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7 - The Federal Bureaucracy: Putting the Nation's Laws into Effect

How the Bureaucracy Is Organized

Definition: Bureaucrat

A bureaucrat is an official employed within a government bureaucracy.

Development of the American Federal Bureaucracy

The American federal bureaucracy has grown from a small group of departments to nearly three million civilian employees by 2016. This growth has been uneven, mirroring the expansion of national government power and responding to population growth, increased government tasks, and crises.

The Constitution and the Early Years of the Republic

The constitutional basis for the bureaucracy is found in Article II, focusing on the executive branch. This article allows the president to require written opinions from department heads, establishing the cabinet's foundation. Cabinet secretaries are nominated by the president and approved by the Senate.

The First Administration and Cabinet Departments

President George Washington's cabinet consisted of the Departments of State, War (now Defense), and Treasury, plus the Attorney General. These departments handled foreign relations, military oversight, economic policy, and legal advice, respectively.

The Jacksonian Era and Political Patronage

President Andrew Jackson introduced political patronage, filling bureaucratic positions based on support rather than merit. This system ironically led to the development of more neutral and technically proficient bureaucracy due to the need for standardized procedures.

Definition: Political Patronage

Political patronage involves filling administrative positions as a reward for support, rather than on merit.

A Merit-Based Civil Service

The Pendleton Act of 1883 established the United States Civil Service Commission, introducing hiring, promotion, and tenure rules based on merit. This act aimed to curb corruption and ensure that civil service positions were filled based on qualifications rather than political connections.

Pendleton Act

The Pendleton Act, or Civil Service Reform Act of 1883, created the United States Civil Service Commission to enforce rules on hiring and promotion within the civil service.

A merit-based system emphasizes professionalism and expertise, ensuring that bureaucrats act neutrally and regulations are uniformly enforced across the nation.

The Structure of the Modern Federal Bureaucracy

Cabinet Departments

  • There are fifteen cabinet departments, each responsible for a major area of public policy.
  • These departments are headed by cabinet secretaries (or the attorney general for the Justice Department), appointed by the president and confirmed by the Senate.
  • Departments rely on Congress for funding and legislation and face pressure from citizens and interest groups.
  • The Department of Homeland Security, established in 2002, is a notable example of a cabinet department formed in response to specific national security needs.

Federal Bureaucrats

  • The federal bureaucracy is structured like a pyramid, with political appointees at the top and career civil servants at the bottom.
  • Political appointees, including cabinet secretaries, serve at the president's pleasure and are subject to removal. They are selected based on experience, competence, political considerations, and a commitment to diversity.
  • The Senior Executive Service (SES) is below the top level, consisting of individuals with more job security and authority to achieve results.
  • The majority of employees are career civil servants, protected from termination for political reasons and governed by the merit system.

Growth of the Federal Bureaucracy

  • The growth of the federal bureaucracy is often measured by the total number of employees, the volume of the Code of Federal Regulations, and the cost of rule-making.
  • Despite concerns about its size and influence, the bureaucracy's expansion is driven by the need for uniform national regulations and the complexity of modern governance.
  • Regulation benefits, such as pollution control and public health improvements, must be weighed against the costs.

Iron Triangles and Issue Networks

  • Iron triangles consist of the bureaucracy, Congress, and interest groups working together to achieve shared policy goals, sometimes at the expense of broader societal interests.
  • Issue networks are more fluid and temporary than iron triangles, arising to address specific policy issues and often involving a wider range of interests.

The Bureaucracy and Policymaking

Defining the Problem and Setting the Agenda

  • The initial step in policymaking is defining the problem, a stage that can significantly impact the policy's direction.
  • Gaining attention for an issue on the policy agenda is critical for influencing the policymaking process.
  • Political, economic contexts, and public perception play roles in getting an issue recognized on the agenda.

Implementation and Rulemaking

  • The bureaucracy's primary function is to implement laws passed by Congress, a task that often requires interpreting general laws into specific actions.
  • Bureaucratic discretion allows agencies some leeway in how laws are implemented, including interpreting Congress's intent.
  • The process of creating detailed regulations, or regulation, involves public input, presidential or congressional notification, and publication in the Federal Register.

Agencies and Regulatory Powers

  • The majority of regulatory agencies are within the executive branch, with top officials serving at the president's pleasure.
  • Independent regulatory agencies, such as the Federal Communications Commission, have commissioners serving fixed terms, providing some insulation from direct political influence.

Bureaucratic Adjudication

  • Agencies sometimes act like courts, resolving disputes over federal law implementation and determining regulation applicability, a process known as bureaucratic adjudication.

Representation and Diversity

  • Bureaucrats can act as representatives of the American public, with the civil service reflecting the nation's diversity to a degree, excluding educational attainment.
  • A "representative bureaucracy" is seen as one that mirrors the diversity of the American populace, potentially legitimizing its actions.

Political Restrictions on Federal Employees

  • The Hatch Act and the Federal Employees Political Activities Act of 1993 regulate federal employees' involvement in political campaigns, balancing political participation with maintaining an impartial civil service.

Evaluation and Termination of Policies

  • Evaluation is a critical, though often contested, part of the policymaking process, assessing whether policies meet their objectives.
  • Formal termination of a policy by Congress is rare, but policies can also be effectively terminated through court decisions or lack of continued support.

Checks on the Bureaucracy

Controlling the Bureaucracy

The President's Role

  • The president has formal control over the bureaucracy, including the authority to appoint and remove top officials.
  • Presidential tools include shaping priorities through budget proposals, reorganizing agencies, and issuing executive orders.
  • Limitations include bureaucratic discretion and the sheer size and complexity of the bureaucracy, which can hinder direct presidential oversight.

Congress's Role

  • The Senate confirms agency heads, and Congress controls funding, creating or terminating agencies.
  • Congress influences bureaucratic behavior through legislation, setting goals and structures.
  • Oversight functions, such as hearings and investigations, are used to monitor agency actions, with entities like the Government Accountability Office (GAO) playing key roles.

Impact of the Judiciary and the Media

Judiciary

  • Judicial decisions can limit bureaucratic actions, as seen in cases like Michigan v. EPA, where the Supreme Court overturned EPA regulations.
  • The judiciary ensures that bureaucratic actions adhere to legal standards and interpretations of law.

Media

  • The media's coverage (or lack thereof) of bureaucratic operations influences public awareness and opinion.
  • Significant crises can thrust bureaucratic actions into the public eye, affecting public perception and pressure for reform.

Reform and Reliance on Private Organizations

  • Post-crisis analyses often lead to questions about government reliance on private contractors and the effectiveness of bureaucratic responses.
  • Private organizations and individuals play significant roles in relief efforts, though not without challenges, including accusations of taking advantage of federal funding.
  • Public demands for effective policy implementation and concerns over excessive bureaucratic power highlight the delicate balance between strong governance and maintaining individual freedoms.

Key Concepts

  • Agency Capture: A situation where regulatory agencies become dominated by the industries they are charged with regulating, potentially leading to a conflict of interest.
  • Bureaucratic Discretion: The authority of bureaucratic agencies to interpret legislation and implement laws, often allowing for significant autonomy in decision-making.
  • Oversight: The processes by which legislative and judicial bodies monitor and regulate the actions of the executive branch, including bureaucratic agencies, to ensure compliance with laws and efficient use of resources.