CHAPTER 13
THE FEDERAL BUREAUCRACY
CHAPTER OUTLINE
I.
The Bureaucrats (pp. 423-430)
A.
Some Bureaucratic Myths and Realities
1.
Americans dislike bureaucrats.
2.
Bureaucracies are growing bigger each year.
3.
Most federal bureaucrats work in Washington, D.C.
4.
Bureaucracies are ineffective, inefficient, and always mired in red tape.
B.
Who They Are and How They Got There
1.
Civil Service: From Patronage to Protection
a.
Patronage is a hiring and promotion system based on knowing the
right people.
b.
The Pendleton Civil Service Act created the federal civil service.
c.
All civil service systems are based on merit and the desire to create
a nonpartisan government service.
d.
The merit principle uses entrance exams and promotion ratings to
reward qualified individuals.
e.
The Hatch Act prohibits civil service employees from active
participation in partisan politics while on duty.
f.
The Office of Personnel Management (OPM) is in charge of
hiring for most federal agencies.
g.
Each civil service job is given a GS (General Schedule) rating.
h.
The very top of the civil service system is the Senior Executive
Service.
2.
The Other Route to Federal Jobs: Recruiting from the Plum Book
a.
The plum book lists top federal jobs available for direct
presidential appointment.
b.
The most important trait of presidential appointees is their
transience.
II.
How Bureaucracies Are Organized (pp. 430-434)
A.
The Cabinet Departments
B.
The Regulatory Agencies
1.
Each independent regulatory agency has responsibility for some sector
of the economy.
2.
Interest groups are closely involved with independent regulatory agencies.
C.
The government corporations provide a service that could be provided by the
private sector and charge for their service.
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D.
The independent executive agencies are essentially all the rest of the
government.
III.
Bureaucracies as Implementors (pp. 435-443)
A.
What Implementation Means
1.
Policy implementation is the stage of policymaking between the
establishment of a policy and its consequences.
2.
Implementation is the continuation of policymaking by other means.
B.
Why the Best-Laid Plans Sometimes Flunk the Implementation Test
1.
Program Design
2.
Lack of Clarity
3.
Lack of Resources
4.
Administrative Routine
a.
Standard operating procedures (SOPs) help bureaucrats make
everyday decisions.
b.
SOPs may become “red tape’ and obstacles to action.
5.
Administrators’ Dispositions
a.
Administrative discretion is the authority of administrative actors
to select among various responses to a given problem.
b.
Street-level bureaucrats are those bureaucrats who are in constant
contact with the public and have considerable discretion.
6.
Fragmentation
IV.
Bureaucracies as Regulators (pp. 443-447)
A.
Regulation in the Economy and in Everyday Life
1.
Government regulation is the use of governmental authority to control or
change some practice in the private sector.
2.
A Full Day of Regulation
B.
Regulation: How It Grew, How It Works
1.
A grant of power from Congress
2.
A set of rules and guidelines by the regulatory agency
3.
Some means of enforcing compliance
C.
Toward Deregulation
V.
Understanding Bureaucracies (pp. 447-454)
A.
Bureaucracy and Democracy
1.
Presidents Try to Control the Bureaucracy
a.
They appoint the right people to head the agency.
b.
They issue executive orders.
c.
They tinker with an agency’s budget
d.
They reorganize an agency.
2.
Congress Tries to Control the Bureaucracy
a.
They influence the appointment of agency heads.
b.
They tinker with an agency’s budget.
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B.
VI.
c.
They hold hearings.
d.
They rewrite the legislation or make it more detailed.
3.
Iron Triangles and Issue Networks
a.
When agencies, groups, and committees all depend on one another
and are in close, frequent contact, they form what are sometimes
called iron triangles, or subgovernments.
b.
The system of subgovernments is now overlaid with an amorphous
system of issue networks.
Bureaucracy and the Scope of Government
Summary (pp. 454-455)
LEARNING OBJECTIVES
After studying Chapter 13, you should be able to:
1.
Describe the bureaucrats—who they are, how they got there, and what they do.
2.
Discuss how the federal bureaucracy is organized.
3.
Explain how bureaucracies function as implementors of public policy.
4.
Explain how bureaucracies function as regulators.
5.
Evaluate the problem of controlling bureaucracies in a democratic government
and how bureaucracies affect the scope of government.
The following exercises will help you meet these objectives:
Objective 1. Describe the bureaucrats—who they are, how they got there, and what they do.
1.
List four characteristics of a bureaucracy according to Max Weber.
1.
2.
3.
4.
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2.
List four prevalent myths about bureaucracy.
1.
2.
3.
4.
3.
What is the difference between patronage and the merit principle?
Patronage:
Merit principle:
4.
What is the purpose of the Hatch Act?
5.
What are some of the common characteristics of plum book appointees?
Objective 2: Discuss how the federal bureaucracy is organized.
1.
What are the four basic types of agencies in the federal executive branch?
1.
2.
3.
4.
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2.
Explain the relationship between interest groups and independent regulatory
agencies.
3.
In what two ways are government corporations like private corporations and
different from other parts of the government?
1.
2.
4.
What are the three biggest independent executive agencies?
1.
2.
3.
Objective 3: Explain how bureaucracies function as implementors of public policy.
1.
What are the three minimum elements of implementation?
1.
2.
3.
2.
List and explain five reasons why policy implementation might fail.
1.
2.
3.
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4.
5.
3.
What are three advantages of using standard operating procedures?
1.
2.
3.
4.
What is meant by administrative discretion?
Objective 4: Explain how bureaucracies function as regulators.
1.
What was the significance of Munn v. Illinois (1877)?
2.
List three elements common to all regulation.
1.
2.
3.
3.
What is the difference between command-and-control policy and the incentive
system?
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Command-and-control:
Incentive system:
4.
List three criticisms of regulation.
1.
2.
3.
Objective 5: Evaluate the problem of controlling bureaucracies in a democratic government and
how bureaucracies affect the scope of government.
1.
List four methods by which the president can control the bureaucracy.
1.
2.
3.
4.
2.
List four methods by which Congress can control the bureaucracy.
1.
2.
3.
4.
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3.
Explain the difference between an iron triangle and an issue network.
Iron triangle:
Issue network:
4.
What effect does bureaucracy have on the scope of government?
KEY TERMS
Identify and describe:
bureaucracy
patronage
Pendleton Civil Service Act
civil service
merit principle
Hatch Act
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Office of Personnel Management (OPM)
GS (General Schedule) rating
Senior Executive Service (SES)
independent regulatory agency
government corporation
independent executive agency
policy implementation
standard operating procedures
administrative discretion
street-level bureaucrats
regulation
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deregulation
command-and-control policy
incentive system
executive orders
iron triangles
Compare and contrast:
patronage and merit principle
Pendleton Civil Service Act and civil service
civil service and merit principle
GS (General Schedule) rating and Senior Executive Service
independent regulatory agencies, government corporations, and independent executive agencies
standard operating procedures and administrative discretion
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administrative discretion and street-level bureaucrats
regulation and deregulation
command-and-control policy and incentive system
Name that term:
1.
According to Max Weber, this is a rational way for a modern society to conduct
its business.
_________________________
2.
This law created the federal civil service.
_________________________
3.
This law limits the political activity of government employees.
_________________________
4.
This agency is in charge of hiring for most federal agencies.
_________________________
5.
The Federal Trade Commission is an example.
_________________________
6.
The U.S. Postal Service is an example.
_________________________
7.
This is needed because most policies are not self-executing.
_________________________
8.
Examples might include a police officer or a welfare worker.
_________________________
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9.
Presidents sometime use these to control the bureaucracy.
_________________________
10.
Also known as subgovernments.
_________________________
USING YOUR UNDERSTANDING
1.
The organization of the federal government is very complex; policy
responsibilities are delegated among many different agencies and offices. Take a
look at the simplified organization chart of the bureaucracy. Based on what you
know about the particular responsibilities of these many offices, try to categorize
them according to different policy arenas such as the economy, social welfare,
equality issues, environment, technology, or national security. Keep in mind that
these policy arenas encompass many different types of policies. Take note of any
agencies that fall within one or more of the policy groups. Briefly describe what
you found in terms of the relative organizational emphasis on each of the policy
arenas.
2.
Regulations affect many different aspects of our everyday lives. (See the section
“A Full Day of Regulation,” pp. 444-445.) Keep a record of your regulated day
from the time you wake up to the time you go to bed, recording which aspects of
your life are regulated and what federal agency is doing the regulation. After
your record is complete, make an overall assessment as to the degree to which
federal regulation affects you. Based on your assessment, consider whether or not
the costs of regulation exceed the benefits it provides you. Also consider whether
or not any of the regulations you recorded are not necessary or could be handled
to your satisfaction by some other method or by a private means as compared to
governmental means.
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REVIEW QUESTIONS
Check  the correct answer:
1.
Which of the following elements is NOT part of Max Weber’s model of
bureaucracy?
 a. the personal touch
 b. a hierarchical authority structure
 c. task specialization
 d. the merit principle and extensive rules
2.
Which of the following statements about bureaucracies is FALSE?
 a. Americans tend to dislike bureaucrats.
 b. Most federal bureaucrats work in the states.
 c. As a percentage of America’s workforce, federal employment has been
shrinking.
 d. Federal bureaucrats are no more inefficient than private bureaucrats.
3.
Which of the following myths about bureaucracies is partly TRUE?
 a. Americans dislike bureaucrats.
 b. Most federal bureaucrats work in Washington, D.C.
 c. Bureaucracies are growing bigger and bigger each year.
 d. Government bureaucracies are less efficient than private bureaucracies.
4.
The vast majority of tasks carried out by governments at all levels are not
controversial.
 True
 False
5.
Which of the following agencies employs the most civilian workers?
 a. the Department of Defense
 b. the Department of Health and Human Services
 c. the Department of Veterans Affairs
 d. the U.S. Postal Service
6.
The permanent bureaucracy is less representative of the American people than
legislators, judges, and presidential appointees to the executive branch.
 True
 False
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7.
Patronage is a hiring and promotion system based on
 a. the merit principle.
 b. knowing the right people.
 c. the Pendleton Act.
 d. talent and skill.
8.
(bonus) Who was Charles Guiteau?
 a. Chester A. Arthur’s vice president
 b. the first man hired under the civil service system
 c. the man who shot President James A. Garfield
 d. the man who coined the term “spoils system”
9.
Most federal bureaucrats get their jobs through
 a. a political contact.
 b. presidential appointment.
 c. the civil service system.
 d. elections.
10.
The Hatch Act prevents public employees from
 a. being fired for partisan reasons.
 b. being promoted for political reasons.
 c. voting in federal elections.
 d. active participation in partisan politics.
11.
The GS (General Schedule) rating is used to
 a. select three eligible job applicants.
 b. assign salaries to federal employees.
 c. nominate members of the Senior Executive Service.
 d. evaluate federal employees prior to dismissal.
12.
The plum book
 a. lists all civil service jobs.
 b. is published by the Office of Personnel Management.
 c. lists top federal jobs available with presidential appointment, often with
Senate confirmation.
 d. provides rules for hiring minorities and women.
13.
(bonus) Who referred to the top administrative policymakers as “government of
strangers”?
 a. President Chester A. Arthur
 b. Charles Guiteau
 c. President Franklin D. Roosevelt
 d. Hugh Heclo
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14.
Of the 15 cabinet departments, all are headed by a secretary except the
 a. Department of Justice.
 b. Department of Labor.
 c. Department of Veterans Affairs.
 d. Department of State.
15.
Until 1995, the largest government agency in dollars spent was the
 a. Department of Defense.
 b. Department of Health and Human Services.
 c. Treasury Department.
 d. Department of Commerce.
16.
The agency that was created to regulate business practices and control
monopolistic behavior is the
 a. Securities and Exchange Commission.
 b. Federal Trade Commission.
 c. Federal Communications Commission.
 d. National Labor Relations Board.
17.
The idea of “capture” refers to
 a. regulatory reforms pushed by groups.
 b. regulation of economic monopolies.
 c. control of regulators by regulatees.
 d. presidential influence on regulation.
18.
Government corporations
 a. provide a service that the private sector could provide.
 b. typically charge for the services they provide.
 c. are different from other parts of the government.
 d. all of the above
19.
Which of the following agencies is NOT a government corporation?
 a. Tennessee Valley Authority
 b. U.S. Postal Service
 c. Amtrak
 d. Department of Veterans Affairs
20.
The General Services Administration, the National Science Foundation, and the
National Aeronautics and Space Administration are
 a. cabinet departments.
 b. independent executive agencies.
 c. regulatory commissions.
 d. government corporations.
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21.
Most public policies are self-executing.
 True
 False
22.
The policy implementation process includes all of the following activities
EXCEPT
 a. creation of a new agency or assignment of responsibility to an old one.
 b. translation of policy goals into operation.
 c. coordination of agency resources.
 d. passage of a law.
23.
Successful policy implementation is more likely with
 a. good program design.
 b. lack of resources.
 c. very broad policies.
 d. limited budgets.
24.
The case of assuring equal opportunity in college athletics demonstrates that
bureaucracies usually resolve policy problems that Congress fails to resolve.
 True
 False
25.
Bureaucratic agencies frequently lack the staff, training, funding, supplies, and
equipment to carry out the tasks they have been assigned.
 True
 False
26.
Administrative routine
 a. is made possible by standard operating procedures.
 b. is not essential to bureaucracy.
 c. makes it impossible to exchange personnel.
 d. prevents policies from being applied uniformly.
27.
Standard operating procedures
 a. save time.
 b. bring uniformity to complex organizations.
 c. make personnel interchangeable.
 d. all of the above
28.
A paradox of bureaucracy is the coexistence of
 a. routines and discretion.
 b. equity and efficiency.
 c. rules and regulations.
 d. red tape and detail.
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29.
Administrative discretion is greatest when rules do not fit.
 True
 False
30.
An example of a street-level bureaucrat is a
 a. Supreme Court justice.
 b. member of Congress.
 c. welfare worker.
 d. presidential appointee.
31.
It is not easy to control the exercise of administrative discretion because
 a. it is not easy to fire bureaucrats in the civil service.
 b. removing appointed officials may be politically embarrassing to the
president.
 c. special bonuses are rare in the public sector.
 d. all of the above
32.
Policies within the areas of human services and drug enforcement are
 a. well-coordinated.
 b. highly fragmented.
 c. handled by a single agency.
 d. uniform.
33.
Government reorganization to reduce fragmentation is difficult because
 a. congressional committees would gain jurisdiction over too many agencies.
 b. too many agencies want to remain within a broader bureaucratic unit.
 c. interest groups do not want to give up the close relationships they have
with their agencies.
 d. all of the above
34.
Which of the following statements about regulation is FALSE?
 a. Regulation pervades the everyday lives of Americans.
 b. Regulation is the least controversial bureaucratic role.
 c. The idea of a true free enterprise economy is out of date.
 d. Almost all bureaucratic agencies are regulators.
35.
In the case of Munn v. Illinois (1877), the Supreme Court
 a. upheld the right of government to regulate business.
 b. struck down the authority of the states to regulate business.
 c. held that government regulation was unconstitutional.
 d. upheld the creation of the Interstate Commerce Commission.
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36.
Government agencies are not permitted to go to court to enforce their rules and
guidelines.
 True
 False
37.
Which of the following is NOT among the key elements of all government
regulation?
 a. a grant of power and set of directions from Congress
 b. a set of rules and guidelines by the regulatory agency
 c. permits and licenses for regulated industries
 d. some means of enforcing compliance with congressional goals and agency
regulations
38.
Proponents of deregulation argue that regulation
 a. keeps prices low.
 b. enhances competition abroad.
 c. is reasonably effective.
 d. distorts market forces.
39.
Critics of regulation claim that it
 a. raises prices.
 b. hurts America’s competitive position abroad.
 c. doesn’t work.
 d. all of the above
40.
Advocates of deregulation include conservatives and liberals.
 True
 False
41.
Bureaucracies are America’s only unelected policymaking institution.
 True
 False
42.
Which of the following is NOT among the key methods used by presidents to
control the bureaucracy?
 a. pay raises
 b. appointments
 c. budgets
 d. executive orders
43.
Congress finds a big bureaucracy congenial because it can provide services to
constituents.
 True
 False
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44.
Congress can oversee the bureaucracy by
 a. influencing the appointment of agency heads.
 b. holding hearings.
 c. rewriting the legislation.
 d. all of the above
45.
Which of the following would NOT be part of an iron triangle?
 a. a congressional committee
 b. a government agency
 c. a political party
 d. an interest group
46.
Issue networks have
 a. created new iron triangles.
 b. challenged formerly closed subgovernments.
 c. replaced the system of subgovernments.
 d. decreased participation in bureaucratic policymaking.
47.
Which of the following statements about the scope of the bureaucracy is FALSE?
 a. The federal bureaucracy has not grown over the past two generations.
 b. Originally the bureaucracy had a modest role in promoting the economy.
 c. The bureaucracy has been able to prevent most deregulation attempts.
 d. Today, the bureaucracy is expected to play an active role in social and
economic problems.
ESSAY QUESTIONS
1.
How does one become a bureaucrat? What myths surround the bureaucracy in the
United States?
2.
How is the United States bureaucracy organized? What policymaking roles do
the different federal executive agencies play?
3.
What is policy implementation and what are its main features? What factors
facilitate and what factors hinder successful implementation of a public policy?
Use specific examples of implementation to illustrate your points.
4.
What is needed for an agency to perform its regulatory role? What are the pros
and cons of deregulation?
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5.
How does politics permeate bureaucracies? What factors make it difficult to
control bureaucracies? What methods are available to the president and Congress
to control bureaucracies?
6.
What is the role of bureaucracies in the federal system? Is the federal
bureaucracy too big? What are the pros and cons of a large bureaucracy?
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