Politics, Bureaucracy, and Successful Governance: The Problem of Political Failure

Politics, Bureaucracy, and Successful Governance:
The Problem of Political Failure
Kenneth J. Meier* (American University, Cardiff University, Leiden University)
kmeier@american.edu
Mallory Compton (Utrecht University) mcompton6@gmail.com
John Polga-Hecimovich (US Naval Academy) polgahec@usna.edu
Miyeon Song (Texas A&M University and American University) misong@tamu.edu
Cameron Wimpy (Massachusetts Institute of Technology) wimpy@mit.edu
*Corresponding author: School of Public Affairs, Department of Public Administration &

Policy, American University, Kerwin Hall 347, 4400 Massachusetts Ave. NW, Washington
DC 20016. kmeier@american.edu
An earlier version of this article was presented at the 2018 Annual Meeting of the American
Political Science Association, Boston MA.
Electronic copy available at: https://ssrn.com/abstract=3268959

Politics, Bureaucracy, and Successful Governance:
The Problem of Political Failure
Abstract
Bureaucratic reforms worldwide seek to improve the quality of governance. In this article, we
argue that the major governance failures are political, not bureaucratic, and the first step to
better governance is to recognize the underlying political causes. Using illustrations from
throughout the world, we contend that political institutions fail to provide clear policy goals,
rarely allocate adequate resources to deal with the scope of the problems, and do not allow
the bureaucracy sufficient autonomy in implementation. Rational bureaucratic responses to
these problems, in turn, create additional governance problems that could have been avoided
if political institutional performance abetted bureaucratic goals.

Introduction
As scholars of public administration, we are used to hearing that the problem with
government is bureaucracy; bureaucracy is inefficient, ineffective, abusive of citizens, and is
associated with a wide range of other maladies. World-wide we have engaged in a decades-
long effort to rein in the bureaucracy under a variety of guises. The New Public Management
approach sought to make government more like business either by transferring functions to
the private sector or by streamlining the bloated government bureaucracy and holding it to the
criterion of serving citizens as customers (Christensen & Laegreid, 2002; Hood, 1995). In
many democracies, the New Public Management and Reinventing Government were only
extensions of the Reagan and Thatcher era revolutions or Zero-Base Budgeting, which were
followed by subsequent “reforms” culminating in the Tea Party quest for zero government.
Populist revolts have created greater pressure to enact simple reforms or refuse to accept
reforms to deal with complex problems.
The enterprise of bureaucratic reform in our view is misguided and fails to see the real
problems of governance. With the reduction in government capacity over the last several
decades, the key issue in governance is sustainability—the achievement and endurance of
success. Contrary to the dominant popular narrative, many cases of governance success exist
in this world (Compton & ‘t Hart, forthcoming). Governments do many things rather well.
Why is it that such successful responses to real problems are so rarely achieved and
sustained? In the many waves of reform, we have sacrificed the ability of government to
solve problems. This essay will present two arguments – first, that our failures of governance
are failures of politics, not failures of bureaucracy; and second, that the failures of politics
interact with essential characteristics of bureaucracy that will generate a series of additional
pathologies of governance. These pathologies reflect rational bureaucratic responses to the

failure of politics (Compton & Meier, 2017). As a result, the pathologies cannot be
successfully solved via bureaucratic reform but only via political reforms.
Politics and Administration
The starting point for any discussion of politics and administration should be the
classic work by Frank Goodnow (1900), Politics and Administration, a book that is widely
cited but rarely read. Goodnow is frequently misinterpreted to advocate a separation of
politics from administration, but in fact he argues not for a separation, but a symbiosis. The
functions are not separable, and rather both need to be performed for effective governance.
As Goodnow (1900, p. 16) himself states about politics and administration:
“That is, while the two primary functions of government are susceptible of
differentiation, the organs of government to which the discharge of these functions is
intrusted cannot be clearly defined. It is impossible to assign each of these functions
to separate authority.”
The political function is to resolve conflict, to take the cacophony of interests and voices, and
generate a policy. The administrative or bureaucratic function is to create policy via the
implementation process. There are times when political branches engage in administration,
and there are times when bureaucracies generate policy. The functions often intertwine within
an institution. It is important that both functions be performed for effective policy, otherwise,
as concluded by Goodnow (1990, p. 23), “Lack of harmony between the law and its
execution results in political paralysis. A rule of conduct, i.e. an expression of the state will
practically amount to nothing if it is not executed.”
In a provocative essay arguing the case for more bureaucracy and less democracy,
Meier (1997) proposed what he termed the first normative principal of bureaucracy.
Paraphrased, he contended that bureaucracies are optimal policy instruments for a variety of
problems and they can perform well or best when given clear goals, political support for these
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goals, adequate resources, and the autonomy to devise solutions based on expertise. These
givens are, of course, what the political system and the political function is designed to
provide. Effective bureaucracies (and effective governance), therefore, require an effective
political process.
A casual observation of contemporary political systems provides substantial evidence
that politics has failed. Using the example of the United States, rather than resolving conflict,
the political system lurches from crisis to crisis and exacerbates conflict in a quest for
political advantage in the next cycle of elections.1 We see periodic shutdowns of the federal
government, the failure to adopt a federal budget coincident with its own fiscal year, tax
policies that rely on faith for a budget balance, and at least 70 reputed attempts by the House
of Representatives to repeal the Affordable Care Act (Riotta, 2017). Nor does the US political
system generate clear goals for government policies. Extensive work by Hal Rainey and
colleagues (Chun & Rainey, 2005; Rainey, 1993) indicates that government agencies are
frequently tasked with unclear, ambiguous and at times conflicting goals (e.g., the US Postal
Service needs to provide universal service and at the same time not run deficits, but cannot
set prices). On the question of adequate resources, the chronic budget crises and emergency
appropriations have left many programs underfunded forcing clients to engage in queuing
processes that often undercut effective services (e.g., the VA hospitals in 2014). Lastly,
several cases suggest that bureaucratic agencies are not granted sufficient autonomy to best
use their expertise. The military services are frequently required to accept weapons systems
that they would prefer not to have (Cox, 2015), and federal family planning programs are
saddled with a requirement for abstinence-only approaches to sex education despite the
1
It is unclear whether elections can resolve conflict at the present time given the gerrymandered
nature of the House of Representatives and a Supreme Court that endorses free speech only when it
involves the use of campaign funds.
4

negative consequences of such policies (Kohler et al., 2008; Lindberg & Maddow-Zimet,
2012).
In democratic contexts with different institutional arrangements, electoral rules, and
political incentives, the governance process can prove more capable of resolving conflict (i.e.,
Lijphart, 1984), but pathologies nevertheless persist. The US is not unique in this regard.
Though non-majoritarian or consensus-based systems may excel at representing plural
interests and quickly passing responsive legislation, they can also generate political volatility,
frequent cabinet/ministry reorganizations, and are still bound to the electorate’s willingness to
pay. Centralized and contentious politics in France, coupled with a public health
administration deprived of capacity and legitimacy, a public crisis unfolded when HIV
contamination of the blood supply for transfusions was discovered. An innovative and speedy
response was needed to intervene in the transfusion management system, but the bureaucracy
was unable to adequately act (Bovens et al., 2001). The United Kingdom’s National Health
System (NHS) struggled to modernize and centralize record keeping, a task widely supported
by stakeholders. When the NHS predictably failed to meet installation deadlines, which were
both politically determined and unreasonable, the delays were publicized and political
support consequently waned (Robertson et al., 2010). The European Union (EU) also
consistently falls short in coordinating supra-national policy. One instance of this is the
Common Fisheries Policy. Implementation is challenged by contradictory legislative goals
and discretionary political decisions which fail to incorporate scientific advice into policy,
leaving the Community Fisheries Control Agency unable to prevent declining fish stocks
(Khalilian et al., 2010). The dysfunctions inherent in politics have generated unreasonable
demands, insufficient resources, or inadequate autonomy to achieve successful outcomes in
these examples. Bureaucratic effectiveness in such circumstances is laudable, given the
political constraints imposed on implementing organizations.

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Latin America’s multiparty presidentialism also imposes a number of obstacles to
good governance. Ames (1987) shows how political actors in the region deploy public
expenditures as a tool of presidential survival, using the budget to reward or penalize
different groups and regions—and therefore impeding the ability the public administration to
get things done. Similarly, administrations across the continent not only regard bureaucratic
posts as the spoils for patronage appointments (Grindle, 2012) but as necessary tools to forge
cabinet coalitions to govern (Praça et al., 2011). In turn, high rates of bureaucratic turnover,
especially if caused by political appointment, affect policy implementation negatively
(Cornell, 2014). Insufficient resources and a lack of autonomy also characterize Latin
American bureaucracies. While repressive authoritarian regimes retrenched spending on
health and education (Huber et al., 2008), democratic regimes often fail to provide sufficient
resources to public agencies (e.g., Alcañiz, 2016; Repetto, 2000). And although some
bureaucracies have achieved a degree of autonomy from politicians (Eaton, 2003; Nunes,
2015), a great many others continue to face interference from their political principals
(Batista da Silva, 2011; Ferraro, 2008), impeding bureaucrats’ abilities to implement and
regulate policy.
The problems of western democracies are not unique in this regard. Bureaucracies
across the African continent are widely known to be crippled by political roadblocks—even
in the midst of more recent waves of democratization (Szeftel, 1998). For example, Togo in
the late 1990s began to politicize policymaking such that expertise was hardly valued (Hyden
et al., 2003). Although former colonies of Great Britain often fare better on scores of
governance and implementation in Africa, compared to other regions more broadly Africa
lags far behind (Haque, 1997). Indeed, scarce resources and often high levels of conflict
create a bureaucracy even more dependent on political patronage (Szeftel, 2000) and unable
to build the expertise necessary to deal with pressing problems.

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Nor are Asian countries an exception. The National Assembly of the Republic of
Korea (South Korea) often forces a delay in approving budget deals and government
reorganization plans; and this political barrier makes it difficult for bureaucracy to timely
implement policies. The Indian National Congress has been involved with a series of
corruption allegations over the years that often paralyze government.
The meta policy of many governments appears to ignore the issue of sustainability
and emphasize downsizing and collaborative governance. In essence this means contracting
to the private sector, using non-profit organizations for service delivery, transferring the
responsibility of government programs to subnational governments, or simply not delivering
services at all. Contracting to the private sector ignores the basic principal-agent problem of
implementation by organizations interested in minimizing costs rather than delivering
services (Donahue & Zeckhauser, 2011) and the historical problem of corruption that plagues
many government-private partnerships (e.g., HUD, for-profit universities; see Anderson &
Taggert, 2016). Substituting nonprofits for private firms merely changes the conflict from one
about costs to one about values given the strong values component associated with many
nonprofits (Donahue & Zeckhauser, 2011). Even in the 21st century, devolving to subnational
governments can be problematic when these governments remain opposed to the programs
and their objectives,2 or simply lack the capacity to act (sub-Saharan Africa; emergency
management in the US). Recent work on bureaucratic capacity in Africa suggests that while
many developing countries are able to improve basic health outcomes others lack the capacity
to do so, and some were starting off in far worse positions. Indeed, a unique mixture of
disparate colonial legacies, ethnic fractionalization, and violent conflict can have important
2
The state of Texas, for example, in 2013 opted to eliminate some maternal health programs rather
than allow them to be implemented via Planned Parenthood (Stevenson et al., 2016).
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impacts on the quality of public administration, which in turn moderates any programs
designed to improve outcomes (Wimpy, Jackson, & Meier, 2017).
The Consequences of Political Failure
Even when politics fails at the very top, bureaucracies are still asked to do their jobs
(e.g., when the president of South Korea was impeached in 2017, its bureaucracy was still
functioning). By knowing a set of bureaucratic characteristics that are widely shared, one can
predict how bureaucracies will respond when faced with various political failures. These
characteristics include the values held by the bureaucracy, bureaucracy as an adaptable
system, and bureaucracies as facilitators of administrative conjunction. The bureaucracies’
responses are clearly rational given their situation, but the responses can create a set of
pathologies that detrimentally affect policy. While the public and the media view these ills as
bureaucratic pathologies, they are in reality bureaucratic symptoms of political failure.
Evolution in the institutional design of bureaucracy in the past century reflects a dynamic
adaptation to persistent political failures and their challenges to successful governance
(Compton & Meier, 2017).
Bureaucratic Values
The legacy of Max Weber is a view of bureaucracy as neutral and technical; values
other than neutrality have no role in bureaucracy. This academic perspective of bureaucracy
is often viewed as a political ideal although in many cases political officials contend that the
bureaucratic value is sloth which then results in inefficiency, waste, and delay. In reality the
myth of the value free, amoral bureaucrat is just that—a myth. Government bureaucrats hold
a wide range of values (Clinton & Lewis, 2008). People who work for government generally
believe that government can solve some of society’s problems and that sacrifices are
therefore worth making. We call this public service motivation (Crewson, 1997; Houston,
2000; Perry & Wise, 1990). Bureaucracies are technically oriented; they employ large
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numbers of scientists, physicians, attorneys, economists, and other highly educated career
professionals. This orientation means that bureaucrats also have professional values – the
combination of learning and other factors that indicate how problems can be solved (Eisner,
1991; Mosher, 1968; Plumlee, 1981; Teodoro, 2011). Government bureaucrats have a myriad
of other values – they are national citizens, men, women, minorities, advocates of strong
defense, supporters of environmental protection, critics of government waste, etc.3
Bureaucratic values are important because all bureaucracies have discretion despite political
efforts to either wish it away or restrict it. Bureaucratic values, in turn, have a beneficial
impact on public services, since without them policy would likely be implemented without
sympathy or enthusiasm (Thompson, 2007).
Bureaucratic Adaptability
Bureaucracies are adaptable institutions. Given the image of bureaucracies as rule-
bound and rigid organizations, one might not generally think of bureaucracies as adaptive;
but bureaucracies are open systems that need to respond to their environments or force the
environment to respond to them. The US Postal Service of today looks nothing like the US
Post Office of the 1920s with its savings bank functions (see Carpenter, 2001) or even the
Postal Service of 1970 with its emphasis on first class mail; and clearly the postal service of
2030, if there is one, will look different from today’s version. Frederickson et al. (2004)
stress the adaptability of bureaucracy in their study on city government and what they call the
“adapted city.” Among other things, they document the evolution of city manager
governments and mayor council systems to a hybrid form that combines elements of both.
How organizations change and adapt is influenced by bureaucratic values. No
bureaucracy is completely monolithic, and all will be composed of bureaucrats with different
3
Even being a bureaucrat entails some values, often stronger ones in reichstadt bureaucracies.
9

perspectives on how policy issues should be addressed. These bureaucrats will reflect their
values whenever opportunities arise, such as electoral changes or environmental crises. As an
illustration, differences in how industries should be regulated and how much regulation
should be withdrawn relative to using market forces was debated within a variety of US
government agencies well before Presidents Carter and Reagan pushed their deregulation
agendas (Eisner, 1991).
Administrative Conjunction
Bureaucracies engage in what Frederickson (1999) calls “administrative conjunction,”
the creation of voluntary agreements to enhance the ability to deliver services. These
agreements or networks are frequently established to provide for mutual assistance in case
tasks become larger than a single entity can handle (e.g., agreements among urban fire
departments). Administrative conjunction in this case deals with what are rare events, the
black swans of public administration. Because no jurisdiction funds bureaucracies
sufficiently to be able to handle all contingencies, there is always some risk that service
delivery will need to wait or not be performed at all. Administrative conjunction allows the
coverage of these rare events without massive increases in costs.
Administrative conjunction is the voluntary side of mandated networks for the
implementation of public policy. In some policy areas, problems cut across the jurisdictions
of agencies, do not conform to government boundaries, or require skills that bureaucracies do
not possess (e.g., water use policies, the delivery of health services, etc.; this is especially the
case with the use of international non-governmental organizations in sub-Saharan Africa). In
such cases, networks of organizations and individuals are mandated or develop as a practical
matter in implementation, with the bureaucracy charged with coordinating rather than
compelling (see Agranoff & McGuire, 2004; O’Toole, 1997).
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To these basic three principles, let us add one basic assumption, that bureaucracies are
rational. The assumption of bureaucratic rationality is clearly more defendable than the
assumption that individuals are rational in the classic definition of rationality as the analysis
of means to achieve a specified set of ends. Bureaucracies are designed to be rational entities
(Weber, 1946); they focus on goals and seek to restrict elements of a process that will not
lead to a given end. Bureaucracy, in many ways, is an effort to extend the ability of
individuals to act rationally (Simon, 1947) by increasing analytical capacity and taking
advantage of specialization. Bureaucracies, in turn, create incentives for individuals within
the organization to act rationally (Barnard, 1938; Downs, 1967). Combining the assumption
of bureaucratic rationality with the principles that bureaucracies have values, are adaptable
systems, and engage in collaboration, one can derive a set of propositions that have both
normative implications and are subject to empirical testing.
The First Normative Principle of Bureaucratic Design
As asserted above, the best policy results occur when other political institutions give a
bureaucracy clear goals, sufficient resources, and autonomy so that the benefits of
professionalization and near decomposable systems comes into play. This first normative
principle of bureaucratic design is based on the competitive advantages of the various
political institutions (bureaucracies, legislatures, elected executives, courts). Bureaucracies
are institutions designed to build expertise either via the incorporation of professionals as part
of merit system processes, as a result of specialization, or with their extended time frame.
Because bureaucracies can become very large (particularly relative to other policy
institutions), they have the ability to apply the principle of near decomposable systems
(Simon & Ando, 1961). Large problems can be broken down into their component parts, and
individual parts can be assigned to different units to deal with, allowing them to specialize in
certain types of problems. As the component parts of the problem are solved, the bureaucracy
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rebuilds the elements into an overall solution. Because bureaucracies are designed to be
relatively permanent institutions, they also have long time-frames and can incrementally chip
away at problems gaining more knowledge in the process as they work to solutions. This
suggests that bureaucracies learn over time (March, 1991).
The net result of these characteristics is that bureaucracies are the optimal political
institutions to implement policy given the longer time horizon, their relative permanence, and
their ability to breakdown problems into their component parts. At the same time,
bureaucracies are not good at resolving conflict, particularly conflict over program objectives
(see below). Neither are bureaucracies especially good at the representation function despite
the extensive literature on representative bureaucracy. Under specific situations (see Keiser et
al., 2002) bureaucracies can effectively represent some groups on some issues; but, as a
general characterization, bureaucracies seek to squeeze out the representation of values that
do not directly relate to the organizational mission.
The competitive advantages of bureaucracy are not limited to the US, and may be
even more dramatic in countries with stronger bureaucracies. East Asian bureaucracies, for
example, have a long tradition as merit-based institutions under Confucian culture and play a
major role as a policy institution.4 Korean bureaucracy has substantial effects on the policy
process based on its expertise although the National Assembly has legislative power vested
by the constitution.5 The success rate of congressional bills (39.6%), for instance, is almost
half of the success rate of government bills (73.5%) in the 19th National Assembly of South
Korea (2012-2016) (National Assembly Total Information System, 2018). Japan also has a
4
The civil service in East Asia (e.g., South Korea) attracts the brightest students because government
jobs are considered very prestigious despite the lower pay than the private sector (Im et al., 2011); this
enhances government human capacity.
5
In addition to bureaucratic expertise, the history of the bureaucracy-led economic growth in South
Korea also contributes to bureaucracy playing a major role as a policy institution to solve social
problems.
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strong central bureaucracy even with its parliamentary cabinet system, and its bureaucracy
has played a significant role in planning and implementing major policies. Japanese
bureaucratic agencies first draft most policies and laws that go before the national parliament
(Pempel, 1992).6 In both the Korean and Japanese cases, bureaucratic expertise and capacity
are crucial in determining their influence over policies.
The institutional advantages of legislatures are their ability to represent multiple
views and to resolve conflict. Although bureaucracies under certain circumstances can
perform both of these functions, they are not designed to do so, and thus, are relatively less
effective at it. At the same time, legislatures do not perform a variety of other functions well.
Legislatures can only develop moderate levels of expertise despite the effort to
institutionalize via full time positions and extensive legislative staff. Assemblies are
deliberative bodies and, as a result, are not designed to operate quickly. Moreover, they are
incentivized by shorter time horizons, with a focus on the next election rather than the design
or implementation of long-term public policies (e.g., Alesina & Tabellini, 2007).
In some cases institutional design exacerbates these limits. In Latin America the
legislature’s inability to implement long-term policies should be more acute, since legislative
re-election rates are much lower than in the US or re-election is expressly prohibited, like in
Costa Rica and (until, 2015) Mexico. Moreover, unlike the US, Latin American legislatures
are often “reactive” powers subservient to the executive (Cox & Morgenstern, 2001). In
combination these strengths and weaknesses indicate that legislatures have a comparative
advantage in representation and the resolution of political conflict and they will not be good
at the implementation of public policy.
6
Japanese bureaucrats, however, are not allowed to sit simultaneously in parliament (Pempel, 1992).
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Elected chief executives have become more bureaucratized over time with support
staff and specialized units. An elected chief executive is designed to be able to take quick,
focused action on a problem, preferably a one-time problem that can be resolved. Elected
chief executives, particularly in presidential systems, have three inherent limitations. First,
they are essentially set up as a rival to legislatures; and, thus, there is a competition between
the two for credit claiming and an unwillingness to work together. Lacking parliamentarism’s
formal rules for government formation, Latin America’s extreme multi-party and presidential
systems complicate governance by producing minority governments and legislative gridlock
(Negretto, 2006).
Second, elected executives also have short time frames dictated by their electoral
cycle, and in recent years by the even shorter legislative electoral cycle. The fixed term
length and winner-takes-all nature of presidentialism (Linz, 1990) creates a limited time
horizon for policy under democratic presidentialism, since changes in presidencies are often
associated with changes in policy priorities—or even presidents’ attitudes towards the
bureaucracy. In 1960s Colombia, the reformist goals of Liberal President Alberto Lleras
Camargo’s technocratic “manager state” (estado gerente) were undermined by his
Conservative successor Guillermo León Valencia, whose policy decisions undercut his own
advisors, frustrated bureaucrats, and showed little aptitude for management (Karl, 2017, p.
137-138).
Third, elected chief executives are not good at implementation. The absence of
expertise, the short time frames, and the focus on inter-institutional politics detracts from the
ability to enmesh oneself into the details of implementation on a continuous basis. The best
one can hope for are periodic efforts to reform an implementation process if that process
becomes dysfunctional.
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Throughout the world, courts and policymakers alike are aware that judicial decisions
on cases regarding social and economic rights can have significant policy and budgetary
consequences. Courts, in nations with independent judiciaries, need to be considered in the
discussion of competitive advantages because they are frequently used to implement policy
either though legal trials (e.g., antitrust policy in the US, social policy in Brazil [Lima Lopes,
2006] and Colombia [Uprimny, 2006], and water regulation in Colombia [López-Murcia,
2013]) or via direct implementation with specialized units (workers’ compensation insurance
in the US). The courts’ advantage is procedural due process, the ability to provide full
hearing rights to all parties (or at least those that can afford legal representation). Courts are
not designed for speed; in fact, the concern with procedures pushes considerations of
timeliness off the court agenda. Courts, despite the norm of precedent, are nonhierarchical
and, therefore, have problems with consistency in application; and even in cases with
specialized courts (e.g., US Tax Court), the requirement of legal training mitigates any efforts
to create expertise. Outside the US, a lack of judicial independence and impartiality may limit
the power of constitutional review and diminish the ability of judiciaries to assume and play
an effective role in the creation of social policy (Courtis, 2006).
The first normative principle of bureaucracy, therefore, is simply the admonition to
use bureaucracy’s competitive advantages as a policymaking institution. When problems are
complex (that is, need expertise) and require longer time frames to solve, bureaucracies are
the best equipped institution that exists. In such circumstances bureaucracies can perform
well if they have clear goals, political support for achieving those goals, and autonomy in the
use of resources. Such a principle works because when expectations are clear, they reinforce
the bureaucratic values that exist (that is, career-oriented professionalization and policy
orientation) and eliminate the need for bureaucracies to exploit information asymmetry (such
as hiding slack resources or misreporting data).

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Because optimal situations where bureaucracies are given clear goals, ample
resources, and autonomy rarely exist, the current policy system generates a series of
problems. Although these are generally viewed as bureaucratic problems, the following
section will argue that they are simply a reflection of political realities and bureaucracies
seeking to make the best of a less-than-optimal solution.
Political Failure and Bureaucratic Pathologies
Given the relative strengths and weaknesses of the various political institutions
(including bureaucracy), when the political system fails, it creates serious challenges for
bureaucracy and governance in general. The basic argument is as follows. Institutional
incentives create policy failures in legislatures, courts, and executives; and because of its role
in policy implementation, bureaucracy must operate despite the challenges these failures
pose. Bureaucracy has agency and will respond rationally and predictably to such challenges.
Because they are associated with suboptimal outcomes, these predictable responses are
diagnosed as pathologies, but these bureaucratic “pathologies” are merely rational responses
to a failed political process. Such pathologies are likely to be worse where mechanisms of
political control and political influence on bureaucracy are stronger
1. Bureaucracies Seek to Respond to Political Institutions
Government agencies in a democracy are open systems, and their characteristics make
them far more dependent on the environment than private sector organizations. Ignoring the
wishes of other political institutions is a high-risk strategy and unlikely for two reasons. First,
government bureaucracies cannot usually generate their own resources and must rely on
elected officials to supply these resources or authorize their extraction from citizens.7 Second,
7
A government agency that is funded via users’ fees or has the ability to generate its own resources
(e.g., the Federal Reserve) gains some freedom from control by elected officials, but such freedom
rests on the legal authorization by elected officials.
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among the values of bureaucrats in the United States and many other countries are a
commitment to democratic norms which enhances the legitimacy of the decisions by other
political institutions. Rarely do bureaucracies participate in political coups.8 Indeed, even the
technocrats of the so-called “bureaucratic authoritarian” dictatorships of 1960s and 1970s
Latin America depended on the military to gain power (O’Donnell, 1988). Even the strong
central bureaucracies in East Asian countries rely on legislative officials to approve budgets
or pass bills, and bureaucracies are held accountable by the legislative branch (e.g., South
Korea, Japan, etc.), although the degree of commitment to democratic norms may differ from
that of Western democratic countries.
In the US case, the classic essay by Norton Long (1949) demonstrates that such
responsiveness is inherent in the structural design of the political system. The American
system fragments political power via the separation of powers at the national level and further
fragments it via a federal system that divides power between the national and subnational
governments. According to Long, this fragmentation means that bureaucracies are rarely
given sufficient power and autonomy to effectively implement policy and, therefore, must
develop their own sources of such power. The multiple sources of political power, what
agency theorists call the “multiple-principals problem,” complicate this process in three
ways.
First, legislative and executive entities often make different demands. If one adds in
the demands of the court system and interest groups, there are multiple institutions claiming
to represent the will of the people. Second, federalism, decentralization, or supranational
organizations multiply these demands. A school district, for example, is subject to political
and policy demands from the elected school board, the state education agency and state
8
Powell and Thyne’s (2011) exhaustive classification of more than 450 global coups between 1950 and 2010
does not include single instance of a bureaucracy-led overthrow.
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political actors who provide both resources and constraints, and the federal government via
federal regulations on access, testing, and other matters. Bureaucracies within European
Union member states must respond to the preferences of both national and EU political
institutions, often producing a contested implementation process (Egeberg & Trondal, 2009).
Add to this now a third complication: the goals of political sovereigns change over time.
Elections replace one set of leaders with another; politicians change their minds about what
might be an effective policy; or implementation reveals limits or even flaws in current policy.
To elected officials, the long term is until the next election.
Faced with these competing and contradictory demands, a government bureaucracy
needs to respond carefully within the basic regime values and legitimate functions of the
other actors and, if possible, consistent with its own values. Bureaucracies would like
credible commitments, that is, clear goals and ample resources, but will generally not get
them. As a result, bureaucracies are rational to respond slowly to make sure priorities do not
change and that any resources allocated are not wasted.
The responsiveness of bureaucracies to political sovereigns and the failure of politics
creates two bureaucratic pathologies. First, multiple principals in a fragmented political
system means multiple and conflicting goals, thus generating the problem of goal ambiguity.
Second, multiple demands from actors with the ability to withhold resources or to levy
constraints on the agency means that bureaucracies need to respond to all the demands and, as
a result, the agency’s resources are spread too thinly for effective policy. Both pathologies are
violations of the first principle of bureaucracy – clear goals and ample resources. As long as
they are beholden to political entities with plural interests and electoral (or party)
accountability, bureaucracies will be asked to do too much with too little. When the executive
branch and legislative branch are separated, this becomes even more problematic.
18

From the highly fragmented contexts of local governance in federal democracies to
the highly centralized political environments of dictatorships, the problem of multiple
principals never disappears. Davis (2006) shows how Mexico’s democratic transition created
an environment of partisan competition that, combined with decentralization of the state and
fragmentation of its coercive and administrative apparatus, exacerbated intrastate and
bureaucratic conflict in that country. Yet bureaucracies in highly centralized and authoritarian
states are still beholden to both politicians and citizens. Indeed, it was the lack of state
responsiveness and perceived corruption under the corporatist rule of the Partido
Revolucionario Institucional (Revolutionary Institutional Party, PRI) that paved the way for
Mexico’s eventual democratization (Wiarda & Guajardo, 1988).
Multiple-principal problems also arise in the centralized and unified Asian
democracies. Even a strong central bureaucracy in South Korea, for example, has to respond
to the president and congress simultaneously. While the president exercises control over the
bureaucracy in a hierarchical institutional context, the National Assembly has broad powers
to inspect the work of the bureaucracy under the constitution. Competing and contradictory
demands from the president and congress often generate the problems of goal ambiguity and
waste of administrative resources for the Korean bureaucracy. This pathology gets worse
under divided government or electoral change.
2. All Bureaucracies Have Two Masters.
In rare occasions, the electoral branches of government resolve conflict and provide
clear goals, but that does not necessarily solve the multiple principals’ problem. Even with
political consensus, every bureaucracy has two masters – political sovereigns and agency
19

clientele.9 In the best of all possible worlds, the preferences of political sovereigns and
clientele match up perfectly. In reality that rarely happens. The interests of clientele are
generally narrower than the interests of political sovereigns. Clientele are less concerned
about tradeoffs and more concerned about gaining group or individual benefits. The conflict
between sovereigns and clientele is complicated by the fact that clientele almost never have
uniform policy preferences. Corn farmers are interested in higher prices and thus are strong
supporters of such policies as tax credits for ethanol use as a fuel whereas hog and cattle
ranchers see such policies as raising their costs of production and thus reducing demand for
their products. In cases where the clientele are regulated, it is quite logical for some clientele
to seek that regulation to provide competitive advantages (e.g., conflict among generic and
proprietary drug companies, conflict among financial institutions over possible products,
etc.).
Both clientele and political sovereigns have resources that bureaucracies need.
Political sovereigns control budgets and legislation and can use these to punish the agency (or
simply do so via hearings and oversight with the implied threat of legislation or budgets).
Clientele can provide political support for the agency, and a cooperative clientele can
enhance agency productivity. Because clientele have longer attention spans and are
specialized in their demands, they are often a more reliable resource for the public
bureaucracy.
In theory, politics could solve the tension between political sovereigns and clientele,
but in practice it often does not. This conflict creates bureaucratic pathologies whether the
bureaucracy tries to respond to both groups or favors one over the other. Responding to both
9
Or has three masters if one counts what are called “shadow principals”, members of the bureaucrat’s
profession that are a source of reputation and both intrinsic and extrinsic rewards (Adolph, 2013;
Teodoro, 2011).
20

sovereigns and clientele generates goal conflict with its inherent problems. Being overly
responsive to political sovereigns risks incoherent policies that shift with the political winds.
Greater responsiveness to clientele has the potential to create iron triangles and generate a
threat to democratic governance. Corporatist institutions, network governance, or consensus-
oriented norms may ensure a forum exists to pursue compromise and agreement among all
stakeholders, but it is by no means a straightforward, transparent, quick, or guaranteed
outcome. In all cases, by appeasing multiple actors bureaucrats must compromise their
professional judgment and subordinate them to the demands of politics.
The problem of patron-client relationships between political rulers and bureaucrats is
best illustrated by its long tradition in Africa and Latin America (Bratton & Van de Walle,
1997, Grindle, 2012). Indeed, the notion of “neopatrimonalism” is found throughout the
current literature on African politics (Bratton & Van de Walle, 1994; Pitcher et al., 2007).
Despite outward appearances, these systems often have adverse effects on policy delivery and
bureaucratic corruption (Cammack, 2007; Wiarda & Guajardo, 1988). Such systems develop
in part because bureaucracies lack the professional expertise to serve as a counter weight to
political pressures.
In East and Southeast Asia, patronage networks are related to the development of
capitalism and often indicate interactions between bureaucracies and private business (Bach,
2011; Yoshihara, 1988). Japan’s Ministry of International Trade and Industry (now METI,
the Ministry of Economy, Trade, and Industry) had strong connections with zaibatsu (large
business conglomerates) who had significant influence over Japanese economic policies. The
collusion enabled the capitalists to reap enormous benefits from economic bureaucrats by
obtaining a monopoly rights, licenses, and government financial subsidies (Yoshihara, 1988).
Similarly, the patronage network between bureaucrats and chaebol (large industrial
conglomerates) in South Korea granted preferential statuses to these companies. Capitalist

21

development and the persistence of patronage and corruption is also found in countries such
as Malaysia, Indonesia, and the Philippines (Bach, 2011). Malaysia, for example, has been
struggling to pursue its national interests in a systemic way due to its own captured officials
producing a rent-seeking forms of intervention (Searle, 1997).
3. Bureaucracies Maximize Slack Resources
Faced with political failure that threatens resources, professional autonomy, or the
generation of conflicting or ambiguous goals, bureaucracies will rationally seek to sustain
capacity. Capacity translates to slack resources that can be reallocated to deal with pressing
problems and designing solutions that make more effective use of resources. Maximizing
slack allows a bureaucracy to respond to political demands and policy problems.
Maximizing slack resources needs to be contrasted with the public choice claim that
bureaucracies seek to maximize budgets (see Niskanen, 1971). Maximizing budgets may not
be an optimal strategy because political institutions do not provide agencies with funds
without requirements to do things. The costs associated with additional funds imply that
bureaucracies will not seek those that might generate fewer discretionary resources rather
than more. Partially funded mandates can bring more costs than benefits. The state of Texas
offers free college tuition resident veterans, for example, but does not provide full funding
this program. Alternatively the funds might require the agency to do something that is
inconsistent with the agency’s values or its expertise (e.g., assigning wetlands protection to
the Army Corps of Engineers (Mazmanian & Lee, 1975) or bringing the FBI into the war on
drugs (Meier, 1994). Similar problems occur frequently in Latin America, especially with the
armed forces after the Cold War. The military needs a raison d’être since it rarely engages in
war. As a result, budgets are partially predicated on the military getting other things done
such as using the armed forces to police violent shantytowns, as in Brazil (Londoño &
22

Darlington, 2018), or engaging in a range of social development tasks, as militaries do across
the region (Pion-Berlin, 2012).
Maximizing slack resources generates a tradeoff between delivering services and
bureaucratic capacity. The bureaucratic pathology, then, is that the ability to add to capacity
via organizational slack generates short term inefficiencies in program delivery. Because the
other political institutions see slack as waste and inefficiency, they will generally penalize
such agencies further creating one of the paradoxes of New Public Management: If
bureaucracy can do more with less, why can’t they do everything with nothing?
4. Bureaucracies Maximize Performance Indicators Not Results
Recent decades have seen a massive increase in the use of performance indicators (see
Arndt & Oman, 2006; Gingerich, 2013; James, 2011; Jilke, Meuleman, & van de Walle,
2015). The United Kingdom, for example, adopted the Comprehensive Performance
Assessment (CPA) from 2002 to 2009 to assess the performance of local authorities and the
delivery of public services. International organizations also have developed cross-national
performance indicators on government capacity and the quality of governance (e.g., OECD)
as well as efficient financial allocations and productivity growth (e.g., World Bank, IMF,
African Development Bank). This management reform grew out of the New Public
Management efforts and the thinking that political sovereigns could make the bureaucracy
more efficient by creating objective standards for agency performance and then basing
budgets or other rewards on that performance. Although some public organizations long had
performance standards (e.g., employment agencies, rehabilitation services), such systems
became virtually universal in the US, UK, and other countries in K–12 education, health care,
elderly care and welfare.
The basic problem with performance standards is determining exactly what
government bureaucracies do. Do schools produce test scores or educated children? In some
23

areas such as the timely processing of routine activities (unemployment compensation
benefits, issuing retirement checks), specific tasks can be defined and monitored well. In
other areas such as education, there is substantial debate on what educational institutions are
trying to achieve and how to measure that achievement. Although test scores are frequently
used, many critics think the goals should be to increase the potential for future education,
student wellbeing (particularly in Europe, Anderson, 2005), effective democratic citizens, and
other broader, more ambitious outcomes.
If bureaucracies are rewarded for meeting performance criteria, and if given an
objective standard, one can expect that the bureaucracy will seek to maximize performance
on that standard. Outcomes that can be measured will then take precedence over outcomes
that are difficult to measure, resulting in possible goal displacement (Blau, 1955). In extreme
cases with a great deal of political pressure, organizations might feel compelled to cheat and
fabricate numbers (e.g., body counts in Vietnam, the 2014 US Veteran’s Administration
hospital scandal) or find other ways to generate positive results (e.g., police departments not
recording reports of sexual assaults; in Latin America, see Gilbert, 1990; Budds &
McGranahan, 2003). The bureaucratic pathology of goal displacement or the more extreme
case of organizational cheating can be linked directly to an absence of resources when faced
with difficult tasks (see Bohte & Meier, 2000). The north-eastern Chinese province of
Liaoning, for example, fabricated its economic data from 2011 to 2014 when it failed to meet
financial performance targets such as GDP growth and fixed asset investment (The
Economist, 2017). Under a great deal of pressure from the Communist Party of China to
accelerate performance, the local bureaucracy might have convinced itself that massaging
data could be a way to deal with this political pressure.
5. Bureaucracies Maximize Outputs not Efficiency
24

A political system creates incentives for bureaucracies to seek either effectiveness or
efficiency. The fragmented nature of the political system with its unclear goals and limited
resources means that a rational bureaucracy will find it easier to defend actions leading to
effectiveness than those targeting efficiency. An efficiency logic would have a bureaucracy
spending resources on a program until the marginal costs are equal to the marginal benefits
under the assumption that almost all programs are subject to diminishing marginal returns.
When marginal costs equal marginal benefits, excess revenues should be shifted to programs
that have greater benefit-to-cost ratios.
This theoretical economic view that supports efficiency should be contrasted with the
incentives that bureaucracies face in the real policy world. As an illustration, assume that a
wealthy school district has revenues of $20,000 per student. Assume also that given
decreasing marginal returns, the optimum benefit-to-cost ratio is to spend $15,000 per student
and achieve a 90% pass rate on standardized performance tests. Would a rational bureaucrat
(superintendent) limit spending to $15,000 for a 90% pass rate or spend all $20,000 even if
inefficient to achieve a 95% pass rate? The school district’s political sovereigns, the school
board, the parents, and the state oversight agencies would clearly be happier with the 95%
pass rate, and the higher pass rate would also generate better future employment opportunities
for the superintendent.
Another illustration of the trade-off between efficiency and effectiveness could be
road pavement construction in developing countries. Assume that given decreasing marginal
returns, the optimum benefit-to-cost ratio might be to spend $200,000 per lane mile and
complete rebuilding of 80% of the roads in a city. Even if it costs $300,000 per lane mile to
rebuild 90% of the roads, bureaucrats may want to spend the additional budget on this
construction because political sovereigns would be much happier with a 90% completion
25

rate. If politicians use the results for election campaigns, the political pressure for the higher
completion rate would be even greater.
Rational bureaucracies, therefore, have incentives to maximize outputs, not
efficiency. The pathology is that what is rational for an individual bureaucracy is not rational
and maybe inefficient for the governance system as a whole. To the extent that political
actors misallocate resources to programs, bureaucracies will facilitate the process by seeking
to maximize outputs.
6. Bureaucracies Prefer to Buffer not Exploit
Ideally bureaucracies would innovate when innovation provides higher payoffs and
buffer or try to dampen environmental problems when that strategy provides better payoffs.
In some cases a bureaucracy theoretically can do both; for example, faced with a budget cut,
managers might opt to use the crisis as a way to make a set of hard decisions that reposition
the agency to be more effective. The incentives created by the failure of politics, however,
place a premium on buffering rather than trying to exploit environmental opportunities.
Government bureaucracies face environments that are increasingly turbulent as both
politics and the policy context change rapidly. Much of the turbulence in environments is
temporary fluctuations rather than a long-term change. In such circumstances, a rational
bureaucracy will respond but in a slower, more measured way. This is especially the case
with political change given the rapid changes in political priorities.
Innovations call attention to the bureaucracy and add additional risk in an
environment that might already be hostile to the organization. In this regard, buffering might
be akin to operating a hedge fund. If you buy a stock and the market collapses, you lose
everything. If you sell a stock short at the same time you buy a stock, and the market
collapses, you are protected from some losses by the short sale. Mistakes by bureaucracies
can generate political attention and potential political punishments. Trying something and
26

failing is guaranteed to bring scrutiny from political sovereigns; buffering on the other hand
is far less likely to draw attention. Deficient national innovative capacity in Latin America
arising from low investment in human capital and scientific infrastructure, for example, led to
a weak ability to take advantage of technological advances abroad (Mahoney, 2002). The
bureaucratic pathology of lack of innovation, therefore, can be linked to the failure of politics
to provide clear support (ample resources and autonomy) for agency action.
The tendency of bureaucracy to prefer buffering to exploiting is especially
pronounced for systems with centralized countries with strong job security. A centralized
system is likely to increase bureaucrats’ risk averse behavior by making bureaucrats more
concerned with reactions from higher-ups and taking more time to secure managerial
approval, whereas a decentralized structure is more likely to encourage bureaucrats to take
risk and pursuit innovation (Feeney & DeHart-Davis, 2009; Osborne & Plastrik, 1997). This
has been conspicuously illustrated in the centralized and hierarchical Japanese bureaucracy,
which has long tried to minimize risk rather than seeking innovation Curtis 1999). Strong job
security and a fixed salary based on seniority in the Korean civil service also intensify
bureaucrats’ tendency to be risk-averse and mitigate environmental impacts.
7. Networks Are not just for Delivering Programs
Electoral institutions frequently craft policy implementation networks whereby
government agencies interact with nonprofit organizations, private sector organizations, and
other government agencies to deal with a policy problem. Such networks are frequently
constructed (see Hall & O’Toole, 2000, 2004; O’Toole, 1997) because problems are complex
and span the boundaries of governments or agencies and require the cooperation of large
numbers of individuals. At times these networks are given only general goals, and the
network needs to both devise a policy and implement this policy. In addition to these
27

networks imposed by electoral institutions, bureaucracies create their own networks to share
resources or to engage clientele in coproduction.
Regardless of the source of these networks, the fragmentation of political power
generally will mean limited authority for the agency in operating such networks. As a result,
agencies need to entice members of the network to support programs and activities. This
means that agencies will see networks as much as opportunities to build their own power
bases in addition to being either a designated or a preferred method of policy implementation.
Because government agencies play a role in crafting these networks, they will clearly attempt
to build them to reinforce the agency’s goals and objectives. Strategic use of networks can be
seen in the such areas as the Tennessee Valley Authority (Selznick, 1949), agricultural policy
(Coleman, Skogstad & Atkinson, 1996), family planning (McFarlane & Meier, 2001), and
health care (Peterson, 1993) in the US, as well as AIDS policy in Brazil (Rich, 2013), labor
inspection in Argentina (Amengual, 2014), and transnational nuclear science and technology
networks (Alcañiz, 2010, 2016).10 The ironic potential bureaucratic pathology of networks is
that implementation systems designed to include broad collections of interests in practice can
generate the equivalent of iron triangles that can operate independently of the political
branches of government. In short, networks created to foster democracy can, in fact, limit
democratic control (Freeman, 1965).
Conclusions
In this essay, we present contemporary problems of governance as emanating from
the failures of the political system. Goodnow (1900) forcefully argued that effective
governance required a symbiotic relationship between politics and administration; unless both
functions were performed well, governance would be ineffective. In contemporary
10
There is also a vast literature on networks in other countries including comparative studies (see
Marsh & Rhodes, 1992; Kriesi, Adam, & Jochum, 2006).
28

democracies, the causes of political pathologies show no signs of waning. Increasingly
contentious ideological clashes in democracies either will prevent any policy action from
being taken, or perpetuate mercurial policy priorities. When policies are adopted, they are
frequently ill-designed with ambiguous and contradictory goals. Avoiding the painful process
of providing adequate resources to operate programs appears to be common practice. And
these problems are exacerbated by political micromanagement via riders, unfunded mandates,
or continual oversight.
This essay further documented seven contemporary bureaucratic pathologies, and
argued that each has its roots in political failures. Bureaucracies rationally respond to the
incentives and structures established by the political system, which in turn creates results that
are clearly suboptimal. The logic suggests that it is no longer possible to fix contemporary
governance problems with additional bureaucratic reforms. The bureaucracy appears to
respond quite well to the chaos generated by political failures with predictable and
problematic results.
The solution is not additional bureaucratic reforms, but rather investing in political
reforms. Some institutional systems are inherently more equipped to translate contentious
political demands into successful governance outcomes, but pathologies nevertheless emerge.
The field of public administration can play a role in this process by returning its classical
roots. In the early 20th century public administration focused on governance and not just
bureaucratic reforms. Public administration addressed how to structure political systems (city
manager governance, the Brownlow Commission, debates over federalism). How politics and
administration come together for effective—dare we say successful—governance should be a
central question of contemporary public administration.
29

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Politics, Bureaucracy, and Successful Governance: The Problem of Political Failure

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Politics, Bureaucracy, and Successful Governance:

The Problem of Political Failure

Kenneth J. Meier* (American University, Cardiff University, Leiden University)

Mallory Compton (Utrecht University) mcompton6@gmail.com

John Polga-Hecimovich (US Naval Academy) polgahec@usna.edu

Miyeon Song (Texas A&M University and American University) misong@tamu.edu

Cameron Wimpy (Massachusetts Institute of Technology) wimpy@mit.edu

*Corresponding author: School of Public Affairs, Department of Public Administration &

Electronic copy available at: https://ssrn.com/abstract=3268959

The Problem of Political Failure

the bureaucracy sufficient autonomy in implementation. Rational bureaucratic responses to

if political institutional performance abetted bureaucratic goals.

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government is bureaucracy; bureaucracy is inefficient, ineffective, abusive of citizens, and is

reforms to deal with complex problems.

decades, the key issue in governance is sustainability—the achievement and endurance of

pathologies of governance. These pathologies reflect rational bureaucratic responses to the

Electronic copy available at: https://ssrn.com/abstract=3268959

Politics and Administration

cited but rarely read. Goodnow is frequently misinterpreted to advocate a separation of

As Goodnow (1900, p. 16) himself states about politics and administration:

differentiation, the organs of government to which the discharge of these functions is

intrusted cannot be clearly defined. It is impossible to assign each of these functions

practically amount to nothing if it is not executed.”

Electronic copy available at: https://ssrn.com/abstract=3268959

provide. Effective bureaucracies (and effective governance), therefore, require an effective

A casual observation of contemporary political systems provides substantial evidence

Electronic copy available at: https://ssrn.com/abstract=3268959

In democratic contexts with different institutional arrangements, electoral rules, and

Though non-majoritarian or consensus-based systems may excel at representing plural

Common Fisheries Policy. Implementation is challenged by contradictory legislative goals

demands, insufficient resources, or inadequate autonomy to achieve successful outcomes in

these examples. Bureaucratic effectiveness in such circumstances is laudable, given the

political constraints imposed on implementing organizations.

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expenditures as a tool of presidential survival, using the budget to reward or penalize

especially if caused by political appointment, affect policy implementation negatively

American bureaucracies. While repressive authoritarian regimes retrenched spending on

to build the expertise necessary to deal with pressing problems.

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corruption allegations over the years that often paralyze government.

responsibility of government programs to subnational governments, or simply not delivering

implementation by organizations interested in minimizing costs rather than delivering

Electronic copy available at: https://ssrn.com/abstract=3268959

designed to improve outcomes (Wimpy, Jackson, & Meier, 2017).

The Consequences of Political Failure

characteristics include the values held by the bureaucracy, bureaucracy as an adaptable

system, and bureaucracies as facilitators of administrative conjunction. The bureaucracies’

bureaucratic pathologies, they are in reality bureaucratic symptoms of political failure.

adaptation to persistent political failures and their challenges to successful governance

(Compton & Meier, 2017).

Electronic copy available at: https://ssrn.com/abstract=3268959

defense, supporters of environmental protection, critics of government waste, etc.3

sympathy or enthusiasm (Thompson, 2007).

Bureaucracies are adaptable institutions. Given the image of bureaucracies as rule-

How organizations change and adapt is influenced by bureaucratic values. No

Electronic copy available at: https://ssrn.com/abstract=3268959

values whenever opportunities arise, such as electoral changes or environmental crises. As an