The Fourth Branch of
Government
The Bureaucracy
What is it?
• The bureaucracy is a set of complex
hierarchical departments, agencies,
commissions, and their staffs that exist to help
a chief executive officer carry out his/her
duties.
• May be private organizations or governmental
units
What is it?
• It links the 3 branches of gov’t together by
implementing and administering federal laws
and programs
• Is it too large? Too complex? Effective in
carrying out laws?
– Discuss Bureaucracy essays
The Roots of Federal Bureaucracy
• In 1789:
– Only 3 departments existed (Foreign Affairs, War,
and Treasury)
• From 1816 – 1861:
– Bureaucracy grew as demands on existing
departments increased and new departments were
created.
• Post Office had to expand as the population expanded
westward
• President Jackson removed the Post Office from the
treasury department (leading to the spoils system, which
was a form of patronage)
The Roots of Federal Bureaucracy
• Civil War grew the bureaucracy
– As the nation geared up for war, thousands of new
jobs were created
– Department of Agriculture (you need well-fed
troops) – not given full cabinet-level status for 20
years
– Pension Office – pay benefits to veterans
– Department of Justice
The Roots of Federal Bureaucracy
• From the Spoils System to Merit System
– Spoils system intensified throughout Reconstruction
– Rutherford B. Hayes favored the idea of replacing
Spoils system with a merit system – Congress failed
to pass the legislation
– James Garfield: “My day is frittered away with the
personal seeking of people when it ought to be
given to the great problems which concern the
whole country”
• Assassinated by a frustrated job seeker
The Roots of Federal Bureaucracy
• From the Spoils System to Merit System
(continued)
– Public reaction to Garfield’s assassination prompted
Congress to pass the Civil Service Reform Act (aka
Pendleton Act)
• Established the principle of federal employment on the
basis of open, competitive exams and created a
bipartisan 3-member Civil Service Commission
• Later laws extended the coverage of this act to over 90%
of all federal employees
– New system became known as the merit system
The Roots of Federal Bureaucracy
• Regulating the Economy
– As big businesses grew (especially railroads), and
unfair business practices increased, Congress
created the Interstate Commerce Commission (ICC)
• Mainly a reaction to public outcry over exorbitant rates
charged by railroads
• ICC became the first independent regulatory commission
(an agency outside a major executive department)
– Begins a shift in the bureaucracy from service to
regulation
The Roots of Federal Bureaucracy
• Regulating the Economy (continued)
– Theodore Roosevelt expanded the bureaucracy’s
regulatory powers of the economy by creating the
Department of Commerce and Labor (employeeemployer relations)
– Progressives wanted more regulation to put a stop
to bad working conditions and to control
monopolistic corporations
– 16th Amendment (1913) provided a huge infusion of
funds to support new federal agencies, services, and
programs
The Roots of Federal Bureaucracy
• Growth of Government in the 20th Century
– FDR created hundreds of new agencies to regulate
business practices and various aspects of the national
economy
– Prior to Great Depression, most Americans believed in a
hands-off approach to the economy, now they
considered it the government’s job to get it moving
again
– WWII impacted the US economy (more jobs)
• After the war, new programs (GI Bill led to more regulation)
– During the Civil Rights Movement (EEOC, HUD, Dept. of
transportation)
The Modern Bureaucracy
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•
•
•
Government
Gets $ from taxpayers
Driven by reelection
Who is in charge?
Little reason for gov’t
employees to take risks or
go beyond their assigned
job task
•
•
•
•
Business
Gets $ from customers
Driven by profit motive
Employees answer to boss
More likely to reward
ambition
Who are Bureaucrats?
• Career gov’t employees who work in the
executive branch
• More than 2.7 million federal workers
– 1/3 work in US Postal Service
• Most positions are filled by competitive exams
• Mid-level to upper range positions require
applicants to submit resumes which determine
a ranking
– It can take 6 – 9 months to fill a vacancy
• 10% of federal workforce fall into 3 categories
3 Categories of workforce not covered
by civil service system:
1. Appointive policy-making positions –
presidential appointees
2. Independent Regulatory commissioners –
appointed by president but are removed
from his direct political influence
3. Low-level, non-policy patronage positions –
usually secretarial assistants to policy makers
What Jobs Make Up the Bureaucracy?
Forest rangers, FBI, computer programmers,
security guards, librarians, administrators,
engineers, plumbers, lawyers, doctors, postal
carriers, zoologists, etc.
Most are NOT in Washington, D.C.
• Social Security Administration has numerous
offices
Government Jobs
• Typically, they pay less than comparable
positions in the private sector
– Ex: Private contractor vs. military
– With a portion of the cost of the war in Iraq going
to private contractors, one commentator likened
the practice to “a school district hiring taxi drivers
to pick kids up and drive them home when a
school bus route runs right past their door”
Agencies
Four general types:
1. Cabinet departments
2. Government corporations
3. Independent executive agencies
4. Independent regulatory commisions
Cabinet Departments
• 60% of federal workforce
• Cabinet leaders are called “secretaries”
– Except for Dept. of Justice (attorney general)
• Most departments are sub-divided into
bureaus, divisions, sections, etc.
– Bureau of Indian Affairs in the Department of the
Interior
Government Corporations
• Most recent additions to the bureaucracy
• Businesses established by Congress to
perform functions that could be provided by
private businesses (Amtrak, FDIC, TVA)
– TVA provides electricity at reduced rate to millions
of Americans in Appalachia; this area failed to
attract private utility companies to provide service
there
Independent Executive Agencies
• Closely resemble Cabinet departments but
have narrower areas of responsibility
• Appointed by President
• They perform services rather than regulatory
functions
– NASA
– EPA
Independent Regulatory Commissions
• The intent is that they would develop
expertise and provide continuity of policy with
respect to economic issues
• National Labor Relations Board (NLRB),
Federal Reserve Board, Federal
Communications Commission (FCC)
• Occupational Safety and Health
Administration (OSHA)
Political Involvement of Gov’t
Workers
• During the 1930s, many Americans feared that
members of the civil service would play major
roles in the gov’t (perhaps to much of one)
– Congress enacted the Political Activities Act (1939)
– better known as the Hatch Act (prohibits civil
servants from taking activist roles in partisan
campaigns)
– Was the Hatch act too extreme? Violation of 1st
Amendment?
Political Involvement of Gov’t
Workers
• Federal Employees Political Activities Act
(1993) – allows employees to run for public
office in nonpartisan elections, contribute
money, and campaign in elections
How the Bureaucracy Works
• When Congress creates any kind of
department, it is actually delegating some of
its powers listed in Article I, Section 8
• How agencies execute congressional wishes is
called implementation, the process by which a
law or policy is put into operation
How the Bureaucracy Works
Iron Triangles
demonstrate the
relationship between
agencies, interest
groups, and
congressional
committees to
implement policy
Example of Iron Triangle
House Committee on Veterans’ Affairs
Department of Veterans’ Affairs
American Legion; Veterans of Foreign Wars
Issue Networks
• Many political scientists prefer to examine issue
networks (loose and informal relationship that
exist among a large number of actors who work
in broad policy areas)
• Similar to Iron Triangles, except they include
external influences
– Lawyers, consultants, academics, public relations
specialists, even the courts
• Unlike Iron Triangles, Issue Networks are
constantly changing
Interagency Councils
• As a result of the increasing complexity of many
policy domains, many alliances have also been
created within the bureaucracy
• An example is interagency councils (working
groups that bring together representatives of
several departments and agencies to facilitate
the coordination of policy making and
implementation)
– The US Interagency Council of the Homeless (1987)
works to coordinate the activities of more than 50
agencies and programs
Making Policy
• The end goal is policy making!
• Many policy decisions are left up to individual
employees (lawyers decide who to prosecute,
IRS agents make decisions in personal audits)
• Administrative discretion – the ability to make
choices concerning the best way to implement
congressional or executive intentions
– Exercised through ruling making and
administrative adjudication
Rule Making
• Quasi-legislative administrative process that
results in regulations and has the
characteristics of a legislative act.
• Establishing regulations
• There is a procedure to be followed (this can
take weeks, months, or even years)
Administrative Adjudication
• Quasi-judicial process in which a bureaucratic
agency settles disputes between 2 parties in a
manner similar to the courts
• Used if persons or businesses are not in
compliance with a federal law
– Federal Trade Commission determines what
constitutes unfair trade practices
– EEOC and SSA
Making Agencies Accountable
• Who should the bureaucracy answer to?
• There is a system of checks and balances in
place…
Executive Control
• Presidential Appointments
• With the approval of Congress, can reorganize
the bureaucracy
• Make changes in an agency’s annual budget
requests
• Executive Orders – rules or regulations issued
by the president that have the effect of law
Congressional Control
• Can create or abolish departments and agencies
• Transfer agency functions (Dept. of Homeland
Security)
• Senate confirmation of presidential appointments
• Constitutional powers:
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Investigatory powers (FEMA)
“Police patrol” and “fire-alarm” oversight
Appropriations (“power of the purse”)
Tracking money (GAO and OMB)
Judicial Control
• Ensures that agencies abide by due process
laws
• Litigation, or the threat of litigation, exerts
strong influence on bureaucrats
FRQ Discussions – NO WRITING!
1. Iron triangles, or subgovernments, often form
around a specific policy area to shape and
administer relevant policies. Select ONE of the
following policy areas and complete the tasks
below
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Agriculture
The environment
Product safety
Oil
A. Identify the participants in the iron triangle
B. Describe something each participant would receive
from each of the other participants in the triangle.
FRQ Discussions – NO WRITING!
1. In the first half of U.S. history, bureaucracies
tended to act in a client-oriented role.
However, since the early 1900s, the
bureaucracy has become more of a regulator.
A. Identify TWO agencies that serve in a regulatory
capacity, and give an example of a regulation
they have made.
B. Describe ONE complaint made about the federal
bureaucracy acting in the role of a regulator.