American Government: Continuity and Change and Growth of the Federal Bureaucracy There were only...

Ch t 9Chapter 9

The Executive Branch and The Executive Branch and the Federal Bureaucracy

American Government: Continuity and Change

The Executive Branch and the Federal Bureaucracy

BureaucracyA set of complex hierarchical departments,

i i i d th i t ff agencies, commissions, and their staffs that exist to help a chief executive officer carry out his or her dutiescarry out his or her dutiesBureaucracies may be private organizations of government

Many believe……it is too big & too powerfulg p…it is too wasteful

p.316

Origins and Growth of the Federal gBureaucracy

There were only three departments in 1789 under the Articles of Confederation

Foreign Affairs, War, and TreasuryWashington inherited these

Head of each called a “Secretary”Foreign Affairs renamed Department of State

1816 to 1861 size & demands increased1816 to 1861 size & demands increased1829 ~ Pres Andrew Jackson removed the Post office from the Dept of the Treasury and promoted it to cabinet level status ~ country was growing w/ westward expansionPost Office quickly became a major source of jobs

Spoils System ~ An executive’s ability to fire the office holders of the defeated political party & replace them w/ party loyalistsparty loyalists

p.317-318

Origins and Growth of the Federal gBureaucracy

There were only three departments in 1789 under the Articles of Confederation

Foreign Affairs, War, and TreasuryWashington inherited these

Head of each called a “Secretary”Foreign Affairs renamed Department of State

1816 to 1861 size & demands increased1816 to 1861 size & demands increased1829 ~ Pres Andrew Jackson removed the Post Office from the Dept of the Treasury and promoted it to cabinet level status ~ country was growing w/ westward expansionPost Office quickly became a major source of jobs

Spoils System ~ An executive’s ability to fire the Spoils System ~ An executive’s ability to fire the office holders of the defeated political party & office holders of the defeated political party & replace them w/ party loyalistsreplace them w/ party loyalistsreplace them w/ party loyalistsreplace them w/ party loyalists

p.317-318

Civil War and the Growth of Government

Civil War spawned need for new govt agencies & caused an expansion of the bureaucracybureaucracy

Department of Agriculture (1862)Lincoln needed to feed the troopsCabinet-level status in 1889

Soil conservation, breeding, planting techniques

Pension Office (1866)Pension Office (1866)127k war veterans

Department of Justice (1870)Attorney General

p.318

Civil War and the Growth of Government

Civil War spawned need for new govt Civil War spawned need for new govt agencies & caused an expansion of the agencies & caused an expansion of the bureaucracybureaucracybureaucracybureaucracy

Department of Agriculture (1862)Lincoln needed to feed the troopsCabinet-level status in 1889

Soil conservation, breeding, planting techniques

Pension Office (1866)Pension Office (1866)127k war veterans

Department of Justice (1870)Attorney General

p.318

From the Spoils System to the Merit System

James A Garfield’s PresidencyJames A. Garfield s PresidencyBesieged by office-seekers (patronage)Believed the system should be reformedIrony ~ Assassinated by a frustrated job seekerIrony Assassinated by a frustrated job seekerReaction to Garfield’s death & increasing criticism of the spoils system was the Civil Service Reform Act (aka Pendleton Act) of 1883

The act classified federal service by grades to which The act classified federal service by grades to which appointments were made based on the results of a competitive examinationIt made it illegal for federal political appointees to be required to contribute to a particular political partyrequired to contribute to a particular political partyCivil Service System operated to 1978New version is the Merit System ~ Appointments made based on performance & exam scores

p.318-319

Regulating the EconomyBig business price fixing & other unfair business Big business, price fixing, & other unfair business practices after the Civil War stimulated Congress to create the Interstate Commerce Commission

First independent regulatory commissionFirst independent regulatory commissionAn agency created by Congress that is generally concerned w/ a specific aspect of the economy

Theodore Roosevelt (1901 1909)Theodore Roosevelt (1901-1909)Dept of Commerce & Labor ~ Oversee/regulate intolerable labor practices

Employers & employeesEmployers & employees

Woodrow Wilson (1913-1921)Divided Commerce & Labor into separate deptsEncouraged Congress to create the Federal Trade Encouraged Congress to create the Federal Trade Commission ~ Protect small biz from unfair competition16th Amendment ~ Fed Income Tax (1913) p.319-321

Regulating the EconomyBig business price fixing & other unfair business Big business, price fixing, & other unfair business practices after the Civil War stimulated Congress to create the Interstate Commerce Commission

First independent regulatory commissionFirst independent regulatory commissionAn agency created by Congress that is generally concerned w/ a specific aspect of the economy

Theodore Roosevelt Theodore Roosevelt (1901(1901--1909)1909)Theodore Roosevelt Theodore Roosevelt (1901(1901--1909)1909)Dept of Commerce & Labor ~ Dept of Commerce & Labor ~ Oversee/regulate Oversee/regulate intolerable labor practicesintolerable labor practices

Employers & employeesEmployers & employees

Woodrow Wilson (1913-1921)Divided Commerce & Labor into separate deptsEncouraged Congress to create the Federal Trade Encouraged Congress to create the Federal Trade Commission ~ Protect small biz from unfair competition16th Amendment ~ Fed Income Tax (1913) p.319-321

Growth of Government in the 20th

CenturyFranklin Roosevelt (1933-1945)Franklin Roosevelt (1933 1945)

Great Depression ~ FDR created hundreds of new govt agencies to regulate business practices & various areas of the natl economyWWII

Affected the economyAffected the economyWar related goodsTaxes increased & never fell againAfter the war

Demands for services/new $ = more govt

Civil Rights Movement ~ EEOCgWar on Poverty ~ HUD

p.321-322

Federal Employees in the Executive Branch ~ 1789-2005

p.320

Federal Employees in the Executive Branch ~ 1789-2005

Number of fed employees was Number of fed employees was largest during the New Deal & largest during the New Deal & g gg g

WWIIWWII

p.320

The Modern BureaucracyWho A e B ea c ats? Go t Se ice (GS) o ke s in Who Are Bureaucrats? Govt Service (GS) workers in more than 2k organizations ~ GS 1 15

2.7 million federal workers ~ 1/3 in Postal Service Tests usually for entry level positionsTests usually for entry-level positionsMid-level to upper ranges of federal positions do not normally require tests10% of fed workforce not Civil Service10% of fed workforce not Civil Service

Appointive, policy-making positions (e.g., Cab Sec)Independent Regulatory Commissioners (appointed by the president, but independent after that)the president, but independent after that)Low-level, non-policy patronage positions

Secretarial Assistants to policy makers, e.g.333k located in Wash D.C., others throughout the countryGraying of the federal workforceHiring of outside contractors

p.322-326

Nearly 1/3 of Nearly 1/3 of fed employees fed employees work for the work for the Post OfficePost OfficePost OfficePost Office

p.322

GS 1/1 $20kGS 1/1 = $20k

GS 15/10 = $144k

p.324

• Decentralization helps:• Decentralization helps:

- Accessibility to public (Soc Sec)

- Distribute jobs/incomes

p.325

Formal Organization~ Four General Types~ Four General Types

Cabinet Departments 15Cabinet Departments ~ 15Major administrative units w/ responsibility for a broad area of govt ops ~ 60% of govt workforceIndicates a permanent natl interestIndicates a permanent natl interestUndersecretaries & Asst Secretaries

Bureaus, Divisions, SectionsDept of Interior BIADept of Home Sec Trans Security Agency

Government CorporationsBusinesses established to perform functions that could pbe provided by private businesses

Federal Deposit Insurance CorpCharge for their service

Post Office ~ Competes w/ UPS & FedExPost Office ~ Competes w/ UPS & FedExAmtrak ~ To keep passenger trains running

p.326-330


Cabinet Departments 15Cabinet Departments ~ 15Major administrative units w/ responsibility for a broad area of govt ops ~ 60% of govt workforceIndicates a permanent natl interestIndicates a permanent natl interestUndersecretaries & Asst Secretaries

Bureaus, Divisions, SectionsDept of Interior BIADept of Home Sec Trans Security Agency

Government CorporationsGovernment CorporationsBusinesses established to perform functions that could pbe provided by private businesses

Federal Deposit Insurance CorpFederal Deposit Insurance CorpCharge for their service

Post Office ~ Competes w/ UPS & FedExPost Office ~ Competes w/ UPS & FedEx

*Know *Know examplesexamples

Post Office ~ Competes w/ UPS & FedExPost Office ~ Competes w/ UPS & FedExAmtrak ~ To keep passenger trains runningAmtrak ~ To keep passenger trains running

p.326-330


Independent Executive AgenciesIndependent Executive AgenciesUnits that closely resemble a Cabinet dept but have a narrower area of responsibility

Central Intelligence Agency Natl Aviation & Space Central Intelligence Agency, Natl Aviation & Space Administration, Natl Science Foundation

Independent Regulatory CommissionsAgencies created by Congress to exist outside the major Agencies created by Congress to exist outside the major depts to regulate a specific economic activity & provide expertise

Older Ones: Federal Reserve Board, Federal Communications Commission Securities & Exchange Communications Commission, Securities & Exchange Commission ~ Oversee a certain industryNewer: Occupational Safety & Health Administration (OSHA) ~ Concerned w/ how the business sector relates to public health & safetyrelates to public health & safety

p.326-330

Fish &

Country Teams

Fish & Wildlife

Soil Soil Conservation

Svc

p.328

HalfHalf--Way PointWay Point

Ch t 9

HalfHalf--Way PointWay Point

Chapter 9



Government Workers and Political Involvement

Hatch ActHatch ActLaw enacted in 1939 to prohibit civil servants from taking activist roles in partisan campaignsCould not make political contributions, work for a political party or campaign for a particular candidatecandidate

Federal Employees Political Activities Act 1993 liberalization of the Hatch ActAllowed federal employees to run for office in nonpartisan elections and to contribute money to campaigns in partisan electionsto campaigns in partisan elections

p.330-331

*Can voteCan vote

**

p.331

How the Bureaucracy Works

b l d l(1864-1920)

Max Weber ~ German Sociologist ~ Model bureaucracies are characterized by certain factorsfactors

Chain of command ~ Auth top to bottomDivision of labor/specialization ~ ProductivityDivision of labor/specialization ProductivityClear lines of authority ~ Who’s the bossGoal orientation ~ Achieve the missionImpersonality ~ Fair treatmentProductivity ~ Evaluated according to

bli h d lestablished rules

p.332-333

How the Bureaucracy Works

b i l ib i l i(1864-1920)

Max Weber ~ German Sociologist ~ Max Weber ~ German Sociologist ~ Model bureaucracies are characterized Model bureaucracies are characterized by certain factorsby certain factorsby certain factorsby certain factors

Chain of command ~ Auth top to bottomDivision of labor/specialization ~ ProductivityDivision of labor/specialization ProductivityClear lines of authority ~ Who’s the bossGoal orientation ~ Achieve the missionImpersonality ~ Fair treatmentProductivity ~ Evaluated according to

bli h d lestablished rules

p.332-333

How the Bureaucracy WorksImplementationImplementation

The process by which a law or policy is put into operation by the bureaucracyI T i l N t SlidIron Triangles ~ Next Slide

Relatively stable relationships and patterns of interaction that occur among an agency, interest groups, and congressional committees or subcommitteescommittees or subcommittees

Issue NetworksLike iron triangles but w/ lawyers, consultants, academics, & public relations specialists addedpublic relations specialists added

Interagency Councils ~ Groups that bring together reps from several depts & agencies to facilitate the coordination of policy making & implementationcoordination of policy making & implementation

Due to increasing complexity of policy domainsLater Slide p.332-333

A relatively stable relationship & pattern of interaction that poccurs between agencies,

interest groups, & congressional committees/subcommittees

p.332



Dept of Vet Affairsp

House Comm on Vet Affairs Veterans of Foreign Wars

p.332

& American Legion



Dept of Vet AffairsDept of Vet Affairspp

House Comm on Vet AffairsHouse Comm on Vet Affairs Veterans of Foreign Wars Veterans of Foreign Wars

p.332

& American Legion& American Legion

Interagency Council on the Homeless created to created to coord the work of 50 govt agencies

p.333

Making PolicyAdministrative DiscretionAdministrative Discretion

The ability of bureaucrats to make choices concerning the best way to implement congressional intentionsExercised thru two administrative procedures

1. Rule Making ~ Quasi-legislative administrative process that has the characteristics of a legislative act

Regulations ~ Rules that govern the operation of a particular govt program that have the force of lawg p g

2. Administrative Adjudication ~ Quasi-judicial process in which a bureaucratic agency settles disputes between two parties in a manner similar to the way courts resolve disputesdisputes

Called quasi-judicial, because adjudication by any body other than the judiciary would be a violation of the Constitutional principle of separation of powersSeveral agencies employ administrative judges to conduct Several agencies employ administrative judges to conduct hearings

p.334-335

Making PolicyAdministrative DiscretionAdministrative Discretion

The ability of bureaucrats to make choices concerning the best way to implement congressional intentionsExercised thru two administrative procedures

1. Rule Making ~ Quasi-legislative administrative process that has the characteristics of a legislative act

Regulations ~ Rules that govern the operation of a particular govt program that have the force of lawg p g

2. Administrative AdjudicationAdministrative Adjudication ~ Quasi~ Quasi--judicial judicial process in which a bureaucratic agency settles process in which a bureaucratic agency settles disputes between two parties in a manner similar to disputes between two parties in a manner similar to the way courts resolve disputesthe way courts resolve disputesthe way courts resolve disputesthe way courts resolve disputes

Called quasi-judicial, because adjudication by any body other than the judiciary would be a violation of the Constitutional principle of separation of powersSeveral agencies employ administrative judges to conduct Several agencies employ administrative judges to conduct hearings

p.334-335

Making Agencies AccountableExecutive ControlExecutive Control

As size & scope of American govt has grown, presidents have had to delegate more & more power to bureaucrats while trying to maintain “some” controly gRecognizing the potential problems, presidents try to appoint the best possible persons to carry out their policy preferencesJefferson one of the first to address the issue of Jefferson one of the first to address the issue of accountability ~ “wise & frugal govt”Executive Orders (From Chap 8)

Rules or regulations issued by the president that have g y pthe effect of lawCan shape policy & provide direction

A president can direct an agency to act, but it may take some time for the order to be carried outsome time for the order to be carried out

p.338

Making Agencies Accountable

Congressional ControlCongress, too, has a role in checking thepower of the bureaucracyIn addition to the “power of the purse,”Cong has auth to create/abolish depts & agenciesC i l h i K i “ ”Congressional hearings ~ e.g., Katrina “mess ups”

Dept of Homeland Def ~ Michael ChertoffFEMA ~ Michael Brown

’97-’98 ~ Conducted extensive reviews of IRS abuses97- 98 ~ Conducted extensive reviews of IRS abusesIRS ordered to change the way it deals w/ the public’03 ~ 52% reported confidence in IRS

p.340-342


Congressional ControlCongress, too, has a role in checking thepower of the bureaucracyIn addition to the “power of the purse,”Cong has auth to create/abolish depts & agenciesC i l h i K i “ ”Congressional hearings ~ e.g., Katrina “mess ups”

Dept of Homeland Def ~ Michael ChertoffFEMA ~ Michael Brown

’97’97--’98 ~ Conducted extensive reviews of IRS abuses’98 ~ Conducted extensive reviews of IRS abuses9797-- 98 ~ Conducted extensive reviews of IRS abuses98 ~ Conducted extensive reviews of IRS abusesIRS ordered to change the way it deals w/ the publicIRS ordered to change the way it deals w/ the public’03 ~ 52% reported confidence in IRS p.337

p.340-342


Judicial ControlThe judiciary can issue injunctions toThe judiciary can issue injunctions toprevent agency rules from going intoeffectCourts can direct agencies to provide individuals w/ Courts can direct agencies to provide individuals w/ their due process rights

Can’t stop a Soc Security check wo/ a hearingInjured parties can bring suit against agencies for their failure to enforce a law and can challenge their failure to enforce a law and can challenge agency interpretations of any law

p.342-343


Judicial ControlThe judiciary can issue injunctions toThe judiciary can issue injunctions toThe judiciary can issue injunctions toThe judiciary can issue injunctions toprevent agency rules from going intoprevent agency rules from going intoeffecteffectCourts can direct agencies to provide individuals w/ Courts can direct agencies to provide individuals w/ their due process rights

Can’t stop a Soc Security check wo/ a hearingInjured parties can bring suit against agencies for their failure to enforce a law and can challenge their failure to enforce a law and can challenge agency interpretations of any law

p.342-343

Ch t 9Chapter 9



American Government: Continuity and Change and Growth of the Federal Bureaucracy There were only...

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