Magleby chapter12 ppt

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

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12Learning Objectives

Outline the constitutional roots of the federal bureaucracy, its organizations, and its employees

12.1

Analyze the bureaucracy's tools of implementation and their effectiveness

12.2



Assess presidential and congressional efforts to control the federal bureaucracy

12.3

Relate politics and public policy, and differentiate the three types of public policy

12.4



Outline the key steps in making public policy, and assess the different types of policy solutions

12.5

Assess ways in which citizens can influence the public policy process12.6


Understanding the Federal Bureaucracy: Constitutional Origins, Organizations, andEmployees Building the Federal Bureaucracy Types of Federal Organizations Types of Federal Employees Regulating Employee Conduct

12.1


Building the Federal Bureaucracy

Foundations Constitution established authority to create bureaucracy

Congressional role Can create new agencies but cannot hold executive positions Determines staff and budget

12.1


12.1Alexander Hamilton

Hamilton helped set many of the precedents that govern the federal bureaucracy today.

A strong advocate of “execution in detail,” which involved detailed regulations that federal employees must follow

Argued for an expansion in the number of federal employees as the federal government's mission expanded.


The size of the federal bureaucracy grew from just a small Cabinet that served President Washington to one that comprises 15 departments, 50 lesser agencies, the U.S. Postal Service, and the three branches of armed services.

As of 2012, nearly 4.5 million people worked for the federal government.


12.1


Types of Federal Organizations Departments

15 departments - led by cabinet-level officials Inner cabinet are the most important: Defense,

Health and Human Services, Justice, State, Treasury

12.1


The Department of Homeland SecurityOne of the 5 largest departments, guards against terrorism and responds to natural disasters

12.1


Types of Federal Organizations Independent stand-alone agencies

have fewer employees and more focused missions Independent regulatory commissions

Have a specific policy mission, members are drawn from both political partiesBudgets must be approved and decisions are subject to judicial

review Government corporations - operate like private

businesses U.S. Postal Service Amtrak

12.1


12.1Goldman Sachs

The Securities and Exchange Commission is an independent regulatory commission that was created to regulate the stock market. It was accused of being negligent in monitoring accounting practices during the 2008 economic collapse.


Types of Federal Employees Presidential appointees

Manage the bureaucracy Most are appointed by the president, are not confirmed by

the Senate Most resign at the end of the president’s term in office

Senior Executive Service Appointed after intensive review

Civil Service Designed to provide administrative continuity Andrew Jackson's “spoils system” - employees were hired

because of their loyalty to the party. This loyalty system gave the president's party complete control over almost every government job.

Merit system (1883) - abolished the spoils system

12.1


Regulating Employee Conduct Regulation of political participation

1939 Hatch Act - federal civil servants were prohibited from raising money for candidates and running for political office.

Hatch Act revised in 1993 Permits greater political participation Ability to hold party positions Party fund-raising Campaigning

12.1


National Treasury Employees 12.1


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

a. Government corporationsb. Independent regulatory commissionsc. Independent stand-alone agenciesd. Departments

12.1


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

12.1

a. Government corporationsb. Independent regulatory commissionsc. Independent stand-alone agenciesd. Departments


The Job of the Federal Bureaucracy Making Regulations Raising Revenue Spending Money

12.2


Making Regulations

Regulations turn policy into action Administrative Procedure Act of 1946

Publication in Federal Register “Notice and comment” period Judicial review

12.2


FIGURE 12.3: Pages in the Federal Register

12.2


Raising Revenue

Federal Revenue includes: Income taxes Payroll taxes Social Security Disability Unemployment insurance Licenses, Fees, Permits

Borrowing money Federal Reserve Board

12.2


Spending Money

Uncontrollable (“nondiscretionary”) spending NOT subject to Congress or President without major

change in law Makes up most of federal spending

Discretionary spending Subject to budget cuts, increases

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 regulationsb. Collecting taxesc. Spending moneyd. All of the above


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

a. Writing regulationsb. Collecting taxesc. Spending moneyd. All of the above


Controlling the Federal Bureaucracy Separate Controls Shared Oversight Does the Federal Bureaucracy Work?

12.3


Separate Controls

Executive branch Restricted by checks, balances, separation of powers Does control organization, appointments, budgeting

Legislative branch Controls through appropriations Confirmation of appointed officials Investigations and hearings

12.3


Shared Oversight

Presidential controls Office of Management and Budget “Central clearance system”

Congressional controls Government Accountability Office Congressional Budget Office Types of oversight: “Police patrol” “Fire alarm”

12.3


Does the Federal Bureaucracy Work?

12.3

Most Americans wary of major cutbacks Flaws in the system

Management-heavy organization Outdated personnel system Slow and complex appointments process Program/agency redundancy

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 Stateb. Congressional Budget Officec. Government Accountability Officed. Office of Management and Budget


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

a. Department of Stateb. Congressional Budget Officec. Government Accountability Officed. Office of Management and Budget


Defining Public Policy Types of Public Policy Public policy is made through laws, judicial decisions, and

detailed regulations issued by the bureaucracy. While Congress and the president enact the laws, the

bureaucracy implements the laws, putting them into effect.

If politics can be defined as the interaction of the people and their government, then public policy is the product of that cooperation.

12.4


How a group of people can impact public policy to affect their lives

12.4


Types of Public Policy

Distributive policies - offer benefits to all citizens Defense, Social Security, Education, Interstate highways, etc.

Redistributive policies - money from one group pays for benefits to another, usually through taxes Welfare, Head Start, etc.

Reverse distributive policy - reduces benefits to all groups Reductions on benefits such as Social Security Raising everyone’s taxes

12.4


12.412.4 Which of the following extends benefits to everyone?

a. Nondistributive policesb. Reverse distributive policesc. Redistributive policiesd. Distributive policies


12.412.4 Which of the following extends benefits to everyone?

a. Nondistributive policesb. Reverse distributive policesc. Redistributive policiesd. Distributive policies


The Public Policy Process

Making Assumptions About the Problem Setting the Agenda Deciding to Act Deciding How Much to Do Choosing a Solution Deciding Who Will Deliver the Solution Passing a Law and Making Regulations Running the Program Day to Day The Order of Action

12.5


FIGURE 12.6: The eight steps in making public policy

12.5


Making Assumptions About the Problem

Random elements/unpredictability Influence ability to make accurate assumptions

Time Speed of events can outpace assumptive models

12.5


Setting the Agenda

Defining the agenda Issues under government consideration Determined by the majority party Representative of majority's electorate

Other influences on the agenda National emergencies On-going problems Think tanks

12.5


Deciding to Act

Public pressure changes with time The “issue-attention” cycle

Discovery Emergence The Problem of cost Decline Exit

12.5


FIGURE 12.7: Concerns about the environment, 2000–2012

12.5


Deciding How Much to Do

Incremental policy Small change; easiest to create Most efficient way to advance an idea

Punctuating policy Requires alliances of interest groups, individuals Dramatic change Iron Triangle Issue networks

12.5


Choosing a Solution

Creation of regulations Taxation Spending Symbolic benefits

12.5


12.5Blackwater


Deciding Who Will Deliver the Solution Assignment of implementation is an

aspect of policy-making Government Departments, agencies Nongovernment personnel Independent contractors

12.5


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


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

a. Votingb. Supporting one leaderc. Providing an alternative solutiond. Joining interest groups


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

a. Votingb. Supporting one leaderc. Providing an alternative solutiond. 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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