The Bureaucracy
Chapter 15
What do you know?
Why do we study the bureaucracy?
• Understand the causes and implications of
bureaucratic behavior
• Not to memorize the specific duties of every
agency
• We must examine the bureaucracy from several
perspectives
• Understand how and why it works the way it
does.
A bureaucracy
The bureaucracy
• A model of
organization
• Simply a way of
organizing a large
group of people.
• Various agencies of
the federal
government
• People who do the
day-to-day job of
governing
A bureaucracy: Model of Organization
• Bureaucracies govern modern states.
• Classic conception of bureaucracy (Max Weber)
▫ a hierarchical authority structure that uses:
1. task specialization,
2. operates on the merit principle,
3. and behaves with impersonality.
Classic conception of bureaucracy
1. Internal division of labor and specialization by
function.
2. Employees are recruited and promoted based on
relevant technical expertise.
3. Various units are arranged in hierarchy (clear lines
of authority and communications).
4. Operations are guided and constrained by
established rules and procedures (SOPs).
5. Emphasis is on establishing goals efficiently and
effectively.
• Key Features of a Bureaucracy
1. Hierarchical authority
2. Job specialization
3. Formal rules (SOP)
Some Bureaucratic Myths and Realities
▫ Americans dislike bureaucrats.
 Americans are generally satisfied with bureaucrats.
▫ Bureaucracies are growing bigger each year.
 Not in the federal bureaucracy
▫ Most federal bureaucrats work in Washington, D.C.
 Only about 12 percent do
▫ Bureaucracies are ineffective, inefficient, and always
mired in red tape.
 No more so than private businesses
The Federal Bureaucracy
• Large, complex organization of appointed
officials
• Includes all the agencies, people and procedures
through which the federal government operates
▫ 2.7 million civilians and 1.4 million military
The Bureaucrats
The Bureaucrats
The Bureaucrats
The Bureaucrats
• Who They Are and How They Got There
▫ Most demographically representative part of
government
▫ Diversity of jobs mirrors the private sector
The Bureaucrats
• Who They Are and How They Got There
▫ The Other Route to Federal Jobs: Recruiting from
the Plum Book
 Lists the very top jobs available for Presidential
appointment
 Presidents work to find capable people to fill the
positions.
 Some plum jobs (ambassadorships) are patronage.
 Their most important trait is transience.
Agency Employees
1. Careerist
▫ Spend long periods of time, if not entire
careers in a single agency
▫ Associate their won success with the
agency
▫ Usually on the bottom and are risk averse
▫ Loyal, reliable and stable, but difficult to
change their behavior
Agency Employees
1. Careerist
2. Politician
▫
▫
▫
▫
▫
▫
Tend to work in an agency
for a
short period of time
May use the agency as a steppingstone to
something bigger and better
Motivated by self interest
In the middle of the organizational structure
Valuable source of creativity and risk-taking
new ideas
Can be source of destabilization
Agency Employees
• Careerist
• Politician
• Professional
▫ Get their rewards, norms and standards from
professional groups outside the agency
▫ If their profession’s goals are in line with the
agency these employees will be productive and
easy to manage, otherwise conflict.
Bureaucracies: Agency Employees
•
•
Impact of employees on the agency
Want a good match between organizational
goals and employees
Good match
•
▫
▫
•
Successful agency
Leading employees will be smooth
Bad match
▫
▫
Difficult to manage employees
Significantly diminished possibility of
accomplishing agency goals
Growth of the Federal Bureaucracy
1. Spoils System
o Originally from the elite of upper-class white
males
o “to the victor the spoils,” declared Andrew
Jackson as he awarded federal jobs to party
loyalists
Growth of the Federal Bureaucracy
2. The Civil Service
o Pendleton Act (1883)
o
o
Workers selected on merit
Travel the world. Be a diplomat.
o The Office of Personnel Management (OPM)
o
o
Administers civil service laws and regs.
Does the hiring for most federal agencies
Growth of the Federal Bureaucracy
3. Federal and State Employees
o Federal = 3% of all civilian jobs
Growth of the Federal Bureaucracy
3. Federal and State Employees
o Federal = 3% of all civilian jobs
o Number of federal employees constant since
1950
Growth of the Federal Bureaucracy
3. Federal and State
Employees
o
o
o
Federal = 3% of all
civilian jobs
Number of federal
employees
constant since
1950
Number of state
and local
employees steadily
increased since
1950
Growth of the Federal Bureaucracy
3. Federal and State Employees
o Block grants contribute to this
gap by shifting resources form
the federal government to
state and local governments
Growth of the Federal Bureaucracy
3. Federal and State
Employees
o Federal mandates also
shift more responsibility
to states also causing an
increase in the number of
state employees.
Growth of the Federal Bureaucracy
1. Spoils System
2. Civil Service
3. Federal and State Employees
Conflicts in a Bureaucracy
• Fairness versus
responsiveness: Do we
want our bureaucracies to
be fair and treat each
individual or case as a
special interest, or do we
want them to be as
responsive to all as
possible?
Conflicts in a Bureaucracy
• Efficiency versus
effectiveness: Do we want
our bureaucracy to select the
most efficient (best use of resources, cost,
time etc…) way to do something or
do we want it to select the
most effective (best, most successful)?
Conflicts in a
Bureaucracy
• Professional
independence versus
accountability: What do we
want and expect of our
bureaucrats? Do we want
them to have the professional independence to
make decisions as needed, or do we want them
to be accountable, and we can know what
conditions/situations will yield what types of
decisions?
The Structure of the Bureaucracy:
Cabinet Agencies
• 15 cabinet departments
•
•
•
•
▫ Department secretary
▫ Attorney general
Individual budgets, staff and policy areas
Broad mission
Political focus
Leadership appointed by president, confirmed by
Senate
• Short tenure
• Extremely visible/political job
• Cabinet secretaries often develop a strong loyalty to
their departments
▫ Thus they are not usually close presidential advisors
The Structure of the Bureaucracy:
Cabinet Agencies
• Real work in the bureaus
• Service, administration, etc.
• Department of Health and Human Services
The Structure of the Bureaucracy:
Independent Regulatory Agencies
Iron
Triangle
• Regulate key sectors of the economy
• Led by small commissions appointed by the
president and confirmed by the Senate
▫ The commissioners cannot be removed by the
president during their terms of office
Danger!!!
The Structure of the Bureaucracy:
Independent Regulatory Agencies
• Government agency responsible for some sector
of the economy, making and enforcing rules
to protect the public interest. Also, judges
disputes over these rules.
• Leadership appointed by president, confirmed
by Senate
• Leadership consists of a small commission
• “alphabet soup” agencies
The Structure of the Bureaucracy:
Independent Regulatory Agencies
• Longer tenure in office, typically serve long,
staggered, over-lapping terms.
• Not easily fired
• Interest groups and agencies
▫ “capture” of the regulators by the regulatees
•
•
•
•
•
FCC
FTC
SEC
FRB
NLRB
The Structure of the Bureaucracy:
Independent Regulatory Agencies
• Special Word about the Federal Reserve
Board
▫ Primary goal to set monetary policy
▫ Monetary policy includes interest rates, controlling
inflation, regulating the money supply
▫ Great independence
Test Tip
• Be sure you know the
difference between
monetary and fiscal
policy.
• Monetary policy =
money supply and
interest rates
• Fiscal Policy = taxing
and spending policies
The Structure of the Bureaucracy:
Independent Executive Agencies
• Smaller of more focused mission
• Leadership appointed by president, confirmed
by Senate
• Not in the cabinet, thus meant to be less political
• Tends to be long tenure in office
The Structure of the Bureaucracy:
Government Corporations
• Similar to, and different from private
corporations
▫ Provide a service that could be “privatized”
▫ Typically charge for their services
•
•
•
•
•
•
TVA
Amtrak
CPB
USPS
Fannie Mae
Freddie Mac
Bureaucracies as Implementers
• What Implementation Means
▫ It involves translating the goals and objectives of a
policy into an operating, ongoing program
▫ Stage of policymaking that takes place between
establishment and consequences of a policy
▫ Implementation includes:
 Creating and assigning an agency the policy
 Translating policy into rules, regulations and forms
 Coordinating resources to achieve the goals
Bureaucracies as Implementers
Why the Best-Laid Plans Sometimes Flunk the
Implementation Test
1. Program Design
2. Lack of Clarity


Congressional laws are ambiguous and
imprecise.
Sometimes the laws conflict with each other.
Bureaucracies as Implementers
3. Lack of Resources



Agencies may be big, but may not have staff to
carry out policy goals.
Many different types of resources are needed:
personnel, training, supplies & equipment
May also lack the authority to act
4. Administrative Routine


Standard Operating Procedures (SOPs) bring
uniformity to complex organizations.
It is often difficult to change the routines.
Bureaucracies as Implementers
5. Administrator’s Dispositions
 Administrative discretion is the authority to
select among various responses.
 Street-level bureaucrats have the most discretion.
 Discretion is greatest where SOPs are not
prevalent.
6. Fragmentation
 Some policies are spread among several agencies.
 Some agencies have different rules for the same
policy.
Bureaucracies as Implementers
• A Case Study: The Voting Rights Act of 1965
▫
▫
▫
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Generally considered a success
Had a clear, concise goal
The implementation was clear
Those carrying out the law had
obvious authority and vigor
to do so.
Bureaucracies as Regulators
• Regulation in the Economy and in Everyday Life
▫ Regulation: use of governmental authority to
control or change some practice in the private
sector
▫ A Full Day of Regulation
 Federal agencies check, verify, and inspect many of
the products and services we take for granted.
 Federal and state agencies provide many services.
Bureaucracies as Regulators
•
Regulation: How It Grew, How It
Works
▫
All regulation contains these
elements:
1. A grant of power and set of
directions from Congress
2. A set of rules and guidelines by the
regulatory agency itself
3. Some means of enforcing
compliance with congressional goals
and agency regulations
Bureaucracies as Regulators
• Regulation: How It Grew, How
It Works
▫ Command-and-Control Policy:
The government tells business
how to reach certain goals,
checks the progress, and
punishes offenders.
▫ Incentive System: market-like
strategies used to manage public
policy
▫ Some agencies are proactive;
some are reactive.
Bureaucracies as
Regulators
• Toward Deregulation
▫ Deregulation: the lifting of
restrictions on business,
industry, and professional
activities
▫ Regulatory problems:
 Raises prices
 Hurts U.S.’s competitive
position abroad
 Does not always work well
▫ But some argue regulation is
needed
Implementation and Regulation
• Implementation is the translation of policy goals
into rules and SOPs
• How can implementation breakdown?
▫
▫
▫
▫
Conflicting goals
Faulty program design
Lack of resources
Fragmentation of resources
• Congress provides general goals, thus agencies
have broad discretion to set specific guidelines
Implementation and Regulation
• Regulation is the use of government authority to
control or change things
• Munn v. Illinois (1877)
▫ Feds have the right to regulate businesses
• Deregulation: Lifting of regulations, controls
and restrictions.
The President and the Bureaucracy
Appointments
• President can appoint senior agency heads and
subhead giving him some influence
• President’s power is limited.
1. Senate gets to approve the appointments
2. Agency heads develop strong relationships to
their agencies
The President and the Bureaucracy
Executive Orders
• An executive order is a
directive, order, or
regulation issued by
the president.
• Constitutional or
statutory authority and
have the force of law
The President and the Bureaucracy
Economic Powers
• The president can use the OMB to cut or add to
an agency’s budget.
• President’s power is limited.
▫ Congress has the sole power
to appropriate funds to
an agency.
The President and the Bureaucracy
1. Appointments
2. Executive Orders
3. Economic Powers
Congress and the Bureaucracy
Divided Authority
• Both the president and Congress exercise
authority over the federal bureaucracy.
• Creates checks and balances but also
encourages…
• …agencies to play one branch off against the
other.
Congress and the Bureaucracy
Oversight
• Congress is responsibility to exercise legislative
oversight over the bureaucracy
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Budgetary control
Hearings and investigations
Reorganization
Guidelines
Spread out responsibility to prevent an agency
from becoming too powerful
SIGS and the Bureaucracy
Iron Triangles
• What is an iron trianlgle?
• They are so pervasive and powerful that they are
sometimes called subgovernment
SIGS and the Bureaucracy
Issue Networks
• Includes policy experts, media congressional
staff and SIGS who regularly debate and discuss
and issue
• President often fills agency positions with people
from an issue network who support his views.
Test Tip
• Be sure you know the
difference between an
Iron Triangle and an
Issue Network.
• Iron Triangle = three
interlocking players that
seek to control policy.
• Issue Network = wide
range of people who
debate major policies.
Sources of Bureaucratic Power
1. They are essential.
Sources of Bureaucratic Power
1. They are essential.
2. Expertise
Sources of Bureaucratic Power
1. They are essential.
2. Expertise
3. Discretion
Sources of Bureaucratic Power
1. They are essential
2. Expertise
3. Discretion
4. Clientele groups
Understanding Bureaucracies
• Bureaucracy and Democracy
▫ Presidents Try to Control the Bureaucracy
 Appoint the right people
 Issue executive orders
 Carry force of law and are used to implement policies
 Alter an agency’s budget
 Reorganize an agency
 Creation of Department of Homeland Security
Understanding Bureaucracies
• Bureaucracy and Democracy
▫ Congress Tries to Control the Bureaucracy
 Influence appointment of agency heads
 Senate confirms presidential nominees
 Alter an agency’s budget
 Hold oversight hearings
 Rewrite legislation or make it more detailed
Understanding
Bureaucracies
• Bureaucracy and the Scope
of Government
▫ The size of federal bureaucracy
is an example of a government
out of control.
▫ Even though the size of the
bureaucracy has shrunk
▫ Some agencies don’t have
enough resources to do what
they are expected to do.
▫ Bureaucracy only carries out
policies; Congress and the
president decide what needs to
be done.
Summary
• Bureaucrats shape policy as administrators,
implementers, and regulators.
• Bureaucracy’s primary responsibility is the
implementation of public policy.
• Federal bureaucracy has not grown but has in
fact shrunk of late.