PUBLIC ADMINISTRATION

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Foundations of Public Administration is the first quarter in a year long core program for first year MPA students. Through interdisciplinary study, collaborative learning, speaking across differences, and personal engagement we will address the following four questions throughout the year: 1) What is public administration? 2) Who are public administrators? 3) Why does public administration matter? 4) What is the power and knowledge nexus? Where is it? The foundations course is designed to enhance the body of knowledge for practitioners and scholars alike through praxis: the dynamic interaction of theory and practice. Through readings, class participation, and applying critical analysis, the intent is to gain an understanding of the enduring issues in public service. We will discuss and analyze what public administrators do at the federal, tribal, state, county, city and non-profit levels. Further, we will analyze and critique the theoretical underpinnings of the discipline and practice of public administration. Finally, we will be forward looking and assess the challenges and opportunities in public administration.

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PowerPoint Presentation:

FOUNDATIONS OF PUBLIC ADMINISTRATION

Chapter 1:

Chapter 1 DEFINING PUBLIC ADMINISTRATION

Public Administration Defined:

Public Administration Defined L D White observes, “ Public Administration consist of all those operations having for their purpose the fulfilment or enforcement of public policy”.

Public Administration Defined:

Public Administration Defined Pliffner defines It would seem that “Public Administration consists of getting the work of government done by co-ordinating the efforts of the people so that they can work together to accomplish their set tasks”.

Public Administration Defined:

Public Administration Defined Prof: Woodrow Wilson defined Public Administration as detailed and systematic execution of public law; every particular application of general law is an act of administration.

Public Administration Defined:

Public Administration Defined Luther Gullick ‘Public Administration is that part of the science of administration which has to do with Government and thus concerns itself primarily with the executive branch where the work of the government is done.

Public Administration Defined:

Public Administration Defined Dwight Waldo, defines Public Administration as ‘the art and science of management as applied to the affairs of state’.

Public Administration Defined:

Public Administration Defined Administrator as implementer: PA may be defined as all processes, organizations and individuals associated with carrying out laws and other rules adopted or issued by legislatures, executives and courts.

Public Administration Defined:

Public Administration Defined Administrator as regulator/ service provider: Public administration is the use of managerial, public, and legal theories and processes to fulfill legislative, executive, and judicial mandates for the provision of governmental regulatory and service functions.

Key Approaches:

Key Approaches Managerial Approach (neutral bureaucrat; apolitical) Traditional Managerial Approach: Civil Bureaucracy (“scientific approach”) New Public Management: Competitive, business-like Political approach: Public administrator as a reflection of the body politic Legal approach: Public administrator as adjudicator

Key Approaches:

Key Approaches Traditional approach NPM Political Legal Value Efficiency; effectiveness Customer response Representation, accountability Procedural validity Org. structure Typical bureaucracy Competitive Pluralism Adversary Individual Impersonal; rational Customer Group member Particularistic individual Decision making Rational Decentralized Muddling through Precedence Function Executive Executive Legislative Judicial Budget Rational (cost benefit) Performance based Incremental Rights based

Nature of PA:

Nature of PA Integral View. According to this view, Public administration is a sum total of all the activities undertaken in pursuit of and in fulfillment of public policy. These activities include not only managerial and technical but also manual and clerical.

Nature of PA:

Nature of PA Thus the activities of all persons from top to bottom constitute administration although they are of varying significance to the running of administrative machinery.

Nature of PA:

Nature of PA Prof: L D White adopts this view of Public administration. According to him, Public Administration ‘consists of all those operations having for their purpose the fulfilment or enforcement of public policy’. This definition covers a multitude of particular operations, many in fields.

Nature of PA:

Nature of PA Another scholar Marshal E Dimock also shares the same view. He holds that administration is concerned with the ‘what’ and ‘how’ of government. The ‘what’ is the subject matter, the technical knowledge of a field which enables the administrator to perform his tasks.

Nature of PA:

Nature of PA The ‘how’ is the technique of management, the principles according to which cooperative programmes are carried to success.

Nature of PA:

Nature of PA Managerial view. According to this view, the works of only those persons who are engaged in the performance of managerial functions in an organisation constitute administration.

Nature of PA:

Nature of PA In this managerial view the administration has the functions of planning, programming and organise all the activities in an organisation so as to achieve the desired ends. Gullick says ‘Administration has to do with getting things done; with the accomplishment of defined objectives’.

Nature of PA:

Nature of PA Public Administration and People. Public Administration is an organisational effort it needed a close relation to people. In every Administrative system they have good relation between people and administrative agencies. It influenced the day to day life of the common people.

Nature of PA:

Nature of PA Public Administration and Democracy In a Democratic political system scope of public administration is related in many ways. It have close link to people and at the same time they are the watch -dog of the political system. The Modern democratic state gave more important to the welfarism, In a welfare democracy the effective administration is essential.

Nature of PA:

Nature of PA There are many other reasons also contribute the scope of Public Administration. Development of Communication and Technology. The Development of Neo-Liberal State The concept of Participatory Development

Nature of PA:

Nature of PA There are many other reasons also contribute the scope of Public Administration. Good Governance. E-Governance Environmental concerns Human rights approach New Social Movements and State

Public and Private Administration:

Public and Private Administration The most apparent difference between the two sectors is their organizing principles or goal. While private administration has a definite mission, which is the pursuit of profit or stability or growth of revenues, public administration, on the other hand, has ambiguous purposes.

Public and Private Administration:

Public and Private Administration Furthermore, the dilemma in ambiguity of purposes is exacerbated by too many unnecessary and inoperable agencies, with purposes that overlap and bloated bureaucracies.

Public and Private Administration:

Public and Private Administration Another factor that makes the public sector different from the private is decision making. In public administration, the decision must be and should be pluralistic. The founding fathers intentionally created a democratic republic where all key decisions are made in politicized environment.

Public and Private Administration:

Public and Private Administration This allows for maximum participation: open debate, multiple veto points - a decision making hierarchy where consensus must be achieved at each level, ideally, an informed decision. While private administration's decision-making is much simpler- it's monopolistic or close to monopolistic.

Public and Private Administration:

Public and Private Administration This type of decision-making would avoid any conflicts in interest; hence, the goal is clearly defined. Public Administration is not characterized solely by profit motive; In fact in Private administration mainly functioned on the basis of profit motive.

Public and Private Administration:

Public and Private Administration Public Administration is strictly in accordance with certain legal safeguards in a manner to sustain the confidence and trust of the general public. In Private Administration no legality, it only considered about the owner.

Public and Private Administration:

Public and Private Administration Public Administration is not concerned about the time factor but private administration strictly follow time factor. Private Administration focussed to the efficiency, transparency, accountability and credibility but in public administration these functions are only in nominal level.

Therefore::

Therefore: The term “ public administration ” encompasses a complex set of interrelated concepts, thus a simple definition will not suffice.

Therefore::

Therefore: It draws from many different academic disciplines, includes a variety of agencies, and is linked closely to several distinct professions.

Four Cluster:

Four Cluster These are clustered into four main categories: 1) political , 2) legal , 3) managerial , and 4) occupational .

Analyzing the Definitions of Public Administration:

Analyzing the Definitions of Public Administration Political— Public administration is what government does. It exists within a political environment, and it is this political context that makes it “public.”

Analyzing the Definitions of Public Administration:

Analyzing the Definitions of Public Administration Political: Public administration is about implementation of the public interest. It is also about doing collectively what cannot be done as well individually.

Analyzing the Definitions of Public Administration:

Analyzing the Definitions of Public Administration Legal —The foundations of public administration are legal ones and are bound by instruments of law. Public administration is law in action in the form of statutes, regulations, ordinances, codes, etc.

Analyzing the Definitions of Public Administration:

Analyzing the Definitions of Public Administration Managerial —The executive nature of public administration enables the public will to be translated into action by the people responsible for running the public bureaucracy.

Analyzing the Definitions of Public Administration:

Analyzing the Definitions of Public Administration Occupational —Public administration includes many occupational fields—medicine, engineering, social welfare, economics, etc.

Analyzing the Definitions of Public Administration:

Analyzing the Definitions of Public Administration Occupational —It is within the framework of each of these fields that the political, legal, and managerial aspects of public administration are transformed by public administrators into the work of government.

Public Administration is an Academic Field:

Public Administration is an Academic Field Public administration within an academic interdisciplinary context draws primarily from political science, law, and management.

Public Administration is an Academic Field:

Public Administration is an Academic Field It also incorporates other fields in the social, behavioral, and natural sciences, including economics, sociology, anthropology, criminology, psychology, engineering, medicine, and social work.

Public Administration is an Academic Field:

Public Administration is an Academic Field At the heart of public administration lies its core content: administrative theory, bureaucratic behavior, public finance and budgeting, policy analysis, program evaluation, and administrative ethics.

Public Administration is an Academic Field:

Public Administration is an Academic Field Public administration is also a cross-governmental field: it deals with what the state, and local governments do, such as the government providing national defense and local governments maintaining city and county roads.

Public Administration is Both an Old and a Young Discipline:

Public Administration is Both an Old and a Young Discipline The practice of public administration has been with us from the earliest civilizations. The Egyptians, Babylonians, Chinese, Greeks, and Romans provided guidance on the art and science of management.

Public Administration is Both an Old and a Young Discipline:

Public Administration is Both an Old and a Young Discipline Our focus is on the occupational specialty and academic discipline of public administration in recent times.

Public Administration is Both an Old and a Young Discipline:

Public Administration is Both an Old and a Young Discipline As a scholarly discipline, public administration is relatively young. We chart its beginning with the seminal article “The Study of Administration” by Woodrow Wilson in 1887.

Public Administration is Both an Old and a Young Discipline:

Public Administration is Both an Old and a Young Discipline His famous politics-administration dichotomy which lay at the core of this study was misunderstood. It was taken to mean that politics and administration should be separate.

Public Administration is Both an Old and a Young Discipline:

Public Administration is Both an Old and a Young Discipline However, in reality, Wilson meant “partisan” politics must be kept separate from public administration. This is not easy, for public administration is closely tied to its political environment.

Public Administration and the Cycles of Reform:

Public Administration and the Cycles of Reform Public administration is continuously reforming itself depending on the prevailing political climate and theories within the academic disciplines that bear upon it.

Public Administration and the Cycles of Reform:

Public Administration and the Cycles of Reform Some presidents have seen government as the problem in society and not as the solution to public problems. In the 1990s, and specifically linked under the Clinton administration, reform of government has come to be known as the “reinventing government” movement.

Public Administration and the Cycles of Reform:

Public Administration and the Cycles of Reform In recent times the public and the media have become increasingly focused on a broad form of governmental reform—the issue of ethics in government. Its proponents believe this will go far in helping to restore the diminished public faith in public administration.

Class Exercise:

Class Exercise ARGUE FOR PRO AND CON Politics-Administration Dichotomy— Can politics and administration really remain separate in public bureaucracies? (Pro and Con) Power Issues in the Bureaucracy— Special interest power versus public interest power issues (Pro and Con) Ethics Issues —Is it ever acceptable for public administrators to “dirty their hands” for the public good? (Pro and Con) Arguments: Speak to the benefits of your position; costs of the opposing position.

Chapter 2:

Chapter 2 THE POLITICAL AND CULTURAL ENVIRONMENT OF PUBLIC POLICY AND ITS ADMINISTRATION

Public Policymaking:

Public Policymaking Public policymaking is hierarchical in nature. The broadest policy is made at the top, but officials at lower levels, also known as street-level bureaucrats, have discretion in interpreting and even making policy.

Public Policymaking:

Public Policymaking The people are considered sovereign; they (through their elected representatives) make public policy, and this concept is known as democracy.

Public Policymaking:

Public Policymaking The legislative branch of government has the greatest number of enumerated powers and makes the law. The executive branch administers and enforces these laws, and the judicial branch interprets and enforces them.

Public Policymaking:

Public Policymaking Each level of government—state, and local—involves these three distinct entities, or branches, of government.

The Role of Executive Power in a Republic:

The Role of Executive Power in a Republic The authors provide us with three views of executive power. The conservative view maintains that the president, governor, or mayor is an agent of the legislature. Thus, his/her powers are restricted by it.

The Role of Executive Power in a Republic:

The Role of Executive Power in a Republic A more liberal view is the one of executive prerogative, which holds that under certain circumstances the chief executive possesses and can use extraordinary powers to safeguard the nation.

The Role of Executive Power in a Republic:

The Role of Executive Power in a Republic The stewardship theory of executive power is based on the belief that the president is a trustee of the people and can take any actions not specifically forbidden by the Constitution on their behalf. All presidents assume one of these three executive models.

The Policymaking Process:

The Policymaking Process 1) Agenda setting or identification of the policy issue, where the citizens produce ideas for change or improvement. These bubble up through the various political channels for consideration by the legislature or the courts.

The Policymaking Process:

The Policymaking Process 2) Decision-making : Here a decision is made, either rationally (based on complete information) or, more often, incrementally (bit-by-bit at the margins of problems).

The Policymaking Process:

The Policymaking Process 3) Implementation involves putting a government policy into effect. Implementation is an inherently political process. Frequently the agendas of those implementing the program seep into the implementation process itself.

The Policymaking Process:

The Policymaking Process 4 ) Evaluation is the appraisal process of policymaking to determine the effectiveness and the efficiency of a given program. Generally, the executive branch of government undertakes the evaluation, but courts also do so in their analysis and judgment of cases.

The Policymaking Process:

The Policymaking Process 5 ) Feedback : This stage of the policy process completes the cycle, and new agenda items evolving from the completed process start the policymaking cycle all over again.

The Role of Power in the Policymaking Process:

The Role of Power in the Policymaking Process The theory of force fields helps explain the role of external and internal power that is brought to bear on an agency and its key players from many directions.

The Role of Power in the Policymaking Process:

The Role of Power in the Policymaking Process a. External Power Forces: Pluralism is a concept that begins in the government itself. The three branches of government—legislative, executive, and judicial—exert power over each other.

The Role of Power in the Policymaking Process:

The Role of Power in the Policymaking Process Additionally, society is made up of competitive groups, and power shifts from one to the other in time. Some hold the view that groups of interested individuals with shared attitudes and special interests, not government, are the mechanism by which social policies are formulated.

The Role of Power in the Policymaking Process:

The Role of Power in the Policymaking Process Elite theory states that key members of the group have the lion’s share of power in policymaking. The metaphor of the salad bowl explains that each socio-political group is a distinct power entity.

The Role of Power in the Policymaking Process:

The Role of Power in the Policymaking Process Others believe that government itself is a group that competes with other groups. b. Internal Power: Within organizations, coalitions jockey for power to secure scarce resources.

The Role of Power in the Policymaking Process:

The Role of Power in the Policymaking Process Dependency power explains that individuals or groups who have control of key products and services make others dependent upon them.

The Role of Power in the Policymaking Process:

The Role of Power in the Policymaking Process Those from the rational-structural school believe that power resides in legitimate authority, while others suggest that even those in authority are relatively powerless because their actions are invariably limited by others.

The Role of Culture in Public Policymaking:

The Role of Culture in Public Policymaking Organizational cultures are about the norms, values, symbolic behaviors, artifacts, and other tangible and intangible things that exert influence upon a group and link it to its environment.

The Role of Culture in Public Policymaking:

The Role of Culture in Public Policymaking a. Impacts of the External Environment: In a diverse land, local and regional cultures impact in different ways on the culture of public organizations. In this way, organizational culture reflects the overall values of society.

The Role of Culture in Public Policymaking:

The Role of Culture in Public Policymaking b. Impacts of the Internal Environment: The internal culture of an organization is transmitted by socialization or enculturation processes. The professional socialization of organizational membership helps maintain and enforce the organizational culture.

The Role of Culture in Public Policymaking:

The Role of Culture in Public Policymaking The conscious use of symbolic management, through dramaturgy, rituals, and emblems, preserves or develops the kind of culture that organizational leaders find desirable.

Individual Exercise:

Individual Exercise Think Piece “The American Democratic Republic” Explain the meaning of the “democratic republic” as we know it in the United States of America. Go to the library and search out why the Founding Fathers chose this form of government. How does the constitution guarantee checks and balances between the branches of government—executive, legislative, and judiciary? Do you agree with Thomas Jefferson that given the nature of judicial review, the Constitution is ultimately what the judges of the Supreme Court say it is, and thus is “ a mere thing of wax in the hands of the judiciary, which they may twist and shape into any form they please. ”

Individual Exercise:

Individual Exercise AFFIRMATIVE ACTION IN EMPLOYMENT To remind students of issues covered so far in the textbook Public Administration , by Shafritz and Russell, use a current example from world affairs to discuss the pertinent issues. We suggest using the issue of California’s Proposition 209 as a springboard for discussion of a public policy. Californians passed Proposition 209 to end affirmative action in 1997. Subsequently, in fall 1997, the Supreme Court upheld the legality of Proposition 209. These actions have potential ramifications for other states that struggle with affirmative action statutes, case laws, regulations, and other public policies.

Individual Exercise:

Individual Exercise AFFIRMATIVE ACTION IN EMPLOYMENT Discussion Issues 1. Pluralism and multiculturalism in our society and increasing diversity due to globalization of work. 2. Voices of special interests in America. 3. Expressions of dissent from those who have suffered “reverse discrimination.” 4. Elite interests versus minority interests. 5. Compensatory justice for underprivileged groups. 6. The meaning of a “color-blind” society.

Individual Exercise:

Individual Exercise FORCE FIELD EXERCISES—POWER AND CULTURAL FORCES (Designed for Individual Players) 1. POWER INFLUENCES ON PUBLIC ADMINISTRATION: Draw a circle representing a public organization—for example, the Environmental Protection Agency (EPA), federal government level; or the State Department of Transportation, state government level; or the County Jail, local government level. [Class or Instructor chooses one.] Draw power forces from fields that impact on this agency as follows: a. Straight line arrows for negative power influences. b. Dotted line arrows for positive power influences. c. Explain your model.

Individual Exercise:

Individual Exercise FORCE FIELD EXERCISES—POWER AND CULTURAL FORCES (Designed for Individual Players) 2. CULTURAL INFLUENCES ON PUBLIC ADMINISTRATION: Draw a circle representing a military organization such as the army, navy, air force, marines; or a paramilitary organization such as the police, jail security guards, or coast guard. [Class or Instructor chooses one.] a. What sort of organizational culture is your chosen organization likely to have? b. Describe what symbols, artifacts, and emblems reinforce the culture of this organization. c. What, if any, is the local, state, or regional impact on this organization’s culture?

Chapter 3:

Chapter 3 THE CONTINUOUS REINVENTING OF THE MACHINERY OF GOVERNMENT

The Machinery of Government:

The Machinery of Government The Machinery of Government refers to all of the structural arrangements that allow government to function at the federal, state, and local levels.

The Machinery of Government:

The Machinery of Government In time, after a process of internal evaluation, and, more often, after suggestions or demands from their external environment, all organizations come to realize that deficiencies and errors exist within their systems.

The Machinery:

The Machinery They may then undertake the process of reorganization or reinvention of government.

The Machinery:

The Machinery Government is in a constant state of fine-tuning its machinery. Each time the government makes new public policy or amends an old one, government must put into place new machinery to implement it.

The Administrative Machinery of Government:

The Administrative Machinery of Government The Constitution structures the political, economic, and social lives of the people, and so, appropriately, it begins with the opening phrase, “We the people.”

The Administrative Machinery:

The Administrative Machinery This puts the decision-making control into the hands of the citizens. The Constitution assigns powers to various branches of government and establishes a system of checks and balances.

Executive Branch Machinery:

Executive Branch Machinery The most complex machinery of public administration resides in the executive branch, which contains a variety of organizational categories:

Executive Branch Machinery:

Executive Branch Machinery a. The Executive Office of the President (EOP) is a collective term that includes the top presidential staff agencies, which provide advice to the president in a variety of administrative areas and on issues of significant national priority.

Executive Branch Machinery:

Executive Branch Machinery b. Executive Departments : The president’s cabinet is a collective phrase for a group of executive departments that advise the president.

Executive Branch Machinery:

Executive Branch Machinery c. Independent Public Bodies : There are two entities here: 1. there are government corporations, such as the Postal Service;

Executive Branch Machinery:

Executive Branch Machinery 2. there are regulatory commissions set up by Congress to regulate some aspect of the economy, such as the Securities and Exchange Commission.

Executive Branch Machinery:

Executive Branch Machinery The administrators of these bodies are appointed by the president and confirmed by the Senate. Some regulatory functions are also provided by traditional cabinet departments.

State and Local Government Machinery:

State and Local Government Machinery State and local governments parallel the national model. The amendment to the Constitution provides that powers not delegated to the government by the Constitution, nor prohibited by it to the states, are reserved to the states respectively or to the people.

State and Local Government Machinery:

State and Local Government Machinery The Constitution does not specifically mention local governments. Hence, their powers are derived from state law.

State and Local Government Machinery:

State and Local Government Machinery The Rule outlines criteria developed by state courts to determine the nature and extent of powers granted to local governments.

State and Local Government Machinery:

State and Local Government Machinery State government: The elected chief executive of the state is the governor, assisted by agencies and individuals similar to the federal model.

State and Local Government Machinery:

State and Local Government Machinery Local government is a broad term that includes a hierarchy of levels: county government, municipal (or city) government, towns, and special districts.

Reinventing Government:

Reinventing Government The tax revolt movement forced the government to reduce or stabilize tax rates. Then the revolution came along, with its slogan “government is the problem.”

Reinventing Government:

Reinventing Government The deficiencies apparent in government were taken up again with the “reinventing government” movement and its reports, such as the National Performance Review , that spoke to the mushrooming national debt, the enormous waste in government, the diminishing of public trust, and a variety of ills.

Micromanagers—A Consequence of Government Reform:

Micromanagers—A Consequence of Government Reform A variety of other executive branch reforms that tinkered with the machinery of government took place besides the ones mentioned above. The combined effect of these laws was to unleash a mob of micromanagers in government.

Micromanagers—A Consequence of Government Reform:

Micromanagers—A Consequence of Government Reform Nowhere is this more prevalent than in Congress, where members spend inordinate amounts of time micromanaging issues that make them look good to their constituents rather than focu sing on public policymaking.

Group Exercise:

Group Exercise Think Piece “The Role of Government in the Twenty-first Century” Divide the class into two groups. Group 1 is the “ Invisible Hand of Government ” Group. This group will argue for a lesser role for government in the twenty-first century. Group 2, “ Visible Hand of Government ” will argue that government appropriately has a much broader role to play in the lives of its citizens in the twenty-first century.

Class Exercise:

Class Exercise You are a senior analyst in the firm of Quick and Devoe Associates , a management consulting firm in Cannonsville , California. Cannonsville is basically a university town with the large Cannonsville University as its core enterprise—an organization that has special expertise in veterinary medicine and in the management and biological sciences. Your assignment concerns the local Cannonsville City Zoo. This is a local government entity that has been having difficulty for several years. It has already been determined by a preliminary study that if the zoo management could be turned around, the facility could be made profitable because of its strategic location, which is close to several major metropolitan areas in southern California, its spectacular scenic vistas, and its unique population of tropical animals.

Class Exercise:

Class Exercise PROBLEMS -low revenues due to lack of visitor interest, development funding, and other funding options—retail sales, special programs, and exploration of government grant monies - high expenses in the areas of animal diets, horticulture, and grounds management - a seasonal employment workforce made up of part-timers who are difficult to manage - animal health problems - interference by political elites in government who use the zoo for political purposes and for patronage appointments

Class Exercise:

Class Exercise GOALS The zoo needs to be updated in terms of its three strategic goals: - Recreation - Conservation - Education You have been asked to look at several options for “reinventing” the zoo. Should it be privatized? Should it become a non-profit entity? Could it remain a public entity, with some functions outsourced to private vendors? The analysis is up to you. Based on the readings in Chapter 3, what would you suggest? Back up your recommendations with strong arguments. Provide a one or two page executive summary of your recommendations.

Chapter 4:

Chapter 4 THE EVOLUTION OF MANAGEMENT AND ORGANIZATION THEORY

Early Influences upon Public Administration:

Early Influences upon Public Administration The Roman military had the earliest and most pervasive impact on public administration. Today, the lexicon of public administration employs many words, phrases, and symbols reminiscent of this heritage.

Early Influences upon Public Administration:

Early Influences upon Public Administration Regular pay and pensions, concepts of loyalty to the legion, livery, and pride in the profession kept the military motivated and disciplined. The Roman state government was a depersonalized entity—not owned by any monarch.

Early Influences upon Public Administration:

Early Influences upon Public Administration It was divided into units of command in a centralized hierarchical structure. Tax money kept the army strong.

The Significance of Administrative Doctrine:

The Significance of Administrative Doctrine The management principles from the military relied on span of control and unity of command. This kind of authoritarian governance demands order, precision, and obedience.

The Significance of Administrative Doctrine:

The Significance of Administrative Doctrine A core set of principles promotes goal achievement, coordinated actions, morale, loyalty, and staying power in public administration. However, the administrative policies generally also permit flexibility and growth.

The Significance of Administrative Doctrine:

The Significance of Administrative Doctrine Thus, administrative doctrines are models that are constantly evolving. The “principles” approach to management is important because it sought to make an art as well as a science of administration. It also sought to show that management was a skill that could be taught.

The Evolutionary Nature of Organization Theory:

The Evolutionary Nature of Organization Theory We have seen many theories of organizations live and die, as well as be changed and modified. The major groupings are:

a. Classical Organization Theory:

a. Classical Organization Theory While organization theory began with the authoritarian model offered by the military, it came into its own during the industrial revolution when workers had few “rights,” which explains why its tenets seem harsh.

Classical Organization:

Classical Organization Adam Smith—the father of the discipline of economics—was the first to set forth guiding principles for division and specialization of labor.

Classical Organization:

Classical Organization 1) Scientific Management: As the organization function became more complex, industrial engineers sought the best way to keep people working while trying to come up with more scientific designs of work.

Classical Organization:

Classical Organization Frederick Taylor’s “scientific management,” with its time-and-motion studies, had its genesis in such thinking.

Classical Organization:

Classical Organization 2) Henri Fayol’s General Theory of Management was a theory that he believed applied to all organizations: production of goods and services, commerce, finance, security, accounting, managerial coordination and control, equity, scalar chains, and esprit de corps.

b. The Period of Orthodoxy:

b. The Period of Orthodoxy At the time of the New Deal, it was finally understood that decisions in public policy and administration were blatantly political in tone. The second tenet of the orthodoxy movement was a return look at the principles of management approach.

Period of Orthodoxy:

Period of Orthodoxy Luther Gulick’s famous POSDCORB—planning, organizing, staffing, directing, coordinating, reporting, and budgeting—held center stage and harkened back to Taylor’s “one best way” of management.

c. Theories of Bureaucracy:

c. Theories of Bureaucracy “Bureaucracy” has multiple meanings—from public offices and public officials to red tape and waste.

c. Theories of Bureaucracy:

c. Theories of Bureaucracy Max Weber's bureaucracy described an “ideal type” of bureaucracy—rational, classical, conservative. It included the Protestant work ethic, the need for a charismatic leader, and a value-free approach to social research.

d. Neoclassical Organization Theory:

d. Neoclassical Organization Theory Neoclassical Organization Theory was a later variation of the classical rational-structural form. Its exponents sought to modify the mechanistic, oversimplistic views of the classical school.

Neoclassical Organization:

Neoclassical Organization Herbert A. Simon was the first to challenge the rational-structural approach with his “bounded rationality” theory; he argued that human beings have cognitive limits on rationality and, furthermore, the decision-making environment can never include all information in a comprehensive way.

Neoclassical Organization:

Neoclassical Organization Also at this time, from Philip Selznick and sociological research, we learned that organizations did not exist like islands isolated from their environments.

e. “Modern” Structural Organization Theory:

e. “Modern” Structural Organization Theory Thomas Burns and G. M. Stalker identified two organizational types: “mechanistic systems” (reminiscent of the “one best way,” useful in stable conditions) and organic systems (more evolutionary, like biological organisms, useful in more dynamic conditions).

f. Systems Theory:

f. Systems Theory Systems thinking is important to organizational theory because the whole world is made up of interrelated organic and dynamic systems.

Class Exercise :

Class Exercise THE LARGE CONSEQUENCES OF SMALL COURSES “For the want of a nail the shoe was lost, For the want of a shoe the horse was lost, For the want of a horse the rider was lost, For the want of a rider the battle was lost, For the want of a battle the kingdom was lost, And all for the want of a horseshoe-nail.” Benjamin Franklin

Class Exercise :

Class Exercise Using Benjamin Franklin’s well-known poem (above) explain: 1. The basic tenets of systems organization theory. 2. The modern organization as an “organic” system. 3.How does technology have a systems impact on the modern organization? 4. How does a more educated workforce have a systems impact on the modern organization? 5. How can leadership affect “dynamic equilibrium” in the organizational system?

Chapter 5:

Chapter 5 ORGANIZATIONAL BEHAVIOR

Organizational Behavior:

Organizational Behavior Hugo Münsterberg pioneered the application of psychological findings from laboratory experiments to organizational behavior with the goal of matching employees’ abilities to job tasks, and to understand the impact of psychological conditions on productivity.

Organizational Behavior:

Organizational Behavior In the 1960s a more humanistic form of thinking came into vogue, in which it was believed that organizational growth and development would flow from employee creativity and prosperity, and organizational discourse moved from organizational-centered to employee-centered management. Along with this came new understandings of organizational behavior.

Organizational Behavior:

Organizational Behavior a. Group dynamics is a subfield of organizational behavior concerned with how groups in organizations have a set of norms and values that cause individuals to behave in certain ways, which makes for group cohesion.

Organizational Behavior:

Organizational Behavior b. Groupthink: Strict adherence to group norms makes for overconformity and rigidity and can lead to groupthink, which is a special type of group dynamics defined by Irving Janis as a dysfunction that is detrimental to organizational decision making.

Organizational Behavior:

Organizational Behavior Alex Osborn suggested the process of brainstorming as a useful antidote to this dysfunction because it protects creative thinking from groupthink.

Organizational Behavior:

Organizational Behavior c. Formal and Informal Groups: Within all organizations, there are formal and informal groups. Command groups are the supervisors and those who report directly to them; task groups are those that come together to perform specific tasks; informal groups are those who associate voluntarily with each other for social needs.

The Impact of Personality:

The Impact of Personality In his book Personality and Organizations 1957, Chris Argyris suggested that there was an inherent conflict between the personalities of mature adults and needs of the organization, and that organizations tended to treat employees like children—most often seen in the classical, structural form of organizations—which leads to ineffectiveness.

Impact of Bureaucratic Structure on Behavior:

Impact of Bureaucratic Structure on Behavior Each organization has a unique structure that defines how labor and technology will be used. The structures of a large bureaucracy are conservative and slow to change and to match the organization to changing social conditions and needs.

Impact of Bureaucratic Structure on Behavior:

Impact of Bureaucratic Structure on Behavior However, no bureaucracy in a democratic government can do anything that is not provided for in its enabling legislation.

Impact of Bureaucratic Structure on Behavior:

Impact of Bureaucratic Structure on Behavior a. Bureaucratic Dysfunctionality is something very common in our everyday lives. Bureaucratic structure stresses depersonalized relationships and power and authority gained by virtue of organizational position, not innovative thought or action. Victor Thompson calls this type of employee a “bureaupath.”

Impact of Bureaucratic Structure on Behavior:

Impact of Bureaucratic Structure on Behavior b. Bureaucratic Impersonality: Max Weber acknowledged that dehumanization was part of the ideal-type bureaucracy, and by that he meant elimination of all personal traits from official business.

Motivation:

Motivation Various theories of motivation have developed over time: a. The Hawthorne Experiments: These were experiments at the Hawthorne Works of Western Electric Company, Chicago.

Motivation:

Motivation The results of the experiments revealed that work situations are first of all social situations; that workers are motivated by peer pressure, the attention paid to them by significant elites, and other complex sets of factors beyond remuneration.

Motivation:

Motivation b. The Needs Hierarchy: In an important but controversial work, “A Theory of Human Motivation,” Abraham Maslow asserted that a person’s needs are not all equal but ascend in a hierarchy. At the bottom are survival needs while at the top are self-actualization needs. Once lower needs are satisfied, they no longer motivate. Others built upon Maslow’s ideas.

Motivation:

Motivation c. The Motivation-Hygiene Theory: Frederick Herzberg argued that job content factors such as achievement, advancement, and responsibility are motivators because they lead to growth and self-actualization; the environmental context of jobs such as working conditions, interpersonal relations, and salary serve as hygiene factors because they prevent unpleasantness.

Motivation:

Motivation d. Theory X and Theory Y: In his classic work The Human Side of Enterprise , Douglas McGregor set out his famous X and Y theories of opposite organizational styles. Managers holding a Theory X vision of their workers tend to be authoritarian, old-style leaders with a belief that people are lazy, irresponsible, and must be coerced to work.

Motivation:

Motivation In contrast, Theory Y has a belief in the intrinsic good of human beings—that it is natural for people to work hard and creatively if organizational goals are clear and if there is meaning in work.

The Future of Organizations:

The Future of Organizations a. The Postbureaucratic Organization: Dwight Waldo in 1952 prophesied about a “postbureaucratic” organization. His view was taken up by Warren Bennis who argued about the “end of bureaucracy,” predicting accurately that rapidly changing, adaptive organizational systems would take its place.

The Future of Organizations:

The Future of Organizations Alvin Toffler, in Future Shock (1970), argued that future shock is the human response to the overstimulation of modern workplaces. However, the demise and burial of bureaucracy is greatly exaggerated and premature. Bureaucracy still has many virtues, and perhaps in the end these are best placed within bureaucratic structures and systems and not eliminated entirely.

The Future of Organizations:

The Future of Organizations Many new organizational theorists and policymakers—Elliot Jaques, Michael Barzelay, and Leon Panetta—have argued by word and action in favor of this modified bureaucracy.

The Future of Organizations:

The Future of Organizations b. Postmodernism: Shoshana Zuboff describes in her book The Age of the Smart Machine her observations of workers isolated from each other, talking to machines and staring into computer screens in a dehumanized workplace.

The Future of Organizations:

The Future of Organizations Thus a sense of work community is lost. William Bergquist suggested that the postmodern organization, while professing to be open and adaptive, is in reality reverting to the age-old premise that people are rational and value-free and that they behave in fixed ways.

The Future of Organizations:

The Future of Organizations c. The Feminization of the Workforce: Women constitute a larger percentage of the workforce today due to increased education of women in colleges and universities. Thus a feminist perspective on public administration is deemed essential in viewing organizational behavior.

Exercise:

Exercise BUREAUCRACY What concepts have you learned so far about bureaucracy, pathologies in organizations, and political dysfunctions that relate to this amusing song? List at least five, and more if you wish.

Chapter 6:

Chapter 6 MANAGERIALISM AND PERFORMANCE MANAGEMENT

Managerialism:

Managerialism In the 1980s and 1990s a new paradigm of public administration emerged within the “reinventing government” movement—the theory of managerialism.

Managerialism:

Managerialism Managerialism , or entrepreneurial management, as a concept originated with the recognition by scholars and theorists that society was moving to a type of work community in which leaders of the system were seen to be unleashing their creative abilities to develop and transform organizations.

Managerialism:

Managerialism It signals a movement away from participative and employee-centered management. In the 1980s this was the prevailing public sector doctrine.

Managerialism:

Managerialism In harsher terms, managerialism is seen by many as a more romantic version of the paternalism encountered in the scientific management days.

Managerialism:

Managerialism Managers continue to be comfortable with authoritarian structures and styles, with a constant search for the “one best way” to widen the organization’s market niche.

Managerialism:

Managerialism Those in senior management are expected to be policy revolutionaries or entrepreneurs who forcefully develop, argue for, and sell new and often creative solutions to vexing public problems.

Managerialism:

Managerialism In today’s lexicon, these solutions are called reengineering, empowerment, and entrepreneurialism.

Reengineering:

Reengineering Reengineering: This is more radical and sophisticated, and it employs greater use of the technological and behavioral sciences to achieve its objectives than simple reorganization.

Reengineering:

Reengineering Reengineering in public administration is about reinventing outworn government machinery in such areas as cost, quality, service, and speed.

Empowerment:

Empowerment One way of doing this is by the self-directed work team concept. The idea is that work groups will take on the responsibility for their work processes and products, as well as responsibility for the work of individual group members.

Empowerment:

Empowerment Self-directed work teams “download” duties to a lower level, and thus release managerial expertise to the level above.

Empowerment:

Empowerment This gives executives time to engage in strategic planning and mid-managers time to engage in coaching, championing innovative ideas, and working with vendors and customers.

Entrepreneurialism:

Entrepreneurialism Entrepreneurialism: This aspect of organizational change calls for transformational, catalytic, and charismatic leadership. Entrepreneurial vision should not be limited to the topmost rungs of strategic management, but should influence all levels of management.

Entrepreneurialism:

Entrepreneurialism Managerialism’s flaw for public sector bureaucracies lies in its premise that, given transformational leadership, the organization will be whipped into shape in no time. The managerialist view has been grasped by a public weary of higher taxes and poor services.

Entrepreneurialism:

Entrepreneurialism The citizenry have come to believe (often erroneously) that a public administration based on private sector principles will work better. However, the political context of public administration always creates complications for the bureaucracy.

Performance Management:

Performance Management A key feature of performance management is strategically integrating all aspects of the enterprise with a view toward performance outcomes.

Performance Management:

Performance Management a. The Politics of Performance Management: Planning in the public sector, as noted before, is never rational or straightforward because of the political process, informational constraints, and other factors.

Performance Management:

Performance Management b. Management Control: Control systems monitor how well the organization is responding to or deviating from its goals. Organizational goals can, and do, get lost as organizational members—especially leaders—modify organizational goals to suit personal goals.

Performance Management:

Performance Management Thus, systematic integration of performance via control systems is seen as helpful in avoiding goal displacement (Robert Merton) and in assisting managers to keep the organization in dynamic equilibrium (Chester Barnard).

Contracting for Performance:

Contracting for Performance a. Individual and Organizational Contracts: Today, in addition to roles and responsibilities, the terms and conditions of hire and retention often contain language about the goals and targets of the job with rewards and sanctions attached.

Contracting for Performance:

Contracting for Performance b. The Purchaser-Provider Model: The relationship between the government, as sole buyer or purchaser of a good or service, and its providers is structured in the purchaser-provider model. In that structure there are desired outcomes based on goals and objectives of the purchaser.

Productivity Improvement:

Productivity Improvement a. Productivity Measurement: Productivity in the public sector is a perennial concern of citizens, the bureaucracy, and lawmakers. Productivity is measured by the relationship between quantity and quality of outcomes minus the quantity of resources used to produce the goods or service.

Productivity Improvement:

Productivity Improvement b. Barriers to Productivity Improvement: Productivity improvement is much easier talked about than done in the public sector. If the organization lends itself to factory-like operations, one can undertake measurements of productivity.

Productivity Improvement:

Productivity Improvement However, service workers such as police officers, school teachers, etc., provide tangible as well as intangible outputs, which are not easily measured even by broad social indicators.

Productivity Improvement:

Productivity Improvement c. Total Quality Management: TQM became a buzzword in the 1990s. It was the brainchild of W. Edwards Deming, who used statistical quality control measures to achieve TQM.

Productivity Improvement:

Productivity Improvement Deming believed that the key to quality was that management needed to create the kind of organizational culture that was receptive to the quality concept.

Productivity Improvement:

Productivity Improvement d. Pleasing the Customer: Pleasing the customer has been a government focus in the 1980s and 1990s—at least in word if not actually in deed.

Productivity Improvement:

Productivity Improvement This perspective arises directly out of TQM, the managerialist movement, and the “reinventing government” theory.

Chapter 7:

Chapter 7 STRATEGIC MANAGEMENT IN THE PUBLIC SECTOR

Strategic Management:

Strategic Management We derive the concept of the art of generalship, viz., strategic management, from its military heritage. Strategic management is about the management of resources to attain the goal in its entirety.

Strategic Management:

Strategic Management Tactics, a word also derived from the military, is about gaining a part of the goal—or the objective. In administration, the concepts of strategy and tactics involve the selection of philosophies, policies, and practices to achieve efficiency and effectiveness.

Strategic Management:

Strategic Management a. Strategic Management and Planning: Public management has been slower than the private sector in embracing the strategic management and planning concept.

Strategic Management:

Strategic Management Today, however, it is seen as imperative that a public organization have strategic intent to proactively shape the future for the organization the way that private corporations do, rather than merely reacting to events.

Strategic Management:

Strategic Management Private corporations do strategic planning all the time, to specify long- and short-term horizons. Because of the inherently political nature of public administration, however, short-term thinking is often more the case. Public budgeting procedures, due to their annual nature, also contribute to short, yearly cycles.

Strategic Management:

Strategic Management The annual budget submission often gives opportunities for posturing, patronage, and politicizing. However, long-term planning is not impossible in the public sector.

Strategic Management:

Strategic Management Many public projects, like space science, defense, etc., require long-term planning horizons and enormous capital investment, which is most appropriately done by government.

Strategic Management:

Strategic Management Long-term planning is often done at the federal level and can draw national attention to a cause. However, sometimes little is achieved and planning efforts are merely a goal in themselves, undertaken to give exposure to political elites.

Strategic Management:

Strategic Management Planning is “messy” in more wealthy democratic governments where competing interests must be accommodated.

Strategic Management:

Strategic Management In his 1959 article “The Science of Muddling Through,” Charles E. Lindblom argued that incremental decision making was more achievable in the messy, complex, disorderly, ill-structured world of politics, where completely rational decision making is never possible.

Strategic Management:

Strategic Management All strategic management plans have essentially the same components: identification of goals and objectives; adoption of a time frame for achievement; systematic analysis of current circumstances and capabilities; looking at the overall organizational environment;

Strategic Management:

Strategic Management selection of a strategy by comparing various alternatives; the integration of organizational efforts around this strategy; and evaluation.

Strategic Management:

Strategic Management b. Matching Agency Capabilities and Agency Environments: When the environment is stable, a more custodial, authoritarian strategy might suffice, but when the organization is turbulent, a more risk-taking entrepreneurial capability is required.

Strategic Management:

Strategic Management When a mismatch exists between environment and capability, management must take action to match its technological and human resources to what is required.

Strategic Management:

Strategic Management An organizational tool to identify the strengths and weaknesses of an organization, as well as potential opportunities and threats, is the SWOT analysis. This is a technique widely employed by organizations to provide another test of strategic viability.

Strategic Management:

Strategic Management It uses interactive brainstorming techniques. Attention to strengths and weaknesses highlights capability. Opportunities and threats turn attention to the opportunistic as well as the predatory aspects of an organization’s survival.

Strategic Management:

Strategic Management An assessment of an organization’s present and future environment is a critical aspect of strategic management planning.

Strategic Management:

Strategic Management Demand forecasting is used to determine the likely population growth and consumer behavior of the region. Futures analysis is another form of analysis used in the 1980s.

Management by Objectives (MBO) :

Management by Objectives (MBO) Management focus on goals and objectives was pioneered by Peter Drucker in 1954 with the publication of The Practice of Management .

Management by Objectives (MBO) :

Management by Objectives (MBO) Many other books on MBO followed, each with the basic premise that measurable goals have to be established and accomplished by both membership and leadership of the organization to be realized over a period of time.

Management by Objectives (MBO) :

Management by Objectives (MBO) Part of strategic management responsibility is providing a broad statement of philosophy in public organizations in its mission statement, which is set forth in terms of the ideal.

Management by Objectives (MBO) :

Management by Objectives (MBO) A statement of goals is more specific, and the list of objectives is about means to get to the goals, sometimes referred to as targets.

Strategic Management Future Challenges:

Strategic Management Future Challenges Strategic management in the public sector has evolved from its traditional functional management focus to one which now looks toward measurable objectives.

Strategic Management Future Challenges:

Strategic Management Future Challenges As it relates to government, the term “strategic management” refers to a statement of goals that can be translated into a statement of specific targets or objectives.

Strategic Management Future Challenges:

Strategic Management Future Challenges Because the original sponsors of legislation may not have a precise idea of how the end results are to be reached, goals may be far more philosophical than the objectives. Hence, explicit statements are purposely avoided, and the intent of the policy is often stated in broad, general terms.

Strategic Management Future Challenges:

Strategic Management Future Challenges A variety of challenges to strategic management are faced by public sector managers today. The widespread use of privatization around the world is one that will increasingly be a topic confronting government in the next decade.

Class Exercise:

Class Exercise A SWOT ANALYSIS Analysis of Organizational Strengths, Weaknesses, Opportunities, and Threats You are the newly appointed warden of the Cedarville County Jail. Because there are many problems existing in the jail administration in Cedarville, you have been brought in as a “change agent.” You have come to your position from a previous position in Illinois in the same capacity.

Class Exercise:

Class Exercise You are known there for being an entrepreneurial and transformational leader. You will bring with you part of your strategic management team—your deputy warden for human resources and your deputy warden for administration. The jail in Cedarville is a recently built incarceration facility with the latest in security technology and inmate housing for the two separate parts of the jail—Adult Offenders Incarceration Facility and the Juvenile Facility.

Class Exercise:

Class Exercise The physical space serves as a model for this type of incarceration facility. There is willingness on the part of the county government to put additional revenue and resources into the facility to make it work; you have a honeymoon period of two years to do this. Among the issues raised in your appointment documents as CEO to this facility are the following:

Class Exercise:

Class Exercise Security issues and keeping inmates inside the prison is the paramount concern. Beyond this, strategic management needs to be strengthened with additional talent in the area of financial management. The accounting system is in disarray. There are employee morale problems. Officers are not properly trained in the use of restraint and safety techniques. There are some drug and alcohol abuse problems among the employees.

Class Exercise:

Class Exercise Women have traditionally been employed only in the lower clerical ranks. The jail has a “macho” culture, which the county wants to see being changed to a more caretaking culture with emphasis on rehabilitation and training for inmates and a special-needs program for juvenile offenders.

Class Exercise:

Class Exercise Counseling, library, and chaplain services are not available to staff and inmates. The organization could outsource (privatize) gardening, laundry, and janitorial services more cheaply than what is provided in-house through work. There will be a state review of how the juvenile offenders are managed in Cedarville. If there are continuing problems in this area, the state is considering a voucher program to enable juvenile offenders to be moved to the Catholic Juvenile Male Institutional Facility, a non-profit

Class Exercise:

Class Exercise organization outside Cedarville, or to the Raleigh Institution for Young Men, a private detention center in Cedarville. If the review is bad, the Cedarville jail stands to lose a substantial portion of its budget. Conversely, if the state review shows that juveniles should be retained at Cedarville, the state and federal governments will kick in with substantial grant-in-aid funding.

Class Exercise:

Class Exercise The county supervisors want you to accomplish the following major strategic tasks within your first three months in office.

YOUR ASSIGNMENT:

YOUR ASSIGNMENT I. Develop: 1. A Mission Statement 2. A Statement of Goals 3. A Statement of Key Objectives Remember your model: MISSION  GOALS  OBJECTIVES ---------------------------------------------------- broad philosophy -more focused - very focused and specific

YOUR ASSIGNMENT:

YOUR ASSIGNMENT II. Develop: STRENGTHS, WEAKNESSES,OPPORTUNITIES, and THREATS analysis (SWOT analysis) for the Cedarville Jail.

Chapter 8:

Chapter 8 LEADERSHIP AND ACCOUNTABILITY

Leadership:

Leadership Leaders are those who get people in organizations motivated to do things they may never have done before or may not wish to do. Leadership is about the exercising of authority and it is done both formally and informally.

Leadership:

Leadership French and Raven suggest five types of leadership power: expert power, referent power, reward power, legitimate power, and coercive power. Charismatic leadership, described by Max Weber, is power similar to referent power.

Leadership:

Leadership Chester Barnard described three essential functions of the leader: to provide a system of communication; to promote the securing of essential efforts; and to formulate and define the mission, goals, and objectives of the organization.

Theories of Leadership::

Theories of Leadership: a. Trait Theories of Leadership The trait approach suggests that leaders have unique characteristics or traits that are distinct from followers, and that leaders are born and not made.

Theories of Leadership::

Theories of Leadership: However, these trait theories have fallen into disfavor, mainly because the theorists could never identify which traits make an effective leader.

Theories of Leadership:

Theories of Leadership b. Transactional Theories: After the 1950s it became standard practice to view leadership as a series of transactions.

Theories of Leadership:

Theories of Leadership Because a leader could be successful in one set of interactions with one group of individuals and not in another, the theory of transactions fits better than trait theories.

Theories of Leadership:

Theories of Leadership The famous Lewin, Lippitt, and White studies of transactions identified three types of leaders—authoritarian, democratic, and laissez-faire.

Theories of Leadership:

Theories of Leadership They found that the groups led by authoritarian leaders were very aggressive and had low job satisfaction. The groups were productive, however, probably due to the coercive power of the leader.

Theories of Leadership:

Theories of Leadership Democratic leadership provided the most satisfied and productive workplaces because it allowed for peaceful negotiation, change, and participative management.

Theories of Leadership:

Theories of Leadership Workforces with hands-off, laissez-faire leaders had low productivity and satisfaction and behaved aggressively.

Theories of Leadership:

Theories of Leadership c. Contingency Approaches: This approach defines leaders who take their cues and develop leadership styles from the situation rather than following the “one best way.”

Theories of Leadership:

Theories of Leadership Tannenbaum and Schmidt provided one of the first studies that suggested that leaders need to evaluate the factors of the situation prior to making changes in the organization.

Theories of Leadership:

Theories of Leadership d. Transformational Leadership: A transformational leader is someone with the ability to change an embedded organizational culture by creating a new vision for the organization.

Theories of Leadership:

Theories of Leadership This is similar to trait theories because it posits the belief that leaders are born and not made.

Too Much Leadership:

Too Much Leadership a. Micromanagement: This term has emerged in the last decade to describe situations in which leaders supervise too closely and do not delegate.

Too Much Leadership:

Too Much Leadership When this occurs the personal and professional growth of subordinates is stifled. Micromanagement can drive employees to extreme stress and even violence.

Too Much Leadership:

Too Much Leadership It does not make an incompetent employee more competent; it only damages interpersonal relationships and distracts managers from development of overall long-term strategy for the unit and for the organization.

Too Much Leadership:

Too Much Leadership Legislators at all levels of government tend to be micromanagers. They look too closely into rules and process—often for partisan and special interest concerns.

Too Much Leadership:

Too Much Leadership b. Overmanagement: A variation of micromanagement is overmanagement, when there are too many managers for the task.

Too Much Leadership:

Too Much Leadership As computer-based systems have come into use and negated the need for layers of management, those managers who are fearful of losing their jobs tend to create fiefdoms.

Too Much Leadership:

Too Much Leadership This kind of turf-building, and its accompanying waste in overmanagement, is a structural cause of organizational incompetence.

Moral Leadership:

Moral Leadership A leader should not just be expected to be an expediter of organizational resources to meet the goal, but also through the respect and trust generated—via his/her charismatic and referent power—be able to keep the workforce in voluntary acceptance of moral codes and values.

The Challenge of Accountability:

The Challenge of Accountability Is about administrators being accountable for general notions of ethics, democracy, and legal mandates.

The Challenge of Accountability:

The Challenge of Accountability Taken together, internal standards—professional and organizational—and external standards—legislative and popular controls— keep the bureaucracy—accountable.

The Challenge of Accountability:

The Challenge of Accountability Public administrators often take an oath of allegiance to the Constitution and must uphold that pledge.

The Challenge of Accountability:

The Challenge of Accountability Thus, to do their jobs properly, public administrators need to understand the country’s constitutional framework as well as the substance and structure of individual rights.

The Challenge of Accountability:

The Challenge of Accountability a. Excessive Zeal for Accountability often leads to bureau incompetence. When individuals show themselves to be incapable of taking responsibility, rules are often set up that are rigid and sometimes irrational, often taking up valuable time.

The Challenge of Accountability:

The Challenge of Accountability b. Avoiding Accountability: Often, when wrongdoing occurs, officials stonewall, deny, and point fingers elsewhere, even when involved.

Legislative Oversight:

Legislative Oversight The legislature—either in the form of the city council, the state legislature, or the congress—monitors the executive branch to see that laws are faithfully executed.

Legislative Oversight:

Legislative Oversight Oversight takes many forms—Congressional hearings on the budget or investigations on special issues; Senate confirmation of appointees for cabinet positions and Supreme Court nominees.

Legislative Oversight:

Legislative Oversight Any member of Congress can instigate an investigation, and Congress operates as a kind of grand jury ready at all times to hear testimony on improper actions.

Class Exercise :

Class Exercise A HUNT-AND-PECK EXERCISE ON PUBLIC ADMINISTRATION CONCEPTS You are a human resources specialist in the city government offices for the industrial city of Lamont, Nebraska. You have just graduated with a B.A. in Public Administration from the University of Nebraska.

Class Exercise :

Class Exercise A complaint has been brought to the attention of your boss from a group of employees in the Department of Administration against their director, Ms. Beverly Huxtable. The report, which has been formally written up by the hearing officer, is given below. Your boss has asked you, as a first step, to look over the complaint and list any public administration concepts embedded in the complaint. You remember your classes in public administration clearly and have no trouble in picking out at least eight concepts.

Chapter 9:

Chapter 9 PERSONNEL MANAGEMENT AND LABOR RELATIONS

The Personnel Function:

The Personnel Function The Personnel Function deals with the technical functions of employment, such as recruitment, selection, training, and evaluation.

The Personnel Function:

The Personnel Function Personnel requires an understanding of law as well as the major developments in the social and behavioral sciences.

The Personnel Function:

The Personnel Function Personnel administration has evolved from being largely a clerical function into a professional practice.

The Personnel Function:

The Personnel Function a. Personnel Merit Selection: It mandated open competitive examinations, probationary periods, and protection from political pressures for the federal bureaucracy.

The Personnel Function:

The Personnel Function b. Position Classifications: Traditional position classifications organize all jobs in a civil service merit system into classes on the basis of duties for the purposes of establishing chains of command, salary scales, and delineating authority.

The Personnel Function:

The Personnel Function c. Performance Appraisal is about the documentation of work performance of employees.

The Personnel Function:

The Personnel Function Most appraisals are too subjective and impressionistic to be useful because they are done in-house, and thus evaluators are reluctant to destroy group harmony with negative evaluations. Because of this, outside consultants are sometimes hired to do the ratings.

The Personnel Function:

The Personnel Function d. Training: Training has always been considered an option, or a luxury, in organizations. As opinion changed to view public service as a career that constantly needed upgrading, attitudes about providing training changed as well.

The Personnel Function:

The Personnel Function e. Management Development: This is undertaken in organizations as an organizational investment in human capital to develop leadership for the organization.

The Personnel Function:

The Personnel Function Assessment programs are geared toward distinguishing which individuals have the potential for selection to a management program, and they typically observe individuals in simulations of problem solving, often within stress situations.

Civil Service Reform:

Civil Service Reform There are two groups of employees in the civil service: those who come up through the so-called merit system and those individuals who were appointed for reasons other than fitness for duty as patronage appointments.

Civil Service Reform:

Civil Service Reform The Civil Service Commission: The commission, a bipartisan group of appointees, was mandated to keep the bureaucracy as free as possible from political influence.

Civil Service Reform:

Civil Service Reform As time went on, however, nonpartisan career managers found themselves burdened by the restrictions set up to thwart the spoils system and called for an integration of personnel functions with the administrative functions of the executive to whom they reported.

Civil Service Reform:

Civil Service Reform Reinventing Public Personnel Administration: Recently, public personnel management has been heavily impacted by the “reinventing” government movement.

Civil Service Reform:

Civil Service Reform The public personnel reform, suggested decentralization of personnel management, and promoted a “customer-service” focus.

Public Sector Labor Relations:

Public Sector Labor Relations Administrative Agencies: In the context of labor relations, an administrative agency is a private or government organization that facilitates the labor process.

Public Sector Labor Relations:

Public Sector Labor Relations The agencies oversee collective bargaining, make rulings on unfair labor practices, judge legitimacy and scope of bargaining, interpret contracts, make decisions on the appropriateness of bargaining units, oversee authorization elections, and certify bargaining units.

Public Sector Labor Relations:

Public Sector Labor Relations Collective Bargaining: This is a comprehensive term that encompasses the negotiating process that leads to a contract between labor and management on wages, hours, and other conditions of employment.

Public Sector Labor Relations:

Public Sector Labor Relations The process involves four basic stages: establishment of bargaining units, formulation of demands, negotiations, and the administration of the contract.

Public Sector Labor Relations:

Public Sector Labor Relations In terms of collective bargaining, the public sector model comes from the private sector, but employing collective bargaining in the public sector is problematic because no union is equal to the government and to the people as a whole.

Public Sector Labor Relations:

Public Sector Labor Relations Strikes: A strike is a mutual agreement by workers to a work stoppage. In the past, unions used the strike as a powerful tool to attain their goals.

Public Sector Labor Relations:

Public Sector Labor Relations Public opinion began to turn against unions in the later years of the twentieth century, and unions have lost their clout in the harsher economic climate of recent times.

Public Sector Labor Relations:

Public Sector Labor Relations Today workers and management have come to the realization that they have one thing in common—the economic viability of the enterprise.

Public Sector Labor Relations:

Public Sector Labor Relations Thus we see unions and management in an unlikely marriage of convenience because of their mutual interests.

Class Exercises:

Class Exercises PERSONNEL MANAGEMENT EXERCISES ON THE CIVIL RIGHTS ACT Scenario A : Mary Louise Davies interviews applicants for professional and management positions at MAXCom, Inc., a computer company in the Silicon Valley. She has been asked by the director of human resources to attend a one-day conference on Title VII, affirmative action, and EEO, in San Francisco. Mary Louise has a very hectic schedule, as her company is rapidly expanding, and she asks to be excused. After all, she explains, all she does is conduct the interviews. The final decisions are made higher up in the human resources department. a. Is Mary Louise’s excuse justification for not going? b. If you were the human resources director, what would you do?

Class Exercises:

Class Exercises Scenario B : Pete Chavez graduated with high honors from the Columbia University School of Journalism in the area of sports journalism. He then applied for the position of assistant sports writer with a local paper to cover basketball and football. Pete’s credentials were verified and he was made an immediate offer over the telephone. When he arrived for the interview, however, he sensed that something was amiss. He was told that the position had been withdrawn. Later Pete learned from a valid source that it was his height, 5'3”, and slender build, 120 lbs., that disqualified him. The editor had judged that a taller sports writer would have a better rapport with tall players than a short one. Pete plans on filing a “disparate impact” claim. a. Does he have a case? b. On what basis?

Class Exercises:

Class Exercises Scenario C: Tim Fujie, a Japanese-American, and David Dougherty, an Irish-American (white), are both applicants for promotion for the same job as detective sergeants in the Miniqua Police force. Tim has a bachelor’s degree in physics and three years on the police force. David has a bachelor's degree in criminal justice, a certificate in conflict resolution, and three years in the police force. David Dougherty is hired. Tim Fujie sues on the grounds of color and race discrimination. Does Tim have a case?

Chapter 10:

Chapter 10 PUBLIC FINANCIAL MANAGEMENT

Public Financial Principles:

Public Financial Principles No public policy or function can survive unless it is associated with the flow of funds that make it possible. Public financial management is a dynamic system with which citizens interact every day.

Public Financial Principles:

Public Financial Principles 1. Democratic consent: Taxation and spending should not be done without consent of the governed.

Public Financial Principles:

Public Financial Principles 2. Equity : Governments should be equitable in raising and spending capital.

Public Financial Principles:

Public Financial Principles 3. Transparency : What governments do in raising and spending funds should be open to public knowledge and scrutiny.

Public Financial Principles:

Public Financial Principles 4. Probity : There must be scrupulous honesty in dealing with public funds, of which the legislators and administrators are the stewards, not the owners.

Public Financial Principles:

Public Financial Principles 5. Prudence : Stewards should not take undue risks with public funds.

Public Financial Principles:

Public Financial Principles 6. Accountability: Those who deal with public funds can and should be regularly called to account for their stewardship through legislative review and audit processes.

Balanced Budgets:

Balanced Budgets The balanced budget, where receipts are equal to or greater than the government outlays, is the sign of a financially healthy government. There are also advantages, however, to “unbalanced” budgets where extra spending can stimulate a slow economy.

Balanced Budgets:

Balanced Budgets Such actions may adversely impact the value of currencies as well as having a crowding-out effect on capital markets. All budgets function within a designated twelve-month fiscal calendar.

Balanced Budgets:

Balanced Budgets As the budget process is often slow, funding can be extended into a new fiscal year through the use of continuing resolutions.

The Budget Game:

The Budget Game The budgeting process is highly political. There are winners and losers in the process. The main currents in the politics of budgeting in the past 30 years seem to suggest a decidedly individualistic, multicentered decision-making milieu.

The Budget Game:

The Budget Game Budget makers, both conservative and liberal, are impacted by lobbyists and special interest groups.

The Budget Game:

The Budget Game Congress relies on the Congressional Budget Office to provide data , while the Office of Management and Budget provides data to the president.

Budget Theory and Practice:

Budget Theory and Practice A public budget has four dimensions. First, it is a political instrument that allocates scarce public resources.

Budget Theory and Practice:

Budget Theory and Practice Second, it is a managerial and administrative tool that specifies the “ways and means” of providing public programs and services.

Budget Theory and Practice:

Budget Theory and Practice Third, it is an economic instrument that can drive an area’s growth. Fourth, it is an accounting instrument that holds government workers accountable for the expenditure of funds with which they have been entrusted.

Objectives of Budgeting:

Objectives of Budgeting Budgeting has four objectives: allocation, distribution, stabilization, and growth. Within these objectives, two types of budgets exist: operating and capital.

Waves of Innovation:

Waves of Innovation The structure and format of budgets have been subject to waves of innovation which have led to the evolution of different types of budgeting.

Waves of Innovation:

Waves of Innovation These include: Executive Budgeting : submitted by the chief executive to the legislature for action.

Waves of Innovation:

Waves of Innovation Line-Item Budgeting : classification of accounts according to detailed objects of expenditure. Performance Budgeting : performance requirements to be stated alongside line items.

Waves of Innovation:

Waves of Innovation Incremental Budgeting : focuses on incremental increases and decreases in a budget. PPBS : planning programming budgeting systems detailing objectives and measures.

Waves of Innovation:

Waves of Innovation Zero-Based Budgeting : calls for rejustification of the entire budget. Unified Budgeting : consolidation of receipts and outlays in one budget.

Waves of Innovation:

Waves of Innovation Multiyear Budgeting : covering a time span of numerous fiscal years.

Financing Public Expenditure:

Financing Public Expenditure Governments may raise monies in the following ways: Imposing a direct tax paid by the taxpayer directly to the government. Imposing an indirect tax paid to a third party who then pays the government.

Financing Public Expenditure:

Financing Public Expenditure Imposing user charges for government customers. Attaining grants from other levels of government. Generating profits from activities of public enterprises.

Financing Public Expenditure:

Financing Public Expenditure Borrowing from the public through bonds or from private lenders through loans. Using innovative finance techniques such as public-private partnerships. Generating earnings from savings or investments.

The Problem of Debt:

The Problem of Debt The national debt is the total outstanding debt of the national government. The level of debt must be viewed in historical and comparative perspective.

The Problem of Debt:

The Problem of Debt The historical perspective looks at the particular debt position today compared with its long-term trend. Is the level of debt today in accord with a normal position or is it extraordinary?

The Problem of Debt:

The Problem of Debt The comparative perspective looks at the debt level of one nation in comparison to others. The government can borrow money when a clear purpose exists for doing so.

The Problem of Debt:

The Problem of Debt This tool, however, is subject to abuse, especially when politicians find the borrowing of money preferable to raising taxes. A second method of raising money is the sale of municipal bonds.

The Problem of Debt:

The Problem of Debt These bonds, which are rated and graded by rating agencies, are sold to raise funds for everything from sewer systems to ball parks, with interest paid by the issuing municipality.

Financial Management in Local Government:

Financial Management in Local Government There are local governments, school districts, and other small bodies. The small units have very simple budgets, while the larger municipalities may have extremely complex budgets.

Financial Management in Local Government:

Financial Management in Local Government The three major methods for raising revenue for local governments are the property tax, the school tax, and the local sales tax.

Economic Policy:

Economic Policy Economic policy is the process by which a nation manages its trade, business, and finances.

Economic Policy:

Economic Policy It traditionally consists of three dimensions: fiscal policy, monetary policy, and those facets of public policy with economic implications such as farm, energy, and labor policy.

Economic Policy:

Economic Policy Monetary policy basically exercises control over the quality and cost (interest rates) of money and credit in the economy. Fiscal policy deals with the size of the budget, deficits, and taxes.

The Audit:

The Audit An audit is any independent examination or objective assessment of an organization. In public administration, the audit refers to two very common activities.

The Audit:

The Audit It is an official examination of a financial report submitted by an individual or an organization to determine whether it accurately represents expenditures, deductions, and other allowances determined by laws or regulations.

The Audit:

The Audit The audit is the final phase of a government budgetary process.

The Audit:

The Audit It reviews the operations of an agency, especially its financial transactions, to determine whether the agency has spent its money in accordance with the law, in the most efficient manner, with the desired results.

The Audit:

The Audit Auditing has become a major branch of the accounting profession. Accounting in public administration is similar to its function in the private sector.

The Audit:

The Audit It remains the process of classifying, measuring, and interpreting financial transactions to provide management with information upon which to base economic decisions.

The Audit:

The Audit Auditing continues to evolve with multiple applications that now include independent assessments of such things as environmental, social, and infra-structural issues.

The Audit:

The Audit Types of Audits: 1. Financial and compliance , which determines whether funds are properly spent and the spending is in compliance with the law.

The Audit:

The Audit 2.Economy and efficiency , which determines whether resources have been used appropriately. 3.Program results , which determines whether the desired results have been achieved.

Accounting:

Accounting The traditional method of accounting in the public sector was cash accounting, which simply sought to control and track the flow of funds allocated to and spent by the agencies.

Accounting:

Accounting This system proved to be too simple and was gradually replaced by the accrual system, which allowed for the recording of debt owed to and by the organization when the debt became a legal obligation.

Group Exercise:

Group Exercise “To Tax or Not to Tax? That is the Question.” The city fathers of Bridgepoint suffered a budget shortfall last year. In their planning for the new fiscal year, they feel they can raise the needed revenue by imposing a sales tax on the consumption of the citizens of the community. They are particularly entranced with the possible tax revenue that can be gained from a redeveloped mall in the center of the city.

Group Exercise:

Group Exercise The mall, a joint project between the city and a developer, was rebuilt from the ruins of an abandoned shopping center that had been an eyesore for many years. The new mall serves many of the inner city residents who rely on public transportation and live either below or at the poverty line. The mall has been a huge success and has been hailed as the vanguard of a new revived downtown shopping area.

Group Exercise:

Group Exercise A sales tax, however, would impact to a greater extent the many low and middle income shoppers who shop downtown for they would pay a greater percentage of their income to this tax than wealthier shoppers. Is a sales tax a “good move” for the city of Bridgepoint?

Class Exercise:

Class Exercise “Rabbits and the Taxpayer” You are the manager of a pre-school/daycare center partially funded with tax dollars. In an effort to assist former welfare recipients in getting back into the workplace, the city set up the center. Parents pay based on their income level with tax dollars making up the difference. As part of the program you provide lunch to the children.

Class Exercise:

Class Exercise Last week an audit team from the city came in to audit your operation. The auditor informed you that it was noticed by the audit team that one of your employees, Myrna, was seen taking a bag of lettuce leaves home at the close of shift. You informed the auditor that Myrna raised rabbits and that you have previously given her permission to take home the leaves from the outside of the lettuce that would be thrown away and feed them to her rabbits.

Class Exercise:

Class Exercise The auditor then informed you that a member of the audit team had watched Myrna “take off more lettuce leaves than were normally removed by the average person” and that this was not a sound practice when dealing with the taxpayers’ money. How do you feel about the audit team’s observations?

Chapter 11:

Chapter 11 PUBLIC SECTOR HONOR AND ETHICS

Honor:

Honor Western thinking about honor dates back to ancient Greece and Rome. Codes of honor evolved in the military.

Honor:

Honor Honor was, and is, something that a soldier was supposed to uphold and even die for. Today it remains one of the core influences on human behavior.

Honor:

Honor Honor comes before ethics because a person without honor has no moral compass about what is good and bad.

Honor:

Honor Honor is a particularly apt choice for emphasis in a text of public administration because, from ancient times, to be trusted with the public’s business required honorable administrators.

Corruption in Government:

Corruption in Government Bribery —he pervasiveness of bribery in public administration is something that cannot be contested. It comes as a result of individual greed. When the ethical base of an agency is low, bribery is much more rampant.

Corruption in Government:

Corruption in Government The Watergate scandal that drove Richard Nixon out of the office of president exemplified a violation of public trust. It has become an enduring example of corruption at the highest levels of government in America and resulted in calls for reform.

Ethical Issues in Public Administration:

Ethical Issues in Public Administration “Lies Big and Little”—Adolph Hitler and Joseph McCarthy are two of the most prominent examples of big liars who have hurt society as a whole, but on a smaller scale lying is common in government.

Ethical Issues in Public Administration:

Ethical Issues in Public Administration It can be argued that public administrators in a democracy can be excused for lying when there are dire national priorities to consider.

Ethical Issues in Public Administration:

Ethical Issues in Public Administration The quandary of lying for the public good has been a topic of debate from the time of Plato, who spoke about the “noble lie.”

Ethical Issues in Public Administration:

Ethical Issues in Public Administration The “dirty hands dilemma,” like the noble lie, is another famous quandary encountered in ethics. Public officials dirty their hands when they commit an act generally considered wrong to further the public good.

Ethical Issues in Public Administration:

Ethical Issues in Public Administration Machiavelli upheld this dilemma in his famous statement: “when the act accuses, the result excuses.”

Conflicts of Responsibilities:

Conflicts of Responsibilities The public is composed of diverse stakeholders each with conflicting, but often deserving, interests.

Conflicts of Responsibilities:

Conflicts of Responsibilities This presents the quandary of viable alternatives because the public administrator cannot satisfy the ideal of universal happiness.

Conflicts of Responsibilities:

Conflicts of Responsibilities Thus it becomes important to keep the concepts of justice, equality, and the inviolability of individual rights in mind when choosing the best course of action for the majority.

Conflicts of Responsibilities:

Conflicts of Responsibilities Dennis Thompson argued that there can be no administrative ethics because of an inherent conflict in the nature of the duties of a public administrator and the administrative structures of the position.

Conflicts of Responsibilities:

Conflicts of Responsibilities These people must be morally “neutral” and yet follow the structural dictates of policy; hence, he argues, they cannot be held accountable.

Conflicts of Responsibilities:

Conflicts of Responsibilities Yet the “I was just following orders” defense conflicts with the personal moral obligation to do the right thing.

Hierarchy of Ethics:

Hierarchy of Ethics The four levels of ethics are personal morality, professional ethics, organizational ethics, and social ethics.

Codes of Honor, Conduct, and Ethics:

Codes of Honor, Conduct, and Ethics Codes of honor have their origins in ancient precepts about how individuals should behave when faced with danger or difficult choices.

Codes of Honor, Conduct, and Ethics:

Codes of Honor, Conduct, and Ethics Many of the important precepts on how to behave are embodied in religious teachings such as the Ten Commandments.

Codes of Honor, Conduct, and Ethics:

Codes of Honor, Conduct, and Ethics Many civilian government agencies set up codes of conduct and formal guidelines for ethical behavior.

Codes of Honor, Conduct, and Ethics:

Codes of Honor, Conduct, and Ethics Professional codes of ethics exist as well, such as the physician’s Hippocratic Oath.

Codes of Honor, Conduct, and Ethics:

Codes of Honor, Conduct, and Ethics Most of these codes are not binding, but dishonor falls upon those who openly violate them.

Exercise:

Exercise “Blowing the Whistle at Micro Systems Inc.” James Allen, a purchasing agent with Micro Systems Inc., discovers that his boss is getting kickbacks from one of the major suppliers of the firm. He blows the whistle on his boss and is subsequently fired for incompetence. Allen has received satisfactory ratings on his performance so far, hence he assumes that it was due to the whistleblowing that he was terminated. Does he have recourse under statutory law for wrongful discharge?

References:

References D. F. Kettl, The Global Public Management Revolution, Washington: Brookings, 2000. B. G. Peters, The Future of Governing , 2 nd ed., Lawrence, KS: University Press of Kansas  2001. D. Kettl, The Global Public Management Revolution , Washington: Brookings  2000.

References:

References J.P. Pfiffner, “The Public Service Ethic in the New Public Personnel Systems,” Public Personnel Management , Vol. 28, No. 4 (Winter 1999). H.G. Frederickson, The Spirit of Public Administration , San Francisco: Jossey-Bass  1997.

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