknamed "the gatekeeper." Responsible for overseeing actions of other members of White House staff, managing president's timetable, and controlling outsiders' access to president.
Executive Office of the Presidency EOP Agencies Report directly to President Most important agency- Office of Management and Budget (OMB) Other important EOP agencies National Security Advisors (NSA) Council of Economic Advisors Some EOP agency heads hired and fired at will Congress not involved with approval of National Security Advisor or the President s personal White House staff
Executive Departments Department heads advise President on policy issues and help execute policies. Each Executive Department also part of President s Cabinet Cabinet not mentioned in Constitution Created first by Washington Cabinet secretaries appointed by president and need Senate approval President controls Cabinet Considered yes men and women! Don t disagree (in public at least!)
Executive Departments 14 Cabinet Departments 15 Executive Departments headed by a secretary Department of Justice headed by Attorney General Each has own budget, staff and policy areas Some Republicans (and Libertarians) have been trying to eliminate several departments including Education and Energy
The Executive Departments 1. Agriculture 2. Commerce 3. Defense 4. Education 5. Energy 6. Health and Human Services 7. Homeland Security 8. Housing and Urban Development 9. Interior 10. Justice 11. Labor 12. State 13. Transportation 14. Treasury 15. Veteran s Affairs http://www.whitehouse.gov/government/cabinet.html
THE CABINET DEPARTMENTS The fifteen cabinet departments, in order of creation, are: 1) State (1789) - advises the president on foreign policy, negotiates treaties, represents the United States in international organizations 1) Treasury (1789) - collects federal revenues, pays federal bills, mints coins and prints paper money, enforces alcohol, tobacco and firearm laws 1) Defense (1789) - manages the armed forces, operates military bases 1) Interior (1849) - manages federal lands, refuges, and parks, operates hydroelectric facilities, manages Native American affairs 1) Justice (1870) - provides legal advice to the president, enforces federal laws, represents the United States in court, operates federal prisons 22
THE CABINET DEPARTMENTS The fifteen cabinet departments, in order of creation, are: 6) Agriculture (1889) - provides agricultural assistance to farmers and ranchers, inspects food, manages national forests 6) Commerce (1903) - grants patents and trademarks, conducts the national census, promotes international trade 6) Labor (1913) - enforces federal labor laws (child labor, minimum wage, safe working conditions), administers unemployment and job training programs 6) Health and Human Services (1953) - administers Social Security and Medicare/Medicaid Programs, promotes health care research, enforces pure food and drug laws 6) Housing and Urban Development (1965) - provides home financing and public housing programs, enforces fair housing laws 23
THE CABINET DEPARTMENTS The fifteen cabinet departments, in order of creation, are: 11) Transportation (1967) - promotes mass transit programs and programs for highways, railroads, and air traffic, enforces maritime law 11) Energy (1977) - advances the energy security of the U.S. and takes care of the nation s nuclear security 11) Education (1979) - administers federal aid programs to schools, engages in educational research 11) Veterans Affairs (1989) - promotes the welfare of veterans of the armed forces 11) Homeland Security (2002) - prevents terrorist attacks within the United States, reduces America's susceptibility to terrorism, minimizes damage and helps recovery from attacks that do occur 24
Example The Department of the Interior Figure 15.4
Independent Agencies and Commissions Government offices that report to President but have more independence (AKA Quasi- Independent) FDIC, CIA, SEC, EPA Make regulations to help implement laws Don t report to president for instructions Deal with own issues and staff independently President appoints agency heads for fixed terms Agency heads must be approved by Congress Can be removed only for a just cause
Independent Regulatory Agencies (IRA s) Independent of executive departments. Meant to impose and enforce regulation free of political influence, help carry out policy or provide special services. Securities and Exchange Commission Consumer Product Safety Commission IRAs run by board rather than 1 person. President appoints board members, members serve terms longer than single Presidential term Board members also appointed at different times, so unable to stack Boards or Commissions.
The Independent Regulatory Agencies Responsible for some sector of economy making rules and judging disputes to protect public interest Example: Food and Drug Administration and Interstate Commerce Commission Headed by commission of 5-10 people. Rule making important function watched by interest groups and citizens alike. Concern over capture of agencies by Congress or President (want to remain independent!)
THE INDEPENDENT REGULATORY AGENCIES Examples: Federal Communications Commission (FCC) Regulates all communications by telegraph, cable, telephone, radio, and television. The Federal Trade Commission (FTC) Prevents businesses from engaging in unfair trade practices; stops the formation of monopolies in the business sector; protects consumer rights. Federal Election Commission (FEC) Administers and enforces the Federal Election Campaign Act (FECA); discloses campaign finance information and oversees the public funding of presidential elections. The Securities and Exchange Commission (SEC) Regulates the nation s stock exchanges; requires full disclosure of the financial profiles of companies that wish to sell stocks to the public. The Federal Reserve Board (The Fed) Establishes monetary policy >> refers to the money supply and interest rates. Monetary policy = controlling the money supply. Fiscal policy = taxing and spending. Sets bank interest rates; controls inflation; regulates the money supply; adjusts banks reserve requirements. 30
The Government Corporations Similar to Independent Agencies but more Business-like entities Provide service like private companies and typically charges for services. Designed to run like businesses and hopefully generate profit (Postal Service, Amtrak)
Independent Executive Agencies Agencies that don t fit in anywhere else. NASA
About 1,000 of the more than 7,000 presidentially-appointed positions to be filled during any presidential transition process require confirmation by a majority vote of the U.S. Senate. 1. Secretaries of the 15 Cabinet agencies, deputy secretaries, under secretaries and assistant secretaries, and general counsels of those agencies: Over 350 positions. 2. Certain jobs in the independent, non-regulatory executive branch agencies, like NASA and the National Science Foundation: About 120 positions 3. Director positions in the regulatory agencies, like the Environmental Protection Agency and the Federal Aviation Administration: 130 positions 4. U.S. Attorneys and marshals: About 200 positions 5. Ambassadors to foreign nations: 150 positions 6. Presidential appointments to part-time positions, like the Board of Governors of the Federal Reserve System: 160 positions http://usgovinfo.about.com/od/thepresidentandcabinet/a/sentateconfirm.htm
What Roles Do Government Bureaucrats Perform? Communicate with each other Maintain paper for accountability Enforces/carries out law Implement objectives of organization. Congress delegated significant amount of authority to bureaucracy by granting agencies power to draft federal regulations (rulemaking)
FROM SPOILS TO MERIT To the victor belong the spoils (1828) The spoils system or patronage, started by Andrew Jackson, was used for filling federal jobs President rewarding supporters with jobs based on service, not on merit Garfield s assassination by a disappointed office-seeker (1881) Creation of the Pendleton Act (1883) Eliminated the spoils system (patronage); created merit system An exam-based merit system would be used to fill government jobs Civil Service Commission was created to administer these exams Hatch Act (1939) Political activities of bureaucrats are limited Civil Service Reform Act (1978) Abolished the U.S. Civil Service Commission Created the OPM (Office of Personnel Management) to provide guidance to agencies of the executive branch 36
THE MODERN BUREAUCRACY A bureaucracy is a large, complex organization of appointed, not elected, officials. LARGE: Three million civilian federal employees Department of Defense is the largest department = about 50% (even without active military which is about 1.4 million) Post Office has about 28% <10% of top-level jobs are appointed (political appointees) by the president >> PATRONAGE >90% of federal employees are civil service workers >> MERIT SYSTEM Tenure protection, difficult to fire (unless appointed by president) Specialized units with expertise in a field 37
Sample Civil Service Exam Questions Which of the following pairs of words has the OPPOSITE meaning? guarded-suspicious legendary-mythical expeditious-leisurely rancid-putrid delicate-frail
Sample Civil Service Exam Questions Which of the following pairs of words has the OPPOSITE meaning? guarded-suspicious legendary-mythical expeditious-leisurely rancid-putrid delicate-frail
Sample Civil Service Exam Questions Look at this series: 44, 44, 50, 50, 56,.. What number should come next? 44 48 56 62
Sample Civil Service Exam Questions Look at this series: 44, 44, 50, 50, 56,.. What number should come next? 44 48 56 62
Sample Civil Service Exam Questions Which of the following pairs of words has the SAME meaning? sly-cunning infallible-weak decisive-hesitant predictable-mysterious derisive-complimentary
Sample Civil Service Exam Questions Which of the following pairs of words has the SAME meaning? sly-cunning infallible-weak decisive-hesitant predictable-mysterious derisive-complimentary
Sample Civil Service Exam Questions Choose the correct sentence from the following list. The search took place without incident, except for a brief argument between two residents. The search took place without incident. Except for a brief argument between two residents. The search took place. Without incident except for a brief argument between two residents. The search, took place without incident except, for a brief argument between two residents.
Sample Civil Service Exam Questions Choose the correct sentence from the following list. The search took place without incident, except for a brief argument between two residents. The search took place without incident. Except for a brief argument between two residents. The search took place. Without incident except for a brief argument between two residents. The search, took place without incident except, for a brief argument between two residents.
Bureaucracy Personalities Tend to take on own personalities Conservatives dominate Dept. of Defense Liberals dominate social service departments like Education and Health and Human Services Other examples: Activist bureaus and agencies: EPA, FDA, Federal Trade Commission Traditional bureaus and agencies: Agriculture, Treasury, and Commerce
TOP Jobs Recruitment for top bureaucratic jobs from Plum Book Published by Congress Lists very top jobs available for Presidential appointment. Use patronage to find applicants Ambassadorships, top level officials Presidents find capable people to fill positions.
Discretionary Authority Real power: ability for bureaucrats to choose courses of action and make policies that affect all Americans Discretionary authority can carry weight of laws for general public and businesses/corporations Examples: Safety features on cars Pollution emission standards Product standards
CONTROLLING THE BUREAUCRACY CONGRESSIONAL INFLUENCE Congress has a great amount of power over the bureaucracy because Congress can exercise LEGISLATIVE OVERSIGHT. What are the numerous ways in which Congress can exercise oversight of the bureaucracy? Creation of agencies Constitutional power to create and abolish executive departments and independent agencies, or to transfer their functions Advice and consent Congress can influence the appointment of agency heads The Senate has the power to confirm presidential appointments Appropriations of agency budgets Congress determines how much money each agency gets Annual authorization legislation No agency may spend money unless it has first been authorized by Congress Authorization legislation originates in a congressional committee and states the maximum amount of money that an agency may spend on a given program Even if funds have been authorized, Congress must also appropriate the money Rewriting legislation If they wish to restrict the power of an agency, Congress may rewrite legislation or make it more detailed The more detailed the instructions, the better able Congress is to restrict the agency's power 49
CONTROLLING THE BUREAUCRACY CONGRESSIONAL INFLUENCE Congress has a great amount of power over the bureaucracy because Congress can exercise LEGISLATIVE OVERSIGHT. What are the numerous ways in which Congress can exercise oversight of the bureaucracy? Duplication Giving any one job to more than one agency, keeping any single agency from becoming all powerful For example, drug trafficking is the task of the Customs Services, the FBI, the DEA, the Border Patrol, and the Department of Defense Keeps any one agency from becoming all-powerful Holding hearings and conducting investigations Congress can call bureaucrats to testify before committees and subcommittees to determine whether the agency is complying with congressional intent Congress can investigate agencies Reorganization By realigning or restructuring departments, agencies and their responsibilities, Congress can contain costs, reduce bureaucratic overlap and improve accountability. Sunset laws Provides for the law to cease to have effect after a specific date, unless further legislative action is taken to extend the law Sunset laws create a finite lifespan for a bureaucratic agency In order to be reauthorized, these bureaucracies must prove their effectiveness and merit 50
CONTROLLING THE BUREAUCRACY CONGRESSIONAL INFLUENCE? What are the limits on congressional influence? Congress may not really want to clamp down on the bureaucracy: Members profit politically from the existence of federal programs within their states or districts (e.g., military base closure) Easier for Congress to simply pass broadly worded laws and have experts within the bureaucracy fill in the holes No electoral payoff; Political ramifications Oversight is labor intensive/hard work; Lack of technical expertise Congress creates opportunities for casework through red tape Congress lacks expertise/agencies have expertise Congress does not want to be blamed for bad policy Time-consuming 51
CONTROLLING THE BUREAUCRACY PRESIDENTIAL INFLUENCE Appointments Appointment of top-level bureaucrats (including Cabinet secretaries) Fire top-level bureaucrats (including Cabinet secretaries) Executive Orders An executive order is a directive, order, or regulation issued by the president An executive order of the President must find support in the Constitution, either in a clause granting the President specific power, or by a delegation of power by Congress to the President Economic Powers Proposes agency budgets (either an increase or a decrease in $) Other Powers Propose the reorganization of the executive branch Presidential power of influence over different agencies direction What are the limits on presidential influence? Senate confirmation needed for top personnel President cannot fire vast majority of bureaucrats Reorganization must go through Congress Agency budgets must go through Congress 52
CONTROLLING THE BUREAUCRACY COURT AND INTEREST GROUP INFLUENCE COURTS AND THE BUREAUCRACY Powers Court rulings that limit bureaucratic practices Judicial review - can declare bureaucratic actions unconstitutional Injunctions (a judicial order that restrains a person/group from beginning or continuing an action threatening or invading the legal right of another) against federal agencies INTEREST GROUPS AND THE BUREAUCRACY Powers Lobbying Revolving door - Agencies are staffed by people who move back and forth between the public/private sector Client groups Some agency-interest group relations are so close that the interest group is said to be a client of the agency (e.g., dairy groups and Agriculture Dept) Iron triangles: congressional committee, relevant agency, related interest groups Issue networks: informal groups of people within both the public/private sectors who have common interests Agency employees are recruited from the regulated industry (vice versa) Agencies rely on support from regulated industries in making budget requests Litigation: Take a bureaucratic agency to court 53
Legislative Veto Requirement that executive decision must lie before Congress for specified period before takes effect Congress could review and VETO decision if both Houses agreed Supreme Court asked to rule on this practice in Chadha case
INS v. Chadha (1983) Mr. Chadha stayed in U.S. past visa deadline and ordered to leave country. Immigration Service allowed him to stay because of complications and extreme hardship House suspended INS s deportation ruling using what was called Legislative veto. Question of law: Did Congress which allowed a legislative veto of presidential actions, violate the separation of powers doctrine?
Importance Court said Yes! Court ruled that Act violated Constitution Chief Justice Burger concluded even though Act would have enhanced governmental efficiency, violated "explicit constitutional standards" regarding lawmaking and congressional authority. Legislative veto declared unconstitutional.
The Peter Principle In a hierarchy every employee tends to rise to his level of incompetence." Formulated by Dr. Laurence J. Peter in 1968 book Pertains to level of competence of human resources in hierarchical organization. Explains upward, downward, and lateral movement of personnel within hierarchically organized system of ranks.
Understanding Bureaucracies Iron Triangles and Issue Networks Iron triangle: mutually dependent relationship between bureaucratic agencies, interest groups, and congressional committees or subcommittees. Exist independently of each other. Tough but not impossible to get rid of. Some argue iron triangles being replaced by wider issue networks that focus on more policies.
IRON TRIANGLES vs. ISSUE NETWORKS IRON TRIANGLES Definition: Alliances among bureaucrats, interest groups, and congressional subcommittee members and staff sometimes form to promote their common causes. Also known as subgovernments. 61
The Iron Triangle Describes cozy relationships in US politics between 3 entities: Legislative Branch (especially subcommittees) Bureaucracy Lobbyists and interest groups
The Legislative Branch (especially subcommittees)
Who Benefits from the Iron Triangle? Powerful interest groups Members of Congress Federal employees Consumers are often left out in the cold by this arrangement. Result in passing of very narrow, pork barrel policies
A Divided Government Kills Iron Triangles (or maybe only maims them!) Only when Congress and White House both controlled by same party can strong alliances between branches form divided government can stop these alliances When legislative and executive branch have conflicting political agendas, make cozy relationships nearly impossible.
The 21 st Century Iron Triangle Issue Networks Iron triangle fallen out of favor among political scientists because no longer accurate description of changed political dynamics. Issue networks: new term to describe looser and broader coalitions of today Rarely find just 2 competing sides to an issue anymore
Issue Networks Agency Officials These groups constantly changing/adapting in Issue Networks unlike Iron Triangle which generally stayed static Members of Congress Interest Groups Lawyers Consultants Public Relations Experts The Courts
Important Bureaucratic Regulatory Acts 1. Pendleton Act (1883) 2. Hatch Act (1939) 3. Administrative Procedure Act (1946) 4. Freedom of Information Act (1966) 5. National Environmental Policy Act (1969) 6. Rehabilitation Act (1973) 7. Budget Reform Act (1974) 8. Privacy Act (1974) 9. Open Meeting Law (1977) 10. Civil Service Reform Act (1978) 11. Whistle Blower Act Protection Act (1989, 93-01) 12. National Performance Review (1993) 13. Federal Employees Political Activities Act (1993) 14. The E-Government Act of 2002
Pendleton Civil Service Reform Act (1883) Established US Civil Service Commission which placed most federal employees on merit system and marked end of so-called spoils system.
Hatch Act (1939) Main provision: prohibit federal employees (Civil Servants) from engaging in partisan political activity. Bureaucrats may NOT become involved in political campaigns Named after Senator Carl Hatch of NM, law was officially known as An Act to Prevent Pernicious Political Activities.
Administrative Procedure Act (1946) Governs way in which agencies propose and establish regulations
Freedom of Information Act (1966) Assures media and private citizens a legal right to government information AKA Open Records Laws or Sunshine Laws Requester doesn t usually have to give explanation for request, but if information not disclosed a valid reason has to be given.
The National Environmental Policy Act (1969) Requires federal agencies to integrate environmental values into decision making processes by considering environmental impacts of proposed actions and reasonable alternatives to those actions Rachel Carson s book, Silent Spring, instrumental in continued support of NEPA
Rehabilitation Act (1973) Includes variety of provisions focused on rights, advocacy and protections for individuals with disabilities. "Handicapped" if he or she: Has mental or physical impairment which substantially limits one or more of such person's major life activities; Has record of such impairment/regarded as having such impairment.
Budget Reform Act of 1974 Congressional effort to control presidential impoundments. Requires president spend all appropriated funds. If Congress notified of which funds will not be spent and, within 45 days, agrees to delete items, money can be saved. If president wishes to delay spending money, Congress must be informed and may refuse delay by passing resolution requiring immediate release of funds.
The Privacy Act (1974) Protects citizens from obtrusive searches into private lives Specific exceptions for record allowing use of personal records: The Federal Census Department of Labor Statistics For routine uses within a U.S. government agency For archival purposes "as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government" For law enforcement purposes For Congressional investigations Other administrative purposes (Patriot Act- 2002 and 2006)
Federal Open Meeting Law (1977) Opened doors for media and private citizens to more than 50 federal boards and agencies. All agencies under act must announce meetings at least a week in advance. Closed session allowed under specific circumstances, but reason for closed meeting must be certified by legal officer of agency.
Civil Service Reform Act of 1978 Attempted to reform civil service of federal government Addressed incompetent workers, automatic pay increases, and lack of incentive for good work Not successful in any of these areas.
The Whistleblowers Protection Act (1989, 1993, & 2001) Designed to protect people who come forward with disclosure about improper conduct by public bodies or public sector employees. Thus the name whistleblower
National Performance Review 1993 Created during Clinton Administration by VP Al Gore. Often called Reinventing government From red tape to results: creating government that works better and costs less. Encouraged agencies to find more effective means of doing government business. Mildly effective
Federal Employees Political Activities Act- 1993 Allows federal employees to run for public office in nonpartisan elections or donate funds to political campaigns Still prohibited from engaging in partisan political activity or soliciting funds for partisan candidates Created because of fears that Hatch Act too restrictive
The E-Government Act of 2002 An effort to mandate that all government agencies use Internet-based information technologies to enhance citizens access to government information and services. This includes applying for social security, and Medicare benefits.
(George W. Bush) Intelligence Act (2004) Provides for reform of intelligence community, terrorism prevention and prosecution, border security, and international cooperation and coordination. Created Dept. of Homeland Security.
Dodd-Frank Wall Street Reform and Consumer Protection Act (2010) Landmark legislation represents most profound restructuring of financial regulation since Great Depression including new regulations on banks, mortgage lenders, and other consumer protections