chapter 9: federal...

Chapter 9: Federal Bureaucracy


o Chapter 9.1:OBJECTIVES:

o Trace growth and development of

the federal bureaucracy

1Co_14:40 Let all things be

done decently and in order.

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.

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.

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.

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.

SPOIL SYSTEM:

o An executive’s ability to fire public-

office 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.

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.

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 1870.

o Other departments were added through 1900.

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.


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.


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.


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.

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.

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.


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.


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.


o The Progressive movement also

increased federal bureaucracy.

o To regulate businesses and industries

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.

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.


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.


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.


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.

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 1964.

o The department of Housing and Urban

Development (1965)

o Department of Transportation (1966)


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.

SHORT ANSWER:

o How did the Civil War, the Civil Rights

Movement, and the Great Society affect

the bureaucracy?


o THE MODERN BUREAUCRACY: 9.2.

We will examine the Modern

bureaucrats and outline the

structure of the modern

bureaucracy.

(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:

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.

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.

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.


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.


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.

(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.

(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.

(3) Low level non-policy patronage positions.

o These types of positions generally

concern secretarial assistants to policy

makers.

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.

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.

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.

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.

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.


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.


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.


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.


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.

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.


o Independent agencies exist apart from

executive departments from practical

or symbolic reasons.

o NASA and the EPA are examples.


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.

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.


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.

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.

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


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.

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).

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.

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.

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.

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.

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.

SHORT ANSWER:

o What are Cabinet departments? List at

least three reasons for their creation and

provide examples.


o How the Bureaucracy Works:

o 9.3: We will examine how the

bureaucracy Makes Policy.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

Making Policy:

o The main purpose of these decision-making 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.

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.

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.

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.

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.”

Administrative Procedure Act:

o Established rule-making procedures

to give everyone the chance to

participate in the process.


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.


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.

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.


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.


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.


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.


o TOWARD REFORM: Making

Agencies Accountable: 9.4:

Evaluate controls designed to

make agencies more accountable.

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.

CONGRESSIONAL REVIEWS: Review various Agencies through:

o Oversight committee investigation.

o Hearings.

o The power of the purse.

Federal Judiciary:

o Has the ultimate authority to review

administrative actions, like it most

other cases.

o To determine if its Constitutional or

not.

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.

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.

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.

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.

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).

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.

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.


o Most frequently used for of oversight

is the fire alarm oversight.

o The most effective communication is

between House staffers and agency

personnel.

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.


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.

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.


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.


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.

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.

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.

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.

SHORT ANSWER:

o What are iron triangles? How do the three

entities interact with one another?

o QUIZLET: https://quizlet.com/_2zvbe0

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