Often considered the unofficial fourth branch of government.
Technically part of the executive branch but influenced by Congress.
Definition of Bureaucracy
An administrative group of non-elected officials responsible for executing policies and programs.
Bureaucrats or civil servants carry out the day-to-day functions of the government.
They administer laws, process applications, and provide services to the public.
Examples: Social Security applications, driving tests, services at the VA.
Constitutional Basis
The Constitution does not explicitly mention the bureaucracy.
Implied powers for Congress to create the cabinet.
Article II specifies the president's power to request opinions from cabinet heads.
The president can appoint civil officers (bureaucrats and civil servants).
Early Development
The First Congress recreated cabinet departments from the Articles of Confederation:
Treasury: Managing currency and finances.
State: Handling foreign affairs.
War (now Defense): Overseeing military matters.
Creation of the office of Attorney General (later the Department of Justice).
Debate over the control of these departments: Should it be the president or Congress?
Tension and Resolution
Presidential control could lead to a more hierarchical and efficient bureaucracy.
Congressional control could ensure more democratic influence but might lack clear chain of command.
Limited delegation: Shared control between the president and Congress.
President directs the execution of laws, but Congress appropriates funding.
The bureaucracy is responsive to both entities.
Early Bureaucracy: The Bond System
Initial focus on getting the right person for the job.
Officials were required to post "bond" to ensure good performance.
Bond acted as monetary insurance and a promise to do the job well.
Informal customs arose:
Officials were rarely fired to avoid them losing their bond.
Positions became inherited (nepotism) due to the bond requirement.
Problems with Nepotism
Qualified candidates may be passed over.
Creation of an aristocratic class with privileged access to government positions.
John Adams argued for an upper class of educated governmental officials.
The Spoils System: Andrew Jackson
Jackson argued against nepotism, claiming it diverted government from legitimate ends.
Advocated for rotation in office to bring power back to the people.
Rotation in office was also used to serve party interests.
The Spoils System/Patronage
The winning party dispenses government jobs as rewards to supporters.
Problems:
Lack of qualified individuals in positions.
Highly partisan government.
Max Weber's Model Bureaucracy
Aimed to fix the problems of the nepotism and spoil systems.
Characteristics:
Clearly hierarchical: Clear chain of command.
Specialization: Each department has a specific job with no overlap.
Clear rules and regulations: Predetermined rules dictate outcomes.
Clear paper trail: Ability to audit bureaucratic interactions.
Politically neutral: Free from political influence.
Meritocracy: Hiring and promotion based on job performance.
Problems with the Spoils System Remain Clear
The spoil system is clearly not a meritocracy or politically neutral.
Lasted for about 50 years after after Jackson's swearing in.
The Rise of the Merit System
The Industrial Revolution shifted the US economy and increased the need for technical expertise in policy.
Policy specialists were needed instead of generalists.
Shifting Popular Opinion
Whiskey Ring: A tax collection scandal involving bribery that reached high levels of government.
Assassination of President James Garfield: Charles Gateaux, a disappointed office seeker, killed Garfield.
Pendleton Act (1883)
Basis of the modern civil service system.
Initially, 10% of jobs were under the merit system. That was up to 80% by 1933.
Top positions remain political appointments.
Creation of a professional bureaucratic class with career civil service members.
The Institutional Executive Branch
Institutionalization: The formalization of power so that it becomes autonomous, complex, adaptable, and capable.
Slow process due to the executive branch's small footprint and narrow definition in the Constitution.
The Brownlow Committee
FDR commissioned the Brownlow Committee in 1936 to investigate how to make the executive branch more effective.
The committee concluded that the president needed more help and institutional support.
Congress initially ignored the report but later acted due to the brewing World War II.
Executive Office of the President (EOP)
Created in 1939 to house all of the president's staff and agencies.
Key agencies within the EOP:
Office of Management and Budget (OMB): Compiles the president's budget and manages personnel.
White House Office (WHO): Includes the president's closest advisors, such as the chief of staff.
Other important agencies: Council of Economic Advisers, National Security Council, United States Trade Representative, etc.
Expansion of Government
Growth of bureaucracy through:
Granting more power to existing agencies.
Creating new agencies to handle large-scale administrative tasks.
Reasons for Creating New Agencies
Handling large-scale administrative tasks.
Exploiting expertise.
Avoiding blame for unpopular decisions.
Making political gestures to constituencies.
Dealing with crises requiring swift, coordinated action.
Cabinet Departments
Currently 15 cabinet departments, each responsible for a broad policy agenda.
State: Foreign Affairs.
Treasury: Currency, IRS, Secret Service.
Defense: Manages war.
Justice: Enforcing the laws via the court system, federal prosecutorial department.
Interior: Bureau of Indian Affairs and National Park System.
Agriculture: USDA and agricultural regulatory agencies.
Commerce: Regulation of business.
Labor: Regulation of labor, so workers.
Health and Human Services: Federal health programs, like the ACA and responses to health crises.
Housing and Urban Development: housing to low income Americans.
Transportation: FAA
Energy: Energy.
Education: Education.
Homeland Security: Homeland security.
Veterans Affairs: Veterans affairs.
Heads of departments are called "Secretary," except for the Department of Justice (Attorney General).
The White House chief of staff, administer of the EPA, director of the office of management and budget, the United States trade representative, The US ambassador to the UN, the head of the council economic advisers, and the administrator of the small business administration also attend meetings.
Non-Cabinet Agencies
Created to establish political distance, allowing for more independent action.
Types of Non-Cabinet Agencies
Independent Executive Agencies: Exist in the executive branch but outside the direct control of the president (e.g., NASA).
Independent Regulatory Commissions: Regulate specific areas and aim to be apolitical (e.g., Federal Reserve, FCC, FTC, SEC).
Government Corporations: Businesses the government owns that sell goods/services to fund their operations (e.g., Tennessee Valley Authority, US Post Office, Amtrak).
Rule Making Process
Bureaucrats make rules that have the effect of law.
Steps to Rule Making
Public notice of a new rule in the Federal Register.
Disclosure of data and analysis on which the rule is based.
Public comment period.
Decision to change the rule or leave it as is.
If revised, the process starts over.
Much of the law we live under consists of bureaucratic rules and regulations.
Problems with a Strong Bureaucracy
Accountability issues.
Iron Triangle
A narrowly focused subgovernment controlling policy within their domain.
Consists of a legislative committee, an interest group, and an agency.
Often results in rules and regulations that benefit each other, not the system as a whole.
Issue Networks
Amorphous, ever-changing sets of politicians, lobbyists, academics, think tank experts, and public policy entrepreneurs.
Less rigid than iron triangles but still create opportunities for exploitation.
Agency Capture
When an agency creates policy that benefits the people they are supposed to be regulating.
Revolving Door
When members of interest groups become bureaucrats or vice versa, creating a disproportionate advantage for those individuals.
Checks on the Bureaucracy
Congress: Congressional oversight and funding control.
President: Appointments and budget drafting.
Courts: Reinterpretation of laws.
The People: Whistleblowers, inspectors general, and the Freedom of Information Act (FOIA).
Whistleblowers: Individuals who report wrongdoing within agencies.
Office of Inspector General: Independent entities to which whistleblowers can report wrongdoing.
Freedom of Information Act (FOIA): Allows the public to request information from the government.