Bureaucratic Responsiveness: Conceptual Issues and Current Research Grace Hall Saltzstein University of California, Riverside ABSTRACT An examination of theoretical, conceptual, and empirical atwlyses of burmucratic responsiveness rmeuls that, despite years of research, therc is considerable confusion and arnbigui!y. Assessments as to the extent and nuture of bureuucratic responn'veness va y tremendously; conflicting definitions of the central concept are commonly d ;and competing--~nd perhaps equally validconceptualiufions often are ignored entirely. Drawing upon releaant literature, this crsay m i n e s the concept of burmucratic responsiuentss and attempts to delintnte ( 1 ) the major boundaries of the concept, (2) the primM@ thwreticul and methodological lirnifutions of various approaches, and (3) the main questions that have been thus fir amlooked or inadqua tely addrssed. The problem of bureaucratic responsiveness remains a significant concern to theorists, researchers, government officials, and the public in general. The growth and evolution of large, powerful public organizations with limited and ambiguous constitutional justification has fed these concerns. Inevitably, questions revolve around how to reconcile bureaucratic policy making with democracy in the absence of standard mechanisms of direct popular control. Interest in these questions has waxed and waned, with a marked resurgence evident in recent years as observers have responded to the surprisingly successful attempts of the Reagan administration to direct the bureaucracy and as the "new institutionalism" in political science has brought renewed interest in all institutions of government. Yet years of theoretical, conceptual, and empirical analyses have failed to eliminate or even acknowledge fully the confusion and ambiguity su mounding the problem. Assessments of the extent and nature of bureaucratic responsiveness vary considerably, as preferences for a1ternative 63/]oumal of Public Administration Research and Theory Bureaucratic Responsiveness definitions of democracy and of basic democratic values lead scholars to adopt conflicting definitions of the central concept, while ignoring or dismissing equally valid alternative concep tualizations. While recent analyses show some promise for acknowledging alternative views, oversights and biases continue to affect research. Drawing upon relevant literature, this essay examines the concept of bureaucratic responsiveness and attempts to delineate (1) the major boundaries of the concept, (2) the prinapal theoretical and methodological limitations of various approaches, and (3) the main questions that have been thus far overlooked or inadequately addressed. While belief in the concept of a politics/administration dichotomy may never have been either as widespread or as uncritical as some have maintained (Martin 1988), the general influence of the concept did let analysts avoid some of the thornier theoretical problems inherent in the separation of powers (OTToole 1987). Hence, xholarly interest in bureaucratic responsiveness awaited recognition that administration could not be divorced from politics, but was instead a "continuation of the legislative process" (Herring 1936, 218). Scholars taking this perspective focusd on the problems of exerting democratic control over a policy making bureaucracy, and argued over the extent of the problem and how best to alleviate i t (see, for example, Appleby 1965; Finer 1941; Friedrich 1940). Further, analysts at this point tended to associate responsiveness with accountability, with the entire literature "pitched at a high theoretical level" (Hill 1981). Later scholars shifted focus to the effects of s e f i c accountability mechanisms, or utilized research on legislative responsiveness (Ingram et al. 1980; Eulau and Prewitt 1973) as a model for analyzing general issues of bureauaatic representation and responsiveness (Mann 1976; Tucker and Ziegler 1980). These scholars' efforts to develop measurable indicators of responsiveness inevitably refocused attention on central theoretical and conceptual issues regarding the meaning of responsiveness. More recent general analyses of bureauaatic controllability expand on these issues (Gruber 1987; Cormley 19891, while a large and growing literature uses rational models and empirical tests of these models to explore elements of responsiveness in the context of relationships between Congress and the bureaucracy and between bureaucratic agents and political principals generally (for reviews, see Moe 1987; March and Olsen 1989; Bendor 1990; Levinthal 1988). Unfortunately, theoretical advances in the study of bureauaatic responsiveness have been hindered by the tendency of earlier researchers either to adopt narrow concep tualizations of responsiveness or to borrow conceptualizations , from studies of legislative responsiveness, while the focus of - I I more-recent research on amtrd of bureaucracy sometimes slights key elements of responsiveness. Nonetheless, the evolution of reclent research on political control of bureaucracy promises to bring renewed attention to the theoretical and conceptual complexity of bureaumatic responsiveness. Ream t =rch at least has begun to acknowledge the sometimescomplex links between conceptions of demouacy, specific democratic n o m and values, and specific institutional mechanisms to promote those norms (e Cmber 1987). As Pateman (1971,304) has argued in regard to democratic norms generally, "there is more than one way to intnpnt norms and values traditionally associated with d-cy; there is more than one view on what 'really' oonstitutes responsiveness of leaders," and differences in interpretation are tied to notions about which forms of institutions "give practical expression to those norms and values" (emphasis in the original). Such interrelationships are evident in the way in which two very different views of bureaucraq's represmtational role in a dernocratic system appear to shape analyst$ conceptions of bureaucratic responsiveness . .. BUREAUCRATIC RESPONSWENESS.TO THE PUBLICS WISHES One perspective sees the bureaucracy as a representative of the public and defins bureaucratic responsiveness in much the same fashion as legislative responsiveness. That is, it is assumed that bureaucratic responsiveness entails responding to the wishes of the public However, few authors adopting this perspectiw acknowledge any disagreement over the appropriate fashion by which public wishes are to be entered into bureaucratic deliberations, despite the fact that pronounced disagreement as to the proper channels of interaction between citizens and bureaucracy is evident in both the theory and the practice of public administration. The traditional view defines elected officials as the legiti m t e representatives of the public, with the bureaucracy serving as a neutral instrument that elected officials are to use in meeting public demands. According to this view, elected officials are a m r d e d sole responsibility for representing public interests The bureaucracy provides no independent assessment of public wishes; it responds to the public solely through faithful adherence to elected officials' interpretation of public wishes. Obviously compatible with Woodrow Wilson's 1887 beatise on administration, which stimulated the acceptance of the 65/]-PART,January 1992 : Bureaucratic Responsiveness politics/adminisbation dichotomy, this view-labeled "ovcrhead democracy" by Redford (1969) and the "formalist" modcl by Frug (1984bretained strong support among administaton and analysts even after support for the politia/administration dichotomy waned. Gruber (1987,11), for example, argues that "bureaucracies pose a problem for democracy when thcy makc governmental decisions--that is, public policyand thereby short arcuit electoral channels of public control." Similarly, Ziegler et al. (1974,6) argue that, "At the risk of ovmimplification, the thrust of standard political W r y is that, even though a balance between efficiency and responsiveness must be maintained, the ultimate policy initiative should rest with the elected representatives." Social criticism for some time has focused on the difficulties of maintaining an appropriate lcvcl of legislative dominance (Calbaith 1965; Hynemn 1950; Lowi 19691, and empirical nzearch continues to show that many practicing administrators believe that elected officials can and should exercise at least some degree of dominance over them (Greene 1982; Gruber 1987). An alternative perspective on the bureaucracfs role in thc democratic political system is evident both in administrative practice and in democratic theory. This view allows much more autonomy on the part of the bureaucracy because it assumes that the bureauaacy exercises independent representational functions that may be equivalent to the representational functions performed by elected officials. Thmtical justification for this perspective tends to focus on the fad that popular sovereignty in the American political system is expressed through a structure that "is republican in charadera system of institutions sharing power and thereby giving vent to democratic will, but also seeking to curb its excesses and those of its rulers" (Burke 1989,183). Hence, it has been argued that "the people" delegate their authority to three equal branches of government, that elections are simply one of several means of selecting authorized agents of the people, and that elected and nonelected officers alike may "represent" the public in direct fashion (Rohr 1986; Storing 1976). Some analysts contend that the bureaucracy actually may be superior to the legislature in representing the public. Long (1952, 811-13), for example, argues that vital interests are "unrepresented, underrepresented, or malrepresented" in Congress and that bureaucrats are likely to be more responsive to the desires and needs of the broad public than r highly s e l d slice whose responsiveness is enforced by r mechanism of e k d o n s that frequently places more power in the hands of campaign backers than voters. &/I-PART, January 1992 Bureaucratic Responsioencss While analysts frequently disagree as to how far administrators rnay go in competing with the legislature, dear support for an independent reprrsentational role for bureaucracy has been evident in pluralist theories (Dahl 19561, in analyses of burcaucratic politics, in administrative reforms during the New Deal period, and in the "new public administration" of the 1970s More recently, analysts attempting to develop an ethics of bureauaacy have acknowledged the complexity of the constitutional system and the ways in which mu1tiple democratic norms (e.g., procedural respect and public orientation) rnay conflict, concluding that d i m obligations to the public may override allegiance to either elected officials or the judiciary (Thompson 1980 and 1988; Cooper 1982; Burke 1989). Hence, one mapr perspective on bureaucratic responsive ness views the bureaucracy as a representative of the public. However, analysts adopting this perspective disagree as to whether the bureaucracy owes responsiveness directly and independently to the public or whether such responsiveness is indirect only, flowing from el& officials' representation of the public. BUREAUCRATIC RESPONSIVENESS TO THE INTERESTS OF THE STATE A mapr alternative perspective toward bureaucratic reprc .' senta tion emphasizes the responsibility of the bureaucracy to "represent" the state in interactions with the public (Pitkin 1%7,41). Indeed, Rosenbloom (1974,163) argues that The history of the United States bureaucracy and some of the most fundamental features of the personnel system support this view more than they support any other. Political neutrality regulations, byaltysecurity provisions, and the traditional judicial doctrine concerning the constitutional rights of public employees have all been prcmiscd largely on a conception of federal w a n t s as being representative. of the government or state, rathe than of any outside group or as their own agents. Looking at the representative function of bureaucracy from this perspective focuses at tention on the instrumental nature of bureaucratic existence and the objective, substantive functions performed by bureaucracy. Thus, it is emphasized -, that administrative agencies were created for specific purposes, I1 and that their primary responsibility is to provide "good administration," which may be defined in a variety of ways. Theoretical support for this view of the representational function of bureaucracy typically ascribes a unique role to the bureaucracy that may be independent of the wishes of either 6 7 / ] - P A R T ,January 1992 Bureaucratic Rtsponsivnuss elected officials or the public. Here, bureaucraaes may be I viewed as "agents of the law" (Wood 1988), providing the "ballast that maintains the ship of state in unsteady seas" (Abehch and Rockman 1988). 'Iheorisk and analysts adopt. ing this perspective a s u i i a ~ r i e t yof roles to bureaucracy, contending, for example, that bureaucrats may represent faitl fully "static coalitions from the past" (Wood 1988, 231 embedded in policy against the enthusiasm of transitory elected officials, or they may ad as "administrative statesmen" to provide sober, dispassionate a s s s m e n t of the whims and passions of the public (Herring 1936; Appleby 1965; Waldo 1948). In this fashion, a bureaucracy performing as a repmentative of the state may act as a counterbalance to the v i m inherent in more popular mechanisms of demucratic control. According to this view, responsiveness frequently is assess& on the basis of substantive actions of bureaucracy rather than on the link between bureaucratic actions and public or elected offiaals' prefemces. Commonly utilized standards of assessment include efficiency, fiscal integrity, accountability, equity, neutral competence, expertise, and professionalism (Fesler 1980; Kaufman 1969; Wilson 1%7), and bureaucrats may be expected to respond to objective needs in addition to, or even instead of, public preferemes (Schumaker and Loomis 19791.' 1 I CONSEQUENCES OF ALTEKNATlVE PERSPECITVES No single perspective on bureaucratic responsiveness has gained dominance in either the practice or study of public administration, despite the fact that different perspectives inevitably lead to contradictory conclusions as to what responsiveness requires in any given situation. Of course, as Gruber (1987) and others acknowledge, the selection by bureaucrats of a perspective on responsiveness may be cruaal. The perspective becomes an important component of the bureaucrats' generalized role conceptions that-presumably--affect their behavior. Those bureauaak who adopt one or the other version of the first penpective-emphasizing responsiveness to the \ public's wishes-are likely to behaw in characteristic ways. For example, those who* theoretical conception of the bureaucratic role has been iduenced by notions of administrative 'Pitkin (1967 and pluralism are likely to employ such "political" decision making that responsiveness may rquire more than mere reaction to demands; hence, techniques as bargaining, coalition building, and compromising responsiven- may opp among competing groups, while those who believe in either ritlon to or in the absenoe of public legislative or presidential dominance are more likely to opinion or demands. emphasize obedience to rules and direct orders. - 1 I .' On the other hand, those bureaucrats who adopt the m n d perspective-emphasizing responsiveness to the interests of the state--are likely to respond according to their own interpretation of the requirements of this role. For example, those iduenced by the vestiges of a politio/administration dichotomy and norm of neutral competence may approach substantive responsiveness in t m of expertise or professionalism. Administrators adopting this perspective, referred to by -j Dotson (1957) as the "corporate objectivity approach to adrnin- , istrative responsibility," assume that scientific standards and expertise should provide-& basis of administrative response, , especially when policies cannot easily be judged by the public or by elected officials' In those cases, e o n a l i t y will deterto substantive policy needs. mine bureaucratic Others may act as administrative statesmen (Appleby 1965; Storing 1980; Waldo 1948), responding to their interpretations of the public interest, or as change agents with primary equity (Marini 1971). responsibilities to achieve soda1 '' ~~ DEFINTNG RESPONSIVENESS Even if analysts can agrtx on a particular perspective on bureaucratic responsiveness, difficulties arise in defining the general concept of responsiveness. In order to operationalize the concept, certain assumptions must be made about the appropriate targets o~govemmentalresponsiveness, the wishes or interests to which government should respond, and the fo-m that governmental responses-sJo@d take. Consequently, the boundaries of the concept are established by answering the questions of responsiveness to whom? to what? and in what form? Yet answering these questions is anything but simple, and the questions themselves often are overlooked in current analyses (Gruber 1987; Gormley 1989). the dferenccs cormley )'8gl and Wvber (lg8' sua3at' ~nalystsdisagree as to when or ,,hethe the plt,bc or doffikls ,re Icapable than are bureauaats II judgng public pol~aes AS I I For example, those who advocate bureaucratic responsive I ness to the public frequently sidestep the problems of defining the relevant public. Here, an initial problem of "appropriate inclusion" arises in defining the population to be considered as the community for decision making purposes (Dahl and Lindblom 1953). Where should the boundaries of the relevant community be drawn: at the level of neighborhoods, cities, states, or regions, or at the level of the nation as a whole? The theoretical problem arises because a bare maprity within a particular community can become a minority in a slightly larger community, such that "however impeccable democratic decision making may be within a given community, the outCOW are in some sense determined by the previous and inescapably undemocratic decisions that defined them in the first place" (Whelan 1983). 69/J-PART,January 1992 \ I I Bureaucratic Rctponsivcncss While responsiveness to a particular population, such as residents of a neighborhood, may preclude responsiveness to an alternately defined population, such as residents of the entire city, analysts of bureaucratic responsiveness or, more recently, of the political "control" of bureaucracy, continue to examine a single population as the appropriate target of -, responsiveness and ignore the effect of bureaucratic decisions ' on other potential populations. Yet, as Salamon and Warnsley (1975) note, bureaucrats often are afforded dirretion in designating a target population and hence legitimately might be chastised fbr ignoring any potential population. Similarly, questions arise as to whose- interests within any given community should engender aresponse. Should institu-, tions be responsive to the interests of the mass public, voters, attentive elites, organired groups,or individuals? Adrninistrators face demands from numerous acton, including individual legislators, legislative committees, legislative chambers,chief executives, agency superiors, agency constituents, individuals affected by a policy, immediate clientele, or some specific group, such as the socially disadvantaged. Not surprisingly, these potential populations often express ' conflicting p r e f m e s , and theory provides little guidance as to which combatants should be heard. Again, other democratic beliefs are liable to influence preferences such that-proponents of legislative -- dominance look for deference to the legislature, pluralists expect deference to group interests, and public choice proponents call for maximizing individual utility in market-exchange terms. The conclusions of any given approach I thus are determined by the premises of the argument, so that the lack of ability to decide to whom bureauo-acies should respond critically constrains the ability to assess the extent of responsiveness in bureaucracy. Analysts' tendency to focus on a single target group and extrapolate to the general population exacerbates the likelihood of inaccurately or inadequately assessing responsiveness Responsiveness to low-income clientele may displease middle income constituents (Viteritti 1983); responsiveness to actual users of a public service may come at the expense of potential users who are " m e e d out" (Katz et al. 1975; Nelson 1980); deference to legisla tors may come at the expense of responsiveness to the president (Wood 1988) or to a general public interest (Moe 1987). A focus on any one target group rather than an alternate group thus can result in radically different conclusions about the responsiveness of the bureaucracy. ,, ' Bureaucratic Rtsponsivnvss Similar problems confront the msearcher in determining which aspects of a target population's wishes or interests require a response. In general, researchers have assumed that responsiveness is owed either to the demands and preferences of the designated population, to the interests or needs of the population, or to sosome combination of the two. Those who assume that responsiveness means "reflecting and giving expression to the will of the people" must still determine how to measure the people's will (Pennock 1952,790-807). Should one measure articulated demands, general public opinion, or some combination of the two? Furthermore, which demands must be rnet--all of them, even if they are contradictory, or only the most intensely feltor most intensely a r t i ' c u ' l a ~ ~ ? 'If general public opinion is the basis of action, which opinions are relevant; how much support must an opinion have before action is taken; and how d o we assess u~nf0I'medopinions, strongly felt minority opinions, or situations in which opinion is divided or absent en tirely? Is responsiveness a winner-takeall proposition or does it require some attempt to give weight to competing claims or to provide something for everyone? Complications multiply if one allows the possibility - 1 that bureaucratic responsiveness may entail responding to community heeds," as well aeven in opposition t+ community wishes (Schumaker and Loomis 1979). Reflecting the "independence" p s i tion in the "mandate-independence" problem in representation theory (Pitkin 1%7; Eulau and Karps 1977; Pennock 19791, this view asserts the possibility of responsiveness in the absence d apparent public opinion or even in the presence of public opinion that contradicts the representative's perception of the situation. This view also assumes that public desires may well "suggest" the inkrests of the public, but that the representative must "do what is best" for the public by putting "interests" ahead of "desires" when the two codict or when "desires" are not evident (Pitkin 1967, 162-64). Additionally, this view assumes that the superior position of representatives provides them with greater insight into the "me" interests of their constituents (Pitkin 1967; Pennodc 1979,323). %ee Schumaker (1975); Sharp (1981); MLdenkr (1981);Mcier and (1984); -ley ec rl. (1983); and Wood (1986). Thus, those who argue for responsiveness to needs . typically assert that the primary obligation of the represents- tive is to respond to the objective interests and needs of those represented, t?Spddly if the preferences of those represented are ill-informed or not immediately evident. 71 /J-PART, January 1992 Bureaucratic Rcsponsbcnm While the possibility of legislaton acting as Burkean "trustes" (rather than instructed delegates) some or all of the time is widely acknowledged and accepted in democratic theory, analysts evidence greater ambivalence about allowing bureaucrats such r role Yet the strain between competencies of representatives and thov rrpamted in many ways is most pronounced in the a s e of bureaucratic representatives. Bureaucrats are selected, train&, and rewarded on the basis of substantive expertise or 'wisdomn; how much and under what cimrnstances should they defer to the public or to elected officials in policy making? Sharp (1981,34) has raised this question in regard to one type of responsiveness, noting that "perhaps .. responsive- - . ness does not consist of a correspondence between policy maker priorities and those of the public, but rather a willingness to strike some balance between professional standards and values and community priorities." Similarly, Ingraham and Ban (1988) look at control by elected officials (exercised through political appointees) and argue that "neither political i control nor career expertise and o b ' j v i t y are superior; both I are simply component parts of a necessary process." The problem for theorists remains that genuine wisdom and objectivity on the part of b u r u u u a t s may be h n t or consistently inferior to that of the public or of elected officials; / bureaucrats may act simply according to whim or personal preference under the guise of neutral competence or wisdom. For example, analysts have noted a tendency of professionals to inflate the value of their training and to define value-laden issues as narrow matten to be decided by experts (Stone 1980). Professionalism and superior objectivity then provide a convenien t rationalization for ignoring outside opinion (Greene 1982). Analysts encountering bureaucratic pderences at odds with those of the public face the problem of differentiating between genuine responsiveness to needs and rationalizations. Other probterns arise due to the various f o m responsiveness can take. Responsiveness has been operationalized by various researchen as opinion concurrence between T m n ta tives and the designated public, procedural openness, agenda setting, advocacy of or support for specific poliaes during the decision making stage, policy enactments, policy implementation, and policy impacts. Schumaker (1975) categorizes the basic forms of mponsiveness as (1) sccess mponsiveness, (2) agenda responsiveness, (3) policy responsiveness, (4) output responsivemss, and (5) impact mponsiveness. R/J-PART, January 1992 ! I Bureaucratic Rcsponr k m r r Many of the problems that arise in operationalizing each type of responsiveness have been d i d elsewhere.' The difficulties are more pronounced as the researchefs attention moves from opinion concurrence to policy impacts. Additionally, problems of operatio~lizingeach type of responsiveness are more complex in the bureaucratic setting than in the legislative setting. Thus, if the test of responsiveness is concurrence on policy agendas, the researcher must d d d e if administrators' agenda preferences should match W of citizens or of elected officials. . Is the administratofs opinion regarding the matter salient to operationalizing the concept? What if the adminishatofs expertise dictates an agenda different from that of the public or of elected officials? Should impact responsiveness be assessed in terms of substantive policy impacts (e.g., improved health care) or in terms of citizen satisfaction (e.g., approval of the health delivery system)? As Cruber (19871, Mann (19761, and others have illustrated, professional judgments of what is needed or wantd in dealing with a particular policy problem may conflict with citizen preferences, so how the concept is operationalized may affect evaluations of adminishation responsiveness. STUDIES TOUCHING ON RESPONSXVENESS As n o t 4 earlier, a considerable amount of theoretical and empirical work that touches on or has implications for bureaucratic responsiveness does exist, though much of it does not focus explicitly on bureauuatic responsiveness. The following discussion delineates the models underlying much of that research and uses examples from various studies to illustrate problems asxiated with this field of research. Models and Focus of Research - Most theorizing and empirical research tends to emphasize one or another model of bureaucratic democracy to the , exclusion of others. Until fairly recently, the dominant model of responsiveness in empirical tesedrch focused on responses to the wishes or demands of the public in general or some particular segments of the public (Mladenka 1981), while ignoring both the traditional public administration emphasis on responsiveness to elected representatives of the public and the perspective that emphasizes responsiveness to the interests of the state. Utilizing public choicze approaches, this research defines responsiveness in terms of "the capacity to satisfy the preferences of citizens" (Ostrom 1975,275), especially those "who are dependent upon the institution." This approach focuses exdusively on the link between bureaucratic agencies and their clientele, applying a "consumer model" to bureaucratic responsiveness. Sharp (1981,34-35) delineates the components of the model by noting that the approach rrsponsiveness In the public policy realm in a manner similar to msponsiveness in the marketing realm. Cituens are viewed as consumers of policy outputs, and public officials are expgted to base their actions on citizen evaluation of those outputs, in much the samc way that the nurktpkce supposedly provides signals to producers of any product. .Under the mnnuner model, responsiveness had to do with the satisfaction of citizen pRfaences or demands, or at least with the relationship between citizen prtkrenca/demands and policymaker priorities, beliefs, or actions. treats .. However appealing and influential this perspective has been, it has been justifiably critiated for applying an overly narrow definition of the public even within the public choice hamework, and, more broadly, for ignoring competing perspectives on the appropriate mle of public organizations in a democratic mciety even though no compelling msons an? offered as to why we ought to favor the public preference position and reject the others (Mladenka 1981,145). As noted earlier, a competing perspective, more in tune with dominant orientations in public administration theory, is evident in recent attempts to develop a general theory of institutions through a focus, in part, on congressional control of bureaucracy and principal/agent relationships in the bureaucratic context. These latter works tend to apply a "neutral executor" modcl of bureaucratic responsiveness that demands bureaucratic responsiveness to elected offiaals. Analysts working within this framework assume, implicitly and sometimes control of bureaucracy is to be explicitly, that ddtic exerted through elected officials. Considerable disagreement is evident among such analysts as to which elected officials should and do exert conhol, and r m t analyses have done more to acknowledge the possible existence of alternative perspectives on bureaucratic responsiveness. Nonetheless, much of this literature continues to assume that democracy can be served only by bureaucratic subservience to the demands of elected officials (or some specific subset of elected officials). An a1ternative model that has been largely ignored by rational theory and public choice theory alike is one that allows for an independent role for bureaucracy. Such a model may be fashioned on views of bureaucrats acting as 74/1-PART, January 1992 I I Bunaucratic Rapotuivrmsr representatives of the state or responding to either elected officials or the public at the independence end of the mandate independence continuum. Sharp's "professional responsibility" model (1981,34), which equates responsiveness with "action based on professional judgements of need," would fit in here. So would Ingraham and Ban's "public service" model (1988, 13), which equates'responsivmess with a "dialogue" between bureaucrats and their mnhollen 'carried out with the intent of achieving some larger, broader public good." Similarly, administrative statesmen, bureauaatic pluralists, and New Public Administration "change agents" alike might all be seen a s operating within this model; the crucial factor is that all presume an independent role for the bureaucracy, allowing it to be something other than completely subservient to eithcr elected officials' or the publics' wishes. Relevant Research R e a r c h touching on issues of bureaucratic responsiven w has arisen in a variety of contexts and has adopted a widc array of substantive foci. As noted earlier, while a small body of m a r c h has focused explicitly on general issues of bureaucratic responsiveness, recent research having the broadest implications for responsiveness raises the question indirectly by focusing on "controlling" or "taming" bureaucracy (Grubcr 1987; Cannley 1989). Additionally, a variety of more specific topics provide analyses of particular elements or aspects of bureaucratic responsiveness. For example, m s a h on urban service distribution and alkrnatiw dce-delivery systems addresses thc link between services provided and neighborhood or group needs or wishes (Mladenka 1981; Antunes and Plumle 1977; Ebyle and Jacobs 1982). Analysts interested in questions of representative bureaucracy have focused on links between "passive" representation of groups in bureaucracy and "active" representation, or responsiveness to the g ~ o u pinterest, in policy making (Thompson 1976; Meier et al. 1991). Similarly, those looking at "public encounters" with bureaucracy continuc to focus on the bureaucraws responsiveness to individuals or specific groups (Katz et al. 1975; Goodsell 1981). More recently, a substantial body of work has developed 1 extending p i tive theory to bureaucratic behavior, espt?cially regarding bureauua tic responsiveness to political control. As part of an attempt to create a "general theory of political institutions," one strand of research purports to have established a new h r y of "congressional dominance" of the bureaucra~y.~ Analysts working within this framework 75/1-PART, January 1992 Bnmancra tic Rtspotu i v w s s essentially assert that Consuccessfully uses a variety of rewards and sanctions to control the bureaucracy. This perspective assumes that the particular tools utilized and the s m f i c actors within Congress who employ them are a function of the internal decision proceses of C o n p s and of legislators' overriding concern with reelection (Moe 1987). Working within this framework, analysts demonstrate why cong~essionalsupervision often takes the form of "fire alann" oversight rather than "police pabol" (McCubbins and Schwartz 19841, and why Congress's apparent lack of concern with ovcrsight can actually be a sign that this particular form of control is very effective. Principal-agent analysis f m on the problems of control inherent in any structures that use self-interested individuals as agents for other self-intemsted individuals (Bendor 1990, Levinthal 1988). As delineated by Bendor (19901, hue principal+gent analyses assume that the agent has some information that is not available to the principal and that selfinterest encourages the agent tb'exploit this advantage. This focuses attention on creating and manipulating inmtives to compel or persuade the agent to act in the principal's interest. Any number of empirical analyses have attempted to analyze administrative (especially regulatory) agenciesnactions within the context of principalsgent relations by searching for evidence of links between bureaucratic actions and the preferences of elected officials (see, e.g., Chubb 1985; Moe 1982; Weingast and Moran 1983; Wood 1988; Sdroltz and Wei 1986). Both formal theory and empirical analyses employing this approach can be seen as complementing the traditional "overhead democracy" perspective on the relationship between the bureaucracy and the larger political system (Eisner and Meier 1990). Any number of other studies raise questions relevant to bureaucratic responsiveness, but the studies noted above provide evidence of common problems that arise when this topic is addressed. Consequently, the following brief discussion will utilize examples from this research to demonstrate problems stemming from theoretical and conceptual ambiguity regarding the topic and from inattention to competing models of responsiveness. THEOREXICAL, CONCEPTUAL, AND OPERATIONAL PROBLEMS Of recent writers, Cruber (1987) probably has done the most to explore the broader. theoretical underpinnings of efforts to "control" the bureaucracy through democratic 76/J-PART,January 1992 Bureaucratic Rnporuivrncu mechanisms. Conceptualizing demwatic control (p. 12) as legal constraint imposed by a democratic political actor (e.g., citizens "alone or in groups," elected legislators, or executives), she explores a broad array of strategies to wntrol burcauaacy and delineates the connections between specific stategies and alternative views of democracy. In so doing she demonstrates an unusual m i t i v i t y to the ways in which preferences for different types of mntrols may be traced to differing beliefs about such matters as the "relative capabilities of the rulers vs. the ruled" and the relative value of a government oriented toward substantive ends versus one designed to safeguard individual liberty. Gordey (1989) t a b a similar, though less theoretically oriented, tack but examhes a somewhat larger nu* of control mechanisms and d a w s a distinction between controls exerted by citizens and those wielded by elected officials. While both analysts appear to be most concerned with the policy implications of their arguments, their analyses also might be expected to shed light on general issues of bureaucratic responsiveness. However, wen in these broad-ranging analyses, neither author completely accepts the full range of meanings of either control or responsiveness, and neither pays any sustained attention to the theoretical complexities involved in deciding who should control the bureaucracy and what form control should take. Cruber, for example, slights public service models of bureaucratic activity. While she allows for some fairly autonomous activity on her democratic wnstraint graph (p. 18) and acknowledges theoretical arguments in support of even greater bureaucratic autonomy consistent with democracy (pp. 40.421, she never fully accepts such independent activity on the part of bureaucracy as being democratic. While her position on this may be due, in part, to her concern with democratic control of bureaucracy rather than bureaucratic responsiveness per se, her focus on control cannot account fully for her lack of support for a more independent bureaucracy. Even if democratic control is defined as constraint imposed by citizens or elected officials, one might still argue that such control is exercised through adoption, support, and maintenance of a particular governmental system of multiple and varied competencies and responsibilities; of divergent organizational incentives and motivators producing differing institutional perspectives; and of countless checks and balances governing relationships between the public, elected representatives, and bureaucracy. Hence, just as the judiciary operates 77/J-PART,January 1992 . Bvrcaucra tic R e s p o ~ i o n u s s within a different context of conhmol,many elements of the existing v t e m suggest that the bureaucracy was designed and intended to do more than respond blindly to immediate, direct orders from any and all possible combinations of citizens and elected officials. 'Cruber (1987) considers thc cxistcncc of n r i o u arguments in favor of publicm mdcls ofburcauaacy (pp. W),but d m not give these arguand overlooks mtirely r e n t conhibutions by analysb i c h as Burke (1989) and kohr (1986). 'A,she not- (p. 32). 7 h c issuc is not merely the proper distribution of powm bethe rulers and the bled, but also the rclationship bc hvmn ruJcd te gethcr on the one hand and the bureaumats on the other.' 'Beause of her assumption that bur a w a b are superior only in regard to nuraw, spmialized cxpcrtix, Gmber d i d argumcnis in favor d bureaucratic wisdom k u x of their 'inmistma-' (p. 43). even though she finds them important empirically. Yet many, if not most, such argurnenb posit a very different role and function for bwc~ucracyand bur e a w a l s than that delincatcd by Gruber. Sce,f a eumplc, storing 0980); R o h (1986); a Burke (1989). Going further- 1-k at Waldo's (1948) all f a an administrative class 'reumbling Plato's Guardian Qass' a Appleby's notion (1%5,338) of *e role d burcrucrrcv as %n responding to such [kdtiple, =&addoryl demands. rccondling t h . and in lhe =POnse i n w n g amddera tions d prudence, perspective, and prinaple, inducting regard for other popular demands and aspirations than t h e expressed in the c h o w of the moment.' Despite such evidence and additional widespread evidence of substantial, b m d delegations of authority to bureaucracy by atizens and elected officials, Gruber ultimately dismisses such models of control. Her response appears to be based more on her own beliefs about the relative capabilities of the rulers and the ruled than on theoretical weaknesses in public service models of bureaucracy? While she ackno wlcdgcs that willingness to support bureaucratic autonomy is tied to beliefs about the relative capabilities of burcaucra k, ci tizcns, and elected officials; that the problcm is more difficult in regard to bureaucracyj and that citizens are not always capable of wise decision making, hcr own preferences are e4dent in her argument that only elected officials are capable of wisdom Thus, she argues (p. 41 ), I f leadership, leisure, and distance from the daily wants of the populace are the requisites for effectivdand responsibie decision makin& thcn elected leaden should be hv&bly equipped," whilc "&c narrow, specialized view of the bureaucrat is a liability." By assuming that bureaucrats are at bat narrow, specialized experts aTnd by disregarding the possibility that the struclure, deign, or motivational incentives of the bureaucracy might provide for more objective assessment of the public interest than is likely to be evident among those motivated primarily by concern for reelection, Gruber rules out the possibility of bureaucratic wisdom In so doing, she rejects a long-standing tradition in public administration theory that focuses upon thc unique role of bureaucracy and on the unique capabilities of bureaucrats in the decision-making process.' She is then faced with the difficult problem of explaining why so many of her interview subjects adopt such an "undemocratic" public servicc d e l in defikng the& own roles in the systcm. Where Gruber shows a clear preference for controls by atizens and elected officials, Gormley shows a clcarer preference for significant amounts of bureaucratic discretion, couplcc with direct citizen involvement in bureaucracy. Though Gormley provides an insightful analysis of a1terna tive controls, his arguments are much less theoretical than are Grubef s and his personal preferences, clear in the terminology and sub Stance of his arguments, more strongly in.fhen~t?his analysis. Thus, for example, he asserts that citizen controls are 78/J-PART, January 1992 Bureaucratic Rnponsivmcsr "catalytic" to bureaucracy, while controls from political officials are "cwrave" and that "muscles" (controls exerted by elected officials) may promote accountability, but "prayers [controls exerted by citizens] are normally superior to muscles" (p. 16). In contrast to Gruber, Cormley invariably comes down on the side of bureaucratic autonomy whenever the valucs and perspectives of elected officials aonflict with those of a skillcd bureaucracy. For example, he argws most strongly against the use of muscles when bumaucatic skill and policy complexity are high M u s e the bureaucmq's masten may not know what they are doing" (p. 23, and notes that legislators and judges demonsha te "considerable hubris" in "addressing complex issues" (p. 271. Similarly, he argues (p. 230)that we are loo accepting of "the legitimacy of political control without asking hard qucstions about the represmtativeness of individual legislators" or y judges but he seems to feel that prayers i n w ~ b l "promote democracy" (p. 231) and that a skilled bureaucracy enpying high support can always be trusted to "do the right thing" including determining for itself which prayers are legitimate (p. 24). Yet again, then, one finds an analysis of issues of control or mponsiveness to be slanted by the author's prcfcrences for some d e l or models of responsiveness over the alternatives. - 'Cormlcy (1989) ddrthis quertim in lin~rfngmtrol~ v l t h burcawrtic =pert=, but u p the -la haviJ~#withoutdid reti* ruppo* in laver matic donurune. CNber, on the othcr hand. b unwilling to a m p mere arnavrmcc mtrd,r h i n g to r h w m p a u l v a ~ to a m a n anythLng the process, she mrku r number of &idand Lrooruistent arguments rs to whetha a~ncumnce a n cwr (=. demaub.te . . fm e u m d e .. pp. I3 and 24). . eump'el (lm) and y el d.(1963) I d at toplevcl r~inltntm; (1981) and Muir bok at S ~ M - I W C I bwucrak w e am Gruber, Connley, those analysts focusing on congressional dominance of the bureaucracy, and many others also fail to explore' the complexities of conflicting views as to whom and to what bureaucratic responsiveness is owed, as well as the form rrsponsiveness should t a l e Even if the emphasis begins with the question of control over bureaucracy, questions inevitably arise as to who should control whom Positive I theorists and legislative dominance scholars now raise what are old arguments in public administration as to whether the president or Congress should dominate the bureaurrpcy, or whether congressional control is exerted most appropriately by cornmittxm or by Congress as a whole (see, for example, the Wood and Cook exchange, 1989). Analysts who choose to focus on opinion concurrence as an indicator of responsiveness need to consider (but rarely do) which values or obinions are to be considered, how variabons in knowledge or ikensity are to be handled, and how much value concurrence is necessary to demonstrate either responsiveness or control.'Some xholars have looked at the opinions of toplevel administrators, while others have been concerned with strtxt-level bureaucrat^'^ Dsagreement continues as to whether those opinions should be linked to the opinions of specific segments of the community, such as citizen activists; 10 general public opinion; or to the opinions of all or spedfic subgroups of elected officials" Once again, it is unusual for analysts exploring any spedfic linkage to acknowledge the potential conflicts between one dyadic relationship and another on the issue of democratic responsiveness/contro1. AMlysts who focus on polides or impacts as indicators of either control or responsiveness faoe even greater difficulties conceptualizing and operationalizing variables. fist, researchers encounter difficd ties in identifying a policy that can be linked unambiguously to a group's or a population's inkrests or wishes. This may not be a problem where survey data indicate dear public support for a specific policy, but few researchers are fortunate enough to obtain such data. Frequently, researchers are faced with the hazardous undertaking of inferring a group interest as well as a policy to satisfy it (Saltzstein 1979). In such cases, critics can always contend that a different policy or even a different measure of the same policy would indicate something entirely different in regard to bureaucratic responsiveness. Moe (1987,4861, for example, argues that the possible effectiveness of fire-alarm oversight, as well as the motivations and incentives that lead to its use, mean that it "may well be limited precisely to the short term, superficial, and ad hoc"; in fact, it may well militate against fundamental bureaucratic reforms (ia., rmaningful control or responsiveness). In addition, the output or impact selected by the rwarcher must be something over which the bureaucracy reasonably might be expected to haw some control. This difficulty has plagued research on d c e distribution from the start, when the inclination was to use expenditures or deployment of capital facilities as indicators of bureaucratic policy. Only recently has that tendency hen criticized on the grounds that such measures may more accurately reflect legal and emnomic constraints dewloped over a considerable period of time than current policies and decisions willfully adopted by bureaucrats (Boyle and Jacobs1982; Koehler and Wrightson 1989). rl. (1983) lodr at atizen ad*; Meier Nigro 0976) at genenl PMc Opinion; Mann (Iw6) at school boards; fioriru (1981) at rpecific omgasional canmitt-; and Bukc and ma (1982) at dmd intent unbodied III f-d "GnmIey et Ncy. Similarly, empirical tests of principal-agent notions have hen criticized for relying on budget variables as indicators of conpssiorral control, despite the fact that budget control is shared by the president and Congress. Many other bureaucratic OUtpUts are ddermined by ekcted officials working with bureaucrats and are not the exclusive domain of either actor. Consequently, considerable disagreement may exist among Bureaucratic Rtsponsivmrss researchers as to whether a given situation provides evidencc of bureaucratic responsiveness In addition to the extensive operationalization problems that lead to contradictory conclusions, there is also conflict because analysts disagree about the appropriate level of analysis. Most researchers in the areas mentioned previously simply accept some particular level of "appropriate inclusion." Those interested in opinion concurrence in school adrninistration examine citizen opinion within the school district, analysts of service distribution look primarily at intradty distribution, and studies of public encounters may examine the individual agencfs responses to client request (Ziegler et al. 1983; Hasenfeld and Steinmetz 1981). Critical analysts in virtually every case contend that the level of analysis selected may mask more pervasive system or societal unresponsiveness (Meier, Stewart, and England 19!31). Thus, critics of public choice service-delivery strategies argue that increasing btrajurisdictional homogeneity may indeed enhance responsiveness within that jurisdiction, but only at the cost of decreased responsiveness across jurisdictions (Miller 1981). Similarly, Moe (1987,483) notes that thc emphasis of congressional dominance theorists on the influence of single committees or subconunittees on an individual agency ignores the fact "that much of what committees want and pursue is not embodied in congressional policy enactments and often would not Ix ratified if the full body were to vote." Just as bureaucratic responsiveness to fire alarm oversight may impede responsiveness to broader concerns, responsiveness to congressional committee preferences may impede responsiveness to "larger collective goals of the legislature" (Moe 1987, 483). Yet analysts persist in assuming, often with little theoretical justification, that whichever population they choose to emphasize is the one that should control or respond to control. Critics also charge that the extent of bureaucratic responsiveness in any given community may be overestimated by focusing only on the part played by the bureaucracy. If responsiveness is a function both of bureaucratic and political forces, is it valid to assess bureaucratic responsiveness according to the actions of the bureaucracy only, or should that assessment addthe contributions of the bureaucracy to overall levels of responsiveness? For example, should one conclude that an agency that provides prompt, thorough investigation of citizen complaints is responsive, even if administrators know that no money is 81 /]-PART, January 1992 available to correct the problems and make no effort to obtain additional funds (Mladenkil 1981; Bachelor 1983)t Or, as Sharp (1981) asks in regard to accas responsiveness, "Does access responsiveness mean that all elements of the local governmental system are working together to find out about citizen concerns?" This question takes us back once again to a mapr problem with existing research on responsiveness: the lack of integration of alternative models of responsiveness. Even mearch that addresses specifically the s u b j j of bureaucratic responsi v c ners has minimized or ignored at least one of the possible approaches to mponsiveztess. Thus, studies such as those by Mann (19761, Tucker and Ziegler (19801, and Cormley et al. (1983) all downplay the role of responsiveness to clectcd offiaals. The urban service-distributior~literature ewplom political influences almost entirely in terms of the links between e l ~ t o r a votes l and bureaucratic outputs in a narrow range of policy arenas, despite other research demonstrating links between minority and female representation in elcctivc office and bureaucratic outcomes (Eisinger 1982; Saltzstcin 1989; Browning et al. 1984; Meier and England 1984) or the influence of overhead controls in other policy areas. k c n t works on legislative dominance or principal-agent relationships . are often Matant in their disregard for alternative modelssome omit entirely any consideration of alternative controllers (e.g., Weingast and Moran 1983, while others treat one institution, typically the one the author understands the least (Bendor 19901, as a completely passive actor in the relationship. Such analysts have been reluctant to acknowledge that bureaucracy might be something other than an agent of elected officials, that it might sometimes be an agent of the public or even, at other times, a principal in its own right CONCLUSIONS The reality of bureaucratic life is that dl the models discussed here are valid, theoretically defensible models of the bureaucratic component of a democratic system. Each model has been evident in varying degrees and fashion in the structure and design of public bureaucracics as they have evolved over time; in administrative theory and research; and in the haining and socialization of public administrators Individual 7 bureauuats, elected officials, and members of the public alikc typically believe, at least impliatly, in at least one or another of these models and act accordingly but must interact with others who may accept alternative models. For example, conflicting views of how the bureaucracy is to meet its democratic obligations for responsiveness can be compounded by 82/]-PART, January 1992 Bureaucratic Rtjpo~iocnrrr contradictory views regarding the importance of responsiveness relative to other dernocratic values and by contradictory views on questions of appropriate inclusion or the forms responsiveness must take. The resulting pursuit of responsi v c ness is likely to be rather chaotic, with some actors ignoring the question entirely while advocates of one or another approach argue past each other and accuse each other of bad faith. Researchers face a difficult task in making sense of the multiple, simultaneous interactions between bureaucrats and other actors. Isolating and identifying ideas, actions, or outcomes that might appropriately be considered "responsive" and a w i n g degrees of responsiveness in bureaucracy are even more difficult tasks. Yet that p b is even harder if one also succumbs to the desire to enshrine a prefened model of a democratic bureaucracy as the only appropriate d e l . Just as the consumer models for such a long time assumed that bureaucratic responsiveness q u i d direct responses to citizcn demands, political control models now often assume that responsiveness requires respons to the preferences of elected officials. Underlying normative preferences lead analysts using either model to ignore the other model, as well as public service models, and inevitably bias the research in subtle and not+subtle ways. The ~ e c e n temphasis on consumer models and neutral executor models (e.g., political control models) of bureaucratic responsiveness is especially troublesome because so many of the assumptions of these models are poor fits for bureaucrats who sx themselves as public servants with independent reprcsenta tional responsibilities. Analyses of political control of bureaucracy have been hindered further by their lack of attention to earlier work on bureaucratic responsiveness. As a consequenm, researchers have had to stumble through many of the same theoretical, conceptual, and operational problems encountered in earlier research on bureaucratic responsiveness. For example, analysts have had to acknowledge that many of the assumptions of true principal-agent models (e.g., single principals, precornmitment to rewards or sanctions, or agent behavior based on self-interest) do not provide an accurate depiction of principal-agent relations in our system and hence often find little empirical support (Bendor 1990; Levinthal 1988; March and Olsen 1989). Consequently, analysts have adopted all sorts of variants on the model, many of which abuse the approach or employ only the terminology of principal-agent relationslijps. Extreme variants (such as the legislative Bureaucratic Rnponr ivrncsr dominance approach) have been subjected to extensive &ticism, for example, for such faults as inadequately or improperly conceptualizing control, overstating both the desirability and reality of congressional control of bureaucracy through radically underspecified models, and ignoring relevant theory a d research on public bureaucracy (Moe 1987; Cook and Wood 1989; Eisner and Meier 1990). Scholars using formal models have been forced to try to model alternative motivations in light of widespread adoption by bureaucrats of political or public semce roles (Aberbach and Rockman 1981; Fleischrnann and Pierannund 1990; Schmidt and Posner 1986; Gruber 1987). Meanwhile, scholars seeking to provide empirical tests of principal-agent relations have been forced to debate old issues involving bureauabout how to operationalize presidential or legislative will (scc Moe 1987,48284; Cook and Woad 1989,968); how to recogn i z "responsive" bureauctatic behavior in the absence of an explicit stimulus or otherwise; how to distinguish strategic from sincere behavior; how to assess shared responsibilities and action; how to account for both organizational and human influences on outcomes (Harnmond 1986); and how to control for rival explanations while maintaining some modicum of simplicity and rigor. In the process of dealing with these questions, sdrolars have begun to show signs of acknowledging the complexity of the theoretical issues at stake by adopting more sophisticated models, sometimes involving nested games (e.g., Schlotz 19911, and by demonstrating a heightened awareness and understanding of the differencesbetween institutions. Scholars also n e d to give additional attention to questions of to what and to whom bureaucrats respond, and under what circumstances. Thus, much more could be done to examine the tradeoffs that result from bureaucrats' attempts to respond to multiple demands. What factors, internal and external to the agency, are likely to stimulate response to one set of demands over "We know, for eumple, that some another? Under what circumstances are bureaucrats likely to agmdes appear to attract individuals wlth particular vicm on rcspolrsive- respond to any given set of demands or to o b j j v e needs? How do various factors influencing bureaucratic responsive ness and that particular of ness interact with one another?" Finally, what difference does adopting particular approrches to responsiveness in i k varied forms make in terms of citizen adminisbation ( W i n 1969; Romzck satisfaction with or support for government? 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