The Federal Bureaucracy

The Fourth Branch of Government

Division of labor Specialization of job tasks Hiring based on worker competency (merit

system) Hierarchical with vertical chain of command Standard operating procedures govern

activities

Characteristics of Bureaucracy

Political Appointees (the patronage system)

These are presidential appointees (approximately 3000 in number)

The Plum Book is a list of all the jobs in the federal bureaucracy to which the president will make an appointment

No job security – they are hired and fired by the president

Federal Bureaucrats

Senior Executives – the top managerial,

supervisory and policy positions that link political appointees to the rest of the federal bureaucracy. 90 % are career appointees, hired based on

merit, they can be moved from job to job or agency to agency but cannot be fired unless the government can prove cause

10% are appointed with approval of the Office of Personnel Management. They are non-career temporary bureaucrats that can be removed at the president’s pleasure.

Federal Bureaucrats

Civil Servants – merit based civil service

(Pendleton Civil Service Act) Jobs are acquired through open competition and

competence Political Neutrality – provided through job

security assuming no malfeasance or nonfeasance

27% of federal civil servants are union members; more likely if they are blue-collar workers rather than white-collar workers

Federal Bureacrats

State and local bureaucrats number almost 20

million Devolution accounts for much of the growth

here Shadow bureaucrats number almost 7 million

These are private organizations that provide vital services, or produce important goods and resources needed to serve the public interest

These are a result of the increased effort to contract out to bring the benefits of markets to government processes

State, Local, Shadow Bureaucrats

Departments – the 15 Executive Agencies headed

by an appointed Secretary (Attorney General for the DOJ).

Independent Administrative Agencies – they are “independent” because they are outside the cabinet departments. Some of their heads sever fixed terms making them independent of the president, others serve at the presidents pleasure but cannot be fired without cause, and still others can be removed without cause. Though independent they fight for political support (the Acquisition Model).

Categories of the Federal Bureaucracy

Independent Regulatory Commissions – created to

bring expertise to the establishment of regulations for industries and businesses, to develop accountability standards, and to impose sanctions for non-compliance Examples: The Interstate Commerce Commission, the

Consumer Product Safety Commission Government Corporations – government owned

businesses that are seen to be in the public interest to be publicly administered, and which are meant to generate the income to support themselves without the need for federal monies (The US Postal Service is an example)

Categories of the Federal Bureaucracy

The Executive Office of the President –

composed of dozens of offices and councils that assist the president in managing the complex and sprawling executive branch of the bureaucracy. The heads of these offices and agencies are

appointed by the president and do not generally require Senate confirmation

Categories of the Federal Bureaucracy

Agenda Setting

Iron Triangles – the long-term collaboration between government bureaucrats, interest groups, and legislative committees. They serve an important function, but give rise to allegations of chronyism, corruption, elitism and the “Washington cartel”

Issue Networks – temporary collaborations among bureaucrats, legislators and interest groups to set agendas and influence policy development

Roles of the Bureaucracy in Public Policy

Policy Formation – define a problem, develop a plan of

action to address it (policy); bureaucrats often called upon by Congress to testify on the likely impact of proposed policies

Policy Approval – when laws are signed into existence or over-ride a presidential veto, they may be authorization laws that provide a plan of action to an agency for putting the law into effect.

Appropriation Approval – bureaucrats request appropriations (budgeted monies) from the president, justify appropriations to Congress, and lobby Congress for appopriations.

Roles of the Bureaucracy in Public Policy

Policy Implementation –

Administrative discretion – the interpretation of the law and the best way to implement it

Administrative rule making – the creation of rules, regulations and standards by top level bureaucrats

Administrative adjudication – the determination as to whether rules have been violated and what penalties will be imposed.

Policy Evaluation – determination of whether policies have been effective or not. Accountable to Congress, but evaluation of effectiveness of policy is still not a bureaucratic strong suit.

Roles of the Bureaucracy in Public Policy

To the People – efforts at reform and

transparency The Administrative Procedures Act (1946) The Freedom of Information Act (1966) Government in the Sunshine Act (1976) Internet and government websites make

government more accessible and accountable The media can serve as a means of highlighting

bureaucratic mis-steps, waste and inefficiency Lawsuits are a final option

Bureaucratic Accountability

To the Courts

When lawsuits are filed against the bureaucracy, it is the courts that determine whether they are acting within their legal boundaries. Individuals, cities, interest groups, attorney’s general, etc., have all successfully brought lawsuits against the federal bureaucracy.

Bureaucratic Accountability

To Congress

Necessary as Congress provides funding Congressional oversight – Congress can

investigate bureaucratic departments and agencies. Can cut funding, modify their authority, or eliminate the agency if they are unhappy with it.

Congress can add pressure by creating sunset clauises that makes them automatically expire on a specified date without an extension by Congress

Bureaucratic Accountability

To the President

Approval or Vetoing of appropriations bills President can fire political appointees Through the OMB the president can increase or decrease a

department’s or agency’s funding. Internal Accountability

Codes of ethics and behavior – provide guidelines for appropriate behavior of bureaucrats

Rules against conflicts of interest Whistleblower Protections

Protects employees who bring to light misdeeds, fraud, waste etc., against retaliation

Inspectors General – government watchdogs who are embedded in the agency and who monitor implementation and investigate misconduct

Bureaucratic Accountability