POLS Chapter 8 Notes
POLS Chapter 8 Notes POLS 1101
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This 15 page Class Notes was uploaded by Kyla Brinkley on Thursday October 1, 2015. The Class Notes belongs to POLS 1101 at University of Georgia taught by Ryan Bakker in Summer 2015. Since its upload, it has received 45 views. For similar materials see American Government in Political Science at University of Georgia.
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Date Created: 10/01/15
Kyla Brinkley POLS 1101 Notes Fall 2015 Bakker Chapter 8 The Bureaucracy a The American people delegate power to make their collective decisions to elected officials These lawmakers then hand over power to enforce amp implement these decisions to the unelected bureaucrats whom they employ b Delegation is built into Constitution c The Development of the Federal Bureaucracy Framers viewed the executive as source of energy in government Created executive branch agencies with authority to implement laws it passes The remarkable variety of arrangements adopted to administer government policies is largely a product of the endless search by Congress amp the White House for ways to maximize the potential political benefits amp minimize the potential costs each time they decide to exercise amp delegate their authority Modest Beginnings The Dilemma of Delegation 1 First Congress reestablished departments from A of C 2 Drawback executives might also pursue ends contrary to those desired by congressional majorities a Congress leveraged authority to establish executive branch agencies amp set annual budgets to balance president s power The Federalist Years A Reliance of Respectability 1 Small federal gov 2 17891801 3 Washington had small staff 4 Chose wealthy educated men 5 Officials literally had money on the line to do well a Posted bonds of money to give up if they failed to do job b Customstax collectors got portion of sale of goods they took from smugglers c Heavy fines for bribery d These efforts succeeded vi Democratization of the Civil Service The Spoils System 1 Rotation in office advocated by Andrew Jackson An official would serve in a position for a short fixed period then move on to something else perhaps in government but usually returning to private life a Common in Congress in 1800s 2 Spoils system the practice of the winning party dispensing government jobs 3 Rotation in officespoils system meant to democratize administration but led to bureaucratization a Arises when leaders try to solve the huge coordinationdelegation problems raised by large scale collective action 4 Bureaucratic institutions a Hierarchical structure of authority command flows down amp info flows up for coordination amp control b Division of labor reap advantages of specialization c Abstract rules for what needs to be donewho needs to do it for coordination among specialists control over subordinates amp uniformity of action in each position regardless of who holds it d lmpersonality for consistency amp impartiality treat everyone same e Career system w appointment amp advancement by demonstrated merit incentives for loyaleffective performance f Specified goals collective action is aimed towards 5 The model bureaucracy purposive machine w interchangeable human parts designed to facilitate collective action while enabling principals to control agents a lmposes heavy conformity costs on bureaucrats amp people they deal with 6 Red tape labyrinthine procedures layers of paperwork demands for strict adherence to form for which bureaucracies are legendary vii Civil Service Reform 1 Only after civil war were calls from citizens amp reformers to adopt government service as a career w job security amp advancement based on merit 2 Whiskey Ring conspiracy of revenue collectorswhiskey distillers to evade taxes exploited positions 3 Reforms extended gradually 4 Pendleton Act 1883 basic of modern civil service Put 10 of federal jobs under merit system amp authorized pres to extend coverage by executive order 5 Merit system problems a Career bureaucrats develop own personalinstitutional interests Rules designed to protect them from political retaliation make it hard to punish them b Become experts in bureau s procedures hidden action principals can t see what agents are doing d Hidden information agents know things principals don t e Agents can play multiple principals against each other d An Expanding Government i Despite dramatic changes in howthe gov operated after Jackson what it did changed very little 1 of federal officials grew but the performed same limited tasks Collecting dutiestaxes delivering mail disposing of public lands in West granting patents managing foreign relations maintaining small armynavy ii after civil war federal gov began expanding its activitiespersonnel P 39 FDFJPP39P iii gov could only grow if Congress amp the president were willing to delegate authority to new agencies iv The Cabinet 1 Presidents can invite whoever they want to their cabinet whether or not they head a department 2 Over the years political entrepreneurs have fought to confer departmental status on the agencies that administer policies affecting their constituents a Competition for scares resources 3 The Earliest Departments a Until 1849 i Treasury ii State iii Navy iv War b 1849 i Department of the Interior 1 Public lands 2 Natural resources 3 Native American affairs c 1870 i Department of Justice 1 Response to civil warreconstruction 4 Clientele Agencies a 1889 i Department of Agriculture 1 farmers b 1903 i Department of Labor 1 Labor unions ii Department of Commerce 1 Business c Demand for clientele agencies emerging national market economy d Industrial revolution s legacy ofdistinct economic interests 5 The Military Establishment a 1947 i Department of Defense 1 WWII US as an international superpower b Cold war military stayed large c Combined army navy and air force into single cabinet level National Military Establishment renamed Defense 2 years later d Pentagon symbol of large expensive military responsibilities assumed by US as a world power 6 Extension of the Federal Domain a 1979 i Department of Health amp Human Services 1 Social welfare agenciesprograms 2 Roots in New Deal b 1965 i Department of Housing amp Urban Development Reviving innercity neighborhoods Solving urban housing problems Linked to civil rights movement LBJ seated first black cabinet official here P9053 c 1966 i Department of Transportation 1 Highways 2 Air carriers 3 Railroads 4 Sea transport 5 Urban mass transit d 1977 i Department of Energy 1 Coal oil natural gas atomic hydroelectric geothermal solar 2 Pres Jimmy Carter 7 The Symbolism of Cabinet Status a Following depts are mostly symbolic b 1979 i Department of Education 1 Carter s promise to teachers groups 2 Needed their support c 1988 i Department of Veterans Affairs 1 Vietnam 2 Woo veteran vote for Reagan 8 The Department of Homeland Security 2002 Response to 911 Bush s executive order Coordinating domestic preparednesscounterterrorism Most farreaching gov reorganization since Dept of Defense i Combined 22 agencies f Had been suggested but not implemented until after 911 g In wartime the president s national security rationale for reducing transaction costs in managing homeland security policy trumped congress s normal reluctance to risk higher conformity costs amp agency losses by broad delegations of authority to the pres v Noncabinet Agencies 1 Independent Executive Agencies a Placed outside depts for political reasons b President may want to avoid bureaucratic layer between him and agency c Other agencies have independent status to keep certain activities under mostly civilian control vi Independent Regulatory Commissions 1 Designed to maintain independence from the president amp executive departments 2 Represents congress s attempt to hedge against the potential political costs of delegation by restricting the influence of presidents amp party politics on regulatory decisions 3 Run by boards of commissioners usually 5 51997 D a Conduct decision making by majority rule b Appointed by president c Serve fixed staggered terms no less than 5 yrs i Exceed pres term so pres can t keep making new appointments 4 Major reason for delegating authority to an independent agency is to avoid direct responsibility for unpopular decisions 5 3 waves of gov expansion a Late 1800searly 1900s i Interstate commerce commission federal trade commission federal reserve system b1930s i New deal ii Federal deposit insurance corporation securities amp exchange commission national labor relations board c 1960s70s i Consumer product safety commission national transportation safety board environmental protection agency nuclear regulatory commission equal employment opportunity commission 6 Federal Register publishes all new administrative rules that have the force of law vii Independent Government Corporations 1 Like private corporations gov corporations are typically run by a CEO under the supervision of a board of directorscommissioners amp chosen in same manner as members of regulatory commissions 2 Can buy amp sell property lend amp borrow money sue or be sued 3 Congress can put any constraints it wants on gov corps 4 Examples a US Postal Service i Predates constitution established 1777 by 2nol Continental Congress b Tennessee Valley Authority i New deal ii Electric powerwater transportation c National Railroad Passenger Corporation i 1970 ii Maintain inner city rail passenger service viii lndirect Administration 1 Federal spending has increased 670 in last 60 years 2 Federal workforce has barely grown at all 3 state govs administer Medicaid Temporary Assistance for Needy Families amp other welfare 4 by delegating administrative duties to state amp local go agencies Congress can add programs which voters like without increasing the federal bureaucracy which voters don t like 5 federal gov provides grants to nonprofits amp statelocal govs to implement programs 6 indirect administration has political risks for principals e Bureaucracy in Action i Federal civil service mirrors American population more accurately than Congress 1 Minoritieswomen 2 More similar to citizens ii Most want to be good agents iii Bureaucratic Culture amp Autonomy 1 Subject to authority of all branches but many operate with autonomy a Some are more monitored by principals b Strive for autonomy 2 Bureaucratic culture the norms and regular patterns of behavior found within a bureaucratic org different agencies often develop their own norms which shape the behaviors of those who work there 3 Value agency programsservices 4 Conditions that give an agency high morale amp strong sense of mission may encourage it to see independence from political control iv Bureaucrats as Politicians 1 As partisans of their agencies amp missions bureaucrats are necessarily politicians 2 Motives that account for bureaucratic behavior Quest for bigger budget More subordinates More authority Chance to do good Preference for stable predictable environment Opportunity for career security amp advancement 3 These goals can only be achieved thru politics a Mobilizing supporters b Gathering allies c Negotiating deals with other politicians d Adapting to power 4 Most important political relationship is with congress a Congress controls organization authority budgets staffing amp existence of deptsbureaus b Exchange of intelligence anticipate consequences 5 Survival of bureaucrats depends on having appreciative constituency like other politicians 6 If feasible programs produce widely distributed local benefits even when their main purpose is to generate diffuse national benefits eece v Bureaucratic lnfighting 1 Agencies with different missions clienteles skills amp ideologies compete for influence authority over policy control of implementation amp resources f Who Controls the Bureaucracy More things elected representatives want the gov to do the more discretionary authority they must give to administrators ii Congress has delegated many tasks with little guidelines on authority to be used iii At times gov agencies amp programs have served private interests almost exclusively 1 Department of Agriculture iv Congressional majorities have found ways to delegate authority without abdicating control 1 2 Police patrol the type of oversight in which Congress directly monitors agencies to ensure that they are implementing laws faithfully doing this visibly so that bureaucrats will notice that they are being watched and stay in line a Time can be wasted when there is no crime b Investigative hearings c Scientific studies d Field observation Fire alarm the type of oversight in which Congress doesn t act directly but instead sets up processes that allow organized groups amp private individuals to detect failures in the implementation of laws amp to alert Congress a Majority of oversight v Methods of Congressional Control 1 2 3 7 Congress creates amp empowers agencies by ordinary legislation and can eliminate or change them Most agencies require new budget appropriations every year to keep functioning Hearings amp investigations bureaucrats called before subcommittees to explaindefend decisions Mandatory reports congress requires executive agencies even pres to report on programs Legislative vetoes allow one or both houses of Congress sometimes even indv Committees to veto by majority vote agency s policy proposals a Declared unconstitutional 1983 by supreme court but they still do it Committee amp conference reports instruct agencies how Congress expects them to use their discretion Limitation riders attached to appropriations bills Forbid an agency to spend any of the money appropriated on activities specified by Congress in the rider a Used to block agencies from issuing regulations opposed by congress 8 Inspectors general every agency who audit agency books amp investigate activities on congress s behaH 9 Government accountability office audits programs amp agencies amp reports to congress on their performance 10 Congress can t tell bureaucrats what to do but it can tell them how to do it a Administrative Procedure Act 1946 APA declares procedures 11 When an agency wants to make a rule it has to give public notice in the Federal Register a Then agency responds to public comments b Makes rulemaking a public act c Give members of congressagencies advance notice of political fallout that regulations might cause 12 The APA sets up a fire alarm mechanism that alerts members of congress when delegated authority is being exercised in a way that might hurt them politically 13 Standing the right to bring legal action a Enables groups amp their lawyers to enforce compliance thru the courts ensuring their interests won t be ignored vi The President amp the Bureaucracy 1 President has power to appoint senior gov officials amp other congressionally conferred grants of authority a Institutional realities impose formidable barriers to presidential influence 2 The Power of Appointment a Presidents pursue policy goals by appointing officials loyal to them amp their ideas b But if enough members of congress oppose the objectives of the president s appointments they can force agency back in line c Agencies in US gov with most presidential appointments usually perform worse than agencies with more career civil servants 3 Senatorial Approval a Presidential appointments require Senate approval i Many appointments withdrawn after unfavorable committee votes b Some nominations not made because pres doesn t think it will be approved c Senators use approval process to extract promises from appointees about what they will do in office d President may also have to satisfy clientele groups because they may also benefit from presidential appointments i Appointments as symbolic payoffs to important factions in party s electoral coalition e Some appointed officials change from being loyal to becoming agents of their departments instead of the pres 4 Mechanisms for Presidential Supervision a Presidents have built up supervisory bureaucracy in Executive Office of the President to gain more control over activities of the federal bureaucracy b Control instrument office of management amp budget c When congress ignores president s recommendations presidents may use the veto to nudge them closer to their budget preferences d Presidents have more control during national crisis because they have authority over agencies involved in diplomacynational defense vii The Courts amp the Bureaucracy 1 Judiciary also shares authority over bureaucracy 2 Disputes between gov amp private individuals over whether gov is acting lawfully goes before the courts as normal lawsuit 3 Judge treats gov as any other party in a lawsuit 4 Under the APA any agency dealing with individual cases like a court must act like a court a Hold hearings conducted by neutral referees administrative law judges b Decisions that violate those procedures can be challengedoverturned in federal court 5 Federal courts interpret the APA as requiring almost as much procedural care in making rules as in deciding cases 6 Congress can rewrite the law if the courts invalidated rules that solid HouseSenate majorities want to see implemented a May alter court s jurisdiction over administrative matters viii lron Triangles Captured Agencies amp lssue Networks 1 Politics of program administration gives agency staff members of Congress amp organized interest groups powerful incentives to form mutually beneficial alliances to manage policy in their areas of specialization a Iron triangle a stable mutually beneficial political relationship among a congressional committee or subcommittee administrative agency amp organized interests concerned with a particular policy domain 2 Politics of regulation allows regulators to be captured by the very interests they re supposed to regulate a lron triangles amp captured agencies survive only as long as the costs they impose on everyone are small enough to avoid attracting serious attention from political entrepreneurs in Congress or White House who may be scouting for popular issues to champion 3 Issue networks a loose informal amp highly variable web of relationships among representatives of various interests who are involved in a particular area of public policy a Agencies adapted b When political environment changes gov agencies have little choice but to change too g Bureaucratic Reform A Hardy Perennial 39 every modern president has viewed the federal bureaucracy as a problem that needs fixing but federal bureaucracy is hard to reform and harder to prune because its actions amp structure have a political logic of their own The Logic of Red Tape 1 Red tape proliferates because it helps principals control amp monitor their agents the goal of the APA and helps agents demonstrate to their principals that they are doing their jobs correctly Many rulesprocedures adopted to ensure fairequal treatment of each citizen a Prevent unaccountable behavior Red tape often springs directly from congress s desire to control administration Although congress rails against red tape in general it views with suspicion attempts to reduce the controls that generate it a Successful efforts at easing controls could reduce congressional ability to monitor amp influence administration a risk congressional majorities have been reluctant to accept esp when the other party holds the White House Bureaucratic focus on process rather than product arises from reality that unlike private businesses gov agencies have no bottom line against which to measure the success or failure of their enterprise iv The Bureaucratic Reward System 1 Entrepreneurs take risks proportionate to prospective rewards while civil servants seldom profit personally from their attempts to make agencies more productivecustomerfriendly 2 If an alarm sounds and a routine is followed the routine rather than the bureaucrat gets the blame 3 Merit system doesn t encourage entrepreneurial risk taking 4 Government pursues overlapping conflicting or disconnected goals in response to the diverse demands Americans place on it a Each agencyprogram reflects the coalition of forces that brought it into being b Different coalitions want different things amp design different administrative institutions to get them 5 the problem of bureaucracy is not bureaucracy but politics a it s impossible to do anything without changing power relationships among interests amp institutions
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