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Who is Our Master? - Congressional Debates during Civil Service Reforms - Soo-Young Park A dissertation submitted to the faculty of Virginia Polytechnic Institute and State University in partial fulfillment of the requirements for the degree of Doctor of Philosophy In Public Administration John Rohr (Chair) Karen Hult Larry Lane Gary Wamsley James Wolf August 22, 2005 Blacksburg, Va Keywords: multiple masters, bureaucratic autonomy, civil service reform, Tenure of Office Act, Pendleton Act, Civil Service Reform Act Copyright 2005, Soo-Young Park Who Is Our Mater? –Debates during Civil Service Reforms— Soo-Young Park ABSTRACT Who is the American bureaucracy’s master in national government? At least three different sets of answers have been proposed. The first answer claims a single master of American bureaucracy, be it the president, Congress, or the courts. The second denies that there is any master over the bureaucracy and claims the existence of bureaucratic autonomy. In the middle of the two theories, there lies multiple masters theory. This dissertation attempts to advocate multiple masters theory by answering such questions as “Is the conception of multiple masters only theoretically conceivable, or is it historically supported?” or “Does the historical record suggest that multiple masters scheme was seriously in play in actual American constitutional dialogue?” To be a master, one should have at least one of the following powers— budget, personnel, information, and regulatory review. This dissertation focuses on one of them— the appointing power. To look at it historically, this dissertation chose four distinct periods of American history. They are the founding era, Jacksonian era, Republican era, and the Carter Administration. These eras were related to the four important civil service reform acts: the two Tenure of Office Acts of 1820 and 1867, Pendleton Act of 1883, and the CSRA of 1978. Congressional debates recorded in Congressional Record were analyzed to find evidences supporting multiple masters perspective. There were evidences that support the significant existence and role of the multiple masters perspective in all the four eras analyzed. Although weakened in the 1978 debate, the multiple masters theory was supported in important congressional debates by leading politicians of the day, providing historical foundation for the theory. The multiple masters perspective provides a need to construct a normative foundation for bureaucrats to adopt, because bureaucrats, in many cases, cannot avoid making decisions on which master to choose and which to ignore at a given time on a given issue. Under the multiple masters scheme, bureaucrats may have to play the role of balance wheel in the constitutional order, using their statutory powers and professional expertise to favor whichever constitutional masters need their help to preserve the purpose of the Constitution itself. Author’s Acknowledgement Throughout the years that I have been pursuing my doctoral degree, the faculty, colleagues, and staff at Virginia Tech’s Center for Public Administration and Policy have been most supportive of my efforts. I am especially grateful to the Center’s directors, Joseph Rees, and subsequently Larkin Dudley, for their warm encouragement. I would also like to thank Gary Wamsley, Karen Hult, Larry Lane, and James Wolf, all of whom served on my committee. Without their insightful criticisms, this dissertation would not have felt as rewarding. A very special thanks is due to John Rohr, my academic advisor, mentor, and committee chair. His deep and sincere understanding of the topic, prompt and incisive guidance, and endless trust and encouragement gave this dissertation much of whatever contribution it makes. I was especially inspired by his incessant desire to learn another language along with the several he already studies, particularly given the fact that he has celebrated his 70th birthday. May all of us remain so curious and dedicated! What made CPAP so special to me was not just the presence of these great professors. My colleagues at the center were constant sources of new ideas, comradeship, and productive criticisms. In particular, I would like to thank two of my best friends, Ryan Lanham and Bryce Hoflund for their brilliant ideas and kind support. I am also obliged to the Civil Service Commission of the Korean government. The Chairman graciously allowed me time to finish my degree. My deepest gratitude goes to my family, Jasmine, Jimmy, and Bin. Without their love, I would not have even started resuming my study at the age of forty. In particular, Jasmine’s dedication and sacrifice have been beyond description. Therefore, this dissertation is dedicated to my beloved wife, Jasmine Young-Mee Park. iv Table of Contents Chapter 1: Introduction .................................................................................................... 1 1.1. Line of Argument.........................................................................................................1 1.1. 1. The Issue ..............................................................................................................1 1.1.2. The Metaphor— “Master” ......................................................................................5 1.1.3. Master Perspective v. Bureaucracy Perspective .......................................................7 1.1.4. Research Questions and Approaches.......................................................................9 1.1.5. An Illuminating Case...........................................................................................12 1.2. Historical Context of the Issue ....................................................................................14 1.3. Methodology .............................................................................................................17 1.3.1. Historical Analysis ..............................................................................................17 1.3.2. Case Studies........................................................................................................20 1.3.3. Textual Analysis .................................................................................................22 1.3.4. Qualitative Methods ............................................................................................23 1.4. Plan of Dissertation ....................................................................................................24 Chapter 2: Masters of Bureaucracy in Theory ............................................................ 26 2.1. Masters of Bureaucracy in the Constitution..................................................................26 2.2. Theory of a Single Master...........................................................................................27 2.2.1. Congress as the Master ........................................................................................27 2.2.2. The President as the Master..................................................................................33 2.2.3. The Court as the Master.......................................................................................38 2.3. Theory of Bureaucratic Autonomy ..............................................................................44 2.4. Theory of Multiple Masters.........................................................................................50 Chapter 3: Masters in History I: the Founding Era..................................................... 54 3.1. Defects of the Confederate and the Appointing Power ..................................................55 3.2. Convention Debates ...................................................................................................61 3.2. 1. The Appointment Clause......................................................................................62 3.2.2. The “Excepting Clause”.......................................................................................69 3.3. Ratification Debates...................................................................................................73 3.3.1. The Anti-Federalists’ Argument ...........................................................................73 3.3.2. The Federalists’ Arguments .................................................................................75 v Chapter 4: Masters in History II: the Jacksonian Era ................................................. 80 4.1 President Jackson and Civil Service Reform .................................................................81 4.2. Everett/McLean Correspondences...............................................................................86 4.3. The Tenure of Office Act and the Debate of 1835.........................................................88 4.3.1. Passage of the Act...............................................................................................88 4.3.2. Senator Tallmadge on the Act..............................................................................90 4.3.3. Senator Benton’s Report ......................................................................................93 4.3.4. Senator Clay on the Act.......................................................................................96 4.3.5. Senator Calhoun’s Report ....................................................................................98 Chapter 5: Masters in History III: The Republican Era (1869-1901) ........................ 103 5.1. The Tenure of Office Act of