American Bureaucracy Chapter Review

🔹 Definition & Functions of Bureaucracy

• Definition: A bureaucracy is a hierarchical, rule-based structure that implements laws and public policy. It consists of non-elected officials within the executive branch.

• Primary Functions:

  • Implement laws passed by Congress.

  • Draft regulations and rules.

  • Enforce laws and standards.

  • Administer government programs and services.

🔹 Who Are Bureaucrats?

Bureaucrats include:

• Scientists at the NIH

• Inspectors at the FDA

• Analysts at the EPA

• Soldiers and postal workers

• Park rangers

• TSA agents

• Diplomats and foreign service officers

Misconception: Bureaucrats are not just "desk workers in D.C."—they are teachers, nurses, engineers, and administrators throughout the country.

🔹 From Laws to Implementation

• Policy Implementation Steps:

  • Interpret legislative intent. (Legislative Function)

  • Draft regulations (published in the Federal Register). (Legislative Function)

  • Solicit public comment.

  • Finalize and enforce rules. (Executive and Judicial Functions)

• Enforcement Tools: Fines, inspections, audits, withholding funds.

🔹 Tensions with Congress

• Mission Creep: Agencies gradually expand their responsibilities beyond original purpose.

• Principal-Agent Problem: Congress (principal) delegates tasks to bureaucrats (agents), who may have their own agendas or use discretion in ways Congress didn’t intend.

🔹 Bureaucracy & Campaign Politics

• Politicians may exploit public confusion or distrust of bureaucracy to:

  • Promise “draining the swamp.”

  • Blame unelected officials for policy failures.

  • Campaign on promises to cut “wasteful” agencies.

🔹 The OMB & the Federal Register

• Office of Management and Budget (OMB):

  • Oversees the federal budget.

  • Reviews agency regulations.

  • Approves rules before publication.

  • Key presidential tool for controlling bureaucracy.

• Federal Register:

  • Daily publication for federal rules, notices, and proposed regulations.

  • Important for transparency, public comment, and legal authority.

🔹 Rulemaking Process

1. Proposed Rule (in Federal Register)

2. Public Comment Period (30–180 days)

3. Review & Revision

4. Final Rule Published

5. Rule Implemented

• Modern Delays: Legal reviews, lobbying, complexity, and more public involvement have lengthened the timeline.

• Average Rulemaking Time: Now often 2–4 years.

🔹 Presidential Influence

• Ways to Change Bureaucratic Enforcement:

  • Executive Orders.

  • Budget priorities.

  • Reinterpret rules (as seen with environmental and immigration policies).

  • Replace agency heads.

🔹 Public Benefits from Bureaucracy

• Examples:

  • NIH grants = mRNA vaccines.

  • NASA = GPS and weather satellites.

  • FDA = Food and drug safety.

  • DOT = Auto safety standards.

  • NSF = Internet development.

  • EPA = Clean Air and Water regulations.

🔹 Key Bureaucratic Characteristics

• Mission-Driven: Focus on a defined purpose.

• Expertise: Hired based on merit, not elections.

• Hierarchy: Clear structure of authority.

• Accountability via Mission Statements: Helps guide operations and inform Congress/the public.

🔹 Bureaucrat Hiring Qualifications (Merit Selection) vs. Elected Politicians

• Bureaucrats: Often subject-matter experts with specialized training.

• Elected officials: May lack technical knowledge, rely on bureaucrats for implementation.

• Merit System Laws: Ensure competency and nonpartisan service.

🔹 Key Hiring Laws

• Pendleton Act (1883): Ended spoils system, began merit-based hiring.

• Hatch Act (1939): Limits political activity of federal employees.

• Special Considerations: Veterans’ preference, security clearances, technical credentials.

🔹 “Red Tape”

• Bureaucratic procedures can be frustrating but ensure:

  • Fairness.

  • Transparency.

  • Legal compliance.

  • Efficient resource use.

🔹 Flexibility & Power Expansion

• Broad Laws = Flexibility

  • Enables quick responses (e.g., FDA emergency approvals).

  • But can lead to unchecked discretion, principal-agent problems.

🔹 15 Executive Departments

• First Four: State, Treasury, War (now Defense), Justice.

• Newest: Homeland Security (2002).

🔹 Agency Types

• Traditional Agencies: EPA, NASA.

• Independent Regulatory Commissions: FCC, SEC.

  • Designed to be more insulated from politics.

• Government Corporations: USPS, Amtrak.

  • Provide services like private companies but funded/overseen by government.

🔹 Federal Reserve vs. Treasury

• Federal Reserve (The Fed):

  • Controls monetary policy, interest rates, money supply.

  • Chair: Appointed by president, confirmed by Senate, terms do not align with president terms in order to try to insulate the position from politics.

• Treasury:

  • Collects taxes, manages federal debt, prints currency.

  • Secretary: Appointed by president and confirmed by Senate

🔹 Health-Related Agencies

• FDA (Food and Drug Administration): Approves drugs, food safety.

• CDC (Centers for Disease Control): Tracks disease, public health emergency response.

• NIH (National Institutes for Health): Medical research funding.

• HHS (Health and Human Services): Oversees public health, Medicare, Medicaid.

• Census Bureau (Commerce): Population data for representation, funding.

🔹 Spoils to Merit System

• Spoils System: Jobs awarded for loyalty; led to corruption.

• Associated President: Andrew Jackson.

• End: After assassination of President Garfield.

• Pendleton Act (1883): Established Civil Service Commission.

🔹 Political Appointees vs. Senior Exec. Service

• Appointees: Chosen by president, confirmed by Senate. Serve at president’s pleasure.

• SES (Senior Executive Services): Career civil servants with leadership roles. Not subject to Senate confirmation.

🔹 National Performance Review (1993)

• Clinton Administration

• Goal: “Reinvent government.”

• Streamlined services, cut red tape.

• Mixed results—some efficiencies gained, but systemic change limited.

🔹 Bureaucracy Size vs. Public Belief

• Myth: Federal bureaucracy is ballooning.

• Reality: Total workforce ≈ 2.1 million—relatively flat for decades.

• Federal Workers as % of Workforce: Declined since 1950s.

• Growth Areas: State/local governments, contractors.

🔹 Privatization Debate

• Pros: Cost-efficiency, innovation, less bureaucracy.

• Cons: Lack of accountability, profit motives.

• Examples:

  • Success: Military logistics contracts.

  • Failure: FEMA (Federal Emergency Management Agency)-Katrina outsourcing delays.

🔹 Presidential Appointments & Courtesy

• Selection Criteria: Loyalty, ideological alignment, expertise, diversity, confirmation likelihood.

• Senatorial Courtesy: Deference to senators from the same party as the president in a nominee’s home state.

🔹 Executive Office of the President (EOP)

• Includes: Chief of Staff, National Security Advisor, Council of Economic Advisers.

• OMB (Office of Management and Budget) Comparison: EOP is broader; OMB is specific to budget and rule review.

🔹 Policy Czars

• Definition: Presidential advisors on key issues (not Senate-confirmed).

• Examples: Drug Czar, Climate Czar.

🔹 Congressional Control

• Tools:

  • Budgeting and appropriations.

  • Hearings and investigations.

  • Senate confirmations.

  • Impeachment/removal.

🔹 Congressional Oversight

• Police Patrol: Regular audits, reports.

• Fire Alarm: Investigations after complaints or crises.

🔹 Inspector General Act (1978)

• Created independent watchdogs in agencies.

• Duties: Investigate fraud, waste, abuse.

🔹 Congressional Support Agencies

• GAO (Government Accountability Office): Audits spending and performance. Provides accountability for agencies and congressional oversight

• CRS (Congressional Research Service): Research for Congress.

• CBO (Congressional Budget Office): Economic analysis and budget projections.

🔹 Judicial Oversight

• Marbury v. Madison (1803): Established judicial review—courts can strike down agency actions/laws that violate Constitution.

🔹 Whistleblowers

• Report internal wrongdoing.

• Protected by laws like Whistleblower Protection Act (1989).

🔹 Freedom of Information Act (FOIA, 1966)

• Grants public access to government records.

• Used by media to expose scandals.

  • Example: Pentagon Papers (Vietnam War deception).

🔹 Regulatory Capture

• Agencies become dominated by industries they regulate.

• Example: FAA (Federal Aviation Administration) overlooking Boeing safety issues that led to Boeing plane crashes.

• Problem: Undermines public interest.

🔹 Well-Written vs. Vague Laws

• Success: Clean Air Act (1970) – measurable goals. Voting Rights Act (1965)

• Failure: No Child Left Behind – ambitious but vague, underfunded, hard to enforce.

Key Terms

Key Cases

Sample Questions

Multiple Choice (18 questions)

1. Which of the following best describes the primary role of the federal bureaucracy?
   a) Making laws
   b) Adjudicating disputes
   c) Implementing laws passed by Congress
   d) Conducting elections

2. What is a bureaucracy?
   a) An elected branch of government
   b) A system of courts
   c) A hierarchical organization that implements laws and policies
   d) A political party

3. The Office of Management and Budget (OMB) primarily:
   a) Enforces laws through inspections
   b) Conducts scientific research
   c) Reviews agency budgets and regulatory proposals for the president
   d) Runs independent regulatory commissions

4. Which act established the merit-based federal civil service system?
   a) Hatch Act
   b) Pendleton Civil Service Act
   c) Whistleblower Protection Act
   d) Freedom of Information Act

5. Which of these is an example of a government corporation?
   a) Environmental Protection Agency (EPA)
   b) United States Postal Service (USPS)
   c) Federal Communications Commission (FCC)
   d) Department of Defense

6. The Hatch Act restricts:
   a) The number of political appointees
   b) Agency rulemaking power
   c) Political activities of federal employees
   d) Congressional oversight

7. Which agency audits government spending and reports findings to Congress?
   a) Congressional Budget Office (CBO)
   b) Congressional Research Service (CRS)
   c) Government Accountability Office (GAO)
   d) Office of Management and Budget (OMB)

8. What is rulemaking?
   a) Courts making new laws
   b) Congress passing legislation
   c) Agencies creating detailed regulations to implement laws
   d) Public voting on regulations

9. What is the principal-agent problem in the bureaucracy?
   a) Conflict between state and federal governments
   b) Disagreements between two political parties
   c) When bureaucrats (agents) act in their own interest, not Congress’s (principal’s) intentions
   d) Legal disputes between agencies

10. How does regulatory capture affect an agency?
    a) It makes the agency more efficient
    b) It increases transparency
    c) The agency favors the industry it regulates over the public interest
    d) It improves public trust

11. The Senior Executive Service (SES) consists of:
    a) Elected officials
    b) Entry-level government workers
    c) Top career managers in federal agencies
    d) Political appointees only

12. Which agency is responsible for conducting the U.S. Census?
    a) Federal Reserve
    b) Food and Drug Administration (FDA)
    c) Commerce Department
    d) Department of Transportation

13. Congress controls the bureaucracy by:
    a) Writing agency rules directly
    b) Hiring agency employees
    c) Approving budgets and conducting oversight hearings
    d) Issuing executive orders

14. What role does the Federal Register serve?
    a) Setting the federal budget
    b) Publishing proposed and final federal rules
    c) Confirming presidential nominees
    d) Managing elections

15. Which law protects whistleblowers who report agency wrongdoing?
    a) Freedom of Information Act
    b) Hatch Act
    c) Whistleblower Protection Act
    d) Administrative Procedure Act

16. What problem arises when bureaucrats act in their own interest rather than following Congress’s intent?
    a) Regulatory capture
    b) Red tape
    c) Principal-agent problem
    d) Mission creep

17. Which office helps the president control agency budgets and regulations?
    a) Congressional Research Service
    b) Government Accountability Office
    c) Office of Management and Budget
    d) Inspector General’s office

18. Which of the following is NOT a function of the federal bureaucracy?
    a) Implementing laws
    b) Issuing regulations
    c) Conducting judicial review
    d) Making laws

Short Answer / Scenario Questions (7 questions)

19. Scenario: Congress passes a law requiring clean air standards but leaves the details to the EPA. The EPA drafts detailed emission rules, publishes them, and invites public comment. What bureaucratic process is this?
    Answer in 1–2 sentences.

20. Explain the principal-agent problem in the bureaucracy. Why can it create challenges for effective government?
    Answer in 2–3 sentences.

21. Describe the role of an Inspector General in a federal agency.
    Answer in 1–2 sentences.

22. Explain why Congressional oversight of the bureaucracy is important for democracy.
    Answer in 2–3 sentences.

23. Describe one reason why bureaucracies may develop mission creep over time.
    Answer in 1–2 sentences.

24. How does the merit system improve the quality of federal employees?
    Answer in 2 sentences.

25. What is privatization in the context of government services? Provide one potential benefit and one potential drawback.
    Answer in 2–3 sentences.

Flashcards

1. Q: What is a bureaucracy?
   A: A hierarchical government organization that implements laws and policies.

2. Q: Who are bureaucrats?
   A: Non-elected government officials who administer programs and enforce laws.

3. Q: What is the primary role of the federal bureaucracy?
   A: To implement and enforce laws passed by Congress.

4. Q: What is rulemaking?
   A: The process by which agencies create detailed regulations to implement laws.

5. Q: What law governs federal agency rulemaking and requires public notice and comment?
   A: The Administrative Procedure Act (APA).

6. Q: What is the Federal Register?
   A: A daily publication where federal agencies publish proposed and final regulations.

7. Q: What is the Office of Management and Budget (OMB)?
   A: An agency that reviews federal budgets and regulatory proposals to align them with the president’s priorities.

8. Q: What is the merit system?
   A: Hiring and promotion based on qualifications and competence, not political connections.

9. Q: What law established the merit system for federal hiring?
   A: The Pendleton Civil Service Act of 1883.

10. Q: What is a political appointee?
    A: A person appointed by the president, usually serving at the president’s pleasure.

11. Q: What is the Senior Executive Service (SES)?
    A: The top career federal managers who lead agencies and programs.

12. Q: What is the principal-agent problem?
    A: When bureaucrats act in their own interest rather than following the intentions of Congress.

13. Q: What is regulatory capture?
    A: When an agency favors the interests of the industry it regulates over the public interest.

14. Q: What is red tape?
    A: Complex bureaucratic procedures that can delay decisions but ensure fairness and compliance.

15. Q: What is mission creep?
    A: When agencies gradually expand their responsibilities beyond their original mandate.

16. Q: What is an independent regulatory commission?
    A: An agency designed to operate independently of political influence, often led by a multi-member board.

17. Q: What is a government corporation?
    A: A government agency that operates like a private business but receives federal funding.

18. Q: Name two examples of government corporations.
    A: The United States Postal Service (USPS) and Amtrak.

19. Q: Which federal agency conducts the U.S. Census?
    A: The Commerce Department.

20. Q: Which agency regulates food and drug safety?
    A: The Food and Drug Administration (FDA).

21. Q: What is the role of the Inspector General in federal agencies?
    A: To investigate fraud, waste, and abuse within the agency.

22. Q: What is the purpose of Congressional oversight?
    A: To monitor, supervise, and review agency actions to ensure accountability.

23. Q: What is privatization in government?
    A: Transferring government services to private companies while maintaining government funding and oversight.

24. Q: What is the Hatch Act?
    A: A law limiting political activities of federal employees to maintain neutrality.

25. Q: What does the Freedom of Information Act (FOIA) do?
    A: Grants the public the right to request and access federal government records.

26. Q: What protections does the Whistleblower Protection Act provide?
    A: Protection from retaliation for federal employees who report wrongdoing.

27. Q: What is the major questions doctrine?
    A: The principle that agencies need clear congressional authorization to regulate on major issues.

28. Q: Which Supreme Court case established judicial deference to agency interpretations of statutes?
    A: Chevron U.S.A. v. Natural Resources Defense Council (1984).

29. Q: Which case limited EPA’s power without clear congressional authorization?
    A: West Virginia v. EPA (2022).

30. Q: What does the Government Accountability Office (GAO) do?
    A: Audits federal spending and provides reports to Congress.

31. Q: What is the Congressional Research Service (CRS)?
    A: A nonpartisan agency providing policy analysis to Congress.

32. Q: What is the Congressional Budget Office (CBO)?
    A: Provides budgetary and economic analyses to Congress.

33. Q: How does the merit system promote fairness in hiring?
    A: By basing employment on qualifications rather than political loyalty.

34. Q: What is mission statement in a federal agency?
    A: A statement defining the agency’s purpose and goals.

35. Q: How can bureaucratic discretion lead to challenges?
    A: It may result in inconsistent or self-interested actions by agencies.

36. Q: What is the function of political appointees?
    A: To help advance the president’s policy agenda within agencies.

37. Q: What role does public comment play in rulemaking?
    A: It allows citizens and interest groups to provide input on proposed regulations.

38. Q: Why might Congress delegate policymaking to agencies?
    A: Agencies have expertise and can adapt quickly to complex issues.

39. Q: What is the difference between executive departments and independent agencies?
    A: Executive departments are headed by Cabinet secretaries under presidential control; independent agencies operate with more autonomy.

40. Q: How does Congress limit presidential control over some agencies?
    A: By setting terms of office and removal protections for agency officials.