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"A" bureaucracy
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Any large, complex organization likely to have:
- division of labor/specialization
- hierarchy
- lots of standards operating procedures (SOPs)
- merit-based personnel decisions (ie hiring/firing/promotion)
- division of labor/specialization
- hierarchy
- lots of standards operating procedures (SOPs)
- merit-based personnel decisions (ie hiring/firing/promotion)
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"The" bureaucracy
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Usually refers to the departments, agencies, and commissions in the Exec Branch
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bureaucrat
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someone who works in the bureaucracy
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Constitutional basis for bureaucracy
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None, other than a reference to the Prez's power to appoint 9w/ advice and consent of S) "all other officers of the US whose appointments..are not...otherwise provided for..."
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Max Weber
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Early thinker about bureaucracies. Suggested that they were a rational way for modern society to organize it's business. Intro the characterizes of "a" bureaucracy
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What bureaucrats do (note: not every agency does everything listed below)
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- quasi-legislative activities: they adopt regulations, which implement statutes and which have the force of law
- quasi-judicial activities: agencies interpret their own rules and can fine people, remove them from an industry, etc.
- oversight: once regulation is written, the bureaucrats monitor for compliance
- dispensing federal $$ (like the Social Admin/Nat'l Institutes of Health)
- may be asked to testify before Congress ab their work in any of these areas that are applicable
- quasi-judicial activities: agencies interpret their own rules and can fine people, remove them from an industry, etc.
- oversight: once regulation is written, the bureaucrats monitor for compliance
- dispensing federal $$ (like the Social Admin/Nat'l Institutes of Health)
- may be asked to testify before Congress ab their work in any of these areas that are applicable
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quasi-legislative
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Congress often delegates much responsibility to the agencies, allowing them to interpret vague statutes through more precise regulations. Congress does this bc it often lacks time and expertise that the agencies have
- note: many people are uncomfortable w/ how much authority Congress delegates to the agencies. Arguable. Is it ant-democratic for unelected bureaucrats to be making decisions that Congress should make
- one response to that is the requirements that rules must be proposed for public comment before adopted in final form; rules that ignore majority of comments risk being overturned be a court for being "arbitrary and capricious." In this way, "we the people" have direct input into the final policy
- thus far, courts are willing to extend "Chevron Deference" (which comes from the case of Chevron v. Natural Resources Defense Council) to an agency (ie. Upholding an agency's action if the statute being implemented is ambiguous and the agency's interpretation is reasonable)
- note: many people are uncomfortable w/ how much authority Congress delegates to the agencies. Arguable. Is it ant-democratic for unelected bureaucrats to be making decisions that Congress should make
- one response to that is the requirements that rules must be proposed for public comment before adopted in final form; rules that ignore majority of comments risk being overturned be a court for being "arbitrary and capricious." In this way, "we the people" have direct input into the final policy
- thus far, courts are willing to extend "Chevron Deference" (which comes from the case of Chevron v. Natural Resources Defense Council) to an agency (ie. Upholding an agency's action if the statute being implemented is ambiguous and the agency's interpretation is reasonable)
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Munn v. Illinois
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Upheld right to regulate a business if doing so is "in the best interest of the public"
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Structure of federal bureaucracy
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- cabinet departments (15 total (State, Treasury, War (now Defense), Justice are the inner cabinet))
- executive agencies
- independent regulatory agencies
- government corporations
- executive agencies
- independent regulatory agencies
- government corporations
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executives agencies
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- these divide the workload of cabinet department, ex. Dep't of Homeland Security has within it the Coast Guard, TSA, ICE, etc.; The Justice Dep't has the FBI, etc.; Treaury has the IRS, etc.
- These have one person leading them (unlike independent agencies white typically have 5-7 members on a board/commission
- compared to independent agencies, these have a fairly narrow mission
- These have one person leading them (unlike independent agencies white typically have 5-7 members on a board/commission
- compared to independent agencies, these have a fairly narrow mission
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Independent Regulatory Agencies
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- Often protect some portion of the eco (ex. Fed Reserve Board) although some operate in a service capacity (ex. Social Security)
- have multi-member boards/commissions: terms of directors/commissioners are staggered so that no prez can replace all the members at once. Moreover, these may be removed only for cause (not just because the prez disagrees w/ them); that's why they're considered "independent"
- ex. Fed. Reserve Board, Securities and Exchange Commission, Fed. Communications Commission, Fed. Trade Commission, CIA, EPA
- have multi-member boards/commissions: terms of directors/commissioners are staggered so that no prez can replace all the members at once. Moreover, these may be removed only for cause (not just because the prez disagrees w/ them); that's why they're considered "independent"
- ex. Fed. Reserve Board, Securities and Exchange Commission, Fed. Communications Commission, Fed. Trade Commission, CIA, EPA
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government corporations
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- Entities that have private ownership but that perform a public function
- tension b/w maximizing profit for shareholders and achieving policy objectives of politicians
- ex. Remember the "rail/fail mnemonic- Amtrak and Fannie Mae. Other examples: Tennessee Valley Authority (TVA), Fed. Deposit Corporation, and the Corporation for Public Broadcasting
- tension b/w maximizing profit for shareholders and achieving policy objectives of politicians
- ex. Remember the "rail/fail mnemonic- Amtrak and Fannie Mae. Other examples: Tennessee Valley Authority (TVA), Fed. Deposit Corporation, and the Corporation for Public Broadcasting
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Some tensions in the bureaucracy
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- fairness v. Responsiveness: we want bureaucrats to treat each case fairly but we want a quick response
- professional independence vs. accountability: we want workers to show initiative but be accountable for their mistakes
- efficiency vs. accountability: we want the agencies to move quickly, but holding them accountable results in much "red tape" (ie. Rules, regulations, paperwork, etc. that makes dealing w/ the gov't often a frustrating experience)
- professional independence vs. accountability: we want workers to show initiative but be accountable for their mistakes
- efficiency vs. accountability: we want the agencies to move quickly, but holding them accountable results in much "red tape" (ie. Rules, regulations, paperwork, etc. that makes dealing w/ the gov't often a frustrating experience)
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Why some bureaucratic programs fail
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- flawed design in the program
- unclear/contradictory policy directive
- lack of resources (sometimes can't fire the best employees bc private sector pays more)
- fragmentation of responsibilities (maybe some overlapping turf of agencies, maybe some gaps)
- employees who are mired in SOPs. Doing things this way bc we've always done them this way
- unclear/contradictory policy directive
- lack of resources (sometimes can't fire the best employees bc private sector pays more)
- fragmentation of responsibilities (maybe some overlapping turf of agencies, maybe some gaps)
- employees who are mired in SOPs. Doing things this way bc we've always done them this way
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Why does Congress delegate so much power to the agencies given all these problems?
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Congress lacks:
- expertise: lots of problems that Congress and the agencies are addressing are very technical
- time: those are only 535 MCs and tens of thousands of regulations, enforcement actions, etc. that the agencies are dealing w/
- congress want to avoid the blame: delegating to an agency allows an MC to claim credit for the statute if things go well and to blame the bureaucrats for the regulation if things go poorly
- expertise: lots of problems that Congress and the agencies are addressing are very technical
- time: those are only 535 MCs and tens of thousands of regulations, enforcement actions, etc. that the agencies are dealing w/
- congress want to avoid the blame: delegating to an agency allows an MC to claim credit for the statute if things go well and to blame the bureaucrats for the regulation if things go poorly
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Checks on Bureaucracy (Congress controls...)
answer
- the money: agencies can have programs underfunded/unfunded. Agency cannot spend money unless Congress first (a) authorities an activity and then (b) appropriates $$. Congress could even deny funding for the agency as a whole
- the laws: can change the scope of an agency's jx; can also change the statutes that the agency is administering, which will cause the policy directions to change accordingly. can even legislate an agency out of existence in extreme circumstances; tried to use "legislative vetoes" but was held unconstitutional in INS v. Chadha
- the oversight: they can conduct oversight hearings whenever they want. Question agency abuses, lapses, weaknesses etc.; never underestimate the power of a good oversight hearing
- the agency heads: the S will need to confirm the heads of the various agencies
- the laws: can change the scope of an agency's jx; can also change the statutes that the agency is administering, which will cause the policy directions to change accordingly. can even legislate an agency out of existence in extreme circumstances; tried to use "legislative vetoes" but was held unconstitutional in INS v. Chadha
- the oversight: they can conduct oversight hearings whenever they want. Question agency abuses, lapses, weaknesses etc.; never underestimate the power of a good oversight hearing
- the agency heads: the S will need to confirm the heads of the various agencies
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Legislative vetoes
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Where Congress retains the right to overrule the action of an executive branch agency w/o passing a new law; held unconstitutional in INS v. Chadha
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Checks on Bureaucracy (the President can...)
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- reorganize agencies
- issue executive orders directing executive branch to do things
- an example of the first 2 things a pres can do. Clinton directed VP Gore to undertake a 6 month "Nat'l Performance Review) and recommend ways to make bureaucracies more efficient
- heavily influence the budget submitted by an agency
- appoint who he wants (subject to A&C of the S) as head of the agencies (and remove some of them, depending on what type of agency they're w/)
- overrule an agency if a proposed red will have a sig effect on the eco. The Office of Info and Regulatory Affairs (OIRA) reviews all proposed "major" rules
- note: competition b/w exec branch actors can also act as a check (e.g. State Dep't and Dep't of Defense proposing 2 different solutions to problem in same foreign country)
- issue executive orders directing executive branch to do things
- an example of the first 2 things a pres can do. Clinton directed VP Gore to undertake a 6 month "Nat'l Performance Review) and recommend ways to make bureaucracies more efficient
- heavily influence the budget submitted by an agency
- appoint who he wants (subject to A&C of the S) as head of the agencies (and remove some of them, depending on what type of agency they're w/)
- overrule an agency if a proposed red will have a sig effect on the eco. The Office of Info and Regulatory Affairs (OIRA) reviews all proposed "major" rules
- note: competition b/w exec branch actors can also act as a check (e.g. State Dep't and Dep't of Defense proposing 2 different solutions to problem in same foreign country)
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Checks on Bureaucracy (Courts can...)
answer
- rule that an agency acted in a manner that is inconsistent w/ a statute/regulation or that a regulation is "arbitrary and capricious" if it is adopted w/o sufficient facts in the rule-making record to support its adoption
- note: someone suing an agency must "exhaust administrative remedies." This typically means you have to file an appeal w/ the agency first, then complain to an "Administrative Law Judge," and then sue in court
- also, there's the public's check: comment letters, lawsuits, complaints to MCs, etc.
- note: someone suing an agency must "exhaust administrative remedies." This typically means you have to file an appeal w/ the agency first, then complain to an "Administrative Law Judge," and then sue in court
- also, there's the public's check: comment letters, lawsuits, complaints to MCs, etc.
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A Prez has little control over the cabinet secretaries. Why?
answer
- short tenure of appointees (ie. Cabinet secretaries and senior officers); staffers outlast them
- the real expertise usually is in the lower-level staff, who have their own thoughts about how to do things
- other actors competing w/ the Prez for influence (like Congress)
- secretaries often become advocates for department instead of the Prez (they get to know the department better, understand its goals and limitations, and can see issues in different light than before they were appointed). This is sometimes called "going native"
- the real expertise usually is in the lower-level staff, who have their own thoughts about how to do things
- other actors competing w/ the Prez for influence (like Congress)
- secretaries often become advocates for department instead of the Prez (they get to know the department better, understand its goals and limitations, and can see issues in different light than before they were appointed). This is sometimes called "going native"
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Other constraints on bureaucracies
answer
- Administrative Procedures Act: must publish a proposed reg and give public an opportunity to comment; final rule must be based on the record of comments (otherwise it can be successfully challenged as "arbitrary and capricious"). Proposal (and then final rule) is published in the Fed. Register
- Freedom of Information Act: w/ some exceptions, public is entitled to get copies of an agency's records
- Gov't in the Sunshine Act (aka the Open Meeting Law): w/ some exceptions, meetings of agency boards are to be open to the public
- Practical constraint: many goals are shared by more than one agency, which can create inter-agency tension, conflicts, etc.
- Freedom of Information Act: w/ some exceptions, public is entitled to get copies of an agency's records
- Gov't in the Sunshine Act (aka the Open Meeting Law): w/ some exceptions, meetings of agency boards are to be open to the public
- Practical constraint: many goals are shared by more than one agency, which can create inter-agency tension, conflicts, etc.
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Bureaucrats' weapons
answer
- knowledge/expertise: this can serve as a check on Congress (or even the prez)
- ambiguities in a statute that require the exercise by a bureaucrat of discretion; see street-level bureaucrat
- agencies have own pol. Support in Congress and/or interest groups (remember iron triangles and issue networks)
- longevity; bureaucrats usually stay in office longer than any prez and thus can "slow walk" a direction
- ambiguities in a statute that require the exercise by a bureaucrat of discretion; see street-level bureaucrat
- agencies have own pol. Support in Congress and/or interest groups (remember iron triangles and issue networks)
- longevity; bureaucrats usually stay in office longer than any prez and thus can "slow walk" a direction
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street-level bureaucrat
answer
A gov't worker who has direct contact with the public. Often has to exercise judgment in the
application of ambiguous rules. Can help or frustrate implementation of policy.
application of ambiguous rules. Can help or frustrate implementation of policy.
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Senior Executive Service (SES)
answer
Established by Congress in 1978 as a flexible, mobile corps of senior career executives who work closely with presidential appointees to manage government. Can be moved from one agency to another.
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GS Rating (Government Service)
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A rating given to most non-SES gov't employees. The GS scale and related rules are intended to make hiring and promotion fairer by making both more objective
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Office of Personnel Management (OPM)
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Agency that administers civil service laws, rules, and regulations. In charge of hiring for most agencies.
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merit system
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A system of public employment in which selection and promotion depend on demonstrated performance rather than political patronage. Brought about by the Pendleton Act.
- note: there are some "name-request" jobs: the person doing the hiring already has someone in mind
- note: there are some "name-request" jobs: the person doing the hiring already has someone in mind
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Pendleton Act
answer
Beginnings of the Civil Service system for fed employees. Enacted in the aftermath of the assassination of James Garfield in 1881 by a disappointed office-seeker. Designed to eliminate the "spoils system." The act requires employees to be hired and promoted on the basis of merit, not party loyalty/friendship.
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Spoils system (aka "patronage")
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A system of public employment based on regarding party loyalists and friends
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Merit Systems Protection Board
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Government agency that hears disputes about employment decisions
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Hatch Act
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Fed employees may not campaign at work/run for office
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Whistleblower Protection Act
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Prohibits an agency from retaliating against an employee who discloses info about acts the employee thinks were illegal/dishonest
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