Overriding Questions 1. How has the bureaucracy become the fourth branch of policymaking? 2. How has the role of the bureaucracy changed over time? 3. How does the President influence the bureaucracy? 4. How does creating policy differ from implementing policy/ The Bureaucracy -large complex organization structured hierarchically to carry out specific functions (i.e. DMV, Stevenson High School) -bureaucracy -- has evolved into a policymaking institution like the Prez (executive orders), Congress (bills), & judicial branch (common law precedents) with quasi-legislative and quasi-judicial powers Characteristics of the US Bureaucracy 1. Political authority over the bureaucracy is shared among president, Congress and the judicial branch -President- appt. secretaries/heads with maj. approval of Senate, removal power -Congress-right to appropriate $, to investigate administration & shape laws -Judicial Branch-authorized the enlargement of the bureaucracy -England--Parliament controls it solely 2. Federalism- allows agencies to share their functions with state & local gov ts -Dept. Of Education- $ to local school systems -HUD- grants to cities for development vs. France- no control by local gov t 3. Adversary Culture- expansion of personal rights & defense of rights thru lawsuits & political actions are deemed very important -gov t agency under close public scrutiny w/ prospect of court challenges -not a big problem in other countries (Sweden- culture of large & expansive) 4. Scope & Style of Bureaucracy -W. Europe- gov t owns & operates large parts of the economy -France (12%) vs. US (less than 3%) Appointment-- Importance of appointments 1. Laws are interpreted (political ideology important) 2. Tone of administration (personal character important) 3. Strength of political party (party affiliation important) -balance needs of ideology, character, fitness & partisan define appt. 4. 19th & 20th c. -congressional preferences controlled the appt. of officials (local supporters to build local party orgs- ERA OF PARTY MACHINE) 5. From patronage (spoils system) to merit system -Jackson-used spoil system to decrease corruption in agencies -spoils system- supportive of presidential policies, provide incentive for Congress members 6. Civil War- watershed moments- increase in bureaucracy (commerce--railroad) -prior-1816-1861- increase mainly (86%) in post office Evolution of Bureaucracy 1. Rapid growth of new service agencies-(1861-1901)
-Dep t of Agriculture (help farmers), Dep t of Labor (serve workers) -gathered stats. dispensed federal lands, passed out benefits vs. regulate -Limited gov t, state s rights, fear of concentrated discretionary power, laissez-faire 2. Growth of Regulatory agencies- change due to Depression & WWII- active role in social & economic problems (1887-ICC first regulatory agencies) -WWII- income tax to increase $ to agencies 3. Power of agencies-depend on discretionary authority (leeway allowed by Congress) a. payment of subsidies (farmers, vets, schools) b. $ from feds to state (grant-in-aid programs) c. Creating & enforcing regulations for various society & the economy d. Influence of appt. officials (recruited &rewarded, personal attributes, nature of jobs, constraints that outside forces (legislators, IGs) impose -appt. officials set many regulatory standards (auto safety features) Merit vs. Patronage -patronage system (19th c) until Pendleton Act (1883)-merit system -federal civil service-recruit qualified people (merit, performance) -competitive service- appt. only after they pass a written exam given by OPM (Office & Personnel and Management) -decline in OPM selecting civil servants- 1990s (56%) vs. 1960 (86.4%) -other methods used- name request job (filled out by a person already desired by agency-- buddy system- Congressmen wants a political supporter)-- patronage usually with merit and performance now Removing Bureaucrats 1. Very hard to remove 2. Other options- denying promotions, transferring them to undesirable locations, or assigning them meaningless work (frontal Assault, transfer technique, special-assignment, layering) Shape of Bureaucracy 1. Appt. officials (responsive to Congress to get $, subordinates, etc) 2. Personal Attributes (social class, education, & political beliefs) -minorities underrepresented at executive levels -GS-18-middle aged white male w/ college degree w/ advantageous background -political beliefs- more liberal than masses, less liberal than media -depends on agency (liberals-social service, conservatives- defense agency) Behaviors of Civil Servants 1. Drag feet rarely block actions 2. Whistle Blower Protection Act (1989)-protect reports on waste, fraud, or abuse 3. Leak info to media or Congress to mobilize interest groups 4. Highly structured (filling out forms) no political influence vs. Loosely structured (issuing welfare checks) with loosely defined tasks not closely monitored more affected by political predilections -Lawyers vs. Economists Constraints 1. Statutes or Laws a. Administrative Procedure Act (1946)- hold hearing etc. before new rule, or policy b.freedom of Info. Act (1966)-documents open to public
c. Nat l Environmental Policy (1966)-issue impact statement before new standards d. Privacy Act (1974)-gov t files on individuals must be confidential 2. Congress disperses single duties among various agencies (i.e. safe pizza) Affects of Constraints 1. Gov t acts slowly as they navigate through constraints 2. Act inconsistently- conflicting constraints (privacy vs. freedom of info.) 3. Easier to block than approve actions- easy to have voice heard to block it 4. Red tape- more constraints, more forms, more time Formal Control of the Bureaucracy 1. President a. Appointment of agency heads b. Control of agency s annual budget requests c. Control over adding or subtracting programs from the agency through changes in legislation 2. Congress and legislative oversight a. Oversight see if they are doing their job, can be a problem if involved in iron triangle b. Control over the budget of the agency c. Agency s discretionary power 3. Judicial Branch a. Review of agency s standards can expand or contract the agency s power through judicial review and court interpretations 4. Public Control a. Public scrutiny at hearings b. Sunset legislation Iron Triangles (Client politics) vs. Issue Networks 1. relationship among an agency, a committee, and an interest group (i.e. Depth of Veterans Affairs, the House & Senate committees on veterans affairs, veteran s interest groups (American Legion)- alliance that is impenetrable by President or people no matter the support 2. Decreased in time- growth of interest groups on both sides, subcommittees make control in hands of more than one congressmen, courts hear individual complaints -resulted in tension among competing interest groups (EPA-envir. vs. industry) 3. Rise of Issue-Networks- consist of Washington based IGs, congressional staff, & mass media who debate issues (i.e. health care)-- networks are contentious, split along ideological & economic lines) -president tries to draw upon sympathetic members of issue-networks -more complex & now dominated by a diverse, heterogeneous group Congressional Oversight
1. Congressional approval for agencies to exist 2. Authorization Legislation (maximum amount of $ an agency can spend on a specific programannual, permanent) 3. Appropriations- $ set aside for use, agency has to receive $ from Congress -Appropriations Committee- budget cutting effect (exc. favorites-fbi) -1947-1962-Appropriations Committee - 90% approved by House 4. Appropriations Committee lost power over agencies -Trust funds- $ comes anyway (Social Security Trust) -annual authorizations-limits set by legislative committees vs. appropriations -budget deficit- caused Congress to keep spending down, tightening appropriations 5. Committee Clearance- not legally binding but generally adhered to 6. Legislative Veto- executive decisions must lie before Congress (30-90 days) to decide to pass a resolution of disapproval (one house or two house veto) -1983-Chadha case- SC decided legislative veto unconstitutional -yet Congress still passes them not without being contested in the courts Bureaucratic Problems 1. Red Tape- complex rules & procedures that slow process -but if you cut red tape you may reduce coordination & increase duplication of conflict 2. Conflict- two opposed agencies- (grow crops more efficiently vs. grow fewer crops) 3. Duplication- 2 gov t agencies do the same thing (Customs & DEA) 4. Imperialism-grow w/o regardless of benefits or costs 5. Waste-spending more than is necessary to buy products or service ($91 for $3 screws) 6. Discredit the office in general but like directly officials they dealt with Reforming the Bureaucracy 1. Nat l Performance Review (NPR)- 1993 led by Al Gore A. Beliefs -emphasizes customer satisfaction vs. increasing central control -NPR- biggest problem was too centralized, too rule-bound, too little concerned with making programs work, too worried about avoiding scandal -useless regulations, excessive red tape, & cumbersome procurement hinder B. Objectives -less centralized management, more employee initiative, fewer detailed rules, more emphasis on customer satisfaction -reforming how bureaucrats buy- avoiding political favoritism went through too much rigamarol (1994 Federal Acquisition Streamlining Act- shop around take past vendor performance into account, best bidder) -create a new organizational culture in gov t agencies -divided gov t influence not making but implementing policy Federal Entitlements: -A Federal entitlement is a federal program that guarantees a specific level of benefits to persons who meet the requirements set by law, such as Social Security, farm price supports, unemployment, paying down the debt -Eligibility- a person receives an entitlement if he/she meets certain requirements and mandate spending required by law -Largest portion of uncontrollable spending bc it is out of the gov t discretionary control- what
controls entitlement spending is those who quality (i.e. those aging, those losing their jobs etc) Examples of Federal Entitlements (mandatory or non discretionary spending): 1. Social Security 2. Medicare 3. Unemployment 4. Paying down the debt -How federal entitlement prove to be a barrier to a federal balanced budget (federal spending is equal to federal income)? 1. Congress has no discretion on how much money to appropriate (set by requirements not by appropriations) 2. It is mandatory spending thus Congress can not manipulate to balance the budget 3. Entitlements account for 2/3s of Federal Gov t spending, Congress has little leeway to balance the budget. Budget Making Process -OMB Presidential influence on Budget making process -CBO and Ways and Means Committee- Congressional controls on the budget making process -Federal law requires the Prez to send his budget proposal to Congress by the first Monday in Feb. -Prez estimates the amount of money the federal gov t will raise from taxes and estimates overall gov t spending, and indicates whether the gov t will have a surplus or budget deficit. -the OMB provides this info to the president and like any other Presidential proposal Congress can approve or amend it. -Federal spending is split into two categories -mandatory or non discretionary (social security) vs. discretionary spending (defense) Fiscal Policy- Tax and Spend Monetary Policy- Controls money supply and interest rates (i.e. Federal Reserve Bank)