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14 LEARNING OBJECTIVES After studying Chapter 15, you should be able to: 1. Describe the bureaucrats who they are, how they got there, and what they do. 2. Discuss how the federal bureaucracy is organized. 3. Explain how bureaucracies function as implementors of public policy. 4. Explain how bureaucracies function as regulators. 5. Evaluate the problem of controlling bureaucracies in a democratic government and how bureaucracies affect the scope of government. 274

15 The following exercises will help you meet these objectives: Objective 1: Describe the bureaucrats who they are, how they got there, and what they do. 1. List five elements of the Weberian model of bureaucracy List four prevalent myths about bureaucracy What is the difference between patronage and the merit principle? Patronage: Merit Principle: 4. What is the purpose of the Hatch Act? 5. What are some of the common characteristics of plum book appointees? 275

16 Objective 2: Discuss how the federal bureaucracy is organized. 1. What are the four basic types of agencies in the federal executive branch? Explain the relationship between interest groups and independent regulatory agencies. 3. In what two ways are government corporations like private corporations and different from other parts of the government? What are the three biggest independent executive agencies? Objective 3: Explain how bureaucracies function as implementors of public policy. 1. What are the three minimum elements of implementation?

17 2. List six reasons why policy implementation might fail What are three advantages of using standard operating procedures? What is meant by administrative discretion? Give an example. Objective 4: Explain how bureaucracies function as regulators. 1. What was the significance of Munn v. Illinois (1877)? 2. List three elements common to all regulation

18 3. What is the difference between command-and-control policy and incentive system? Command-and-Control: Incentive: 4. List three criticisms of regulation Objective 5: Evaluate the problem of controlling bureaucracies in a democratic government and how bureaucracies affect the scope of government. 1. List four methods in which the president can control the bureaucracy List four methods in which Congress can control the bureaucracy

19 4. 3. Explain the difference between an iron triangle and an issue network. Iron Triangle: Issue Network: 4. What effect does bureaucracy have on the scope of government? 279

20 Compare and contrast: patronage and merit principle Pendleton Civil Service Act and civil service civil service and merit principle GS (General Schedule) rating and Senior Executive Service independent regulatory agencies, government corporations, and independent executive agencies standard operating procedures and administrative discretion administrative discretion and street-level bureaucrats 281

21 regulation and deregulation command-and-control policy and incentive system Name that term: 1. This law created the federal civil service. 2. This law limits the political activity of government employees. 3. This agency is in charge of hiring for most federal agencies. 4. The Federal Trade Commission is an example. 5. The U.S. Postal Service is an example. 6. This is needed because most policies are not self-executing. 7. Examples might include a police officer or a welfare worker. 8. Presidents sometime use these to control the bureaucracy. 9. Also known as subgovernments. 282

22 USING YOUR UNDERSTANDING 1. The organization of the federal government is very complex; policy responsibilities are delegated among many different agencies and offices. Take a look at the simplified organization chart of the bureaucracy. (See for example, Figure 15.3, p. 476.) Based on what you know about the particular responsibilities of these many offices, try to categorize them according to different policy arenas such as the economy, social welfare, equality issues, environment, technology, or national security. Keep in mind that these policy arenas encompass many different types of policies. Take note of any agencies that fall within one or more of the policy groups. Briefly describe what you found in terms of the relative organizational emphasis on each of the policy arenas. 2. Regulations affect many different aspects of our everyday lives. (See the section, "A Full Day of Regulation," p. 490.) Keep a record of your regulated day from the time you wake up to the time you go to bed, recording which aspects of your life are regulated and what federal agency is doing the regulation. After your record is complete, make an overall assessment as to the degree to which federal regulation affects you. Based on your assessment, consider whether or not the costs of regulation exceed the benefits it provides you. Also consider whether or not any of the regulations you recorded are not necessary or could be handled to your satisfaction by some other method or by a private means as compared to governmental means. REVIEW QUESTIONS Check the correct answer: 1. The Constitution outlines in detail the form and rules for establishing the federal bureaucracy. True False 2. Which of the following elements is NOT part of Max Weber's model of bureaucracy? a. the personal touch b. a hierarchical authority structure c. task specialization d. the merit principle and extensive rules 283

23 3. Which of the following statements about bureaucracies is FALSE? a. Americans tend to dislike bureaucrats. b. Most federal bureaucrats work in the states. c. As a percentage of America's work force, federal employment has been shrinking. d. Federal bureaucrats are no more inefficient than private bureaucrats. 4. Which of the following myths about bureaucracies is partly TRUE? a. Americans dislike bureaucrats. b. Most federal bureaucrats work in Washington, D.C. c. Bureaucracies are growing bigger and bigger each year. d. Government bureaucracies are less efficient than private bureaucracies. 5. The vast majority of tasks carried out by governments at all levels are noncontroversial. True False 6. Which of the following agencies employ the most civilian workers? a. the Department of Defense b. the Department of Health and Human Services c. the Department of Veterans Affairs d. the U.S. Postal Service 7. The permanent bureaucracy is less representative of the American people than legislators, judges, and presidential appointees to the executive branch. True False 8. Patronage is a hiring and promotion system based on a. the merit principle. b. knowing the right people. c. the Pendleton Act. d. talent and skill. 9. (bonus) Who was Charles Guiteau? a. Chester A. Arthur's vice president b. the first man hired under the civil service system c. the man who shot President James A. Garfield d. the man who coined the term "spoils system" 284

24 10. Most federal bureaucrats get their jobs through a. a political contact. b. presidential appointment. c. the civil service system. d. elections. 11. The Hatch Act prevents public employees from a. being fired for partisan reasons. b. being promoted for political reasons. c. voting in federal elections. d. active participation in partisan politics while on duty. 12. The GS (General Schedule) rating is used to a. select three eligible job applicants. b. assign salaries to federal employees. c. nominate members of the Senior Executive Service. d. evaluate federal employees prior to dismissal. 13. The plum book a. lists all civil service jobs. b. is published by the Office of Personnel Management. c. lists top federal jobs available with presidential appointment, often with Senate confirmation. d. provides rules for hiring minorities and women. 14. (bonus) Who referred to the top administrative policymakers as "government of strangers"? a. President Chester A. Arthur b. Charles Guiteau c. President Franklin D. Roosevelt d. Hugh Heclo 15. Of the 15 cabinet departments, all are headed by a secretary except the a. Department of Justice. b. Department of Labor. c. Department of Veterans Affairs. d. Department of State. 16. From the 1970s until 1995, the largest government agency in dollars spent was the a. Department of Defense. b. Department of Health and Human Services. c. Treasury Department. d. Department of Commerce. 285

25 17. The agency that was created to regulate business practices and control monopolistic behavior is the a. Securities and Exchange Commission. b. Federal Trade Commission. c. Federal Communications Commission. d. National Labor Relations Board. 18. The president cannot easily fire regulatory commission members. True False 19. The idea of "capture" refers to a. regulatory reforms pushed by groups. b. regulation of economic monopolies. c. control of regulators by regulatees. d. presidential influence on regulation. 20. Government corporations a. provide a service that the private sector could provide. b. typically charge for the services they provide. c. are different from other parts of the government. d. all of the above 21. Which of the following agencies is NOT a government corporation? a. Tennessee Valley Authority b. U.S. Postal Service c. Amtrak d. Department of Veterans Affairs 22. The General Services Administration, the National Science Foundation, and the National Aeronautics and Space Administration are a. cabinet departments. b. independent executive agencies. c. regulatory commissions. d. government corporations. 23. Most public policies are self-executing. True False 24. The policy implementation process includes all of the following activities EXCEPT a. creation of a new agency or assignment of responsibility to an old one. b. translation of policy goals into operation. c. coordination of agency resources. d. passage of a law. 286

26 25. Successful policy implementation is more likely with a. good program design. b. lack of clarity. c. very broad policies. d. limited budgets. 26. The case of assuring equal opportunity in college athletics demonstrates that bureaucracies usually resolve policy problems that Congress fails to resolve. True False 27. Bureaucratic agencies frequently lack the staff, training, funding, supplies, and equipment to carry out the tasks it has been assigned. True False 28. Administrative routine a. is made possible by standard operating procedures. b. is not essential to bureaucracy. c. makes it impossible to exchange personnel. d. prevents policies from being applied uniformly. 29. Standard operating procedures a. save time. b. bring uniformity to complex organizations. c. make personnel interchangeable. d. all of the above 30. A paradox of bureaucracy is the coexistence of a. routines and discretion. b. equity and efficiency. c. rules and regulations. d. red tape and detail. 31. Administrative discretion is greatest when rules do not fit. True False 32. An example of a street-level bureaucrat is a a. Supreme Court justice. b. member of Congress. c. welfare worker. d. presidential appointee. 287

27 33. It is not easy to control the exercise of administrative discretion because a. it is not easy to fire bureaucrats in the civil service. b. removing appointed officials may be politically embarrassing to the president. c. special bonuses are rare in the public sector. d. all of the above 34. Policies within the areas of human services and homeland security are a. well-coordinated. b. highly fragmented. c. handled by a single agency. d. uniform. 35. Government reorganization to reduce fragmentation is difficult because a. congressional committees would gain jurisdiction over too many agencies. b. too many agencies want to remain within a broader bureaucratic unit. c. interest groups do not want to give up the close relationships they have with their agencies. d. all of the above 36. The Voting Rights Act of 1965 was a successful case of implementation for each of the following reasons EXCEPT a. it was popular with everyone. b. its goal was clear. c. its implementation was straightforward. d. the authority of the implementers was clear. 37. Which of the following statements about regulation is FALSE? a. Regulation pervades the everyday lives of Americans. b. Regulation is the least controversial bureaucratic role. c. The idea of a total free enterprise economy is out of date. d. Almost all bureaucratic agencies are regulators. 38. In the case of Munn v. Illinois (1877), the Supreme Court a. upheld the right of government to regulate business. b. struck down the authority of the states to regulate. c. held that government regulation was unconstitutional. d. upheld the creation of the Interstate Commerce Commission. 39. Government agencies are not permitted to go to court to enforce their rules and guidelines. True False 288

28 40. Which of the following is NOT among the key elements of all government regulation? a. a grant of power and set of directions from Congress b. a set of rules and guidelines by the regulatory agency c. permits and licenses for regulated industries d. some means of enforcing compliance with congressional goals and agency regulations 41. Proponents of deregulation argue that regulation a. keeps prices low. b. enhances competition abroad. c. is reasonably effective. d. distorts market forces. 42. Critics of regulation claim that it a. raises prices. b. hurts America's competitive position abroad. c. doesn't work. d. all of the above 43. Advocates of deregulation include conservatives and liberals. True False 44. Bureaucracies are America's only unelected policymaking institution. True False 45. Which of the following is NOT among the key methods used by presidents to control the bureaucracy? a. pay raises b. appointments c. budgets d. executive orders 46. Congress finds a big bureaucracy congenial because it can provide services to constituents. True False 47. Congress can oversee the bureaucracy by a. influencing the appointment of agency heads. b. holding hearings. c. rewriting the legislation. d. all of the above 289

29 48. Which of the following would NOT be part of an iron triangle? a. a congressional committee b. a government agency c. a political party d. an interest group 49. Subgovernments or iron triangles can foster a. democracy. b. centralization. c. fragmentation. d. policy cooperation. 50. Issue networks have a. created new iron triangles. b. challenged formerly closed subgovernments. c. replaced the system of subgovernments. d. decreased participation in bureaucratic policymaking. 51. Which of the following statements regarding the scope of the bureaucracy is FALSE? a. The federal bureaucracy has not grown over the past two generations. b. Originally the bureaucracy had a modest role in promoting the economy. c. The bureaucracy has been able to prevent much of the deregulation attempted by Congress and the president. d. Today, the bureaucracy is expected to play an active role in dealing with social and economic problems. ESSAY QUESTIONS 1. How does one become a bureaucrat? What myths surround the bureaucracy in the United States? 2. Compare and contrast the different theories of bureaucracy. Which one do you believe best reflects reality? 3. How is the United States bureaucracy organized? What policymaking roles do the different federal executive agencies play? 4. What is policy implementation and what are its main features? What factors facilitate and what factors hinder successful implementation of a public policy? Use specific examples of implementation to illustrate your points. 290

30 5. What is needed for an agency to perform its regulatory role? What are the pros and cons of deregulation? 6. How does politics permeate bureaucracies? What factors make it difficult to control bureaucracies? What methods are available to the president and Congress to control bureaucracies? 7. What is the role of bureaucracies in the federal system? Is the federal bureaucracy too big? What are the pros and cons of a large bureaucracy? 291