The Federal
Bureaucracy
AP Government
Unit 4B
Bureaucracy

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
Independent Agencies, Boards
& Commissions
Includes White House Staff
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
Weberian Model of
Bureaucracy


Political process controlled by political elites in
bureaucracy
Bureaucrats use model to make government
more efficient, run like well-organized machine
 Hierarchical
authority structure
 Task specialization
 Operate on merit principle
 Behave with impersonality
Organization of Federal Bureaucracy

Consists of:
EOP
Executive departments
Independent agencies
Government corporations
President
Executive Office
of the President
 Includes
Executive Departments
Independent Executive
Agencies
Independent
commissions
regulatory
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
EOP agency heads hired and fired at will
 Congress not involved with approval
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
Agriculture
8. Housing and Urban
Development
Commerce
9. Interior
Defense
10. Justice
Education
11. Labor
Energy
Health and Human 12. State
Services
13. Transportation
7. Homeland Security 14. Treasury
15. Veteran’s Affairs
1.
2.
3.
4.
5.
6.
http://www.whitehouse.gov/government/cabinet.html
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 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)
Changes in Bureaucracy


Prior to 1883, bureaucrats were political
appointees—result of spoils system or
patronage.
Civil Service Act of 1883 created merit system
for hiring of bureaucrats.
How Do Bureaucrats Get Their
Jobs Today?

Most must apply Office of Personnel
Management
 Federal
office in charge of most of government’s
hiring.

Merit System: Entrance exams and promotion
ratings to find people with talent and skill.
 System
of hiring and promotion based on merit and
nonpartisanship
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,
 Presidents
positions.
top level officials…
find “capable people” to fill
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
How Presidents Try to Control
Bureaucracy
 Appoint
right people.
 Issue executive orders.
 Tinker with agency’s budget.
 Reorganize agency.
Executive Branch IMPLEMENTS
Laws

What Implementation Means
 Involves
translating goals and objectives of
policy into operating, ongoing program for
chief executive.
 In other words….making law work in real
world!
Creating / assigning an agency policy
 Turning policy into rules, regulations and forms.
 Coordinating resources to achieve goals.

How Congress Tries to Control
the Bureaucracy
 Influence
presidential
appointments.
 Tinker with agency’s
budget.
 Hold hearings.
 Rewrite legislation or make
it more detailed.
Congressional Connection

Congress appropriates funds for bureaus and
agencies
 Appropriations

Committee held majority of power
Committee has lost some of its power due to:
 Trust
funds operate outside regular government
budget to assure citizens services and benefits

Social Security
 Annual
Authorizations gives whole Congress chance
to voice opinion yearly on appropriations for bureaus
and agencies
 Recent budget deficits have meant Congress trying to
reduce spending
Committee Clearance
Informal way Congress can still
control bureaucracy
 Congress may obtain right to void
decision of bureau or agency chief

 May
be political or personal reasons
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
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
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 21st 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

These groups
constantly
changing/adapting
in Issue Networks
unlike Iron Triangle
which generally
stayed static
Agency Officials
 Members of
Congress
 Interest Groups
 Lawyers
 Consultants
 Public Relations
Experts
 The Courts

Important Bureaucratic Regulatory Acts
8.
9.
1.
2.
3.
4.
5.
6.
7.
Pendleton Act (1883)
Hatch Act (1939)
Administrative
Procedure Act (1946)
Freedom of Information
Act (1966)
National Environmental
Policy Act (1969)
Rehabilitation Act
(1973)
Budget Reform Act
(1974)
10.
11.
12.
13.
14.
Privacy Act (1974)
Open Meeting Law
(1977)
Civil Service Reform
Act (1978)
Whistle Blower Act
Protection Act (1989,
93-01)
National
Performance Review
(1993)
Federal Employees
Political Activities Act
(1993)
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