Bureaucracy
The Nature of the Bureaucracy
Bureaucracy: 4th branch
 All similar characteristics

-– Structured
hierarchically
– job specialization
– rules and regs that
drive them
– Make and run govt
policies
– Workers hired not
elected
Theories of Bureaucracy
Weberian Model

Max Weber
– Need bureaucracies (they are inevitable) due to
complexities of modern life and many roles
government has to play in citizens’ lives
– Bureaucracies are hierarchical – people at top direct
people at lower levels
– Specific rules determine how decisions are made
– People who work in bureaucracy – bureaucrats – have
special skills to solve problems
– Advancement based on merit instead of political
connection
Theories of Bureaucracy
Acquisitive Model

Those at the head/top of bureaucracy are
always looking to expand – budgets,
number of employees, etc.
Theories of Bureaucracy
Monopolistic Model

No competition – so are
inefficient/wasteful/slow
The Size of the Bureaucracy
– Today the federal government employs about 2.7
million (4 million total including military)
– The two biggest employers of civilians are the
U.S. Postal Service (almost 800,000) and the
Department of Defense (more than 650,000)
– https://www.youtube.com/watch?v=PhSX_GwGP
4s
– President only appoints about 3% of the federal
workforce, how much control do you think he
has over the bureaucracy?
– 97% are career govt employees or civil servants
– 15 Cabinet Depts, 200+ agencies with 2000+
branches
Functions of the Federal
Bureaucracy

Implementation –
– Carry out laws of Congress, executive orders
of the President

Administration
– Routine administrative work; provide services
(ex. SSA sends social security checks to
beneficiaries)

Regulation
– Issue rules and regulations that impact the
public (ex. EPA sets clean air standards)
The Organization
of the Federal Bureaucracy
– Cabinet departments
– Independent executive agencies
– Independent regulatory agencies
– Government corporations
Cabinet Departments
15 Cabinet Depts.
 Directly accountable to Pres, perform govt
functions
 Headed by cabinet secretary, (except
Justice Dept, which is headed by AG)
appointed by president and approved by
Senate (divided govt)
 Secr & AG are like CEO’s of their
departments
 Structure below top level is staffed by
permanent employees, problems?

Independent Executive
Agencies





President appoints head
of agency, consent of
Senate
Agency reports directly
to President
Not under Cabinet
Generally perform
service function, not
regulatory (exception
EPA)
Examples: NASA,
National Archives, CIA
Independent
Executive Agencies
Independent Regulatory
Agencies/Commissions

Make rules and
regulations for a
specific area
– Help where other 3 branches
cannot legislate or oversee all
the time, independent from all
3 branches, meant to create,
enforce and impose regs free
of political influence

called “commissions” –
most have commission
or board who share pwr
over agency
Independent Regulatory Agencies
Congress not able to
handle complexities
required by certain areas
of law
 Regulates something
 Make rules that have
force of law
(regs),enforce those
rules (exec) and may
impose fines or
punishment (judicial) -quasi-leg. & quasijudicial

Independent Regulatory Agencies
Can be checked by courts
 IR operate independently
from Pres & Congress
(doesn’t report to pres)
 Appointed by Pres with
consent of Senate
 Once appointed,
members cannot be
removed without cause
(causes specified in law
creating agency)
 CANNOT all be from same
political party

IRA – Agency Capture

Independence
called into
question, some
argue agencies
captured by the
very industry/firm
they were suppose
to regulate
Independent
Regulatory Agencies
Government Corporations

Government agency
that is involved in
business
– Charge for services
– May be profitable
 Operate separately
from government
 Funded by
government when
can’t pay their bills
 Examples: AMTRAK
and US Postal
Selected
Government Corporations
How to tell the difference?
1. Is it a cabinet position?
 Is it regulating something?
 Is it charging for its services?
 If answer to all 3 is no, then it’s probably
independent executive agency

Department Homeland Security
2
Staffing the Bureaucracy
bureaucrats?
–Political appointees & Civil
Servants
Political appointees
–Plum Book/ aristocracy of the
federal government
–Pros/Cons of positions?
– The difficulty in firing civil
servants
 Civil Servants
– Relationships with appointees?
– Difficulty firing, why?
– Have advantage over pres &
congress in policy making bc of
continuity of service
History of Federal Civil Service

Spoils system –
became standard
method of filling
federal positions,
positions went to
friends &
supporters, when
new pres elected,
staffing would
almost completely
turn over
History of Federal Civil Service

Civil Service Reform Act
1883/Pendleton Act
– Limits on spoils system,
established merit system
– Merit system –hiring or
promotion based on
merit/experience
qualifications
– Hiring based on testing or
some objective measure
– Created Civil Service
Commission
History of Federal Civil Service

Civil Service Reform Act of
1978 –
– created Office of
Personnel Management
 Recruits, interviews, hires
– created Merit Systems
Protection Board –
oversees promotions,
discipline
The Hatch Act-1939
Prohibited federal
employees from
actively
participating in
political
managements of
campaigns
 Prohibited govt
employees from
active participation
in partisan politics

The Hatch Act -- amended


Amended in part by
Federal Employees
Political Act 1993- a
Bureaucrats CAN:
– Vote and assist in
voter registration
– Contribute $$ to
campaigns
– Campaign off duty
The Hatch Act -- amended


Amended in part by
Federal Employees
Political Act 1993- a
Bureaucrats CAN’T:
– Run for public
office
– Fund raise for
politicians during
work
– Discourage political
activity
Criticisms of Bureaucracy

Red tape
– Too many rigid
procedures

Inefficiency
– Lack of incentive to
be productive, no
profit motive
Criticisms of Bureaucracy
Undemocratic – not
elected
 Duplication of
Services

– Bureaucracy
complicated
– Agencies perform
similar and sometimes
same functions
– Federalism – many
services provided at
state and local levels
Criticism of Bureuacracy

Bureaucracy is Law Maker
– Regulations end up having
effect of law, violate sep of
pwrs

Bureaucracy is too big
– Privatization would be more
effective
– https://www.youtube.com/w
atch?v=kyrKXACpUFg
Criticism of Bureuacracy

Bureaucracy is
corrupt
– Iron triangle –
reveals relationship
btwn exec branch,
congress and
private interest
groups that can
lead to decisions
which benefit the
private sector at
expense of govt
Modern Attempts
at Bureaucratic Reform
–Sunshine laws: require agencies to conduct many
sessions in public
 The 1966 Freedom of Information Act: opened up
government files to citizen requests for information, in
particular about themselves
 After 9/11, however, the government established a
campaign to limit disclosure of any information that
could conceivably be used by terrorists
–Sunset laws: require Congressional review of existing
programs to determine their effectiveness; if Congress
does not explicitly reauthorize a program, it expires
“sun sets”:
Modern Attempts at
Bureaucratic Reform (continued)
– Privatization – govt services replaced by services
from private sector or voucher programs
– Incentives for efficiency and productivity
 Government Performance and Results Act of 1997
 Some argue that bureaucratic inefficiencies are the
result of the political decision-making process,
some argue problems result bc of those who run
organizations
 Saving costs through e-government – some
changes made, govt websites, more room for
growth
Whistleblowers

Whistleblower
– Someone who
brings to public
attention gross
governmental
inefficiency or
illegal action

Examples?
Whistleblowers
– Laws protecting
whistleblowers?
 Merit Systems Protection
Board
 Whistle-Blower Protection
Act
 False Claims Act – if
whistleblower discloses
fraud against govt can
receive a monetary
award or sue govt it govt
declines to bring suit
Whistleblowers
– Many don’t receive real
protection
– Obama used Espionage
Act of 1917 to prosecute
federal workers who
leaked to press
Whistleblowers Examples

http://www.nbcne
wyork.com/news/lo
cal/MadoffWhistleblowerMarkopolos-SlamsSEC-in-New-Book87173332.html
Bureaucrats as Politicians
and Policy Makers
Congress delegates pwr
through enabling legislation
 In theory, agency should
implement Congress’ laws,
but agencies role to decide
how laws should be
implemented requires
formation of admin rules
 Agencies make rules, enforce
rules and adjudicate
violations of rules, this
violates what?

– Sep of Pwrs

Also means agency become
unelected policymaker
Bureaucrats as Policymakers
– Rule making – interested parties have
opportunity to comment on proposed regs and
try to convince agency to redraft/change regs
 Waiting periods – 60 days and can then enforced
 If company would incur significant costs to comply,
can challenge in courts
– Negotiated rulemaking Act 1990 – purpose to
avoid lawsuits, authorizes agencies to allow
those effected by new rule to participate in rule
drafting process
 Once agreement is reached, can’t challenge in court
Why does Congress give fed
agencies policy-making discretion?
Congress lacks
expertise/agencies
have it
 Less time
consuming
 More efficient
 Easier for agency
to come to
agreement

Iron Triangles
https://www.youtube.com/watch?v=c7v1KwM3pnE
Iron Triangles

Relationship btwn
exec branch,
congress comm &
interest groups, all
involved in one
area of policy
making
Issue Networks
Used by some instead of iron triangle to
describes policymaking process
 Iron triangles – diff interest groups concerned
about diff issues have conflicting demands
 Individuals, orgs that support a particular policy
position on environment, taxation, consumer
safety or some other issue
 Members of particular issue network work
together to influence the president, members of
Congress, admin agencies and courts to affect
public policy on a specific issue

Iron Triangles
Can improve
efficiency
 Can cause
decisions to be
made which
benefit interest
group at expense
of govt

Iron Triangles
Revolving door –
govt industry
revolving door puts
industry-friendly
experts in positions
of decision-making
pwr
 Individuals often
rotate btwn
working for
industry and govt ,
conflict of interest

What factors lead to
bureaucratic independence?


The structure of bureaucracy promotes independence
– Size
– specialization/expertise
– Jobs under merit system/hard to fire certain
employees
– Independence of independent agencies and
regulatory commissions
Complexity of public policy problems
– Delegated authority – Congress and president cannot handle
everything
– Discretionary authority – legislation vague, bur has pwr to fill in
gaps
– Bur have specialization and expertise
Checks -- Congressional Control
of the Bureaucracy
How does Congress check the bureaucracy and ensure
agencies follow legislative intent? The ultimate control is in
the hands of Congress
 Congress controls the purse strings, can reward or punish
with appropriations
 Create or abolish agencies & depts.
 Oversight via investigations, hearings, and review (appear
before Cong. Comms)
 Govt Accountability Office

Can change laws
 Can reject presidential appointments to bureaucracy
 Can impeach executive officials
 Use casework to get information about issues

Checks -- Congressional Control
Why does Congress fail?

Congress does sometimes fail to exercise effective oversight
– why?
–
–
–
–
Oversight labor intensive
Lack technical expertise
Iron triangles/cozy relationship with agencies
Interest groups/PACs may encourage members to overlook effective
administration
– Enabling legislation is vague – allowed agency too much discretion
or power
– Failure to “use” available pwrs or ineffective use of them
– http://www.cspanclassroom.org/Video/58/Michael+Brown+testifies+before+Congre
ss.aspx
Government Accountability
Office -- GAO
Congress’ watchdog
 Designed to audit and
review executive branch
agencies
 Part of legislative
branch, headed by the
Comptroller General
(appointed by pres
confirmed by Senate

Checks by the Courts
Judicial review – can
declare bureaucratic
actions unconstitutional
or limit bureaucratic
practices
 Can issue injunctions
against federal agencies
 Provide due process for
individuals affected by
bureaucratic action

President’s oversight?
Appoint & remove agency heads
 Issue executive orders
 Recommend to reduce an agency’s budget
 Use office to try and influence agency and
policy

Checks by Interest Groups

Interest groups can
use the 1st
Amendment by
lobbying,
protesting, using
the media and
otherwise speaking
out to check the
bureaucracy
Questions for Critical Thinking
What could be done to eliminate iron
triangles?
 In modern times, we tend to equate the term
“bureaucracy” with “red tape” or inefficiency.
How does the goal of neutrality and the need
for specialization help reinforce those
images?

Presidents and Their Plans