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 (employee-employer 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

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 departments2. Government corporations3. Independent executive agencies4. 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

Department of Veterans’ Affairs

House Committee on 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:– 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• Agriculture• The environment• Product safety• Oil

A. Identify the participants in the iron triangleB. 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.