12The Federal Bureaucracy and the Public Policy Process Creating and Executing the Laws

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I. Understanding the Federal Bureaucracy:

Constitutional Origins, Organizations, and

EmployeesLearning Objective:

Outline the constitutional roots of the federal bureaucracy, its

organizations, and its employeeshttp://en.wikipedia.org/wiki/List_of_United_States_federal_agencies#Agencies_4

12.1

A. Building the Federal Bureaucracy1. Presidential authority provided in Article II Section II

a. authority to set-up the bureaucracy. b. authority to appoint department heads, deputy secretary/under-secretary, assistant secretaries

2. Congressional rolea. Create new agencies through legislationb. Confirm or reject president’s appointeesc. Determine the number of employees, budgets the administer, and collection of taxes

12.1

12.1Alexander Hamilton

FIGURE 12.1: Measuring the estimated total number of federal employees

12.1

B. Types of Federal Organizations (four broad types)1. Departments (15)

a. most visible, employ 70% of civil servants, spend 93% of funds

b. Department of Justice lead by Attorney General (Eric Holder)

c. Inner cabinet: Defense, Health and Human Services, Justice, State, Treasury

d. There are additional directors that head major units within the department including: bureaus, agencies, offices, administrations, and divisions

12.1

FIGURE 12.2: The Department of Homeland Security

12.1

B. Types of Federal Organizations2. Independent stand-alone agencies are separate from traditional departments. Today there are more than 50 headed by administrator or director. NASA, CIA

b. Independent agencies report to president

3. Independent regulatory commissions are outside President’s control. Created to make rules for large industries and businesses that effect interest of the public

a. Commissioners are appointed by president, confirmed by senate for a fixed term b. Insulated from political pressure but under

intense pressure from lobbyist c. Can act like a court d. Federal Reserve Board and Securities and Exchange

Commission

12.1

B. Types of Federal Organizations

4. Government corporations: have special authority to act like a private business and directly serve the public. Supported by Congressional funding

a. U.S. Postal Serviceb. Amtrakc. Corporation for Public Broadcastingd. Fannie Maee. SBAf. FDIC

12.1Goldman Sachs

C. Types of Federal Employees1. Presidential appointees manage bureaucracy. 600 out of 3,000 subject to Senate confirmation

2. Career Executive appointed by Senior Executive Service. 7,000 members appointed after intensive review.

3. Civil Servicea. Designed to provide administrative continuityb. “spoils system” (practice of victorious politician rewarding followers with government jobs) v “merit system” (government employment based on competitive examinations and merit)c. Postal Service largest employer and Defense Department second

12.1

D. Regulating Employee Conduct

1. Federal employees administer laws that can affect election outcomes. Therefore the Hatch Act was passed in 1939 which regulated political participation

2. Hatch Act 1993, Permits greater political participation

a. Ability to hold party positionsb. Party fund-raisingc. Campaigning

12.1

National Treasury Employees 12.1

12.1 Which of the following are the largest organizations in government?

a. Government corporations

b. Independent regulatory commissions

c. Independent stand-alone agencies

d. Departments

12.1

12.1 Which of the following are the largest organizations in government?

12.1

a. Government corporations

b. Independent regulatory commissions

c. Independent stand-alone agencies

d. Departments

II. The Job of the Federal Bureaucracy

Learning Objectives:Analyze the bureaucracy's

tools of implementation and their effectiveness

12.2

A. Making Regulations1. Regulations and rules translate laws into action. Rule making is

similar to law makinga. Social Security Administration in the Department of Health

and Human Services has to implement the 1935 Social Security Act. 14 pages to of Rules and Regulations describing

what classifies as disabled

2. Administrative Procedure Act of 1946a. regulations must be published in the Federal Register b. “Notice and comment” period begins and parties affected by proposed regulation are encouraged to provide

comments

3. All regulations are subject to judicial review which checks any potential abuse of power if agencies try to exceed their authority

12.2

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FIGURE 12.3: Pages in the Federal Register

12.2

B. Raising Revenue1.Federal bureaucracy is responsible for collecting all revenue, including:

a. Income taxesb. Payroll taxes: Social Security, Disability, Unemployment insurancec. Corporate Taxesd. Excise Taxes: gas, cigarettes, air travele. Licenses, Fees, Permits

2. Borrowing money in the form of selling Treasury bills

a. Federal Reserve Board

12.2

C. Spending Money

1. Mandatory/Uncontrollable (“nondiscretionary”) spending

a. NOT subject to Congress or President without major change in lawb. Makes up most of federal spending: social security and Medicare

2. Discretionary spendinga. Subject to budget cuts, and or increases: defence, student loans, infrastructure

12.2

FIGURE 12.4: Uncontrollable spending in 1962 and 2012

12.2

12.212.2 In which of the following ways do federal agencies execute laws?

a. Writing regulations

b. Collecting taxes

c. Spending money

d. All of the above

12.212.2 In which of the following ways do federal agencies execute laws?

a. Writing regulations

b. Collecting taxes

c. Spending money

d. All of the above

III. Controlling the Federal Bureaucracy

Learning Objective:

Assess presidential and congressional efforts to control the federal

bureaucracy

12.3

A. Separate Controls

1. Executive brancha. Restricted by checks and balances, separation of powersb. Does control organization, appointments, budgeting

2. Legislative brancha. Controls through appropriationsb. Confirmation of appointed officialsc. Authorizes new programsd. Investigations and hearings

12.3

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12.3

B. Shared Oversight1. Presidential controls

a. Office of Management and Budget is used for routine oversighthttp://www.whitehouse.gov/omb/organization_mission/b. “Central clearance system” lets Congress know whether the presidents supports the request of the bureaucracy

2. Congressional controlsa. Government Accountability Office b. Congressional Budget Office c. Types of oversight:

1. “Police patrol” by Executive and Legislative branches.

2. “Fire alarm” by citizens, interest groups, and the press

12.3

C. Does the Federal Bureaucracy Work?

12.3

1. Most Americans wary of major cutbacks2. Flaws in the system

a. Management-heavy organizationb. Outdated personnel systemc. Slow and complex appointments processd. Program/agency redundancy

3. Sagging public confidence in the executive branch

Salmon 12.3

FIGURE 12.5: Trust in the executive branch

12.3

12.312.3 Which of the following is typically used for oversight by the executive branch?

a. Department of State

b. Congressional Budget Office

c. Government Accountability Office

d. Office of Management and Budget

12.312.3 Which of the following is typically used for oversight by the executive branch?

a. Department of State

b. Congressional Budget Office

c. Government Accountability Office

d. Office of Management and Budget

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12.3

IV. Defining Public Policy

How is Policy Made . . . through laws, judicial

decisions, and detailed regulations

Learning Objective: Relate politics and public policy,

and differentiate the three types of public policy

12.4

TABLE 12.1: Politics and policy 12.4

IV. Defining Public Policy

1. Public policy is the product of politics.

2. With politics being the process in which the decision is made regarding who gets what, when and where from government. Public policy is the formal statement declaring who has the greater power and what compromises were reached.

3. Policy makers are the individuals and groups that determine policy (elected officials, bureaucrats, lobbyist, interest groups)

A. Types of Public Policy1. Distributive policies offer benefits to all

citizens a. Defense, Social Security, etc.

2. Redistributive policies take resources from one group so another can benefit

a. Welfare, Head Start, etc.

3. Reverse distributive policy takes resources in order to solve a common program

a. Reductions on benefits

12.4

12.412.4 Which of the following extends benefits to everyone?

a. Nondistributive polices

b. Reverse distributive polices

c. Redistributive policies

d. Distributive policies

12.412.4 Which of the following extends benefits to everyone?

a. Nondistributive polices

b. Reverse distributive polices

c. Redistributive policies

d. Distributive policies

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12.4

V. The Public Policy Process

Learning Objective: Outline the key steps in

making public policy, and access the different types

of policy

12.5

FIGURE 12.6: The eight steps in making public policy

12.5

A. Making Assumptions About the Problem

Every government decision starts with assumptions about the future. However, it is difficult to predict what will happen in the future. Will the economy grow or decline? This unpredictability makes it difficult for the government to make accurate assumptions. The rapidity of change can make even strongly held assumptions moot in the face of major events.

12.5

B. Setting the Agenda

1. Defining the agendaa. Issues under government considerationb. Determined by the majority partyc. Representative of majority's electorate

2. Other influences on the agendaa. National emergencies b. On-going problems c. Think tanks

12.5

C. Deciding to Act

1. Public pressure changes with time2. The “issue-attention” cycle

a. Discoveryb. Emergencec. The Problem of costd. Declinee. Exit

12.5

FIGURE 12.7: Concerns about the environment, 2000–2012

12.5

D. Deciding How Much to Do

1. Incremental policya. Small; easiest to createb. Most efficient way to advance an idea

2. Punctuating policya. Requires alliances of interest groups, individuals1. Iron Triangle2. Issue networks

12.5

E. Choosing a Solution

1. Creation of regulations2. Taxation 3. Spending 4. Symbolic benefits

12.5

12.5Blackwater

F. Deciding Who Will Deliver the Solution

1. Assignment of implementation is an aspect of policy-making

a. Government 1. Departments, agencies2. Nongovernment personnel3. Independent contractors

12.5

G. Passing a Law and Making Regulations

Rule-making Converts thoughts and abstractions to regulations Statement of purpose The rule Formative information

Administrative discretion

12.5

12.5Solar power

Running the Program Day to Day

Implementation process includes on-going operations:

Creating regulations Supervision Evaluation

As assumptions change, policy-making process begins again

12.5

The Order of Action

Policy-making is constant Politics turns ideas into policy Policy termination

12.5

12.5

a. The president, interest groups, and a congressional committee

b. A federal agency, the public, and a congressional committee

c. A federal agency, interest groups, and the Supreme Court

d. A federal agency, interest groups, and a congressional committee

12.5 Which of the following make up an “iron triangle”?

12.512.5 Which of the following make up an “iron triangle”?

a. The president, interest groups, and a congressional committee

b. A federal agency, the public, and a congressional committee

c. A federal agency, interest groups, and the Supreme Court

d. A federal agency, interest groups, and a congressional committee

Citizens and Public Policy

Public wariness of participation Tactics Public interest groups

12.6

12.6Ralph Nader

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12.6

12.612.6 Which citizen action is more likely to be successful in influencing public policy?

a. Voting

b. Supporting one leader

c. Providing an alternative solution

d. Joining interest groups

12.612.6 Which citizen action is more likely to be successful in influencing public policy?

a. Voting

b. Supporting one leader

c. Providing an alternative solution

d. Joining interest groups

Discussion Question

Does the federal bureaucracy serve its intended purpose? What alternatives are there in government administration? Is public policy constructed fairly?

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Video: So What?

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Further Review: On MyPoliSciLab

Listen to the Chapter Study and Review the Flashcards Study and Review the Practice Tests

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