Module 3 - Chapter Twelve

The Bureaucracy: Bureaucratic Politics

• In the Online Lecture section, explore the instructor's discussion of the points raised in the first chapter.
• Ask yourself: how do these points compare to those found in the text?
• Make a note of the major concepts as listed in the text and as highlighted below.
• You may want to follow some of the current events hyperlinks to find examples of issues mention at the end of the online lecture.
• Go to the Dye textbook publisher site to look at the chapter overview and to test yourself as required (see below).

 

Dye Textbook: Overview

• Look at the Dye overview to assure yourself that you have absorbed the main points.  Only look at the overview after you have read the chapter!

Chapter 12 deals with some that is both vital to our lives as well as a source of constant irritation: bureaucracy, in this case the federal bureaucracy.

It is useful to start thinking about the federal bureaucracy by being clear about the key characteristics of bureaucracy in general. You might do this by asking yourself about any bureaucracies you’ve worked in or otherwise had contact. Dye identifies several organizational and attitudinal traits:

• Chain of command
• Division of labor
• Specification of authority
• Goal orientation
• Impersonality

Perhaps the type of bureaucracy that best matches these traits is an authoritarian structure as found in the military. Certainly there is emphasis on "who is in charge" in any particular setting; each individual is assigned a particular function or role based on any specialized knowledge or expertise; goals are usually well defined, particularly as you get lower into the bureaucracy ("take that hill" or "bomb that village"). Certainly there is the expectation if not the reality that all individuals irrespective of their gender, age, race, etc., will be treated (promoted, assigned duties, rewarded) equally. Naturally, there is the reverse expectation that all who come into contact with those administering the policy will be treated equally, without prejudice.

As an exercise, list the positive and negative points about a bureaucracy that you have had much experience. How does your list compare to that which the "ideal" bureaucracy is supposed to have? Do the negative points result from the bureaucracy in question being "too" bureaucratic, or "not enough?"

Dye points out that bureaucracy has growth as society has evolved technologically. As matters become more specialized, the level of knowledge needed to understand them increases, making for a more complex division of labor both in society in general, as well as within individual bureaucracies.

In government, the main functions of bureaucracies are to implement policies passed by the elected officials. This done both by setting up operational procedures for the internal functioning of specific agencies and departments as well as by issuing regulations to define the dos and don’t for "clients" such as taxpayers, corporations, schools, etc.

This might seem straightforward, but to the vagueness with which legislation is often passed, many of the operational details are left to administrators to determine (administrative discretion). Thus, the frequency of inspections, the details of the inspection, the scope and adequacy of appeal mechanisms, etc. can all vary based on the interpretation of top civil servants as to the intent of legislation (as well as the size of the budget given to implement legislation).

Moreover, often legislation is not very clear in applying to individual cases (adjudication). This results in differences in interpretation of the applicability of law to a particular instance. Does the IRS owe you money, or is it the other way around? The answer might depend, especially as your situation defies that of "most" people. You have odd deductions, business losses, home offices, etc.

Thus, while bureaucracy does not set political goals, it does have a major impact upon many individuals as it tries to set and attain operational goals in the pursuit of larger political goals.

The Growth of Bureaucracy: Inevitable?

Lastly, it is important to realize the personal motives of those within bureaucracies are tied to the ever-growing expansion of their responsibilities. Thus, to move up in a bureaucracy is often related to how many people are being supervised, the size of the budget (budget maximization), the number of clients, etc. In government, unlike the private sector, there is no market mechanism to force efficiencies and impede the tendency for bureaucratic growth. Rather, there is only the unwillingness of Congress to appropriate more money to particular functions.

Since many of the services provided by government are labor-intensive, bureaucratic growth will intrinsically result in the creation of permanently expanding organizations whose growth is fueled especially by population growth. Thus the size of the FBI is affected by the number of crimes; the number of crimes will be a function of the number of criminals, whose number will be a (changing) percentage of the population. The EPA (Environmental Protection Agency) will grow as population and development pressures threaten wetlands, water quality, air quality and the like. Check Dye’s section on "Why government grows" p. 423 for additional reasons for the growth of government.

Read Dye’s section on the structure of the executive branch, Cabinet departments, and Cabinet appointments carefully to better understand how they work. You should understand that most federal workers are found in Cabinet departments rather than the various independent regulatory commissions, independent agencies, and government corporations.

Also, as politicians seek ways to limit government’s growth, one of the key devices is to rely increasingly on "contractors and consultants." Living in the Washington area, it is important to understand that these "beltway bandits" are a major source of white-collar, high salary employment for Maryland residents. Many local businesses supply government with everything from office supplies to catering services. The Maryland economy is strongly shaped by the structure and level of spending of the federal government. As it grows, or as it relies more on local contractors and consultants, Maryland’s economy grows along with it. Thus, before you start wishing for a smaller tax bite, understand that a shrinkage in federal government revenues could hit home more closely than you might have imagined!

Dye mentions some of the problems of bureaucracy. These are, in many ways, issues that have already been touched upon previously, so there is no need for me to go into greater detail here. You should still have some idea what the following refer to:

What does Dye say about attempts to introduce more accountability, rewards for excellence and punishments for incompetence in the federal bureaucracy? How successful has the Clinton administration been in "reinventing government." Ask yourself, what indicators or measures of success should be used? The rate of growth of personnel in government? The number of inspections per inspector? The absolute number of individuals working in government? The number of firings?

We have already mentioned that the OMB is the key agency structuring budgets for the executive branch. You should examine the section in which Dye notes the steps in submitting a complete budget to Congress. Note the complex committee system set up in Congress to deal with agency funding requests.

What is the difference between an authorization and an appropriation? How about obligational authority and outlays.

Note that the fiscal year for the federal government is NOT the same as it is for many other governments or entities. For example, the fiscal at AACC starting July 1, and obviously ends June 30. The fiscal year for the federal government starts October 1. The Congress often fails to finish its work on the budget by that time requiring continuing resolutions to fund agencies until a budget is finally passed.

The politics of budgeting warrants a close look. Dye notes on p. 451 that "agencies are seldom required to defend or explain budget requests that do not exceed current appropriations." This means that if an agency already exists, it is unlikely to ever be liquidated, no matter how useless much of that which it does might be. Thus, politicians generally accept last year’s funding base and only question requests to add new money.

What is the difference between zero-based budgeting and incremental budgeting? Which of these is more likely to be pursued by one concerned about "cutting waste?" Why doesn’t that strategy solve all our problems?

Another interesting distinction is between nonprogrammatic budgeting vs. program budgeting. Again, you should know which the "reformist" might prefer and why. What factors act to undermine the reformists’ efforts?

What isn’t somehow regulated by government? Everything from the amount of water we use in our toilets to the labeling of ingredients in food products is subject to government regulation – in principal to protect consumers, workers and the environment in particular. It is based ideologically on the idea that markets cannot provide enough information about indirect social costs to the production of a specific product or service. Government must research and control how certain things are produced and sold to make sure that indirect social costs of trying to produce, e.g., the cheapest possible car, does not result in an unsafe vehicle which excessively pollutes the environment, while trampling over the rights of workers.

However, according to the "capture theory of regulation "some regulatory commissions come to represent the industries they are supposed to regulate rather than representing "the people." Due to the revolving door problem, regulatory agencies lack aggressiveness in overseeing industries. Activist agencies are supposed to have more independence from business, but might still suffer from the revolving door problem.

The 1980s focused government’s attention on excessive regulation. The rising cost of doing business due to the need for regulatory compliance was coupled with global pressures to reduce costs to pressure business for regulatory relief as a cost saving measure. Government’s desire to help business did result in the deregulation of certain industries such as airlines and telecommunications. Just recently, Maryland government passed a bill facilitating the deregulation of the electric industry,

While certain forms of deregulation might increase productivity in an industry, but unintended problems might lead to reregulation. Thus, as airlines increase capacity, terminals become congested; residents complain about airplane noise; attention to customer service may decline. Politicians, always searching for an issue, will try to use such complaints as a means for suggesting more regulation.

Dye makes a series of points about how government bureaucracy might be controlled by the "people." You should have some understanding of these constraints on bureaucracies (e.g., how legislation is written, various acts meant to give the public access to internal agency information, etc.). Congressional oversight and control over the budget are very important parts of this process.

We have already discussed the nature of interest groups in a previous chapter. What you should be able to address in this context are questions like:

(1) Why do interest groups develop a "proprietary" interest in some agencies and departments?

(2) What role do interest groups have in bringing about certain departments?

(3) How do interest groups lobby departments and agencies?

Judicial oversight of government bureaucracy can take several forms. You should have some idea what an injunction does. You should know the conditions under which courts may intervene in affairs of a government department. Who has generally been more successful in waging court battles, government departments or those opposing them? What are some of the reasons why one side typically prevails?

How to study this chapter

As you probably have realized, there are A LOT of terms in this chapter.  It is essential for you to make a list of these terms so you can study them without having to reread the entire chapter.  This will make it much easier for you to recall these terms on the final exam.

Try going to the http://cnn.com/ALLPOLITICS/ site for some national events.  Local events are covered in several newspapers such as the Annapolis Capital, the Baltimore Sun or the Washington Post.