Public Administration and Public Affairs, 11E Nicholas Henry Instructor Manual and Test BankPublic A by Ace Test Banks

INSTRUCTOR’S MANUAL / TEST BANK to accompany

PUBLIC ADMINISTRATION AND PUBLIC AFFAIRS Eleventh Edition

Nicholas Henry Georgia Southern University

Prepared by: Christine Ludowise Georgia Southern University

TABLE OF CONTENTS Chapter One BIG DEMOCRACY, BIG BUREAUCRACY ....................................................................1 Chapter Two PUBLIC ADMINISTRATION’S CENTURY IN A QUANDRY ......................................7 Chapter Three THE THREADS OF ORGANIZATIONS: THEORIES ...................................................14 Chapter Four THE FABRIC OF ORGANIZATIONS: FORCES ...........................................................21 Chapter Five THE FIBERS OF ORGANIZATIONS: PEOPLE.............................................................29 Chapter Six CLARIFYING COMPLEXITY: THE PUBLIC’S INFORMATION RESOURCE .........37 Chapter Seven PUBLIC PRODUCTIVITY: CORRUPTION’S CONSEQUENCE .................................43 Chapter Eight THE PUBLIC TROUGH: FINANCING AND BUDGETING GOVERNMENTS .........52 Chapter Nine MANAGING HUMAN CAPITAL IN THE PUBLIC SECTOR......................................64 Chapter Ten UNDERSTANDING AND IMPROVING PUBLIC POLICY .........................................74 Chapter Eleven INTERSECTORAL ADMINISTRATION .......................................................................81 Chapter Twelve INTERGOVERNMENTAL ADMINISTRATION...........................................................90 Chapter Thirteen TOWARD A BUREAUCRATIC ETHIC .......................................................................100

iii .

Chapter One BIG DEMOCRACY, BIG BUREAUCRACY

CHAPTER OVERVIEW A discussion of the tradition and context of American public administration sets the tone for the book, focusing on American’s preference for constrained public leadership. The public perception of bureaucracy (pejorative) is juxtaposed with the public’s reliance upon and acceptance of public administrators (favorable). The chapter concludes by defining the paradoxical power of the public administrator, which has developed beyond its cultural, institutional, and legal limits.

CHAPTER OBJECTIVES 1. 2. 3. 4. 5.

Understand the political culture and developments that shaped U.S. government and public administration. Explain the difference between Hamilton’s and Jefferson’s vision of the bureaucracy. Understand the consequences of a constrained government and public administration. Reconcile the differences between public suspicion of public administration and positive individual experiences with public administrators. Identify the importance of the policy-making role of public administrators.

CHAPTER OUTLINE AN UNPROMISING PRECIS The Indians and the English Administration by Ambassadors: The Articles of Confederation Administration by Legislators: The First State Constitutions Administration by Enfeebled Executives: Jefferson Prevails Hamiltonian Energy Jeffersonian Constraint Anti-Administration A CULTURE OF CONSTRAINT Americans and Their Governments Governing in a Distrusting Culture Distrust of Elected Leaders Distrust of Government

1 .

THE CONSEQUENCES OF CONSTRAINT Hobbled Elective Chief Executives The Domesticated Presidency Constraining Governors Constraining Local Elected Chief Executives Hobbled Governments Constraining the Federal Government Constraining State Governments Constraining Local Governments Hobbled Governmental Growth INFERNAL VERNON: A CASE OF UNCONSTRAINED PUBLIC ADMINISTRATION (case study) THE BUREAUCRAT: BRAINED, BLAMED AND BOUNCING BACK Bashing Bureaucrats Politicians’ Pandering Academia’s Undercutting Media’s Mordancy Are Bureaucrats to Blame? The Public Likes Public Administrators Encountering Bureaucrats The Bureaucrat: Government’s Savior? THE PARADOXICAL POWER OF THE PUBLIC ADMINISTRATOR Bureaucrats and Legislators Bureaucratizing Congress Bureaucratizing State Legislatures Bureaucratizing Local Councils and Boards Presidents Versus Bureaucrats: Mobilizing the Bureaucracy Presidential Frustration Bureaucratic Responsiveness Bringing Bureaucracy to Heel? Executive Indifference Executive Expertise A Bureaucracy Newly Girded Governors Versus Legislators: The Battle for the Bureaucracy The Gray Eminence of the Public Administrator Staying Power Discretionary Power Policy-Making Power: Players and Patterns Stopping Power: Two Cases A Bolt in the Bureaucracy Deep-Sixing Democracy

2 .

NOETIC AUTHORITY: THE BASE OF BUREAUCRATIC POWER Knowledge is Power Knowledge, Power, and the Public Interest

KEY CONCEPTS/TERMS/INDIVIDUALS The Articles of Confederation Alexander Hamilton Thomas Jefferson constraint the “hollow government” recall referendum initiative or initiative petition bureaucratization staying power discretionary power legislative veto policy agenda noetic authority Max Weber

TEACHING IDEAS 1.

Have students, in groups, revisit and rewrite the Constitution. Ask them to design and insert an additional article that clearly articulates the role of the bureaucracy in American Government. Then discuss the problems they faced in clearly defining and limiting the “fourth” branch of government.

Invite the local city or county manager to speak to your class. Ask him/her to focus their discussion on their relationships with the executive and legislative branches, as well as how s/he views his/her policy-making role.

Ask students to relate a good experience they or their family has had with a public agency or with public services. Have them reconcile their experience with the perception of bureaucracy as a big, unwieldy, unhelpful entity.

BACKGROUND READING De Tocqueville, Alexis. Democracy in America. New York: Penguin Classics, 2003. Goodsell, Charles T. The Case for Bureaucracy: A Public Administration Polemic, 2nd ed. Chatham: Chatham House, 1985. 3 .

Hamilton, Alexander, James Madison, and John Jay. The Federalist Papers. New York: Penguin Classics, 1987. Lorenzo, David J. “Countering Popular Misconceptions of Federal Bureaucracies in American Government Classes.” Political Science and Politics (December 1999): 743-747. Wilson, Woodrow. “The Study of Administration.” Political Science Quarterly 2 (June/July 1887): 197-222.

MULTIPLE CHOICE QUESTIONS 1.

The majority of early state constitutions deliberately limited the power of the a. b. c. d.

At the local level, public administration is characterized by unusually weak a. b. c. d.

chief executives. budgetary officers. legislative bodies. judges.

In many states, citizens have constrained government activities by adopting principles of direct democracy. Which of the following places an issue on the ballot through petitions signed by registered voters? a. b. c. d.

legislative branch. judiciary. executive branch. citizens.

a recall a referendum an initiative a supermajority

______________________ is the device used to reconcile bureaucracy with democracy. a. b. c. d.

Public administration Public policy Civic responsibility Legislative action

4 .

American public administration is characterized as a. b. c. d.

aggressive. constrained. forceful. destructive.

The power that is derived from knowledge is __________ authority. a. b. c. d.

partial narrow classified noetic

What percentage of America has a favorable opinion of government workers? a. 20% b. 50% c. 70% d. 90%

Approximately what percentage of city managers initiates policy proposals? a. 25% b. 44% c. 73% d. 96%

_________________ power refers to a public administrator’s authority to decide how to implement public policies. a. b. c. d.

10.

Discretionary Legislative Judicial Noetic

Congressional repeal of an executive action taken in the course of administering a law is known as a a. b. c. d.

line-item veto. legislative veto. discretionary veto. political veto.

5 .

TRUE/FALSE QUESTIONS 11.

The Articles of Confederation created a strong national government with a centralized bureaucratic structure. FALSE

12.

Public administration and bureaucracy are specifically referenced in the U.S. Constitution. FALSE

13.

The majority of Americans believe that they have been treated fairly in their interactions with public bureaucrats. TRUE

14.

In contrast to Alexander Hamilton, Thomas Jefferson supported a constrained administrative tradition. TRUE

15.

The United States has smaller governments and lower taxes than comparable countries. TRUE

SHORT ANSWER QUESTIONS 16.

Discuss why U.S. presidents may feel frustrated by or indifferent to the bureaucracy. What are the potential consequences of these actions?

17.

In what ways are local chief executives constrained in their actions?

18.

Please list and briefly describe the different types of power that may be wielded by the bureaucracy.

19.

Discuss the differences between the image and the reality of the public bureaucrat.

20.

What are some of the features of constrained public administration?

21.

How would you describe America’s view of its governments today?

22.

Discuss the ways in which legislative and executive institutions have been “bureaucratized”.

6 .

Chapter Two PUBLIC ADMINISTRATION’S CENTURY IN A QUANDRY

CHAPTER OVERVIEW The intellectual evolution of the field and profession of public administration is reviewed, focusing on the major developments in the twentieth century. Six paradigms of public administration are explained, concluding with a discussion of the waning of government and the development of governance in the public sector. CHAPTER OBJECTIVES 1. 2. 3. 4.

Understand and explain how the discipline of public administration has developed over time. Understand the relationship between how public administration is defined and how public administration is practiced. Identify the perceived differences between politics and administration and discuss how those concepts have evolved and meshed over time. Discuss the concept of principles of administration. Identify the principles included in the anagram POSDCORB and why they were considered important foundations of public administration. Describe public administration as an autonomous field.

CHAPTER OUTLINE THE BEGINNING Think Tanks for Public Service Public Administration and the Universities: The Fortuitous Year of 1914 PARADIGM 1: THE POLITICS/ADMINISTRATION DICHOTOMY, 1900-1926 The Uses of the Dichotomy The Dilemma of the Dichotomy PARADIGM 2: PRINCIPLES OF PUBLIC ADMINISTRATION, 1927-1937 A Reputational Zenith Money and Power An Academic Backtrack The Meaning of Principles THE CHALLENGE, 1938-1950 Deflating the Dichotomy The Demise of the Dichotomy The Dichotomy Resurgent? 7 .

Puncturing the Principles Fearful Reactions PARADIGM 3: PUBLIC ADMINISTRATION AS POLITICAL SCIENCE, 1950-1970 Consternation, Confusion, and Contempt A Glimmer in the Wasteland: Comparative and Development Administration An Intellectual Emergence An Intellectual Dilemma An Intellectual Decline? The Impact of Political Science: Bureaucracy in the Service of Democracy PARADIGM 4: PUBLIC ADMINISTRATION AS MANAGEMENT, 1950-1970 The “Groundswell” of Management “Fundamentally Alike in All Unimportant Respects” The Erratic Impact of the Intellectuals What is Missing? The Impact of Management: Understanding the “Public” in Public Administration “Publicness” and “Privateness” The Agency, or Institutional, Definition of “Public” The Interest, or Philosophic, Definition of “Public” The Access, or Organizational, Definition of “Public” THE FORCES OF SEPARATISM, 1965-1970 Separatism in the Halls of Academe: Nuanced Notions “Science, Technology, and Public Policy” “The New Public Administration” A Bright but Brief Interlude Separatism in the Corridors of Power: Pride to the Practitioners! PUBLIC ADMINISTRATION AS NEITHER MANAGEMENT NOR POLITICAL SCIENCE (case study) PARADIGM 5: PUBLIC ADMINISTRATION AS PUBLIC ADMINISTRATION, 1970-PRESENT NASPAA’s Nascency The Statistics of Secession PARADIGM 6: GOVERNANCE, 1990-PRESENT The Future of Governing The Decline of Governments The Rise of Governance “Making a Mash of Things” Does Governance Work? The Future of Public Administration PUBLIC ADMINISTRATION, HAPPY AT LAST 8 .

KEY CONCEPTS/TERMS paradigm 1 politics/administration dichotomy politics administration paradigm 2 principles of administration POSDCORB political acts administrative acts span of control paradigm 3 cross-cultural administration precepts of American political science paradigm 4 administrative science generic management agency interest access definitions of public privatization “new public administration” practitioner pride National Academy of Public Administration paradigm 5 NASPA M.P.A. programs paradigm 6 government governance governing by network

TEACHING IDEAS 1.

Ask students about the principles that American government is based upon. As they discuss those values, focus their attention on both the normative and the procedural aspects. Is it possible to make administration “value-free”? Why or why not? Could we ever divorce administration from politics?

Place students in small groups. Ask each group to come up with its own “principles” of public administration. What is the role and purpose of administration in the public sector? What should it do—and what does it do? Again, emphasize the normative aspects of those questions. 9 .

Have your class focus on the networks that may be formed by public agencies. You may want to have them research the various contracts and connections formed by individual local (or state) agencies. Can students identify policies and actions that are exclusively performed by government? Are students comfortable with the amount of crossover between public agencies and other organizations?

BACKGROUND READING Agranoff, Robert and Michael McGuire. “American Federalism and the Search for Models of Management.” Public Administration Review 61 (November/December 2001): 671-681. Goodnow, Frank J. Politics and Administration. New York: Macmillan, 1900. Gulick, Luther and Lyndall Urwick. Papers on the Science of Administration. New York: Institute of Public Administration, 1937. Simon, Herbert A. Administrative Behavior: A Study of Decision-Making in Administrative Organizations, 3rd ed. New York: Free Press, 1976. Waldo, Dwight. “Public Administration.” Political Science: Advance of the Discipline, Marian D. Irish, ed. Englewood Cliffs: Prentice Hall, 1968.

MULTIPLE CHOICE QUESTIONS 1.

Woodrow Wilson set the tone for the early study of public administration with an essay entitled a. b. c. d.

The Study of Politics. The Study of Administration. The Paradigm of Progress. The Development of Organizational Thought.

The emphasis of the first paradigm of public administration was a. b. c. d.

political corruption. the science of management. the existence of a dichotomy between politics and administration. principles of governance.

10 .

Gulick and Urwick promoted seven principles of administration which came to be known by the anagram a. b. c. d.

In 1947, Herbert Simon published a devastating critique of public administration entitled a. b. c. d.

Agency Interest Access Locus

Founded in 1939 to separate public administration from political science, the primary association of scholars and practitioners of public administration is the a. b. c. d.

The Function of the Executive. Administrative Behavior. Public Administration Today and Tomorrow. Principles of Administration.

__________________ refers to the degree of openness that distinguishes privateness from publicness. a. b. c. d.

POSDCORB. NASPAA. MVEMJSUNP. SECoPA.

American Political Science Association. American Society for Public Administration. National Academy of Public Administration. Public Administration Theory Network.

Administrative science attempted to place public administration more clearly within the field of a. b. c. d.

political science. sociology. psychology. business administration.

11 .

Schools that offer the MPA degree may apply for accreditation through ___________, which brings with it higher prestige, more effective programming, and enhanced ability to recruit faculty and students. a. b. c. d.

The major difference between government and governance is that governance is a. b. c. d.

10.

American Political Science Association American Society for Public Administration National Association of Schools of Public Affairs and Administration National Academy of Public Administration

institutional only. institutional and networked. institutional and global. networked and privatized.

Approximately what percentage of state governments contracts out public services? a. b. c. d.

10% 33% 66% 85%

TRUE/FALSE QUESTIONS 11.

Early in its development, public administration emerged as a building block of political science. TRUE

12.

American public administration clearly mirrors the fundamental values and precepts of American political science. TRUE

13.

Public administration is no different than business administration and management. FALSE

14.

Using objective measures, career public administrators are the most effective government managers. TRUE

15.

The vast majority of students in M.P.A. programs nationwide are male. FALSE

12 .

SHORT ANSWER QUESTIONS 16.

What is the politics/administration dichotomy?

17.

Describe the major forces that undermined the politics/administration dichotomy and the principles of administration.

18.

In the 1920s and 1930s, the concept of principles of administration dominated the field. Discuss the development of this paradigm. (29-30)

19.

Public administration upholds the values of the political system, as described by political science. What are some of these values? (33)

20.

Discuss the interdependency between public agencies and nonprofit organizations, profit-seeking companies, franchises, volunteers, and linked government units. How does the “business” of government get done this way?

21.

Discuss why it may be in the best interest of the public and public agencies for administrators to have public administration backgrounds rather than degrees in political science or business.

21.

Differentiate between “hierarchical government” and “horizontal governing.”

13 .

Chapter Three THE THREADS OF ORGANIZATIONS: THEORIES

CHAPTER OVERVIEW The major models of organizations as developed by numerous theorists are explained. The characteristics of the open and closed models of organizations are explained, as well as the essential differences between these models. Particular attention is paid to the assumptions each model makes about environment, the human condition, motivation, manipulation, organizational power, and the moral significance of organizations in society. The chapter concludes with a discussion of reconciling open and closed models.

CHAPTER OBJECTIVES 1. 2. 3. 4.

Understand the primary characteristics of the closed model of organization and be able to identify the major theories that emerged from this perspective. Understand the primary characteristics of the open model of organizations and be able to identify the major theories that emerged from this perspective. Define organizational development (OD) and discuss its primary advantages and disadvantages for public agencies. Explain the differences between open and closed models in the following areas: a. assumptions about power b. assumptions about the organizational environment c. assumptions about the human condition d. assumptions about motivation e. assumptions about manipulation f. assumptions about the moral significance of organizations in society Understand the assumptions upon which a synthesis of the open and the closed model of organizations are premised and explain why organizational uncertainty can be positive.

CHAPTER OUTLINE THE CLOSED MODEL OF ORGANIZATIONS Characteristics of the Closed Model of Organizations Bureaucratic Theory Scientific Management Administrative Management THE OPEN MODEL OF ORGANIZATIONS Characteristics of the Open Model of Organizations Human Relations 14 .

The Hawthorne Experiments A Hierarchy of Human Needs Hygienic Factors and Motivator Factors Perks and Pay Accomplishment and Appreciation Motivating Mentors Rude, Crude, and Lewd: The Impact of Negative Motivators Motivating Public and Nonprofit Administrators Organization Development OD: Mission and Methods OD: The Public Experience OD: Crisis and Caveats The Organization as a Unit in its Environment Adapting to the Environment The Environment of the Public Organization CLOSED OR OPEN ORGANIZATIONS? (case study) Negative physical KITA Negative psychological KITA Positive KITA THE CLOSED AND OPEN MODELS: THE ESSENTIAL DIFFERENCES Assumptions about the Organization’s Environment Assumptions about the Human Condition Theory X and Theory Y The Riddle of Rational Interest Assumptions about the Role and Legitimacy of Organizational Power Power in the Closed Model Power in the Open Model The Quirk in Collective Action The Inescapability of Organizational Power Assumptions about Manipulating Members of Organizations Manipulations in the Closed Model Manipulations in the Open Model Assumptions about the Moral Significance of Organizations in Society The Moral View of the Closed Model The Moral View of the Open Model Who Must be Sacrificed? CONJOINING OPPOSITES: THE DRIVE TO REDUCE UNCERTAINTY Uncertainty Reduction: Reconciling the Open and the Closed The Uncertain Organization Internal Sources of Organizational Uncertainty External Sources of Organizational Uncertainty ARE PUBLIC ORGANIZATIONS DIFFERENT? 15 .

KEY CONCEPTS/TERMS/INDIVIDUALS characteristics of organizations closed model characteristics of closed models ideal type bureaucratic theory Weber’s model of bureaucracy scientific management Frederick Taylor Frank and Lillian Gilbreth person as machine perspective concept of “therblig” administrative management generic management principles of administration POSDCORB Mary Parker Follett open model characteristics of open models human relations Hawthorne effect Maslow’s hierarchy of human needs self-actualization Frederick Herzberg motivation-hygiene theory hygienic factors motivator factors negative motivators “leadership impact” public sector motivators nonprofit sector motivators organization development (OD) Kurt Lewin adaptive systems contingency theory Selznick’s co-optation KITA essential differences between open and closed models Theory X and Theory Y rational interest power collective action manipulation willing submissiveness uncertainty reduction 16 .

model synthesis assumptions

TEACHING IDEAS 1.

Divide students into small groups. Ask them to design their own organization. Have each group explain why their organization is structured this way. Have them identify what model or theory their organization most closely resembles. Remember that many students will structure a bureaucratic organization and be prepared to discuss why people tend to create a bureaucratic structure when designing organizational structures and relationships.

Discuss with students the importance of mentorship and the development of the organization. Emphasize the literature on mentoring and the differences between men and women and between various groups. Bring students into the conversation by asking what types of mentoring relationships they have experienced. Have all their mentoring experiences been positive?

Ask students what motivates them. What are the minimum requirements for job satisfaction? What trade-offs would they be willing to make?

BACKGROUND READING Argyris, Chris. Organization and Innovation. Homewood: Richard D. Irvin, 1965. Bennis, Warren G. Organizational Development: Its Nature, Origins, and Prospects. Reading: Addison-Wesley, 1969. Golembiewski, Robert T. Behavior and Organizations. Chicago: Rand-McNally, 1962. Hatch, Mary Jo. Organization Theory: Modern, Symbolic, and Postmodern Perspectives. New York: Oxford University Press, 1997. Olson, Mancur. The Logic of Collective Action: Public Goods and the Theory of Groups. Cambridge: Cambridge University Press, 1965. Wright, Bradley E. “Public Service and Motivation: Does Mission Matter?” Public Administration Review 67 (January/February 2007): 54-64.

17 .

MULTIPLE CHOICE QUESTIONS 1.

Which of the following IS NOT a characteristic of a bureaucratic organization, as defined by Weber? a. b. c. d.

Open model theorists developed their models in partial reaction to the ______________ of Weber’s bureaucratic theory. a. b. c. d.

Elton Mayo. Frederick Taylor. Max Weber. Herbert Simon.

The tendency of people to change their behavior when they know they are being observed is referred to as the a. b. c. d.

flexibility rigidity humanism broadness

A key representative of scientific management is a. b. c. d.

hierarchical structure reliance on rules and regulations impersonal fluid network structure

Theory Z. principles of administration. Maslow pyramid. Hawthorne effect.

Which of the following theorists listed seven principles of the science of administration (recall POSDCORB)? a. b. c. d.

Gulick and Urwick Weber and Taylor Simon and Barnard Follett and MacGregor

18 .

The hierarchy of human needs was developed by a. b. c. d.

Frederick Herzberg theorized that which of the following concepts made people feel good or bad about their jobs? a. b. c. d.

small, collegial, informal work groups. the forces that affect the organization’s ability to fulfill its mission. practitioners who study public organization mission and goals. client feedback.

_________________________ refers to getting people to do what you want them to do within the organization. a. b. c. d.

10.

self-actualization and ego motivation hygienic factors and motivator factors economic security and self-esteem hierarchy and rules/regulations

Task environment in organization theory refers to a. b. c. d.

Mary Parker Follett. Frederick Taylor. A.H. Maslow. Douglas MacGregor.

Manipulation Moral decision-making Equitable treatment Rational decision-making

What percentage of federal employees feels that their work is important and gives them satisfaction? a. b. c. d.

10% 40% 70% 90%

TRUE/FALSE QUESTIONS 11.

Max Weber argued that an impartial, rule-abiding, efficient, merit based career service would best ensure the fulfillment of the public interest. TRUE

12.

Self-actualization refers to the physiological and economic needs of the public agency employee. FALSE 19 .

13.

Incivility in organizational life is extensive and costly. TRUE

14.

Public organizations must deal with far more controls and constraints emanating from the environment than private organizations. TRUE

15.

Theory Y assumes that people do not like to work and must, therefore, be motivated by direct threats or punishments. FALSE

SHORT ANSWER QUESTIONS 16.

What are some of the characteristics of the closed model of organizations? What are its major sub-schools?

17.

What are some characteristics of the open model of organizations? What are its major sub-schools?

18.

What are the essential differences between the closed and open models of organizations?

19.

How are the open and closed models synthesized?

20.

Define organization development and list its principal advantages and disadvantages for public agencies.

21.

Herzberg states that with negative KITA, the employee knows s/he has taken a blow while with positive KITA (motivation) “[t]he organization does not have to kick you; you kick yourself.” Do you agree with the assessment that this makes it difficult to favor either a closed or open organizational model? Why or why not.

20 .

Chapter Four THE FABRIC OF ORGANIZATIONS: FORCES

CHAPTER OVERVIEW The chapter addresses how the organization adapts to internal and external forces. Particular attention is paid to knowledge acquisition, decision-making, and organizational performance within the peculiar restraints of public administration. Networking and coalitional management is addressed as well as the challenges facing independent and not-for-profit organizations.

CHAPTER OBJECTIVES 1.

Understand how society measures the worth of public agencies and nonprofit organizations.

Explain how public organizations use knowledge and information in decision making.

Understand the boundaries that limit or shape decision-making in organizations.

Describe the tactics used to implement strategic decisions and policies and understand why some tactics are more successful than others.

Understand the impact of the organization’s external environment on internal organizational actions and decision making.

CHAPTER OUTLINE ASSESSING ORGANIZATIONAL WORTH Testing for Efficiency Testing for Effectiveness Testing for Society ORGANIZATIONAL KNOWLEDGE Information and Hierarchy Absorbing Uncertainty Centralization and the Fate of Intelligence Decentralization and the Fate of Intelligence Information and Decision Making Know-Nothing Decision Making Information as a Symbol 21 .

Making Decisions Faster – and Better DECISION MAKING IN ORGANIZATIONS The Bounds of Individual Rationality The Decision Premise Bounded Rationality “Satisficing” Decisions Victims of Groupthink The Bounds of Organizational Rationality Types of Organizational Decision Making Mismatching Organizations and Decision Making Organized Anarchies and the Garbage Can of Decision Making Decision Making in Public Organizations: A Different Dynamic An Attenuated Autonomy Bargaining Versus Analysis A Complex Process Taking It Slowly and Cautiously Participation and Consultation Consulting with Whom? Caution, Communication, and Unappreciated Peril The Quality Question Decision Making in Nonprofit Organizations: More Talk, Fights, Risk Consultative Decision Making Conflictual Decision Making Riskier Decision Making A MONUMENTAL MAP MESS IN GEORGIA (case study) ADMINISTRATION IN ORGANIZATIONS The Tactics of Administration The Tactical Choice Tactical Success Administration in Public Organizations: A Different Dynamic The Whirlwind The Pressures LIMITED CHANGE: THE IMPACT OF TECHNOLOGY AND PEOPLE ON THE PUBLIC ORGANIZATION The Likely Limited Role of Technology Constraining What Public Agencies Do Process Technologies Versus Product Technologies People Changing Their Public Organization Paladins of Policy Change Human Choice or Environmental Determinism?

22 .

DEEP CHANGE: THE IMPACT OF THE ENVIRONMENT ON THE PUBIC ORGANIZATION Change in Public Organizations: Politics, Pressures, and Prohibitions Ordering Agency Openness Burned by Sunshine Influenced by Agency Advisory Committees Affected by Administrative Procedure Acts The Osmotic Impact of the Agency’s Environment Who’s In Charge Here? The Fragmentation of Agency Accountability A Parsing of Policies A Bevy of Bosses An Undercutting of Accountability The Iron Triangle: Resisting Reorganization Reorganizational Resistance Reorganizational Futility The Bureaucratization of the Public Organization High on the Hierarchic Hog Hierarchy and Effective Government Reams of Red Tape Rue the Rules? Red Tape and Effective Government Explaining Bureaucratic Accretion Administrative Autonomy and the Performance of Public Organizations The Environment and the Independent Organization Environmental Forces and Independent Failure Environmental Forces and Independent Survival

KEY CONCEPTS/TERMS/INDIVIDUALS efficiency test effectiveness test social test external legitimacy knowledge data information wisdom uncertainty absorption Friedrich von Hayek organizational sophistication decision premise bounded rationality status quo Herbert Simon “satisficing” 23 .

heuristic thinking Groupthink computational decisions garbage can model organized anarchy attenuated autonomy consultative decision making conflictual decision making coalition management tactics of administration persuasion edicts participation intervention technology human choice environmental determinism “sunshine laws” advisory committees administrative procedures acts iron triangle bureaucracy hierarchy red tape “cesspool syndrome”

TEACHING IDEAS 1.

Have students role play coalition management. Different groups would use the various strategies (edict, persuasion, participation, and intervention) to try to achieve their goals. Discuss why they felt comfortable or uncomfortable with the process, what worked best for them individually, and what strategy would work best for different agencies and situations. Also be sure to have the class give feedback and ask questions as a whole.

Discuss the challenges of measuring efficiency and effectiveness in the public organization. How are they measured? How can an agency set objective standards and operationalize goals, standards, and mission? Also discuss what happens as we try to apply business standards to public organizations.

Invite a local public manager and a business manager to your class. Ask them to address the different challenges and measures of success each face. They may also want to discuss if and how they build and work within coalitions.

24 .

Break students into small groups. Have students come up with plans to down-size your state government or the federal government. In other words, they have to get rid of agencies, departments, etc. Have them make an organizational chart and then discuss the challenges they faced in trying to make the decision on what organizations should be cut and what organizations should be kept.

BACKGROUND READING Borins, Sandford. “Loose Cannons and Rule Breakers, or Enterprising Leaders? Some Evidence about Innovative Public Managers.” Public Administration Review 60 (November/December 2000): 498-507. Downs, Anthony. Inside Bureaucracy. Boston: Little, Brown, 1967. March, James G. A Primer on Decision Making: How Decisions Happen. New York: Free Press, 1994. Meier, Kenneth J., and Laurence J. O’Toole, Jr. Bureaucracy in a Democratic State: A Governance Perspective. Baltimore: Johns Hopkins University Press, 2006. Wise, Charles R. “Organizing for Homeland Security”. Public Administration Review (March/April 2002): 131-144.

MULTIPLE CHOICE QUESTIONS 1.

Organizations may be evaluated by society according to one of three “tests.” These measurements are: a. b. c. d.

efficiency, effectiveness, and social tests. participation, patriotism, and partnership tests. open, closed, and blanket tests. cosmopolitan, local, and professional tests.

Henry defines information as a. b. c. d.

a meaningless point in time, without context. data that becomes meaningful. an understanding of one’s place. material that changes an individual’s perspective.

25 .

The ___________________ represents the values and viewpoints held by various members of an organization as they make decisions about the organization. a. b. c. d.

According to Herbert Simon, human decision-makers are limited by their reasoning abilities in comparison to the problems they need to solve. He refers to this phenomenon as a. b. c. d.

iron triangle. bronze star. golden parachute. steel pentagon.

In 2002, the United States created the _______________________, which represents the largest reorganization of the federal government in fifty years. a. b. c. d.

satisficing. bounded rationality. wisdom. data.

The strong bond that exists between administrative agencies, legislative oversight committees, and special interest groups is known as the a. b. c. d.

teleological ethics institutional perspective decision premise ideal variable

9/11 Commission Total Information Project Patriot Act Department of Homeland Security

The addition of thick and multiple layers of administrative hierarchy within public agencies is referred to as a. b. c. d.

red tape. group think. bureaucratization. organizational development.

26 .

The proliferation of rigid rules, complex procedures, and convoluted processes within an organization is known as a. b. c. d.

The best determinate of organizational effectiveness is a. b. c. d.

10.

high agency-environment interaction. strong outside oversight. degree of organizational autonomy. limited administrative independence.

As an organization downsizes to accommodate decline, the environment becomes politicized and there is high employee turnover. Henry refers to this as the a. b. c. d.

11.

group think. red tape. accountability. due process.

Cesspool Syndrome. Paideia Principle. Beagle Effect. Sunset Legislation.

Within the broad context of coalition management, managers generally focus on four tactics to implement decisions and policies. Of the four, which has the best success rate? a. edict b. intervention c. participation d. persuasion

TRUE/FALSE QUESTIONS 12.

The efficiency test is generally appropriately applied to public and not-for-profit organizations. FALSE

13.

The knowledge used by organizations is limited. TRUE

14.

Four-fifths of organizational information is never used. TRUE

15.

Your author argues that the U.S. decision to invade Iraq is an example of satisficing. FALSE

27 .

16.

The size of the U.S. federal government has shrunk over the past fifty years. FALSE

17.

Red tape can enhance an organization’s impartiality, fairness, equality, and ability to make a just decision. TRUE

SHORT ANSWER QUESTIONS 18.

Identify and explain the three tests that society uses to evaluate organizations. Which one is most appropriate for evaluating public organizations?

19.

What is “uncertainty absorption”? What is its relevance to the use and misuse of information in the organization?

20.

The process of decision making in organizations has been described as “minimally rational.” What is meant by this?

21.

How does decision-making in public organizations differ from decision-making in private, for-profit organizations?

22.

What is unique about the way change occurs in public organizations?

23.

Why do nonprofit organizations have greater flexibility than public- or privatesector organizations?

28 .

Chapter Five THE FIBERS OF ORGANIZATIONS: PEOPLE

CHAPTER OVERVIEW What motivates people to enter public service? Individuals choose public and independent sector positions for many reasons and once within the organization, the individual’s personal attributes and national culture affect his/her perceptions and behavior. Particular attention is paid to the role of leadership within the organization, emphasizing the values of vision, communication, and dedication.

CHAPTER OBJECTIVES 1.

Describe and discuss why individuals choose employment in the public and nonprofit sectors.

Understand how individual psychology and national culture affects how people view public service as well as their organizational behavior.

Identify different types of public bureaucrats and their motivations.

Understand the differences between leadership and administration. Place leadership in its appropriate role within the organization.

Differentiate between public-, private-, and independent-sector leadership.

CHAPTER OUTLINE WHY WORK FOR THE PEOPLE? The Draw of the Public Sector Money Does Not Make Their World Go Around Making a Difference Public Service Motivation A Deep-Seated Need for Security Out of Step? The Draw of the Independent Sector THE BEHAVIORAL BUREAUUCRAT “Administrative Man” “The Bureaucratic Personality” and “The Unbureaucratic Personality” The Energetic, Committed Bureaucrat The Satisficed Bureaucrat? 29 .

Satisfaction and Sector The Frustrated, Hypercritical Bureaucrat A Management Challenge GROWING INTO THE ORGANIZATION Born to Conserve or Born to Rebel? Turning Points and the Organization Life’s Turning Points From Reality Shock to Settling Down Mid-Life Crisis! Meaning, Identity, and Opportunity Lost NATIONAL CULTURE AND THE ORGANIZATION Dimensions of National Culture Power Distance Uncertainty Avoidance Individualism-Collectivism Masculinity-Feminity Long-Term and Short-Term Orientation Patterns of Geography and Language Organization Theory and the American Bias National Culture and Organizational Behavior National Culture and Managerial Authority National Culture and Organizational Uncertainty National Culture and the American Organization GETTING AHEAD (case study) ORGANIZATIONAL POLITICS Locals versus Cosmopolitans and the Vexing Question of Loyalty The Uses of Locals and Cosmopolitans Joined at the Hip: Locals, Cosmopolitans, and Organizational Success Career Types and Their Political Motivations Institutionalists: Loyal and Lethargic Specialists: Professional and Maladjusted Hybrids: Political and Unpredictable Career Types: Perils and Potentialities WHAT IS LEADERSHIP? The Leadership Literature Leadership or Administration? Are Leaders Needed? The Leadership Con? The Limits of Leadership Leaders Matter

30 .

LEARNING LEADERSHIP: THE EVOLUTION OF A THEORY The Leader: Alone and Glorious, 1900-1930 The Triumph of the Will? Leadership Traits The Leader in the Grip of the Group, 1930-1970 Leadership Behaviors Contingency Approaches Transactional Approaches “Cow” Psychology Culture and Charisma: The Leader and the Organization, 1970-Present Leadership Behaviors and Organizational Culture The Power Bases of Leadership Transformation and Charisma Does Charisma Transform? Transformation or Transaction? LEADING THE PUBLIC ORGANIZATION Leadership at the Top The Private-Sector Board The Public-Sector Board The Independent-Sector Board Sector and Successful Leadership Successful Private Leadership Successful Public Leadership The Paltry Power Bases of Public Leadership Public Leadership: Vision, Communication, and Dedication Vision as Vexation Communication as Conundrum Work as Passion

KEY CONCEPTS/TERMS/INDIVIDUALS public service motivation security psychological (Freudian) man rational (economic) man administrative man bureaucratic personality job satisfaction birth order “principle of divergence” life’s turning points reality shock career consolidation 31 .

mid-life transition national culture power distance uncertainty avoidance individualism-collectivism masculinity-feminity long term-short term orientation achievement motivation cultures security motivation cultures social motivation cultures Alvin Gouldner locals cosmopolitans organizational adaptability organizational stability Dwaine Marvick career types institutionalists specialists hybrids politicized experts leadership administration hierarchical leaders leadership traits leadership behaviors contingencies task-motivated leader relationship-motivated leader transactional approaches organizational culture position power reward power coercive power legitimate power personal power expert power referent power charisma transformational leadership charismatic leader boards of directors realpolitik vision status quo

32 .

TEACHING IDEAS 1.

Ask students about the different “hats” a leader wears. What different roles should a leader assume in the organization? Have students describe good leaders they have worked for as well as bad leaders they have known.

Have students talk about leadership traits and whether they believe a leader is born a leader or if s/he can develop leadership skills. Ask the students to identify those elements that make a person a good or bad leader. Discuss modeling and mentoring with your students.

Discuss public service motivation with your students. Ask students to share why they are considering working in the public sector. You may want to invite 3-5 public administrators to class to discuss how and why they went in to public service. It would also be an opportune time for those individuals to discuss how they see themselves as leaders within their organizations.

BACKGROUND READING Brewer, Gene A. “Building Social Capital: Attitudes and Behavior of Public Servants.” Journal of Public Administration Research and Theory 13 (January 2003): 5-20. Bright, Leonard. “Public Employees with High Levels of Public Service Motivation: Who Are They, Where Are They, and What Do They Want?” Review of Public Personnel Administration 25 (June 2005): 138-154. Lyons, Sean T., Linda E. Duxbury, and Christopher A. Higgins. “A Comparison of the Values and Commitment of Private Sector, Public Sector, and Parapublic Sector Employees.” Public Administration Review 66 (July/August 2006): 605-618. Simon, Herbert A. Models of Man, Social and Rational. New York: John Wiley and Sons, 1957. Yukl, Gary A. Leadership in Organizations, 2nd ed. Englewood Cliffs: Prentice-Hall, 1989.

33 .

MULTIPLE CHOICE QUESTIONS 1.

Power distance refers to a. b. c. d.

Uncertainty avoidance is a. b. c. d.

masculine feminine individualistic collectivistic

In an empirical analysis, Alvin Gouldner determined that organizational roles fell along a political dimension that distinguishes between a. b. c. d.

the extent to which a culture feels threatened by ambiguity. a method to manipulate organizational change. resistance to organizational development and new management. the perceived insecurity of public managers.

In a/an ____________________ culture, identity is based on the individual, leadership is the ideal, and decisions are made by the individual. a. b. c. d.

long term and short term leadership orientations. the relationship between superior and subordinate. the extent to which society accepts that power in organizations is distributed unequally. the amount of time between promotion from one supervisory level to the next.

idealists and realists. communists and capitalists. purists and visionaries. locals and cosmopolitans.

Dwaine Marvick divided bureaucrats into three career styles, identifying a. b. c. d.

lower, middle, and upper perspectives. entry, junior, and senior perspectives. institutionalist, specialist, and hybrid perspectives. assistant, associate, and full perspectives.

34 .

The chief executive officers and persons who hold top administrative persons in an organization typify the ______________________ leader. a. b. c. d.

The studies that posit groups follow their leaders blindly and without question have been lumped together under the category of a. b. c. d.

referent power. coercive power. legitimate power. reward power.

______________________ leaders are those whose personal attributes allow them to influence their followers to accomplish outstanding feats. a. b. c. d.

10.

the Tao of Pooh. cow psychology. the sheep principle (sheeple). Simon says.

A leader’s ability to positively recognize another is known as a. b. c. d.

hierarchical transformational charismatic legal-rational

Traditional Legal-Rational Charismatic Titular

The ability of a public administrator to communicate a vision for the organization may be impaired by all of the following except a. b. c. d.

agency neutrality. congressional legislating of the status quo. short-term political appointments. emphasis on hard work.

35 .

TRUE/FALSE QUESTIONS 11.

Americans are more likely than Europeans to believe that the primary purpose of government is to ensure no citizen is in need. FALSE

12.

Power distance is closely related to organizational centralization and decentralization. TRUE

13.

Organizational stability can be enhanced by cosmopolitans as well as by locals. TRUE

14.

Task-motivated leaders function well in both high-control and low-control situations. TRUE

15.

A good public sector leader is unlawful, unhelpful, and directive. FALSE

SHORT ANSWER QUESTIONS 16.

Public managers seem to have unusual motivations and derive unusual satisfactions from their jobs. Please address these motivations and satisfactions.

17.

What are the main “turning points” that a person experiences throughout his or her life, as described by Erik Erikson and other adult development psychologists? How are these turning points correlated with job satisfaction?

18.

What effect does birth order have on an individual’s behavior in an organizational setting?

19.

What is the difference between leadership and administration?

20.

Identify the main differences between private-, public-, and independent-sector boards.

21.

Researchers have identified seven bases of social power that support leaders. What are these types of power? How are public administrators more constrained than private ones in their access to and use of these power bases?

22.

Organizational leadership is often summarized as vision, communication, and hard work. How does this formula work in the public sector.

36 .

Chapter Six CLARIFYING COMPLEXITY: THE PUBLIC’S INFORMATION RESOURCE

CHAPTER OVERVIEW The information revolution has had a major impact on public organizations and created new challenges for public administrators. The use of information technology by national, state, and local governments has grown exponentially in recent years. Governments spend over $120 billion per year on information technology and the public administrator must balance making better public policy with protecting the privacy and liberty rights of citizens. The major dilemmas of protecting public and private data are emphasized, along with best practices for knowledge management.

CHAPTER OBJECTIVES 1.

Understand the impact of increased reliance on information technology on government and on society.

Identify the uses of computers and information technology in national, state, and local governments. Explain the growth in the provision of services using e-gov.

Understand the administrative balancing act between information gathering and the use and protection of individual privacy and liberty rights.

Understand the changes information technology has brought about in government and governance.

CHAPTER OUTLINE PRIVACY VERSUS POLICY: THE PARTICULAR PROBLEM OF THE PUBLIC COMPUTER The Meaning of Privacy versus Policy What Does Government Know? Mixing and Matching Personal Policy: A Growing Concern The Judiciary’s Zone of Privacy Congress, Privacy, and Policy Protecting Privacy in the Executive Branch A CASE OF UNMATCHED FAILURE (case study)

37 .

THE CRUSADE FOR SECURE DATA Hacking: Harrowing and Humiliating Attacking Hacking The Record of the Resistance The Good News The Bad News KNOWLEDGE MANAGEMENT: MANAGING THE PUBLIC’S INFORMATION RESOURCE The Unique Complexities of Public Knowledge Management Managing the Nation’s Knowledge: A Far-Flung Federal Failure? The Foundations of Federal Floundering Washington Responds The Federal Information Resource’s Human Resources Progress? Not Much The Public’s Burden Managing Knowledge at the Grass Roots Level Managing Knowledge in the States Managing Knowledge in Communities A Pessimistic (but Realistic) Perspective on Public Knowledge Management E-GOV: LEAN, SEEN, AND CLEAN GOVERNMENT Federal.gov State.gov Local.gov In Love with E-Gov CLARIFYING PUBLIC DECISIONS Data for Decision Makers The Computer and Decision Making BEST PRACTICES FOR KNOWLEDGE MANAGEMENT THE INFORMATION RESOURCE AND THE FUTURE OF GOVERNING

KEY CONCEPTS/TERMS computer matching Real ID Act of 2005 reasonableness compelling interest job relatedness hacking public information resource management 38 .

knowledge management chief information officers (CIO) electronic government e-government e-gov digital government portals Federal.gov “e-rulemaking” State.gov e-procurement electronic benefits transfer Local.gov management information systems decision support systems geographic information systems (GIS) best practices for knowledge management street-level bureaucracy screen-level bureaucracy system level bureaucracies infocracies

TEACHING IDEAS 1.

Have your students access either a local or state agency using its web portal. Give them a specific policy or program to research. Then ask them to discuss both the positive and negative aspects of their experience. Was information easy to retrieve? Were their questions fully answered? How long did it take them to find the relevant information?

Have students GOOGLE themselves. Ask them to catalogue the information available about them on the Internet. Was there any information available that concerned them? How do students see the government’s role in protecting (or not protecting) their personal information?

Invite the information technology officer/manager for a state agency to speak to your class. Ask him/her to address the challenges of keeping information safe, updated, and comprehensive.

BACKGROUND READING Cozetto, Don E., and Theodore B. Pedeliski. “Privacy and the Workplace: Future Implications for Managers.” Review of Public Personnel Administration 16 (Spring 1996): 21-31 39 .

Goldfinch, Shaun. “Pessimism, Failure, and Information Systems Development in the Public Sector.” Public Administration Review 67 (September/October 2007): 917-929. Lewis, Gregory B., and Zhenhua Hu. “Information Technology Workers in the Federal Service: More Than a Quiet Crisis?” Review of Public Personnel Administration 25 (September 2005): 207-224. Moulder, Evelina R. “E-Government: Trends, Opportunities, and Challenges.” Municipal Year Book, 2003. Washington: International City/County Management Association, 2003. Nelson, Lisa A. “Privacy and Technology: Reconsidering a Crucial Public Policy Debate in the Post-September 11 Era.” Public Administration Review 64 (May/June 2004): 259-269.

MULTIPLE CHOICE QUESTIONS 1.

_________________ is the electronic comparison of two or more sets or systems of individual personal records. a. b. c. d.

Which of the following laws does not create a database for sharing citizens’ information between agencies and countries? a. b. c. d.

Data mining Computer matching Share ware Transmutation

The Real ID Act of 2005 The Homeland Security Act of 2002 The Intelligence Reform and Terrorist Prevention Act of 2004 The Electronic Government Act of 2002

The three-pronged test used to balance employee privacy rights with an employer’s right to legitimate information focuses on a. b.

truth, justice, and equality. probable cause, reasonable suspicion, and totality of the circumstances.

c. d.

reasonableness, compelling interest, and job relatedness. security, necessity, and policy.

40 .

In 1977, the Supreme Court recognized a constitutionally protected zone of privacy in which of the following cases? a. b. c. d.

The illegal access to computer databases by unauthorized persons is referred to as a. b. c. d.

Infocracy Knowledge management Decision design Program review

The legislation that provides the basis of federal e-gov by directing all agencies to make as much information as possible available electronically is a. b. c. d.

spamming. blogging. hacking. wiring.

____________________ is the coordination and administration of public policies and procedures for information technology, resources, personnel, and systems in the public sector. a. b. c. d.

Whalen v. Roe Roe v. Wade Griswold v. Connecticut Ayers v. Fordice

The Fair Credit Reporting Act of 1970. The USA Patriot Act of 2001. The Financial Services Modernization Act of 1999. The Government Paperwork Elimination Act of 1998.

Data processors who have high levels of administrative discretion but little or no face-to-face contact with citizens are representative of a. b. c. d.

street-level bureaucracies. screen-level bureaucracies. system-level bureaucracies. supreme-level bureaucracies.

41 .

Analytical interactive computer-based technologies used to make decisions by addressing the “what if” scenarios are known as a. b. c. d.

management information systems decision support systems data infrastructure systems environment manipulation systems

TRUE/FALSE QUESTIONS 10.

Electronic data processing originated in the public sector. TRUE

11.

Ninety percent of outside computer breaches into government computers are detected and the offenders prosecuted. FALSE

12.

Nearly all counties and cities have their own website and almost thirty percent of those Web sites allow electronic service requests. TRUE

13.

The digital divide is the term used for the information elites who dominate the public bureaucracy. FALSE

14.

Screen-level bureaucracy is being replaced by street-level bureaucracy. FALSE

SHORT ANSWER QUESTIONS 15.

What concerns do many Americans have regarding threats to personal privacy as a result of developments in information technology?

16.

What IT methods are local, state, and federal governments using to bring people closer to them?

17.

The public sector has problems of managing information resources that are unique to it. Please discuss the best practices guidelines for information resource management in the public sector.

18.

How has the interaction between public managers and the public information resource changed the nature of public agency decision-making and the future of governing?

19.

Why are citizens more likely to like and trust state and local governments in regards to technology than the federal government?

42 .

Chapter Seven PUBLIC PRODUCTIVITY: CORRUPTION’S CONSEQUENCE

CHAPTER OVERVIEW Government productivity is closely tied to citizens’ perception of government corruption. Corruption can include many activities and behaviors, including incompetence. Corruption control is often tied to monitoring programs and the development of effective and efficient public policies. Particular attention is paid to performance measurement and public program evaluation as mechanisms to bring agency actions into full view of the public it serves.

CHAPTER OBJECTIVES 1.

Identify types of corruption and the problems corruption causes for good governance.

Define and describe the fundamentals of public management productivity.

Understand the goals of the New Public Management.

Identify and explain the purposes of performance measurement. Understand the pitfalls of performance measurement in order to avoid them.

Identify the purposes of public program evaluation. Describe the program evaluation process and its uses.

CHAPTER OUTLINE COMPREHENDING CORRUPTION Confronting Corruption Corruption’s Causes Corruption’s Continuance Corruption in America Perceptions of American Corruption Federal Fraud Grass-Roots Graft The Prosecution Puzzle Tradition! Good Old Graft Corruption as Conquest Corruption as Culture “Fraud, Waste, and Abuse”: Our New Meaning of Corruption 43 .

Fraud as Corruption: The Fall of Washington Waste as Corruption: The Fall of New York Abuse as Corruption: The Fall of the White House Organizational Cheating: Our New Kind of Corruption Corruption Control and Public Productivity Do Traditional Corruption Controls Work? The Case for Old and New Measurement and Evaluation: Revealing but Limited The Corruption Cure: Political Will UNDERSTANDING PUBLIC PRODUCTIVITY THE EVOLUTION OF PUBLIC PRODUCTIVITY Efficiency for Good Government, 1900-1940 Controlling Costs, 1940-1970 Managing for Efficiency and Effectiveness, 1970-1980 Federal Forward – Fitfully State and Local Governments: Learning and Leading Privatizing for Productivity, 1980-1990 A Federal Fixation A Stabilizing Subnational Scene A New Public Management, 1990-Present Notable Notions of the New Public Management The New Federal Management The New State Management The New Local Management KATRINA, CRISIS, AND COLLAPSE (case study) MEASURING PUBLIC PERFORMANCE The Purposes of Performance Measures Performance Measurement: Limits and Benefits Some Limitations of Performance Measurement Some Benefits of Performance Measurement Measuring Federal Performance Measuring State Performance Measuring Local Performance PERMUTATIONS AND PRACTICES OF PERFORMANCE MEASUREMENT Permutations of Performance Measurement Workload, or Output, Measures Unit Cost, or Efficiency, Measures Outcome, or Effectiveness, Measures Service Quality Measures Citizen Satisfaction Measures The Measurement Mire 44 .

Measuring the Wrong Thing Using Meaningless Measures Differing Interpretation of the “Same” Concept Displacing Goals Shifting Costs Instead of Saving Costs Disguising Subgroup Differences with Aggregate Indicators Ignoring the Limitations of Objective Measures Failing to Address How and Why Questions Minimizing the Pitfalls of Performance Measurement Benchmarking Performance From Measurement to Comparison Benchmarking Benchmarking Benchmarking’s Benefits and Limitations Strategic Measurement for Strategic Management Accounting for Governmental Performance EVALUATING PUBLIC PROGRAMS The Purposes of Public Program Evaluation Evaluating Federal Programs Evaluating State and Local Programs Permutations of Public Program Evaluation Front-End Analyses Evaluability Assessments Program and Problem Monitoring Process, or Implementation, Evaluations Effectiveness, Outcome, or Impact Evaluations Meta-Evaluations or Evaluation Syntheses PUBLIC PROGRAM EVALUATION IN PRACTICE Step 1: Selecting the Evaluators Insiders, Outsiders, and Program Managers Games Evaluators Play Step 2: What Is Your Problem? Defining the Problem Is Evaluating the Problem Worthwhile? Step 3: Designing the Evaluation The Study Plan The Attenuations of Action Research: Technical Challenges The Attenuations of Action Research: Ethical Challenges Privacy, Confidentiality, and Informed Consent You Got a Problem with That? USING PUBLIC PROGRAM EVALUATION Passive or Active Evaluation?

45 .

Does Public Program Evaluation Matter? The Facts of Evaluation Use Evaluation as Enlightenment

KEY CONCEPTS/TERMS corruption fraud graft waste abuse abuse of authority efficiency effectiveness public productivity inputs outputs services Government Accountability Office (GAO) inspectors general privatization liberation management new public management National Performance Review public quality management Quality Circles performance measurement evaluation control budgeting motivation promotion celebration learning improvement Program Assessment Rating Tool (PART) workload measures output measures unit cost measures efficiency measures outcome measures effectiveness measures service quality measures citizen satisfaction measures benchmarking 46 .

Federal Benchmarking Consortium strategic measurement total organizational performance systems key performance indicators Governmental Accounting Standards Board (GASB) public program evaluation evaluation research front-end analysis evaluability assessment program and problem monitoring process evaluation implementation evaluation effectiveness evaluation outcome evaluation impact evaluation meta-evaluation evaluation synthesis entrepreneur politician technician pretender normative theorist conceptual and methodological developer neutral evaluators academics clinicians strategizers validity relevance significance timeliness control group experimental group privacy confidentiality informed consent consensual cooperation collaborative modes of evaluation

47 .

TEACHING IDEAS 1.

Place students in small groups. Provide each group with a description and the outcomes of a state or local program. Using the Program Evaluation process, have students set the stage for a successful evaluation of the program. Have each group share: (a) who their evaluators are and why they chose that particular grouping; (b) what they perceive as the problem; and (c) how they would design the evaluation instrument.

Discuss corruption with students. Use local examples to demonstrate how even small transgressions (free sodas to police, the city manager’s brother getting a city job he’s not quite qualified for, the use of county cell phones for personal business) can give the impression that ALL government personnel are corrupt. Emphasize the consequences of citizen cynicism on the agency and on good governance.

Have students read the Moe & Gilmour article. Compare the public law foundations of public administration with the National Performance Review perspective. Ask students to discuss the purpose and implementation of performance measurement from these two perspectives. What are the positive and negative implications of each?

BACKGROUND READING Behn, Robert D. “Why Measure Performance? Different Purposes Require Different Measures.” Public Administration Review 63 (September/October 2003): 586606. Chelinski, Eleanor. “Evaluating Public Programs” in Handbook of Public Administration, James L. Perry, ed. San Francisco: Jossey-Bass, 1989. Greenblatt, Alan. “The Corruption Puzzle.” Governing (July 2008): 24-30. Gross, Martin L. Government Racket: Washington Waste from A to Z. New York: Bantam, 1992. Light, Paul C. The Four Pillars of High Performance: How Robust Organizations Achieve Extraordinary Results. Washington: Brookings, 2005. Light, Paul C. “The Tides of Reform Revisited: Patterns in Making Government Work, 1945-2002. Public Administration Review 66 (January/February 2006): 6-19. Moe, Ronald C., and Robert S. Gilmour. “Rediscovering Principles of Public Administration: The Neglected Foundations of Public Law.” Public Administration Review (March 1995): 135-146. 48 .

Stupak, Ronald J., and Peter M. Leitner. Handbook of Public Quality Management. New York: Marcel Dekker, 2001.

MULTIPLE CHOICE QUESTIONS 1.

________________________ is the ongoing monitoring and reporting of program accomplishment. a. b. c. d.

Some analysts refer to measurements of efficiency and effectives as a. b. c. d.

Inputs Outputs Productivity Procedures

Program evaluation differs from performance measurements on two dimensions: a. b. c. d.

performance indicators. productivity markers. policy indicators. benchmarks.

________________________ refers to an agency improving the efficiency and effectiveness of its service delivery. a. b. c. d.

Policy indicators Performance measurement Benchmarking Quality evaluations

definition and application. validity and reliability. significance and timeliness. focus and use.

Federal interest in productivity and program evaluation began under which of the following administrations? a. b.

Thomas Jefferson Abraham Lincoln

c. d.

Franklin Delano Roosevelt Ronald Reagan

49 .

The individuals who are charged with exposing waste, fraud, and abuse in public agencies are a. b. c. d.

__________________ is the contracting out of government programs for implementation by private companies. a. b. c. d.

fraud of dramatic dimensions in public organizations. corruption of any kind in a public agency. inappropriate, unethical, or illegal misuse of the power vested in one’s public office. ambiguous public organization ethics codes.

The National Performance Review was proposed by which of the following presidents? a. b. c. d.

10.

Privatization Productivity Practicality Performance

Abuse of authority is often defined as a. b. c.

Attorneys General. Inspectors General. District Attorneys. Independent Counsels.

Jimmy Carter Ronald Reagan George W. Bush Bill Clinton

Evaluation research, like basic research, is concerned with theory and experimental design but its chief purpose is to evaluate a. b. c. d.

social interaction. legislative action. a particular agency activity. confidentiality.

TRUE/FALSE QUESTIONS 11.

The majority of Americans believe their government is corrupt. TRUE

12.

The eradication of corruption requires strong political will. TRUE 50 .

13.

The National Partnership for Reinventing Government was renamed the National Performance Review in 2001. FALSE

14.

Both the old public administration and the new public management have been useful in eradicating corruption in public agencies. FALSE

15.

Service quality measures are the most basic type of performance measurement. FALSE

16.

An important step in public program evaluation is defining the problem. TRUE

SHORT ANSWER QUESTIONS 17.

Describe, in broad strokes, the changing meaning of political corruption in the United States over the course of the twentieth century.

18.

The new public management places a greater emphasis on performance measurement, privatization, and innovation. What are the five fundamental ideas underlying the new public management?

19.

How would you describe the reinventing government movement? What are the major debates surrounding this movement?

20.

What are the eight purposes of performance measures? Describe how performance measurement is useful to public agencies.

21.

There are five generally recognized kinds of performance measures. What are these measures? What are the problems associated with trying to measure performance?

22.

What are the principle differences between performance measurement and benchmarking?

23.

What are the three steps involved in public program evaluation?

24.

What are some of the major concerns or problems associated with conducting evaluation research?

51 .

Chapter Eight THE PUBLIC TROUGH: FINANCING AND BUDGETING GOVERNMENTS

CHAPTER OVERVIEW American government, including its administration, policies, and programs, are funded via various revenue and tax structures. Public finance, taxation, borrowing, and spending are addressed as well as economic policy at the federal and state levels of government. The many forms that public budgeting has assumed in the United States is emphasized, paying particular attention to the legacy of each system.

CHAPTER OBJECTIVES 1.

Identify and explain public finance, focusing on revenue and expenditures at all levels of government.

Understand the impacts of the Congressional Budget and Impoundment Control Act of 1974.

Define and describe the various tax structures employed by the national, state, and local levels of government.

Identify and understand the different forms of federal economic policy.

Understand the elements, limitations, and legacy of: Line-Item Budgeting; Program/Performance Budgeting; Planning-Programming-Budgeting; Budgetingby-Objectives; Zero Base Budgeting; Target Base Budgeting; and Budgeting for Results.

CHAPTER OUTLINE PUBLIC FINANCE: PAYING FOR PUBLIC POLICY The General Fund Special Funds Washington’s Special Funds State and Local Special Funds Financing Services and Enterprises at the Grass Roots Level Borrowing and Bonding General Obligation Bonds Revenue Bonds Public Debt: The Primacy of the Public Authority Some Unofficial Forms of Special Funds 52 .

Intergovernmental Grants for Special Purposes General Revenues for Special Purposes Financing the Federal Government The Personal Income Tax Social Insurance and Retirement Receipts The Corporate Income Tax The Excise Tax Federal Expenditures Financing State Governments State Intergovernmental Revenue State Own Source Revenue State Taxes State Expenditures Financing Local Governments Local Intergovernmental Revenue Local Own Source Revenue The Local Property Tax Local Sales and Income Taxes The Rise of the User Fee Local Expenditures: A Monetary Menagerie Subnational Sorrows: The Penetrating Power of Federal Finance TAXING TIMES Understanding Income Taxes: The Federal Experience The Income Tax The Federal Experience Reforming the Federal Income Tax Understanding the Sales Tax: The State Experience A Regressive Tax Issues of Inequity, Intricacy, and Obscurantism Understanding the Property Tax: The Local Experience Another Regressive Tax Relieving Regressivity Unpopular and Unpredictable The Future of State and Local Taxes The Information Revolution and the Tax Base Competing for Companies THE FEDERAL GOVERNMENT AND THE NATIONAL ECONOMY The Money Supply and the Federal Spigot The Heart of the Matter: Government Spending Taxing and Borrowing An Aside on Supply-Side Economics Forms of Federal Economic Policy Fiscal Policy Monetary Policy 53 .

Congress’s Quixotic Quest: Decreasing Deficits Failure: The Balanced Budget and Emergency Deficit Control Acts of 1985 and 1987 Success: The Budget Enforcement Act of 1990 Sense and Sensibility: The Omnibus Budget Reconciliation Act of 1993 Frustration: The Line-Item Veto Act of 1996 Dysfunctionality: The Balanced Budget Act of 1997 Nirvana Attained? The Budget Surpluses Back to the Future? Understanding Deficits and Debt Understanding Deficits Understanding Debt The Drivers of Deficits and Debt A Dismal Science: Deficits, Debt, and Democracy A FOUNDER ON DEBT (case study) PUBLIC BUDGETING: SPENDING FOR PUBLIC POLICY LINE-ITEM BUDGETING, 1916-1939 Reform! The Emergence of the Public Budget The Consolidated Executive Budget The Budget and Accounting Act of 1921 What Is Line-Item Budgeting? Honesty, Efficiency, and Inflexibility Inputs and the Budgetary Treatment of Paperclips and Parks The Legacies of Line-Item Budgeting PROGRAM/PERFORMANCE BUDGETING, 1940-1964 The New Deal and the Need for a New Budget Clarifying Program and Performance The Programs Problem The Performance Problem The Emergence of Program/Performance Budgeting What is Program/Performance Budgeting? Inputs and Outputs Of Paperclips and Parks The Legacies of Program/Performance Budgeting PLANNING-PROGRAMMING-BUDGETING, 1965-1971 An Emerging New Standard for Budgeting Theory The Performance Problem (Again) The Policy Problem The Emergence of Planning-Programming-Budgeting What Is Planning-Programming-Budgeting? Inputs, Outputs, Effects, and Alternatives 54 .

Of Paperclips and Parks Issues of Complexity and Rigidity The Legacies of Programming-Planning-Budgeting BUDGETING-BY-OBJECTIVES, 1972-1977 What Is Budgeting-by-Objectives? Inputs, Outputs, and Effects Of Paperclips and Parks The Legacies of Budgeting and Managing by Objectives ZERO BASE BUDGETING, 1977-1980 What is Zero Base Budgeting? Alternatives Of Paperclips and Parks The Legacies of Zero Base Budgeting TARGET BASE BUDGETING, 1981-Present What is Target Base Budgeting? Inputs, Outputs, and Effects Of Paperclips and Parks Cutback Management: TBB’s Administrative Adjunct Cutting Back for the Short Term Freezing Hiring Across-the-Board Budget Cuts Cutting Back for the Long Term Reorganizing Government Adopting New Technologies Improving Productivity Using Alternative Delivery Systems Rearranging Intergovernmental Relations Prioritizing Programs The Legacies of Target Base Budgeting Development of a Common Language of the Budget Seeing the Big Picture Enhancing Executive Control BUDGETING FOR RESULTS, 1993-PRESENT What is Budgeting for Results? Inputs and Outputs Of Paperclips and Parks The Breadth of Budgeting for Results Budgeting for Federal Results Budgeting for State Results Budgeting for Local Results The Possible Legacy of Budgeting for Results

55 .

OLD BUDGET SYSTEMS NEVER DIE… ACQUIRING BUDGETS: AGENCIES AND ARGUMENTS Standing Strategies for Securing Budgets Find, Serve, and Use a Clientele for the Services You Perform Establish Confidence in the Mind of the Reviewer That You Can Carry Out the Complicated Program (Which He or She Seldom Understands) Efficiently and Effectively Capitalize on the Fragmentary Budgetary Review Process Opportunistic Tactics for Securing Budgets Guard Against Cuts in Old Programs Inch Ahead with Old Programs Add New Programs LEGISLATING BUDGETS Congress and Budgets: Precedents The Congressional Budget and Impoundment Control Act of 1974 Comprehensive Budget Committees Concurrent Budget Resolutions Reconciliation A Budget-Making Timetable Improved Spending Controls The Congressional Budget Office Congress Gets Into the Act The Demise of Concurrent Budget Resolutions and Reconciliation A Tardy and Terrible Timetable From Incrementalism to Economic Forecasting Budget Brawls The Rise of the Office of Management and Budget Legislating Budgets at the Grass Roots Level Forecasting at the Grass Roots: Briefer but Better Tensions, but No Meltdowns A Withering of the Governors’ Budget-Making Powers? The Rise of State Budget Offices

KEY CONCEPTS/TERMS public finance revenue expenditures outlays general fund general purpose revenue general revenue general fund expenditures 56 .

discretionary spending general tax special funds user fees entitlements relatively uncontrollable outlays mandatory and related programs other-than-general revenue insurance trusts charges customer payments special-purpose governments general-purpose governments municipal bond general obligation bonds revenue bonds grants-in-aid personal income tax individual income tax social insurance and retirement receipts insurance contributions corporate income tax excise tax payments for individuals intergovernmental revenue own source revenue sales tax pass-through grants property tax efficiency costs simplicity transparency administrability equity progressive income tax proportional income tax flat tax regressive income tax compulsory payroll tax national retail sales tax value-added tax circuit breaker homestead exemptions money supply supply-side economics fiscal policy 57 .

monetary policy open-market operations discount rate federal funds rate reserve requirement line-item veto rescission off-budget entities deficit debt gross federal debt public debt budget line-item budget consolidated executive budget objects-of-expenditure budget program/performance budget program budget performance budget planning-programming-budgeting (PPB) PPB System budgeting-by-objectives (BBO) management-by-objectives (MBO) zero base budgeting (ZBB) target base budgeting (TBB) fixed-ceiling budgeting top-down budgeting cutback management hiring freeze undifferentiated budget cuts across-the-board budget cuts alternative methods of service delivery budgeting for results results budgeting mission budgeting entrepreneurial budgeting performance-based budgeting standing strategies opportunistic tactics Congressional Budget Act Congressional Budget Office (CBO) deeming resolution continuing resolution forecasting

58 .

TEACHING IDEAS 1.

Break students into small groups. Provide them with the final budget allocation and the budget items (without budgeted costs attached) for a local agency. Have each group prepare the next year’s budget for that agency. As a class, discuss the difficulties each group encountered in allocating resources.

Discuss taxation schemes with the class. Introduce the concept of Special Local Option Sales Taxes (SPLOST). Ask students to discuss the utility of SPLOST and other “creative” mechanisms to fund projects and programs. Have students identify both the positive and negative consequences of additional funding sources.

Ask students to individually rank order their priorities for government spending. Break the class into small groups. Have each group take the individual rankings and come up with a compromise set of priorities. Then combine the small groups into 2 bigger groups. Repeat the process. Then have the entire class try to use the compromise rankings to clearly identify what programs and policies should be funded and to what extent. Discuss this process in terms of policy-making and funding at the federal level, focusing on balancing the priorities of the House of Representatives, the Senate, the President, lobbyists, the general public, the affected agency, and all competing executive agencies.

BACKGROUND READING Gordon, John Steele. Hamilton’s Blessing: The Extraordinary Life and Times of our National Debt. New York, Walker: 1997. Lav, Iris J. “Piling on Problems: How Federal Policies Affect State Fiscal Conditions.” National Tax Journal 56 (September 2003): 535-554. Osborne, David, and Peter Hutchinson. The Price of Government: Getting the Results We Need in an Age of Permanent Fiscal Crisis. New York: Basic Books, 2004. Walker, David B. The Rebirth of Federalism: Slouching Toward Washington, 2nd ed. New York: Chatham House, 2000.

59 .

MULTIPLE CHOICE QUESTIONS 1.

The _________________________ is composed of those revenues that government can spend for any purpose. a. b. c. d.

An income tax that taxes all incomes at the same rate is referred to as a a. b. c. d.

sales tax. income tax. payroll tax. property tax.

When annual government spending exceeds the government’s annual income, the difference is called a a. b. c. d.

sales taxes. property taxes. compulsory payroll taxes. income taxes.

Which of the following is the primary source of revenue for local governments? a. b. c. d.

proportional income tax. progressive income tax. regressive income tax. minimal income tax.

Insurance contributions are a euphemism for a. b. c. d.

special fund general fund insurance trust entitlement trust

debt. deficit. depression. division.

The Omnibus Budget Reconciliation Act of 1993 a. b. c. d.

raised taxes and cut programs. cut taxes and cut programs. raised taxes and increased program spending. created a federal sales tax.

60 .

A budget is a. b. c. d.

A line-item budget involves a. b. c. d.

b. c. d.

establishes long-range planning goals and contains a cost-benefit analysis of existing and proposed programs. focuses on the cost of each item. focuses on the degree to which organizational goals and objectives are met. organizes the budget document by operation and performance, and links these to performance levels.

Planning-Programming-Budgeting (PPB) a. b. c. d.

11.

the allocation of resources according to the degree to which organizational goals and objectives are met. the allocation of resources according to the cost of each item. the allocation of resources based upon operation and performance. the allocation of resources based upon the periodic re-evaluation of all programs for which the agency is responsible.

Program/Performance Budgeting is a system of resource allocation that a.

10.

the funding results of an organization. past economic guidelines. centrality of funding systems. a series of goals with price tags attached.

focuses on the cost of each item. organizes the budget document by operation and performance. establishes long-range planning goals and contains a cost-benefit analysis of existing and proposed programs. focuses on the degree to which organizational goals and objectives are met.

Budgeting-By-Objectives allocates resources a. b. c. d.

according to the cost of each item. based upon operation and performance. based upon spending limits set by the elective chief executive. according to the degree to which organizational goals and objectives are met.

61 .

12.

Zero-base budgeting is the allocation of resources a. b. c. d.

13.

Zero-base budgeting stresses which of the following? a. b. c. d.

14.

that is based upon the cost of each item. when spending limits have been set by the elected chief executive. that links the disbursement of funds to performance measures. that establishes long-range planning goals and contains a cost-benefit analysis of existing and proposed programs.

Which of the following is not a method of cutback management? a. b. c. d.

16.

economic planning options evaluating stocks and bonds ranking program priorities decentralizing government services

Target Base Budgeting is a method of allocating resources to agencies a. b. c. d.

15.

based upon the periodic re-evaluation of all programs for which the agency is responsible. according to the cost of each item. according to the degree to which organizational goals and objectives are met. based upon long-range planning goals and a cost-benefit analysis.

raising taxes hiring freezes across the board budget cuts reorganizing government

Budgeting For Results is a system of allocation that a. b. c. d.

establishes long-range planning goals and contains a cost-benefit analysis of existing and proposed programs. focuses on the degree to which organizational goals and objectives are met. links the disbursement of funds to performance measures. organizes the budget document by operation and performance, and links these to performance levels.

62 .

TRUE/FALSE QUESTIONS 17.

Special funds generally rely on user fees to pay for themselves. TRUE

18.

The primary source of federal revenue is the corporate income tax. FALSE

19.

The sales tax is a progressive tax. FALSE

20.

Federal economic policy is based on the Keynesian idea that economic health can be improved through government action. TRUE

21.

A line-item budget only addresses outputs. FALSE

22.

Zero-base budgeting is useful for comparing programs for the purpose of increasing or decreasing spending. TRUE

SHORT ANSWER QUESTIONS 23.

There are five standards for a good tax system. What are these criteria? How does the U.S. federal tax structure violate these standards?

24.

Differentiate between fiscal policy and monetary policy. Why are these concepts important to understanding government spending?

25.

What are some of the more significant legislative acts that have changed the congressional budget making process? What makes these acts important to the current status of the federal budget?

26.

What sorts of strategies and tactics are required to be an effective budgetary politician?

27.

What are some of the features that all public budgeting concepts share?

28.

Explain the differences and similarities between Program-Performance Budgeting and Budgeting for Results.

29.

Target-base budgeting is a major trend among governments. Describe target-base budgeting and some of the major effects that it has had on government budgeting practices.

63 .

Chapter Nine MANAGING HUMAN CAPITAL IN THE PUBLIC SECTOR

CHAPTER OVERVIEW The development of American human capital management in the public sector is discussed. Particular attention is paid to the four different systems of human capital management operating simultaneously in government, the challenges of affirmative action and diversity policy, and the future of human capital management.

CHAPTER OBJECTIVES 1.

Identify and review the six phases of human capital management in the United States.

Describe and understand the civil service system and the meaning of merit.

Describe and understand the collective system and the role of organized labor.

Discuss the scope and powers of the political executive system.

Review the development of specialized public professional systems and the professional public administration system.

Understand the goal of affirmative action and protected classes. Identify the positive and negative consequences of those programs and designations.

CHAPTER OUTLINE WHO WANTS TO WORK FOR GOVERNMENT? AND WHO DOES? Who Wants to Work for Government? A Peculiar Pool? A Less Talented Pool? Who Works for Government? Acquiring Public Talent Keeping Public Talent THE EVOLUTION OF PUBLIC HUMAN CAPITAL MANAGEMENT Government by Gentlemen, 1789-1829 Government by Spoilers, 1829-1883 Government by the Good, 1883-1906 A Very American Reform: The Civil Service Act of 1883 64 .

Long-Lasting Legacies Government by Scientists, 1906-1937 Government by Policymaking Managers, 1937-1955 In the Service of Managers Acknowledging Power Reconciling Neutrality with Policy Government by Professionals, 1955-Present THE CIVIL SERVICE SYSTEM: THE MEANING OF MERIT The Meaning of Merit The Position Hiring by Score A Sovereign Civil Service The Murkiness of Merit The Profession of Public Human Capital Management Recruiting and Hiring Bureaucrats The Faltering Feds Federal Fragmentation Federal Frustration Missing Talent Entry-Level New Hires Classifying Bureaucrats Washington’s General Schedule Classifying at the Grass Roots Reforming Classification: Broadbanding Paying Bureaucrats Public and Private Pay Determining Salaries: The Federal Experience Doing Good and Doing Well at the Grass Roots Training Bureaucrats Training Feds Training at the Grass Roots Rating Bureaucrats’ Performance Merit is Not Performance A Federal Failure The Pit of Performance Assessment The Prospects for Performance Assessment Disciplining Bureaucrats Dealing with Federal Incompetents Dealing with State Incompetents Dealing with Local Incompetents Bolstering Bureaucrats’ Bravery Legislating Blowing Whistles In the Wake of Whistle Blowing Securing Bureaucrats’ Jobs

65 .

THE SLIPPAGE OF THE CIVIL SERVICE SYSTEM The Morphed Meaning of Merit Does the Civil Service System Impair Public Administration? A Faltering Federal Civil Service Civil Service Slippage at the Grass Roots Civil Service Reform in the States: Radical and Revolutionary Civil Service Reform in Communities: Moderate but Meaningful The Impact of Civil Service Reform A Modest Proposal THE COLLECTIVE SYSTEM: BLUE-COLLAR BUREAUCRATS Merit versus Solidarity The Scope of Organized Labor Public Employees: Labor’s Life-Blood The Federal Collective System The Grass-Roots Collective System Representation versus Membership Bargaining with Governments Federal Bargaining Grass-Roots Bargaining Mediation, Conciliation, and Arbitration Striking Government Striking Washington Striking the Grass Roots Money and Unions THE POLITICAL EXECUTIVE SYSTEM: POLITICS IN ADMINISTRATION Political Executives in Washington Baroquely Burdensome: The Appointment Process The Rise of the White House Loyalty Test An Educated, Avaricious, Inept Elite? Political Executives at the Grass Roots The Departure of Patronage The Entry of Professionalism Experience and Sector: Our New Understanding of Executive Quality The Less Experienced Political Executive Sector Matters SPECIALIZED PUBLIC PROFESSIONAL SYSTEMS: THE PERSON OVER THE POSITION The Scope of Specialized Public Professional Systems The Public Implications of Specialized Public Professionalism THE PROFESSIONAL PUBLIC ADMINISTRATION SYSTEM: EMBRACING THE PROFESSIONS OF POLITICS AND MANAGEMENT The Roots of the Professional Public Administration System 66 .

A Self-Aware Profession The Model Public Personnel Administration Law of 1970 Watergate and the Muffled Mouthpiece for “Merit” The Civil Service Reform Act of 1978 Performance and Pay Paying Performers in Washington Paying Performers at the Grass Roots Level Can It Be Done? FEDERAL HUMAN CAPITAL: A QUESTION OF COMPETENCE (case study) RACE, SEX, AND JOBS: THE CHALLENGE OF AFFIRMATIVE ACTION The Federal Impact: A Tortuous Evolution Roots LBJ: The Archangel of Affirmative Action Age Discrimination Vietnam Era Veterans Setting Aside for Minorities and Women Disabled Americans Sexual Orientation A Summing Up Federal Enforcement of Affirmative Action Congressional Enforcement Judicial Enforcement Executive Enforcement Affirmative Action and the Grass-Roots Governments “Reverse Discrimination” and the Quota Question Two Defining Decisions Two Definitive Decisions The “Quota Bill” of 1991 Tests: The Validation Vexation Validating Tests Federal Fecklessness Grass-Roots Problem Solving Race Norming and Banding Following the Rules. It Works! Women’s Work? The Bona Fide Occupational Qualification The Curious Question of Comparable Worth The New Meaning of Sex at Work Who Harasses and Where? The Court Weighs In What a Strange Trip It’s Been: The Unique Experiences of Minority and Women Public Administrators Minority Public Administrators: Career Impeding Experiences? Women Public Administrators: Capable, Comparable, Confident 67 .

Backlash! Public Opinions on Affirmative Action Affirmative Action’s Odder Outcomes Affirmative Action as Stigma? A Grass-Roots Rebellion? Is Affirmative Action a Defensible Policy? An Un-American Policy? Is Diversity Desirable? The People versus Person Problem The Effects of the Efforts The Federal Record The State and Local Record Minorities at the Grass Tips Women at the Grass Tips The Third Sector Record A Palpably Progressive Public Sector A Demographic Solution?

KEY CONCEPTS/TERMS public personnel administration public personnel management public human resource management public human capital management spoils system civil service system specialized public professional systems professional public administration system merit system position merit principle Office of Personnel Management (OPM) direct-hire authority hiring authorities appointment authorities Federal Career Intern Program position classification broadbanding paybanding salary banding performance rating performance assessment performance appraisal whistleblowers job classification 68 .

equity at-will-employment collective system unions sovereignty individualism collective bargaining meet-and-confer negotiations productivity bargaining goldfishbowl bargaining sunshine bargaining mediation conciliation arbitration voluntary arbitration compulsory arbitration binding arbitration political executives policy loyalty test profession performance pay pay for performance pay for contribution pay for competence affirmative action age discrimination set-aside programs disparity studies disability protected classes disparate impact adverse impact reverse discrimination test validity veterans’ preference race norming banding protective labor laws comparable worth sexual harassment hostile environment diversity

69 .

TEACHING IDEAS 1.

Discuss the importance of specific job descriptions and clearly articulated requirements in job announcements. Working within small groups, have students create a job description and advertisement for an entry level government position. Have the class discuss the “do’s” and “don’ts” of personnel decision-making.

Ask students to bring a resume to class. Break the students into small groups and give each group the resumes for one of the other groups. Using the job description created by the class, have students choose the “best” candidate for the job. As a class, discuss the decision-making process – and be sure to let them know when they incur legal and EEOC violations!

Invite the local human resources/human capital administrator to class. Ask them to focus their decision on what they look for in prospective employees. They may also want to discuss the hiring process for the city/county.

BACKGROUND READING Berman, Evan M., James S. Bowman, Jonathan P. West, and Montgomery Van Wart. Human Resource Management in Public Service: Paradoxes, Processes, and Problems. Thousand Oaks: Sage, 2001. Daley, Dennis M. “The Burdens of Dealing with Poor Performers.” Review of Public Personnel Administrationl, 28 (Fall 2008): 44-58. Mosher, Frederick C. Democracy and the Public Service, 2nd ed. New York: Oxford University Press, 1982. Page, Scott E. The Difference: How the Power of Diversity Creates Better Groups, Firms, Schools, and Societies. Princeton: Princeton University Press, 2007. Risher, Howard. Pay for Performance: A Guide for Federal Managers. Washington: IBM Center for the Business of Government, 2004. Thompson, Frank D., ed. Revitalizing State and Local Public Service: Performance, Accountability, and Citizen Confidence. San Francisco: Jossey-Bass, 1993.

70 .

MULTIPLE CHOICE QUESTIONS 1.

Congress encouraged state and local governments to adopt merit systems by passing the a. b. c. d.

The primary duty of public human capital managers is a. b. c. d.

pay pals. performance assessment. collective bargaining. broadbanding.

Which of the following is not a pay system for federal civilian employees? a. b. c. d.

performance measurement. processing grievances. recruiting and hiring. collective bargaining.

The reduction of job classifications into general categories of job “families” is known as a. b. c. d.

Civil Service Act of 1883. Social Security Act Amendments of 1939. Civil Service Act of 1991. Homeland Security Act of 2001.

General Schedule Uniform Position Classification and Compensation Postal Field Service System Federal Pay Wage System

______________________ refers to the evaluation of an employee’s actual achievements and productivity in their job. a. b. c. d.

Performance rating Broadbanding Goldfish bowl bargaining Merit pay

71 .

The Civil Service Reform Act of 1978 created the _____________________, which advises the president and coordinates federal personnel programs. a. b. c. d.

Several states, including Florida and Georgia, have gutted their civil service systems and instituted personnel systems in which individuals can be hired, promoted, transferred, demoted, and fired at the instigation of their supervisor. This is referred to as a. b. c. d.

pay as you go employment. performance employment. at will employment. reform employment.

The U.S. Supreme Court has applied the doctrine of disparate impact using a. b. c. d.

General Accounting Office Civil Service Commission Congressional Budgeting Office Office of Personnel Management

Title VII of the Civil Rights Act of 1964. Title IX of the Education Amendments of 1972. Title VI of the Social Security Amendments of 1939. Title I of the Americans with Disabilities Act of 1990.

___________________ posits that employees should be paid the same rate of pay for performing similar types and levels of work. a. b. c. d.

Comparable worth Affirmative action Disparate impact Sovereignty

TRUE/FALSE QUESTIONS 10.

The federal government continues to employ high quality personnel despite a shrinking public sector labor pool. TRUE

11.

The Civil Service System relies on personal relationships and individual attributes to make personnel decisions. FALSE

12.

Most states prohibit public sector workers from striking to resolve labor negotiations. TRUE

72 .

13.

Politically appointed administrators generally have more government experience than career civil servants. FALSE

14.

Affirmative action programs are both legal and constitutional as long as they contain quotas. FALSE

15.

In order to qualify as sexual harassment, a supervisor must demand sexual favors from a subordinate. FALSE

16.

Diversity has increased by 70% in both pubic and private civilian labor forces. TRUE

SHORT ANSWER QUESTIONS 17.

Review the principle features of the civil service system of human capital management. What are the positive and negative aspects of this particular system?

18.

Identify the primary features of the collective system of human capital management in the public sector. How popular is this system at the federal, state, and local levels of government?

19.

Discuss the political executive system and its primary features at the federal level. Contrast these features with those at the state and local levels.

20.

Describe the professional public administration system. What makes it unique?

21.

Compare and contrast the features of the civil service system and the collective system. What conflicts may emerge from the fundamental differences between the two systems?

22.

Compare and contrast the features of the political executive system and the professional public administration system. Can these two systems co-exist easily within the same government agency or structure?

23.

Differentiate between merit pay and pay-for-performance plans.

24.

Trace the development of federal affirmative action policies through the efforts of the executive, legislative, and judicial branches. How has the concept of “protected class” been expanded over time?

25.

How do Supreme Court decisions on test validity challenge the general premise of the merit system?

73 .

Chapter Ten UNDERSTANDING AND IMPROVING PUBLIC POLICY

CHAPTER OVERVIEW The incrementalist and rationalist paradigms of public policy making are discussed individually and compared to each other. Particular attention is paid to the individual models that emerged in both paradigms. Public strategic planning is then discussed in terms of federal, state, and local decision making and its costs and benefits are contrasted with those of both incrementalist and rationalist paradigms.

CHAPTER OBJECTIVES 1.

Discuss the incrementalist paradigm of public policy making. Identify the various models that fall under this rubric.

Discuss the rationalist paradigm of public policy making. Identify the various models that fall under this rubric.

Identify the characteristics of strategic planning. Explain its use by federal, state, and local governments.

CHAPTER OUTLINE PUBLIC POLICY ANALYSIS: A BRIEF HISTORY Public Policy and the Policy Makers Public Policy and the Professoriate Origins Political Science, Public Administration, and Public Policy THE INCREMENTALIST PARADIGM OF PUBLIC POLICY MAKING The Elite/Mass Model The Group Model The Systems Model The Institutionalist Model The Neo-Institutionalist Model Arenas of Power Coercion: Probability and Targets The Organized Anarchy Model Streams of Problems, Politics, and Policies Phases Windows and Agendas

74 .

THE RATIONALIST PARADIGM OF PUBLIC POLICY MAKING The Rational Choice Model Optimality Tradeoffs Externalities The Public Goods and Services Model Exclusion Consumption and Use Private Goods and Services Toll Goods and Services Common-Pool Goods and Services Public Goods and Services The Technology Assessment Model THE STRATEGIC PLANNING PARADIGM OF PUBLIC POLICY MAKING The Problems of the Paradigms A Third Approach Public Strategic Planning Adopting and Implementing Public Strategic Planning Federal Strategic Planning State Strategic Planning Local Strategic Planning Nonprofit Strategic Planning Perils and Problems of Public Strategic Planning Planning Problems in Governance: Vague Goals, Permeating Environments The Symbolic Uses of Nonprofit Planning? The Benefits of Public Strategic Planning TRULY UNIVERSAL STRATEGIC PLANNING (case study)

KEY CONCEPTS/TERMS public policy public policy analysis policy analyst incrementalist paradigm disjointed incrementalism elite/mass model group model systems model institutionalist model neo-institutionalist model redistributive power arena distributive policy 75 .

regulative policy constituent policy probability of coercion target of coercion organized anarchy model problems stream values comparisons categories political stream governmental agenda policy stream decision agenda alternative specification policy entrepreneur softening-up phase trial balloons tilt effect window rationalist paradigm metapolicy rational choice model public choice model political economy metropolitan organization local public economies Pareto improvement Pareto optimality indifference curve value achievement curve tradeoff externality spillover effect public goods and services model exclusion high exclusionary control low exclusionary control consumption use joint consumption individual consumption private goods and services toll goods and services common-pool goods and services public goods and service collective goods and services 76 .

technology assessment technological forecasting strategic planning strategic decision making strategic management public strategic planning scenario planning coercive pressure

TEACHING IDEAS 1.

Discuss the theory underlying the systems model. Draw Easton’s systems model of the political system/policy process. Have students discuss what elements constitute the environment, inputs, within-puts, and outputs of the system. How well does the systems model describe the system/process?

Have students compare and contrast the systems model and the organized anarchy model. How well do these two models explain the policy making process?

Place students in small groups. Provide students with a bill that has been recently passed by your state legislature. Have them create a strategic plan (see Figure 1010) to assist in the implementation of the policy/program.

BACKGROUND READING Berry, Frances Stokes. “Innovation in Public Management: The Adoption of Strategic Planning.” Public Administration Review 54 (July/August 1994): 322-329. Dunn, William N. Public Policy Analysis: An Introduction, 2nd ed. Englewood Cliffs: Prentice-Hall, 1994. Kingdon, John W. Agendas, Alternatives, and Public Policies, 2nd ed. New York: Harper Collins, 1995. Lindblom, Charles E. The Policy Making Process. Englewood Cliffs: Prentice-Hall, 1968.

77 .

MULTIPLE CHOICE QUESTIONS 1.

The course of action adopted and pursued by government is referred to as a. b. c. d.

The study of how government policies are created, implemented, and improved is a. b. c. d.

Disjointed incrementalism Rationalism Strategic planning Hidden clusters

The ___________________ model focuses on the organizational chart of government. a. b. c. d.

political analysis. forecasting. public policy analysis. rationalism.

__________________ is most closely associated with the writings of Charles Lindblom, who originally coined the phrase. a. b. c. d.

political analysis. public policy. policy implementation. programming.

elite/mass group systems institutionalist

A ________________ policy both provides benefits to and imposes costs upon particular groups. a. b. c. d.

redistributive distribute regulative constituent

78 .

Approximately __________ percent of state officials identify strategic planning as worth the time and expense it entails. a. b.

10 45

c. d.

70 90

According to Yahezkel Dror, ____________________ deals with the creation of public policies that assure better public policies. a. b. c. d.

Jointly consumed goods and services that are available to everyone are labeled a. b. c. d.

incrementalists ignore the obvious incrementalists forget that people are not powerless incrementalists do not understand that policy-making is multidimensional incrementalists fail to recognize the costs associated with policy making.

Which of the following is an incrementalist critique of the rationalist paradigm? a. b. c. d.

11.

private goods and services. toll goods and services. public goods and services. common-pool goods and services.

Which of the following is a rationalist critique of the incrementalist paradigm? a. b. c. d.

10.

metapolicy micropolicy macropolicy ethical policy

rationalists bargain and compromise rationalists do not read plans rationalists lack imagination rationalists muddle through

Governmental agenda are developed and formed in the ______________ stream. a. b. c. d.

problems policy progress political

79 .

TRUE/FALSE QUESTIONS 12.

The rationalist paradigm of public policymaking and implementation is generally attributed to and associated with political scientists. FALSE

13.

Redistributive policies are highly ideological, with low partisan visibility. TRUE

14.

A trade-off occurs when one public policy affects another policy area or sphere of government. FALSE

15.

Rationalists want to understand public policy and incrementalists want to improve it. FALSE

16.

Technology assessment attempts to gauge the social, institutional, and political effects of public policies. TRUE

SHORT ANSWER QUESTIONS 17.

What are the major models of the incrementalist paradigm? Compare and contrast the features of each.

18.

What are the major models of the rationalist paradigm? Compare and contrast the features of each.

19.

Describe the advantages and disadvantages of both the rationalist paradigm and the incrementalist paradigm. How do these approaches compare to the strategic planning paradigm?

20.

What is strategic planning? What are its advantages and disadvantages when used in the public sector?

80 .

Chapter Eleven INTERSECTORAL ADMINISTRATION

CHAPTER OVERVIEW Governments collaborate with many entities but privatization only occurs with the business and nonprofit sectors. Privatization is a government’s use of the private and nonprofit sectors to deliver public services and attempt to improve the content and implementation of public programs. Motivations to collaborate are discussed as well as various methods of service provision.

CHAPTER OBJECTIVES 1.

Understand and explain the reasons why governments collaborate for the implementation of public policies and the provision of public services.

Describe the differences between the public, private, and independent sectors.

Explain the process of federal privatization. Identify the positive and negative aspects of federal contracting.

Understand why state and local governments privatize. Identify the positive and negative aspects of state and local contracting.

Identify and discuss the lessons that public administrators should keep in mind throughout the contracting process.

Explain the role of the independent sector in intersectoral administration.

CHAPTER OUTLINE COLLABORATION AND PRIVATIZATION Why Collaborate? An American Orthodoxy FEDERAL PRIVATIZATION A Forthcoming Federal Fire Sale? The Privatization of Federal Policy Big Bucks: The Scope of Federal Contracting “Total Influence” Federal Policies for Privatization Privatization’s Ground Rules 81 .

A Federal Philosophy of Privatization Being FAIR to Business Understanding “Inherently Governmental” – or Not The Process of Privatization Privatization’s Procedures: Reams of Red Tape Privatization’s Personnel: The Contracting Cadres Pricing Privatization Bye-Bye Bidding Low-Balling and Lying Lobbyland Federal Lobbying: A Big Bull Market Lobbyists and Loopholes The Beltway Bandits Costly Consultants The Shadow Government Contracting in Incompetence Doing Kafka Proud A Pervasive Problem Contracting in Corruption The Structure and Culture of Contracting Corruption Federally Fixed on Felons Forever Fraud? Ethical Fogs Stiffing the Law Stiffing the Taxpayer Reforming Federal Privatization Professionalizing Privatization’s Personnel Reforming the Privatization Process A Radically Revised Sourcing Policy An Ongoing Enormity PRIVATIZING IN THE STATES Buying Big but Selling Small Privatizing State Services Why States Privatize Modest Managing and Monitoring The States Resistant PRIVATIZING BY LOCAL GOVERNMENTS Buying Goods, Selling Assets, and Privatizing Facilities Privatizing Local Services Why Local Governments Contract Saving Money Playing Politics Good Times Contracting among Friends 82 .

Bureaucratic Symbiosis Rational Reasons to Contract Why Local Governments Do Not Contract Employee Opposition Pushback Politicos Riffed: What Happens to Public Employees When Local Governments Privatize? Managing Privatized Local Services Getting a Grip The Quality Question IS BUSINESS BETTER? THE CASE FOR COMPETITION Privatization and Public Savings Competitive Bidding Competitive Sourcing and Managed Competition Federal Competitive Sourcing The Grass-Roots Managed Competition Competition is Key PRACTICAL PRIVATIZATION: LESSONS LEARNED THE BUSINESSES OF GOVERNMENTS Government Corporations, Public Authorities, and Special Districts Enterprising Washington The Evolution of Federal Enterprises Washington’s Government Corporations Washington’s Government-Sponsored Enterprises State and Local Public Enterprises The Origins of State and Local Enterprises A Progressive Push The Federal Factor Crossroads and Motivations Creating Public Authorities What Do State and Local Authorities Do? Pervasive Public Authorities Governing Public Authorities Managing Public Authorities Public Power and Quasi Governments Libertine Liberties? Another Perspective: The Benefits of Bigness THE INDEPENDENT SECTOR: EXPERIENCES IN INTERDEPENDENCE Serving Others or Serving Themselves The Scope of the Independent Sector Governments and the Independent Sector Washington and the Independent Sector The States and the Independent Sector 83 .

Communities and the Independent Sector Who Benefits? The Third Sector and the Other Two A CASE OF INDEPENDENT GOVERNANCE: NEIGHBORHOODS RENASCENT (case study) Neighborhood Associations Community Development Corporations Residential Community Associations The Mark of the Mini-Govs IMPLEMENTATION BY INDIVIDUALS: VOLUNTEERS AND VOUCHERS Volunteering for Government Washington’s Volunteers State and Local Volunteers Volunteers: Productive and Pricey Vouching for Citizen Service Washington’s Voluminous Vouchers State and Local Vouchers Education Vouchers

KEY CONCEPTS/TERMS sourcing outsource contract out intersectoral administration privatization governmental function contracting officers FedBizOpps lobbying revolving door federal service contract competitive bidding competitive sourcing managed competition public enterprises government corporation public authority public-benefit corporation special authority special district hybrid organizations government-sponsored enterprises 84 .

nonprofit sector third sector emerging sector independent sector public serving organizations public-benefit organizations member-serving organizations human services social services neighborhood associations community development corporations residential community associations mini-govs vouchers education vouchers school vouchers

TEACHING IDEAS 1.

Have students get into small groups. Ask the groups to design a program or process to implement a specific government policy or provide a government service. Be sure to have them focus upon why their organization can do the job better than government. In other words, have them justify their existence and their contract.

Have students draw up a contract to provide a public service or to implement a public policy. Have the class, as a whole, critique the contracts. They need to focus on the loopholes, intentional or unintentional, in the contracts. What are the possible consequences of not closing – and closing – those loopholes?

Invite a public manager and/or one of the agencies service providers to class. Ask them to discuss the bidding and sourcing processes.

Discuss the roles of volunteers and interns with the class. The chapter focuses on the positive and negative aspects of the agency. Have the class further develop those—and then discuss the impact upon the individual and the community.

BACKGROUND READING Greene, Jeffrey D. Cities and Privatization: Prospects for the New Century. Upper Saddle River: Prentice Hall, 2002. Kettl, Donald F. Sharing Power: Public Governance and Private Markets. Washington: Brookings, 1993. 85 .

Henry, Nicholas, Christine Ludowise, and Simon Andrew. “Intersectoral Administration: Implementing Governance in the 21st Century.” Administrative Change 32 December/January 2006): 1-21. Price, Byron E. “The Threat of Privatization: The Impetus Behind Government Performance.” International Journal of Public Administration 30 (11, 2007): 1141-1155. Savas, E.S. Privatization and Public-Private Partnerships. New York: Chatham House, 2000.

MULTIPLE CHOICE QUESTIONS 1.

_________________________ occurs when the public, private, and independent sectors collaborate on the provision and management of public program and services. a. b. c. d.

The process of choosing the appropriate means of delivering or implementing a particular public program is referred to as a. b. c. d.

lobbying. integration. bidding. sourcing.

_____________________ occurs when government contracts with a for-profit company or nonprofit organization to provide public goods and services. a. b. c. d.

Cross-sectional administration Intersectoral administration Intergovernmental administration Attenuated administration

Privatization Performance review Personnel management Policy analysis

When attempting to secure contracts, private companies tend to a. b. c. d.

overstate costs attached to the contracts. negotiate in back rooms. underestimate cost estimates. pay contract fees to agency administrators. 86 .

All federal contracts are supposed to be listed and applied for on the Web site a. b. c. d.

Government officials who hired by companies who contract with their former employers are part of the a. b. c. d.

revenue bond service contract procurement contract formula grant

States privatize by contracting out ________________ to the private sector. a. b. c. d.

10.

Interstate compacts Project grants Service contracts Procurement contracts

A _______________________ is a legal agreement for the provision of training, personnel, professional support, or managerial support. a. b. c. d.

procurement workforce. flypaper effect. revolving door. open window.

______________________ are legal agreements to purchase goods. a. b. c. d.

Monster.com. FedBizOpps. USA Jobs. OPM.gov

personnel municipalities goods services

Which is not a reason why states privatize their programs? a. b. c. d.

saving money lack of specialized personnel higher quality services reward electoral constituencies

87 .

11.

Local reluctance to contract services may be influenced by a. b. c. d.

12.

____________________, rather than the private sector, increases the efficiency of government a. b. c. d.

13.

employee opposition. costs and quality. managerial flexibility. fear of the unknown.

Federalism Intergovernmental relations Competition Outsourcing

A _______________________ bond is a speculative investment in a public project that presumes the project will furnish the funds to pay back investors. a. b. c. d.

revenue general obligation block formula

TRUE/FALSE QUESTIONS 14.

A central value of the federal approach to privatization is that government retains those functions that are necessary to the public interest. TRUE

15.

Sole source contracts are favored by federal administrators. TRUE

16.

Lobbyists must register with Congress. TRUE

17.

Government contractual relationships are often terminated after review. FALSE

18.

The Department of State is the world’s largest, wealthiest bureaucracy. FALSE

19.

Fraud and abuse occur regularly in federal contracting relationships. TRUE

20.

State governments privatize at the same rate as federal and local governments. FALSE

21.

Citizen confidence in nonprofit organizations is higher than citizen confidence in government. FALSE

88 .

SHORT ANSWER QUESTIONS 22.

All governments have used privatization to cope with the pressures of citizens who are both service demanding and tax resistant. However, federal, state, and local governments have gone about privatization in very different ways. Explain how they have diversified their efforts.

23.

What motivates governments to collaborate with the private and/or nonprofit sectors in the provision of public programs?

24.

Briefly outline the history of federal privatization policy.

25.

Explain the process of how the federal government contracts with the private sector, focusing on the phases of integration, operation, and separation.

26.

What are the four reforms that have been implemented to curtail corruption in federal contracting practices? How successful have these reforms been?

27.

Describe the major ways that state governments privatize. How does this differ from the federal and local experience?

28.

Describe the major ways that local governments privatize. How does this differ from the state and federal experience?

29.

What are the seven points that public managers should keep in mind when contracting out public goods and services?

30.

The government corporation has been both criticized and praised. What are some of the major critiques, both positive and negative, leveled at the government corporation?

31.

What roles do independent sector organizations assume as contract agencies?

89 .

Chapter Twelve INTERGOVERNMENTAL ADMINISTRATION

CHAPTER OVERVIEW The interactions between federal, state, and local governments are discussed. The financial, legal, political, and administrative relationships between all levels and units of government are defined and explained. Particular attention is paid to the evolution of intergovernmental administration and the historical development of fiscal federalism. The chapter concludes with a discussion of the growing importance of metropolitan governance.

CHAPTER OBJECTIVES 1.

Explain the unique and different features of local government units, in comparison to state and federal governments.

Discuss the use of money to implement and regulate public policy at the state and local levels of government.

Understand the mechanisms of fiscal federalism.

Describe federalism between the states and between the states and their local government units.

Explain governmental fragmentation, consolidation, and the growth of metropolitan governance.

CHAPTER OUTLINE THE CONSTITUTION AND THE COURTS: SETTING THE RULES The Constitution: The Functions of Federalism Separate National and State Identities Distinct National and State Responsibilities Integrating Nation and States The Courts: Necessary and Proper Implied Powers THE EVOLUTION OF INTERGOVERNMENTAL ADMINISTRATON The Layer-Cake: Dual Federalism, 1789-1930 The Marble Cake: Cooperative Federalism, 1930-1960 The Pound Cake: Co-Optive Federalism, 1960-1980 The Crumble Cake: Competitive Federalism, 1980-present 90 .

Fending for Oneself Faltering Faith in the Feds Ambiguities FISCAL FEDERALISM A World Turned Upside Down: A Century of Fiscal Change The Grant-in-Aid: Foundation of Fiscal Federalism Getting Theirs: Lobbying by Governments The Purposes of Federal Grants Federal Categorical Grants Federal Block Grants Congress’s Categorical Favorite: Fragmentation A Shaky Helping Hand: The Erratic Federal Role in State and Local Budgets Down Up Down Up. Way Up Down Up, Down, Whatever A Misleading Rebound A Real Decline Fiscal Federalism in the States Government and Grants: There is No Free Lunch Money’s Managerial Monkey Wrench Policy Perversities The Flypaper Effect Those Rascally Recipients! REGULATORY FEDERALISM Ruling Robustly Washington Rules The States Regulate The Mandates Maw Federal Mandates State Mandates The Wreckage of Regulatory Federalism Unfunded Mandates Budgetary Burdens Preempting Power at the Grass Roots Deregulating Regulatory Federalism? Washington’s Efforts State Efforts MONEY, MANDATES, AND WASHINGTON: NOW WHAT? A Fine Mess The Capable States 91 .

Judging States Sorting Out Federalism FEDERALISM AMONG EQUALS: THE STATES Interstate Cooperation Interstate Compacts and Commissions Uniform State Laws National and Regional Associations Multistate Legal Actions Interstate Conflict INTERGOVERNMENTAL ADMINISTRATION IN THE STATES Creatures of the State The Insidious Introduction of Home Rule A Steadier Helping Hand A Slow Centralization of State Power INTERGOVERNMENTAL ADMINISTRATION AMONG LOCAL GOVERNMENTS Recurring Regionalism Washington and Regional Governance The Great Washington Walk-Away Privatizing Regional Governance Local Collaboration and Service Delivery Intergovernmental Service Contracts Joint Service Agreements Intergovernmental Service Transfers Why Communities Collaborate: Governments Who Like Governments . . . Consolidating and Centralizing Local Services A LOAD OF LOCAL GOVERNMENTS: DEFINITIONS, SCOPE, SERVICES, REVENUE SOURCES, GOVERNMENT, AND FORMS OF GOVERNMENT FOR COUNTIES, MUNICIPALITIES, TOWNSHIPS, SCHOOL DISTRICTS, AND SPECIAL DISTRICTS (case study) Counties Definition Scope Services Revenue Sources Government Forms of County Government Municipalities Definition Scope Services Revenue Sources Government 92 .

Forms of Municipal Government Towns and Townships Definition Scope Services Revenue Sources Government Forms of Township Government School Districts Definition Scope Services Revenue Sources Government Special Districts Definition Scope Services Revenue Sources Government PLACE, PEOPLE, AND POWER: THE PUZZLE OF METROPOLITAN GOVERNANCE Municipal Growth and Metropolitan Health Urban Hemorrhaging Urban Elasticity Metro Governance I: Ultralocalism, the Quest for Urban Efficiency Ultralocalism: The Theory Ultralocalism: The Practice Issues with Ultralocalism Ultralocalism as Confusion and Irresponsiblity Ultralocalism as Inequity Metro Governance II: Gargantua, the Quest for Urban Equity A Gargantuan Reform The Grail of Gargantua Moving Mincingly Toward Metro City-County Consolidation Municipal Annexation

93 .

KEY CONCEPTS/TERMS intergovernmental relations federalism intergovernmental administration intergovernmental management dual federalism layer cake federalism cooperative federalism marble cake federalism co-optive federalism pound cake federalism competitive federalism crumble cake federalism fend-for-yourself federalism devolution revolution fiscal federalism grant-in-aid categorical grant project grants discretionary grants formula grants formula/project grants block grants grants for payments to individuals flypaper effect regulatory federalism mandate crosscutting requirements partial preemptions crossover sanctions direct orders unfunded mandate policy scope interstate cooperation interstate compact uniform state laws multistate legal actions severance tax Dillon’s Rule home rule structural home rule interlocal service arrangements intergovernmental service contract joint service agreement intergovernment service transfer 94 .

counties municipalities townships school districts special districts metropolitan areas elasticity ultralocalism governmental fragmentation governmental decentralization governmental differentiation metropolitan organization gargantua centralized government centrism regional government regionalism metropolitan government city-county consolidation municipal annexation

TEACHING IDEAS 1.

Diagram a federal system for your students, using a whiteboard or overhead. Provide a very simple diagram first (national, state, local levels) and then add layers that are relevant to your particular state. Have students discuss the positive and negative aspects of having multiple layers of government.

Have students read your state constitution. Ask them to discuss how the state constitution addresses federalism and intergovernmental relations. Are there clear boundaries drawn or is the state constitution vague about the relationship between the state and its local governments?

A number of states have threatened to secede—withdraw from our current federal system—in recent years. Have your students discuss the impact that withdrawal would have on a state’s finances and on the implementation of public policy, the provision of social services, and the development of state infrastructure. How would such a withdrawal affect all states?

95 .

BACKGROUND READING Caruson, Kiki, and Susan A. MacManus. “Mandates and Management Challenges in the Trenches: An Intergovernmental Perspective on Homeland Security.” Public Administration Review 66 (July/August 2006): 522-536. Kelly, Janet M. “Lessons from the States on Unfunded Mandates.” National Civic Review 84 (Spring 1995): 133-139. Walker, David B. The Rebirth of Federalism: Slouching Towards Washington, 2nd ed. New York: Chatham House, 2000. Welborn, David M., and Jesse Burkhead. Intergovernmental Relations in the Administrative State: The Johnson Presidency. Austin: The University of Texas Press, 1989. Wright, Deil S. Understanding Intergovernmental Relations. North Scituuate: Duxbury Press, 1978.

MULTIPLE CHOICE QUESTIONS 1.

The various relationships established among all units of government fall under the umbrella of a. b. c. d.

The case that clearly established the supremacy of the national government was a. b. c. d.

home rule. intergovernmental relations. teleological ethics. multistate legal action.

McCulloch v. Maryland (1819). Marbury v. Madison (1803). Gibbons v. Ogden (1824). U.S. v. Dalles Military Road Co. (1889).

The clear constitutional division of spheres of authority between state and national government is a. b. c. d.

cooperative federalism. co-optive federalism. dual federalism. fiscal federalism.

96 .

In _________________ federalism, subnational governments are bribed or coerced to implement national goals and programs. a. b. c. d.

The distribution of funds from the national government to subnational governments is referred to as a. b. c. d.

categorical project block discretionary

_______________________ occurs when the national government grants money directly to local governments and bypasses the states. a. b. c. d.

dual federalism. direct federalism. cooperative federalism. fiscal federalism.

A ________________ grant is a type of formula grant that allows the recipient government more discretion and latitude in how to spend the money. a. b. c. d.

direct co-optive dual cooperative

Direct federalism Co-optive federalism Cooperative federalism Dual federalism

A _________________ is a regulation, imposed by one government on another, which requires the receiving government to implement certain goals and/or meet certain standards. a. b. c. d.

crosscutting requirement mandate partial preemption severance tax

97 .

A formal agreement between two or more states for the purpose of protecting state interests and insuring better delivery of services to citizens is a/an a. b. c. d.

10.

interlocal service arrangement. multistate legal action. joint service agreement. interstate compact.

When cities and counties work together to provide better services to their citizens they generally enter into a/an a. b. c. d.

uniform state law. multistate legal action. interlocal service arrangement. interstate compact.

TRUE/FALSE QUESTIONS 11.

Federalism is the division of power between two or more units or levels of government. TRUE

12.

States governments are comparably less responsive and effective than the national government or large city governments. FALSE

13.

The Supreme Court’s decision in United States v. Lopez (1995) reasserted the power of the national government. FALSE

14.

Politics can be succinctly described as the authoritative allocation of who gets what, where, when, and how. TRUE

15.

Welfare programs and other grants for payments to individuals directly channel money from the national government to service recipients. TRUE

16.

Local governments are creatures of the states. TRUE

17.

Almost two-fifths of local governments are concentrated in metropolitan areas. TRUE

18.

Americans do not like ultralocalism or government fragmentation. FALSE

98 .

SHORT ANSWER QUESTIONS 19.

Historically, what has been the federal role in shoring up state and local government budgets? What problems are associated with fiscal federalism?

20.

What is the flypaper effect? What is the impact of the flypaper effect on the implementation of public policies and programs?

21.

What are unfunded mandates? How are they used and what are the problems associated with their use?

22.

What types of conflicts arise between states?

23.

Discuss the differences between structural home rule and functional home rule. Which is more important for local government autonomy?

24.

Briefly compare and contrast the different types of local governments present in the United States.

25.

New research indicates that a more authoritative and coordinated approach to metropolitan governance might be called for. Describe this research and identify what problems it is addressing.

26.

What are the positive attributes of regional governments? How do these mega governments, in theory, contribute to the efficiency and effectiveness of service and program provision?

99 .

Chapter Thirteen TOWARD A BUREAUCRATIC ETHIC

CHAPTER OVERVIEW The importance of ethics in the public sector is discussed. Particular attention is paid to the development of formal codes of ethics as well as why ethics are important to public administration. The grounding of public ethics in normative theory is discussed before the chapter concludes with a request to do no harm through public service.

CHAPTER OBJECTIVES 1.

Understand the role of ethical practices in public administration.

Explain why ethical behavior and decision-making makes for good business and for good public administration.

Compare and contrast philosophies of the public interest. Explain justice-asfairness as the most workable philosophy for organizing the public organization.

Describe why moral/ethical public administration is important to good governance.

CHAPTER OUTLINE CODES AND COMMISSIONS: THE RISE OF PUBLIC SECTOR ETHICS Ethics for the Public Professions Ethics for Governments Federal Ethics Grassroots’ Ethics Adopting and Implementing Ethics PRACTICING ETHICAL PUBLIC ADMINISTRATION The Ethical Environment of the Public Administrator Committing to a Higher Standard A Higher Ethical Standard Walking the Ethical Walk DO MORALS MATTER? Ethics and the Effective Corporation Ethics and the Effective Government Ethics and the Effective Public Administrator 100 .

BUREAUCRACY’S BANE: DETERMINING THE PUBLIC INTEREST Bureaucratic Accountability Internal Inhibitors and External Checks What Do Public Administrators Use? A Missed Point Organizational Humanism The Ultimate Bureaucratic Value Applying Organizational Humanism: A Nonstarter CAN NORMATIVE THEORY HELP? FOUR PHILOSOPHIES OF THE PUBLIC INTEREST Intuitionism: Morally Muddling Through Perfectionism: Promoting Perfect People Utilitarianism: The Most Benefits for the Most People Fairness: A Theory of Justice Applying Fairness: A Real Starter Does Philosophy Matter? THE PASSION OF PUBLIC ADMINISTRATION (case study) BIG BUREAUCRACY, BIG DECISIONS

KEY CONCEPTS/TERMS/INDIVIDUALS codes of ethics Office of Government Ethics misconduct ethical climate stare decisis judicial precedent bureaucratic accountability ombudsman organizational humanism intuitionism perfectionism utilitarianism justice-as-fairness Robert Moses

101 .

TEACHING IDEAS 1.

Break students into small groups. Assign each group an ethical perspective (bureaucratic accountability, organizational humanism, intuitionism, perfectionism, utilitarianism, justice-as-fairness) and ask each group to apply it to the same policy (you choose the policy). How do they justify their decision making? What problems do the students see with each perspective, as articulated by their classmates?

Many public administrators define “ethical” behavior or decision making as not doing anything s/he would be ashamed to have family read about in the paper. Ask students to discuss the utility of this approach and the potential problems/limitations with defining ethics in this manner.

Provide students with the ASPA Code of Ethics. Ask students to reflect upon each section of the Code: serve the public interest, respect the Constitution and the law, demonstrate personal integrity, promote ethical organizations, and strive for professional excellence. Are there elements or requirements that students believe should be added to the Code of Ethics.

Have students compare the ASPA Code of Ethics with the ethics code for your state’s public employees. Discuss the differences between the two. Which is more thorough? Which focuses on broad, democratic ideals? What behavior(s) is prohibited or promoted?

BACKGROUND READING Bowman, James S. “Ethics in Government: A National Survey of Public Administrators.” Public Administration Review 50 (May/June 1990): 345-353. Cooper, Terry L. The Responsible Administrator. San Francisco: Jossey-Bass, 1990. Light, Paul C. The New Public Service. Washington: Brookings, 1999. Rawls, John. A Theory of Justice. Cambridge: Belknap Press, 1971. Rohr, John A. Ethics for Bureaucrats: An Essay on Law and Values, 2nd ed. New York: Marcel Dekker, 1989.

102 .

MULTIPLE CHOICE QUESTIONS 1.

The first code of ethics was imposed on federal administrators in a. b. c. d.

The first general code of state ethics was legislated in a. b. c. d.

Privatization Presidential oversight Institutional fairness Bureaucratic accountability

Organizational humanists argue that the primary value in public administration should be to a. b. c. d.

1947. 1954. 1968. 1980.

______________________ assures that public administrators will make decisions in the public interest. a. b. c. d.

1958. 1978. 1992. 2001.

emphasize science, culture, and the arts. treat people fairly and humanely. provide the greatest good for the greatest number of citizens. make government more effective and efficient.

Which of the following philosophical perspectives posits that the primary role of public administration should be to focus on excellence in art, science, and culture by supporting society’s elites? a. b. c. d.

perfectionism intuitionism humanism utilitarianism

103 .

The greatest good for the greatest number is a precept of a. b. c. d.

The writings of Locke, Hobbes, Rousseau, and Rawls each contend that the public interest can be discerned by which of the following? a. b. c. d.

academic currency a proper utility principles of justice institutional fairness

The public interest is defined by ______________ in the courts. a. b. c. d.

perfectionism. intuitionism. humanism. utilitarianism.

majority vote stare decisis benevolence normative theory

According to your author, public administrators should keep one question uppermost in their minds as they make decisions in the public’s name. In the context of the public life of the nation, which question does Henry argue is the most important? a. b. c. d.

How will people be helped or hurt by this decision? How much money will this cost the agency? Who will benefit politically from this policy? What is the constituency interest supported by this decision?

TRUE/FALSE QUESTIONS 10.

States began imposing ethics codes on public administrators before the national government wrote its first ethics legislation. TRUE

11.

Almost ninety percent of city managers are required to attend ethics workshops on a yearly basis. FALSE

12.

Philosophical principles affect bureaucratic decision making and public policy. TRUE

13.

Public Administrators hold themselves to a higher ethical standard than the public does. TRUE 104 .

14.

Strong ethical conduct makes agencies less effective and efficient. FALSE

15.

Justice-as-fairness demands that the good of the whole be the priority of public administrators, regardless of the consequences. FALSE

SHORT ANSWER QUESTIONS 16.

How do public administrators practice ethics?

17.

How does a public administrator determine what is in the public’s interest?

18.

What are some of the major points that public administration theorists emphasize in explaining how public administrators protect the public interest?

19.

What is meant by “justice-as-fairness”? How is this concept pertinent to the practice of public administration?

20.

What is the future of ethical decision-making in public administration? Discuss why ethics is important to good governance.

21.

Who was Robert Moses? Why is his story important to the understanding of ethics in the public sector?

105 .