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Public Administration: An Introduction

Marc Holzer, PhD Dean and Board of Governors Professor School of Public Affairs and Administration Rutgers University – Newark, New Jersey

Richard W. Schwester, PhD Associate Professor John Jay College of Criminal Justice The City University of New York (CUNY)

Routledge Taylor & Francis Group

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Library of Congress Cataloging-in-Publication Data

Holzer, Marc. Public administration : an introduction / by Marc Holzer and Richard W. Schwester. p. cm.

Includes bibliographical references and index. ISBN 978–0–7656–2120–7 (pbk) 1. Public administration. 2. Public administration—Decision making. 3. Policy

sciences. I. Schwester, Richard Wilmot, 1977– II. Title.

JF1351.H65 2011 351—dc22 2010040045

First published 2011 by M.E. Sharpe

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iiiPublic Administration: An Introduction

About the Authors

Marc Holzer Dean Holzer (MPA, PhD University of Michigan) is Dean of

the School of Public Affairs and Administration, and Board of

Governors Professor of Public Affairs and Administration,

at Rutgers University's Newark Campus. He is a Fellow of

the National Academy of Public Administration and a Past

President of the American Society of Public Administration.

Since 1975, he has directed the National Center for Public

Performance, and he is the founder and editor-in-chief of the

journals Public Performance and Management Review and Public Voices, and is the co-founder/co-editor of the Chinese Public Administration Review. He has also recently founded the Public Performance Measurement and Reporting Network. His

research, service, and teaching has been honored by awards from the National

Association of Schools of Public Affairs and Administration, the American Society

of Public Administration, and the Chinese Public Administration Society. He has

published well over one hundred books, monographs, chapters and articles.

Richard W. Schwester Professor Schwester (MA, PhD Rutgers University) is an

Associate Professor at John Jay College of Criminal Justice at

the City University of New York. His research interests include

the use of technology in government, e-government, prison

privatization, critical incidents, and inter-local shared serv-

ices. Some of Professor Schwester’s most recent work appears

in Public Budgeting and Finance, Public Performance and Management Review, Public Administration Quarterly,

International Journal of Public Administration, and the International Journal of Organization Theory and Behavior.

iv PREFACE

We have written a textbook that is distinct from the dozens of public administration

texts now in the academic marketplace. Our vision is a unique blend of substance

and style—a text that is both informative and enlivening, capturing the evolving na-

ture of the field.

A unique aspect of this volume vis-à-vis other textbooks is the extensive use of

visuals. Artwork depicts bureaucratic issues, reinforcing each chapter’s themes

and creating an informative and aesthetically engaging textbook. Charts, graphs,

diagrams, and illustrations add dimensions to the text’s overviews of public

administration.

Of course, this text covers the traditional, essential elements of public administra-

tion such as organizational theory, human resource management, leadership, pro-

gram evaluation, budgeting, and the politics of public administration. But it strives

to do so in a contemporary way, addressing, for example, the changing role of in-

tergovernmental relations in Chapter 6, including the federalist structure as well

as interlocal shared services and regional consolidation initiatives.

Public performance is treated as an indispensable subfield of public administra-

tion. Chapter 7 is devoted to performance-related topics such as knowledge shar-

ing and training, total quality management, performance measurement, and the

social aspects of organizational performance. Although these topics may be present

throughout traditional texts, they are usually scattered over several chapters, un-

deremphasizing the importance of public performance. Given the current economic

climate, a focus on efficiency and effectiveness is increasingly important in the field

of public administration.

The emergence of e-government and the growing role of technology in public ad-

ministration are introduced in Chapter 12. Technology has and will continue to

change the way we interact and transact business with government on a daily

basis. This chapter delves into emerging technologies of knowledge management,

Geospatial Information Systems (GIS), the use of Internet applications as par-

ticipatory and service delivery media, 311 call centers, and computer mapping

programs.

As a departure from the more orthodox model typical of other texts, Chapter 13 of

this book examines the field of public administration and public service through

the lens of popular culture. Countering the all-too-common image of bumbling bu-

reaucrats, this chapter demonstrates that dedicated public servants add a great deal

of value to the services government has promised its citizens. This chapter also pro-

vides helpful resources for people interested in engaging with government and pro-

fessional networks that address critical quality-of-life issues.

PREFACE

vPublic Administration: An Introduction

Each chapter is complemented by key terms and supplementary readings. Beyond

those “standard” resources that are present in any introductory text, video cases

and simulations offer a gateway to engaging students, encouraging them to im-

merse themselves in virtual problem solving experiences—testing theory and skills

through real-time practical applications. Students are challenged to evaluate the

actions and decisions of public administrators and elected officials based on the

theoretical models and best practices provided in the specific chapter. These cases

focus on single and multisector issues that allow for the best collaborative thinking

of those students evaluating the problem. The simulations, also tailored to each

chapter topic, offer students a place to apply theory to practice in a decision-

making role rather than in an evaluative one as is with the case studies. Students

will deal with issues related to unemployment, budgeting, the environment, crime,

and education. These computer- and Internet-based learning tools allow students

to test their decision-making skills and to evaluate the results of those decisions in

a pure learning environment—applying theory to practice. All of the electronic re-

sources are free to the user—avoiding additional costs to students and represent-

ing a sample of similarly accessible resources on the Web, YouTube, and other

media outlets.

This text, then, is very much a dynamic learning system rather than a static vol-

ume. We expect that it will not only enliven the teaching of public administration

but will markedly improve the learning experience and help motivate students of

public service to become problem-solving public servants.

Our thanks to the team that helped us construct this text and whose research

and critiques improved it immensely: Dan Bromberg, Peter Hoontis, Iryna

Illiash, Jyldyz Kasymova, Anna Bolette Lind-Valdan, Emily Michaud, Yetunde

Odugbesan, and Ginger Swiston.

This book could not have been completed without the assistance of a number of

dedicated individuals. In particular, we wish to thank Harry Briggs, Elizabeth

Granda, Angela Piliouras, Stacey Victor, and Jim Wright.

vi TABLE OF CONTENTS

Public Administration: An Indispensable Part of Society . . . . . . . . 2 Government Requires Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 What Do We Get for All of These Resources?. . . . . . . . . . . . . . . . . . . . . . 13

How Government Is Organized to Deliver Services . . . . . . . . . . . . . . . . . 15

How Government Serves Others. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

What, Then, Is Public Administration?. . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

Key Terms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Organizational Theory and Management . . . . . . . . . . . . . . . . . . . . . . . 48 Theories of Managerial Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . 50 The Classical Management Movement . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

The Neo-Classical School . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

The Human Side of Organizational Management . . . . . . . . . . . . . . . . . . 63

Contemporary Organizational Theories. . . . . . . . . . . . . . . . . . . . . 69

CHAPTER 1

CHAPTER 2

Table of Contents

viiPublic Administration: An Introduction

Structural Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

Systems Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72

W. Edwards Deming and Japanese Management . . . . . . . . . . . . . . . . . . 72

Organizational Economic Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77

Organizational Culture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

National Performance Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

Key Terms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

Managing Human Resources . . . . . . . . . . . 84 Human Resources Management . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 Productive Human Resource Management . . . . . . . . . . . . . . . . . . . . . . . 88

Cultivating and Maintaining a High-Quality Diverse Workforce . . . . . . . 91

Creating a Quality Work Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134 Electronic Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

Public Decision Making . . . . . . . . . . . . . . . . 136 How Decisions Are Made . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 The Nature of Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138

Theoretical Models of Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . 145

Dysfunctions in Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170

CHAPTER 3

CHAPTER 4

viii TABLE OF CONTENTS

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171

Politics and Public Administration . . . . 172 The Intersection of Politics and Administration . . . . . . . . . . . 174 Reform and Neutrality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174

The Reality of Bureaucratic Politics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176

Checking Bureaucratic Discretion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196 Case Citations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197

Intergovernmental Relations. . . . . . . . . . 198 The Layers of Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200 The Idea of Federalism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200

Interlocal Shared Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202

Improving Performance via Intragovernmental and Intergovernmental Competition . . . . . . . . . . . . . . . . . . . . . . . . . 208

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217

CHAPTER 5

CHAPTER 6

ixPublic Administration: An Introduction

Public Performance. . . . . . . . . . . . . . . . . . . . 218 Improving Government Performance . . . . . . . . . . . . . . . . . . . . . 220 The Importance of Knowledge Sharing and Training. . . . . . . . . . . . . . . 220

Total Quality Management: Customer Focus and Responsive Public Organizations . . . . . . . . . . . . . . . . . . . . . . . . 221

Issues in Organizational Responsiveness . . . . . . . . . . . . . . . . . . . . . . . . 225

Measuring Performance to Improve Performance . . . . . . . . . . . . . . . . 232

The Role of Privatization in Government Performance. . . . . . . . . . . . . 251

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256

Program Evaluation . . . . . . . . . . . . . . . . . . . 258 What is Program Evaluation? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260 How to Collect Empirical Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261

Conducting Evaluations and the Importance of Stakeholders . . . . . . . 266

Ethical Concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286

Public Budgeting. . . . . . . . . . . . . . . . . . . . . . . 288 Budgeting Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290

CHAPTER 7

CHAPTER 8

CHAPTER 9

x TABLE OF CONTENTS

The Federal Budget Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290

Types of Budgets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293

Where Do Governments Get This Money? . . . . . . . . . . . . . . . . . . . . . . . 305

Theories of Budgeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315

Public-Sector Leadership . . . . . . . . . . . . . . 316 Leading People . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318 Management Functions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318

Prevailing Leadership Theories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325

Types of Leadership Power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346

Ethics and Public Administration . . . . . 348 Administrative Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350 What Are Ethics? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350

Bureaucracy and Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354

Formal Rules and Bureaucratic Discretion. . . . . . . . . . . . . . . . . . . . . . . 363

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370

CHAPTER 10

CHAPTER 11

xiPublic Administration: An Introduction

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372

Technology and Public Administration . . . . . . . . . . . . . . . . . 378 High Tech Government. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 Technology Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383

The Network and Its Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 384

Knowledge Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388

The Basics: Database Evolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388

Convergence and Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391

The Connected Society: Trends and

Opportunities Facing Public Managers . . . . . . . . . . . . . . . . . . . . . . . 393

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415

Public Service and Popular Culture . . . . . . . . . . . . . . . . . . . . . . . . 416 Public Servants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 418 The Image of the Public Servant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420

The Real Public Servant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 422

Capturing the Attention of Youth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 434

Public Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438

CHAPTER 12

CHAPTER 13

xii TABLE OF CONTENTS

Networks and Professional Organizations . . . . . . . . . . . . . . . . . . . . . . . 439

Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 447

The Future of Public Administration . . . . . . . . . . . . . . . . . 448 The Evolution of Public Administration. . . . . . . . . . . . . . . . . . . . 450 Governance Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450

Performance Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453

Citizen Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458

Globalization: The Internationalization of Public Administration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 461

E-Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464

Transparency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 469

Key Terms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 471 References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 471 Supplementary Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 474 Electronic Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475 Case Studies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475

CHAPTER 14

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 476

xiiiPublic Administration: An Introduction

Public Administration: An Introduction

Public Administration: An Indispensable Part of Society

CHAPTER 1

This chapter introduces the reader to the foundational

elements of government and public administration. It reviews

many of the essential characteristics of government, such as

revenue collection, government expenditures, and government

workforce. It also presents an overview of the services that

government provides and how those services affect citizens

on a daily basis. Furthermore, this chapter constructs a

working definition of public administration and discusses key

concepts that are essential to the field.

2 CHAPTER 1

3Public Administration: An Indispensible Part of Society

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“The care of human life and happiness… is the first and only legitimate object

of good government.”

THOMAS JEFFERSON Third President of the United States

(1743–1846)

Environmental Police Unit Officers with the Department of Sanitation of New York take precautions when dealing with hazardous waste.

4 CHAPTER 1

There is no question that government spends a great deal of money. And theoreti-

cally—just like any other organization—the government must make money before

it can spend money. So, where does government get its money and how does it

spend it? How does this process affect people on a daily basis? These are just some

of the questions we will answer in this introductory chapter.

Let’s start with the basics. Like all organizations, the government typically must

take in money before expending it. In rare situations, government can spend money

it did not collect; that will be discussed in Chapter 9, “Public Budgeting.” Unlike

organizations in the private or nonprofit sectors, government has the power to tax.

Taxation, one of the federal government’s constitutional rights under the founding

documents of the United States, is necessary to support the three branches of gov-

ernment, particularly the executive branch with its wide

array of functions. State constitutions extend that taxing

power to states, which then authorize counties, cities,

towns, villages, and special districts to levy taxes.

Governments are considered sovereign bodies, holding the

highest authority in a specific region; therefore, govern-

ment is granted unique powers under which it may imple-

ment its authority. Taxation is one of those unique powers.

Unlike companies, which make money by selling a product

or a service, the government takes in funds by taxing its cit-

izenry. These taxes are collected by local, state, and federal

agencies and pay for a broad range of services that meet

citizens’ daily needs. The nature of these needs will be dis-

cussed throughout this chapter, but first we will sketch out the amount of money

government spends on a yearly basis.

In 2007 (the latest year for which the actual state and local spending figures

were available at the time this book was written) the federal, state, and local

governments in the United States spent over $4 trillion. Federal spending rep-

resented about 63 percent of all spending by governments. The U.S. federal gov-

ernment spent about $2.7 trillion, and state and local governments spent about

$1.6 trillion.

To understand the impact that government spending has on the economy of the

United States, it is sometimes helpful to use economic terms. One often-used term

for gauging the nation’s economy is the gross domestic product (GDP). The GDP is

a measure based on the amount of goods and services produced within the borders

of the United States. There are numerous ways to measure this figure, but the most

straightforward is simply to add together the total amount of money spent on pro-

GOVERNMENT REQUIRES RESOURCES

“What made you choose this career is what made me go into politics—a

chance to serve, to make a difference. It is not just a job. It is a vocation.”

TONY BLAIR Prime Minister of

GreatBritain

5Public Administration: An Indispensable Part of Society

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6 CHAPTER 1

ducing these goods and services. Understandably, one may think that the GDP

measures only the private sector’s economic activity; in reality, however, public sec-

tor activity makes up a large percentage of the GDP. Federal, state, and local gov-

ernment spending was approximately 32 percent of the U.S. GDP in 2007 (see

FIGURE 1.2 – TOTAL GOVERNMENT EXPENDITURES (IN BILLIONS OF DOLLARS)

Source: U.S. Government Printing Office, Office of Management and Budget (OMB). 200. “Budget of the U.S. Government: Historical Tables Fiscal Year 2009.” www.gpoaccess.gov/usbudget/fy09/hist.html.

FIGURE 1.3 – GOVERNMENT SPENDING AS A PERCENTAGE OF GDP (IN BILLIONS OF DOLLARS)

State and Local Government Expenditure: $1591.1

Federal Government Outlays: $2730.2

GDP of the United States (2007) in current dollars: $13,667.5

Government Spending = 32% of GDP: $4,321.3

$9,346.3

7Public Administration: An Indispensable Part of Society

Figures 1.2 and 1.3). It is important to remember that government not only pro-

vides an array of services with the money it spends but that such spending con-

tributes significantly to the health and stability of the nation’s economy.

To spend trillions of dollars, governments need to take in as much money every

year—a feat that is accomplished through both taxation and fee-based services.

Among the various taxes government collects from its citizens is the sales tax, which

is typically levied by states. Sales taxes are encountered at most retail stores when a

good is sold to the final customer in a transaction. A majority of states do not tax food

purchases, and many other goods and services such as medical care, landscaping,

salon, and taxi and courier services are exempt from taxation in some states. In 2008

sales taxes ranged from zero in states such as New Hampshire and Alaska to 7.25

percent in California; county or local sales taxes often add to those taxes at the cash

tax, and excise tax—are used to create the revenue needed to provide the public serv-

ices that citizens expect and demand. In addition, tolls on roads, bridges, and tun-

nels are considered a direct tax for the use of integrated transportation networks.

A large part of government funding at the federal level comes from employment taxes,

Source: U.S. Government Printing Office, Office of Management and Budget (OMB). 2008. “Budget of the U.S. Government: Historical Tables Fiscal Year 2009.” www.gpoaccess.gov/usbudget/fy09/hist.html. Note: Unless otherwise noted, all receipts shown in this figure are trust funds and on-budget. 1On-budget and off-budget.

FIGURE 1.4 – COMPOSITION OF SOCIAL INSURANCE AND RETIREMENT RECEIPTS, 2000–2007

Hospital Insurance: $184.908,000

Railroad retirement/pension fund: Trust Funds: $2,309,000

Railroad social security equivalent account: $1.952.000

Disability insurance (Off-Budget): $92,188,000

Trust funds (Off-Budget): $542,901,000

Total1: $824,258,000

8 CHAPTER 1

which are directed toward specific social programs that generally provide support for

citizens when they have reached the age of retirement or are disabled. Among the pro-

grams covered by payroll taxes are Social Security benefits and Medicaid and Medicare

insurance. Employees also contribute to U.S. unemployment insurance and to the pen-

sion funds of the federal workforce. These revenue sources are collected and used in a

Source: U.S. Government Printing Office, Office of Management and Budget (OMB). 2008. “Budget of the U.S. Government: Historical Tables Fiscal Year 2009.” http://www.gpoaccess.gov/usbudget/fy09/hist.html.

FIGURE 1.6 – 2007 GOVERNMENT RECEIPTS BY SOURCE (IN MILLIONS OF DOLLARS)

FIGURE 1.5 – 2007 TOTAL GOVERNMENT RECEIPTS (IN BILLIONS OF DOLLARS)

State and Local Government Non-Interest Receipts: $1,420.5

Federal Government Receipts: $2,568.2

Social Insurance and Retirement Receipts: $869,607

Excise Taxes: $65,069

Other: $99,878 Individual Income Taxes:

$1,163,472

Corporation income Taxes: $370,243

9Public Administration: An Indispensable Part of Society

different manner than other revenue sources: They are earmarked, or set aside, as

trust funds for the benefit of those who paid in (see Figure 1.4). The money put in by

users will be taken out by users when they are in need of various insurance programs.

Government funds also come from fees. These fees make up a smaller portion of a

government’s income and tend to be more significant on the state and local levels.

Fees are charged for access to certain desirable locations, such as public beaches or

state parks. Fees may also be charged for obtaining a driver’s license, a passport, or

Source: Global Issues. 2010. “World Military Spending.” http://www.globalissues.org/article/75/world-mili- tary-spending#WorldMilitarySpending.

FIGURE 1.7 – 2008 U.S. MILITARY SPENDING VS. THE WORLD (IN BILLIONS OF DOLLARS AND % OF WORLD TOTAL)

2008 Total Military Spending: $1.473 Trillion

Middle East/ N. Africa

$82 5%

Russia $70 5%

Latin America $39 3%

Central/ South Asia

$30 2%

Sub-Saharan Africa $10 1%

East Asia / Austrailia

$120 8%

China $122 8%

Europe $289 20%

United States $711 48%

10 CHAPTER 1

to get a building permit for an addition to a house or to build in a certain location.

Figures 1.5 and 1.6 indicate the total extent of government revenue.

What exactly does the public sector spend money on? A large portion of federal ex-

penditures go toward defense and other international programs. In 2007 the U.S.

Department of Defense (DoD) had a budget of about $600 billion. Half of the en-

tire world’s military expenditures are spent by the United States alone (see Figure

1.7). In comparison to other expenditures made by the federal government, DoD

spending accounts for about 22 percent of the federal budget. Another large portion

of the federal government’s spending goes toward the insurance programs men-

tioned earlier, such as Social Security and Medicare. Because the government is re-

quired by law to pay for such programs, they are often referred to as mandatory

expenditures. In 2007 the federal government spent about $1 trillion on Social Se-

curity and Medicare. That accounts for almost 40 percent of the federal budget. In

total, funds spent on defense, Social Security, and Medicare make up about 60 per-

cent of all federal expenditures.

Federal spending makes up about 65 percent of all government expenditures, with

state and local governments accounting for the other 35 percent. In 2007 state and

local government budgets in the United States exceeded $1.5 trillion—money used by

government to provide a range of services its citizens access on a daily basis. This

spending contributes significantly to the country’s economy and employment, and it

allows government to provide selected services that would otherwise be challenging to

provide on a private basis. Figure 1.8 shows a breakdown of all government spending.

FIGURE 1.8 – 2007 TOTAL GOVERNMENT EXPENDITURES BY MAJOR CATEGORY (IN BILLIONS OF DOLLARS)

State and Local: $1,568.6

Other Federal: $223.2

Net Interest: $259.5

Defense and International: $581.1

Federal Payments for Individuals (including Social Security and Medicare): $1688.8

11Public Administration: An Indispensable Part of Society

The federal, state, and local governments in the United States employed about 23

million people in 2007. Millions of others were employed to fill public sector posi-

tions via contractual relationships with private organizations: management con-

sultants, temporary workers, technicians, and the like. According to the Bureau of

Labor Statistics (BLS) as of September 2007, this amounts to approximately 17 per-

cent of all employed individuals in the United States, not including farm payroll

(BLS 2007). According to Paul Light, the Paulette Goddard Professor of Public

Service at New York University and the former director of Governmental Studies at

the Brookings Institution, as of 2002 the number of people employed by federal

contracts was about 8 million (Light 2003). This underscores the importance of

government employment in relationship to the U.S. economy.”

The federal government, while the largest single government employer, employs far

fewer people than the combined state and local governments throughout the nation.

In addition, over the past several decades, the federal labor force has been decreas-

ing steadily, while the state and local labor forces have been increasing in size. In

1980, for example, the federal government employed more than 4.9 million people

(military and civilian); nine years later, its ranks peaked at nearly 5.3 million em-

ployees. Since then, the federal government has been scaling back the size of its labor

force. As a percentage of the U.S. workforce, it declined from about 5 percent in 1989

to 3 percent in 2007, meaning more than a million jobs were shed in less than 20

FIGURE 1.9 – GOVERNMENT EMPLOYMENT AND PERCENTAGE OF POPULATION, 2007

Total U.S. Population (2007): 301,621,000 Government Employees = 7.8% of Total U.S. Population: 23,665,000

12 CHAPTER 1

years. At the same time, state and local levels have been behaving in just the oppo-

site manner. In 1980 state and local governments employed nearly 13.4 million peo-

ple. This number increased to over 19 million in 2007, accounting for about 14

percent of the total U.S. workforce. Although state and local governments increased

their labor force by about 6 million people over three decades, in comparison to the

growth of the U.S. population, this number is not out of proportion, and as a percent

of the total workforce it constitutes about 13 percent. Thus, total government em-

ployment (federal, state, local) has stayed somewhat consistent—on average—since

1980, representing about 17 percent of the total workforce, with a high in 1980 of

18.4 percent. It is now (as of 2007) about 16 percent of the entire workforce. Figure

1.9 summarizes personnel figures for local, state, and federal governments.

Clearly, a significant portion of the U.S. workforce is employed by the government.

Source: U.S. Census Bureau, Governments Division Employment and Payroll. 2010. “Historical Data” http://www2.census.gov/govs/apes/07fedfun.pdf. *Includes Department of Education and the National Science Foundation, plus parts of the Bureau of Indian Affairs.

FIGURE 1.10 – FEDERAL GOVERNMENT CIVILIAN EMPLOYEES BY FUNCTION, DECEMBER 2007

Other and Unallocable

Libraries

Other Education*

Space Research & Technology

Postal Service

Nat Defense/International Relations

Natural Resources

Housing and Community Development

Parks and Recreation

Social Insurance Administration

Hospitals

Health

Public Welfare

Water Transport & Terminals

AirTransportation

Highways

Correction

Police

Judicial and Legal

Other Government Administration

Financial Administration

0 200,000 400,000 600,000 800,000

13Public Administration: An Indispensable Part of Society

What do all of these people do? On the state and local levels it is more challenging to

identify how the numbers break down exactly, but on the federal level we can clas-

sify employees by their designated function. Figure 1.10 illustrates that the two largest

employee categories, by far, are National Security and the U.S Postal Service.

What Do We Get for All of These Resources? Citizens of the United States come in contact with government on a daily basis—often

without even realizing it. From the moment you wake up in the morning, government

helps ensures your health, safety, and well-being. It continues to do so while you sleep.

In the morning you expect to wake to your alarm clock rather than some pesky

noise such as a lawnmower, construction, or a barking dog. Typically, you will not

hear such noises because government helps to regulate such activities. In New York

City, for example, construction activity is not allowed to begin until 7:00 a.m. Like-

wise, a citizen may not use equipment such as a lawnmower or a leaf blower before

7:00 a.m. Such policies go a long way toward fostering respect among neighbors.

In addition to noise ordinances, thousands of other ordi-

nances facilitate the creation and maintenance of a livable

environment. They range from how citizens should deal

with waste removal to whether or not they may purchase

and use fireworks. Ordinances—enforced by public ser-

vants—help to establish reasonable norms by which we

conduct our daily activities.

Beyond municipal ordinances, broader laws and regula-

tions help us function in our daily activities. The simple act

of obeying a stop sign may seem commonplace—and sen-

sible—but what might happen if we did not have laws in

place that require us to drive in a certain manner? Government has codified these

very basic rules of the road. We know that drivers must stop their vehicles when ap-

proaching a red light and slow down when approaching a yellow light. These rules

allow traffic to flow in an organized manner.

What about water consumption? It seems like second nature to turn on a water

faucet and get a glass of cold drinkable water, or to request a glass of water with

your meal while dining at a restaurant. Although we typically do not think about the

cleanliness and safety of this water, it is clear that somebody must. That is why we

rely on government. The federal Environmental Protection Agency (EPA) is re-

sponsible for setting a national standard for drinking water and ensuring that none

of the 90 different types of banned contaminants taint our water system. In total,

the United States has over 170,000 water systems and on average delivers about

100,000 gallons of water annually to each residence (EPA 2010). Most Americans

“And so, my fellow Americans, ask not what your country can do for you; ask

what you can do for your country.”

JOHN F. KENNEDY 35th President of the

United States

14 CHAPTER 1

rarely think about the complexity of this infrastructure and the amount of support

and control required to keep the supply of drinkable water safe and easily accessi-

ble. It is important to remember, though, that access to clean, safe water is not

cheap; according to the United Nations (2010), nearly 20 percent of the world’s

population does not benefit from having clean drinking water.

The government not only establishes these ordinances, laws, and regulations but

also serves as a major provider of services such as public education. From the mo-

ment you enter kindergarten until you graduate at the end of your senior year of

high school, the U.S. education system provides the tools you need to become a re-

sponsible adult. Throughout the United States in any given year, there are about

50 million school-age children attending elementary, middle, or high schools—a

total of 97,000 public schools. To maintain such an expansive system requires a

great deal of pooled resources in the form of public sector budgets.

While children are at school, adults are generally at work. Although we may rarely think

twice about the dangers that might occur at the workplace, the Occupational Safety and

Health Administration (OSHA) does. This federal agency is charged with ensuring that

any given workplace provides a safe and healthy environment for all its employees.

Since OSHA’s creation in 1971, on-the-job injuries have decreased by 61 percent and fa-

talities by 44 percent. A decrease on such a large scale cannot happen without a great

deal of planning and work. In 2006 OSHA inspected over 35,000 workplaces. In addi-

tion to the federal government, many state agencies conduct inspections, and an addi-

tional 58,000 were completed on the state level that same year. Although most of us are

not concerned with work-related injuries on a daily basis, it is important to remember

that one of the main reasons we can afford to be so complacent about workplace safety

is the government’s vigilance in ensuring our protection.

Water Tunnel Is Spectacular Feat of Engineering—and Hard Work Mayor Rudolph W. Giuliani Mayor’s WINS Address, Sunday, August 16, 1998 (New York City, 1998) “New York City has always been a place where seemingly impossible things are made

possible—in business, art, literature and so many other realms—because no other

City can match the ambition, hard work, and perseverance of our people. This Thurs-

day [August 13, 1998], these qualities were on full display in Central Park for the

opening of the Third Water Tunnel—which represents the culmination of decades of

hard work and sacrifice by thousands of New Yorkers.”

15Public Administration: An Indispensable Part of Society

There are literally thousands of additional programs, services, and interventions that

government initiates and that we encounter every day. Some of the key public sector

services are listed in the section that follows. Although we might not access many on

a daily basis, the safety net they provide allows us to go about our daily routines.

How Government Is Organized to Deliver Services The Interstate Highway System “Although the Federal-Aid Highway Act of 1944 authorized designation of a ‘Na-

tional System of Interstate Highways,’ the legislation did not authorize an initiat-

ing program to build it. This act started the initial design of the system, but it was

not until the Federal-Aid Highway Act of 1956 that the system started to be con-

structed. Currently, the Interstate System is 46,876 miles long. The final estimate

of the cost of the Interstate System was issued in 1991. It estimated that the total

cost would be $128.9 billion, with a Federal share of $114.3 billion.”

(Source: U.S. Department of Transportation, Federal Highway Administration, “Frequently Asked Questions,” http://www.fhwa.dot.gov/interstate/faq.htm.)

Federal Housing Administration “The Federal Housing Administration, generally known as ‘FHA,’ is the largest gov-

ernment insurer of mortgages in the world. A part of the United States Department

of Housing and Urban Development (HUD), FHA provides mortgage insurance on

single-family, multifamily, manufactured homes and hospital loans made by FHA-

approved lenders throughout the United States and its territories. While borrow-

ers must meet certain requirements established by FHA to qualify for the insurance,

lenders bear less risk because FHA will pay the lender if a homeowner defaults on

his or her loan. FHA has insured over 37 million home mortgages and 47,205 mul-

tifamily project mortgages since 1934. Currently, FHA has 5.2 million insured sin-

gle-family mortgages and 13,000 insured multifamily projects in its portfolio.”

(Source: U.S. Department of Housing and Urban Development, “Federal Housing Administration Overview,” http://portal.hud.gov/portal/page/portal/HUD/fed- eral_housing_administration.)

Consumer Protection “If you exercise your right to receive a free credit report, use the National Do Not

Call Registry to block unwanted telemarketing calls, or refer to product warranties,

care labels in your clothes, or stickers showing the energy costs of home appliances,

you are taking advantage of laws enforced by the FTC’s [Federal Trade Commis-

sion’s] Bureau of Consumer Protection. The Bureau of Consumer Protection works

to protect consumers against unfair, deceptive, or fraudulent practices in the mar-

ketplace. The Bureau conducts investigations, sues companies and people who vi-

16 CHAPTER 1

olate the law, develops rules to protect consumers, and educates consumers and

businesses about their rights and responsibilities. The Bureau also collects com-

plaints about consumer fraud and identity theft and makes them available to law

enforcement agencies across the country.”

(Source: Federal Trade Commission, “About the Bureau of Consumer Protection,” www.ftc.gov/bcp/about.shtm.)

National Weather Service “The National Weather Service is a component of the National Oceanic and At-

mospheric Administration (NOAA). NOAA is an Operating Unit of the U.S. De-

partment of Commerce…. The National Weather Service (NWS) provides weather,

hydrologic, and climate forecasts and warnings for the United States, its territories,

adjacent waters and ocean areas, for the protection of life and property and the en-

hancement of the national economy. NWS data and products form a national in-

formation database and infrastructure which can be used by other governmental

agencies, the private sector, the public, and the global community.”

(Source: National Oceanic and Atmospheric Administration’s National Weather Service, “About NOAA’s National Weather Service,” www.nws.noaa. gov/admin.php.)

Federal Student Financial Aid Programs “Federal Student Aid’s core mission is to ensure that all eligible individuals benefit

from federal financial assistance—grants, loans and work-study programs—for ed-

ucation beyond high school. The programs we administer comprise the nation’s

largest source of student aid. Every year we provide more than $100 billion in new

aid to nearly 14 million postsecondary students and their families. Our staff of 1,100

is based in 10 cities in addition to our Washington headquarters.”

(Source: Federal Student Aid, “About Us,” http://studentaid.ed.gov/PORTAL- SWebApp/students/english/aboutus.jsp.)

Create a New Government (Simulation) Working as a team, create a new governing body for your university using the strat- egy established to create the Iraqi National Assembly as highlighted in the follow- ing simulation. Establish a list of the key principles upon which this new governance structure is based, and explain why each principle is important.

Sarah Kavanagh and Javaid Khan, “A Good Government Is Hard to Build,” The New York Times: The Learning Network, March 30, 2005, http://learning.blogs.nytimes.com/2005/03/30/a-good-government-is-hard-to- build

EXERCISE 1.1

17Public Administration: An Indispensable Part of Society

Food and Drug Safety Programs “FDA [the Food and Drug Administration] is an agency within the Department of

Health and Human Services and…is responsible for protecting the public health by

assuring the safety, efficacy, and security of human and veterinary drugs, biologi-

cal products, medical devices, our nation’s food supply, cosmetics, and products

that emit radiation. The FDA is also responsible for advancing the public health by

helping to speed innovations that make medicines and foods more effective, safer,

and more affordable; and helping the public get the accurate, science-based infor-

mation they need to use medicines and foods to improve their health.”

(Source: U.S. Department of Health and Human Services, U.S. Food and Drug Administration, “Centers and Offices,” www.fda.gov/AboutFDA/CentersOf- fices/default.htm.)

Federal Emergency Response “FEMA’s mission is to support our citizens and first responders to ensure that as a

nation we work together to build, sustain, and improve our capability to prepare for,

protect against, respond to, recover from, and mitigate all hazards.”

“FEMA has more than 3,700 full time employees. They work at FEMA headquar-

ters in Washington D.C., at regional and area offices across the country, the Mount

Weather Emergency Operations Center, and the National Emergency Training Cen-

ter in Emmitsburg, Maryland. FEMA also has nearly 4,000 standby disaster assis-

tance employees who are available for deployment after disasters. Often FEMA

works in partnership with other organizations that are part of the nation’s emer-

gency management system. These partners include state and local emergency man-

agement agencies, 27 federal agencies and the American Red Cross.”

(Source: U.S. Department of Homeland Security, Federal Emergency Manage- ment Agency, “About FEMA,” http://www.fema.gov/about/index.shtm#0.)

AMTRAK “As the nation’s intercity passenger rail operator, Amtrak connects America in

safer, greener and healthier ways. With 21,000 route miles in 46 states, the Dis-

trict of Columbia and three Canadian provinces, Amtrak operates more than 300

trains each day—at speeds up to 150 mph—to more than 500 destinations. Amtrak

also is the operator of choice for state-supported corridor services in 15 states and

for four commuter rail agencies.”

(Source: AMTRAK, “Amtrak Information and Facts,” www.amtrak.com/ servlet/ContentServer/Page/1241256467960/1237608345018.)

United States Post Office “The United States Postal Service delivers more mail to more addresses in a larger

geographical area than any other post in the world. We deliver to more than 150

18 CHAPTER 1

million homes, businesses and Post Office boxes in every state, city, town and bor-

ough in this country. Everyone living in the U.S. and its territories has access to

postal services and pays the same postage regardless of his or her location.”

(Source: United States Postal Service, “Postal Facts 2010,” www.usps.com/com-

munications/newsroom/postalfacts.htm.)

Organizational Chart of Municipality—City of Burlington, New Jersey “The City of Burlington operates in accordance with the Mayor-Council form of gov-

ernment. The Mayor is the chief executive of the municipality, while the legislative

powers of the City are exercised by the Common Council. The Common Council

consists of seven members, three at-large Councilpersons and one from each of the

four wards, who shall serve for a term of four years. Various boards, committees,

and departments comprise other areas of the City’s government.”

Source: City of Burlington, New Jersey, USA Website. 2008. “The Administration: City Government, Depart- ments & Divisions Organization Chart.” www.burlingtonnj.us/Organiz.html.

FIGURE 1.11 – CITY OF BURLINGTON ORGANIZATIONAL CHART

CITIZENS

MRYOR COMMON COUNCIL

GOVERNING BODY

BUSINESS ADMIN-

ISTRATOR

MUNICIPAL CLERK

A D M I N I S T R A T I O N

PUBLIC SRFETY DEPT.

PUBLIC RFFAIRS

DEPT.

LRW DEPT.

ENGINEERING DEPT,

HOUSING & COMMUNITY DEVT. DEPT.

PUBLIC WORK DEPT.

FINANCE DEPT.

OFFICES

Director Director Municipal Attorney

Director Director Director CFO Director

Municipal Court Tax Rsseesor

Police Recreation Prosecutor

Fire Chirtf Div.

Public Relations [Events]

Public Defender

Fire Prevention

Div.

Health & Vital

Statistics

Special Counsel

A n i m a l Control

City Boat Ramp

Energy Mgmt.

Commun- ications

Construction code

Enforcement

Public Works

Div. Treasury

Court Admin- istration

Municipal Court Judge

Planning & Zoning

Water U t i l i t y

Div. Revenue

Landlord Registration

Sewer & Drainage Div.

Nuisance Inspection

Public Bldgs. & Grounds

Div.

Historic Preservation Commission

Tr a f f i c

Maintenance Div.

Housing Programs & Grants

Recycling

Governing Body

Admin. Departments

Divisions

19Public Administration: An Indispensable Part of Society

How Government Serves Others It is clear that government affects us on a daily basis, but it is important to re-

member that government not only serves the individual; it lends its resources to a

number of efforts that aid the common good.

Government support for the not-for-profit sector is one example of the public sector

promoting the common good. The not-for-profit sector or nonprofit sector is gener-

ally viewed as the charitable arm of American society. What differentiates it from the

private sector? Unlike for-profit companies, organizations in the nonprofit sector are

not driven to increase revenue by an economic bottom line. Rather, they are driven

by a unique mission upon which all of their organizational programs and activities are

focused. Nonprofit organizations typically try to limit their spending on administra-

tive functions and use the bulk of their funding for mission-specific activities.

According to the Urban Institute (2010), about 1.4 million nonprofit organizations account for

5.2 percent of the national GDP. Nonprofit organizations range widely in size and scope of ac-

tivities. Some nonprofits provide arts, culture, education, envi-

ronmental monitoring, health care, human services and seemingly

endless lists of services that promote the common good. Not only

do nonprofits give to the community, they also enable citizens to

give of their time and energy to others. The Bureau of Labor Sta-

tistics (2010) estimates that approximately 27 percent of adults

(more than 60 million individuals) volunteered at a nonprofit or-

ganization in 2009. To some degree, many people believe that

nonprofits hold society together.

How does this have anything to do with government? The

government supports the nonprofit sector in two primary

ways: First, it has created a special tax status for nonprofit

organizations that allows them to operate outside of the typical tax structure. Sec-

ond, government makes direct contributions to nonprofit organizations through

grant funding for specific programs.

The special tax status developed by the Internal Revenue Service (IRS) for public

charities—known as 501(c)(3)—provides nonprofit organizations with an exemp-

tion from paying federal income tax. It also ensures that all individuals who make

contributions to such organizations can deduct those donations from their own in-

come. To qualify as an exempt organization, nonprofits must follow certain rules.

According to the guidelines listed on the IRS website, they must be organized

specifically for an exempt purpose, as outlined in the following text:

The exempt purposes set forth in section 501(c)(3) are charitable, religious,

educational, scientific, literary, testing for public safety, fostering national

or international amateur sports competition, and preventing cruelty to

“The call to service is one of the

highest callings you will hear and

your country can make.”

LEE H. HAMILTON Former U.S.

Congressman; Vice Chairman, 9/11

Commission

20 CHAPTER 1

children or animals. The term charitable is used in its generally accepted legal sense and includes relief of the poor, the distressed, or the under-

privileged; advancement of religion; advancement of education or science;

erecting or maintaining public buildings, monuments, or works; lessening

the burdens of government; lessening neighborhood tensions; eliminating

prejudice and discrimination; defending human and civil rights secured

by law; and combating community deterioration and juvenile delinquency.

(IRS.gov, “Exempt Purposes—Internal Revenue Code Section 501(c)(3),”

updated December 7, 2009, www.irs.gov/charities/charitable/article/

0,,id=175418,00.html).

Furthermore, IRS rules indicate that nonprofit organizations cannot be owned by

any private shareholder or individual, and the goal of such organizations cannot be

to increase the wealth of such a person or persons. In addition, to meet this exempt

status, nonprofit organizations cannot exist to promote a

specific political campaign, and they must restrict their lob-

bying and advocacy activities.

Aside from granting a special tax status to not-for-profit

charitable organizations, government also contributes a

great deal of money outright to the nonprofit sector. In

2005 the U.S. government provided about $18 billion in

direct payments to nonprofits; that translates into about

30 percent of all revenue for nonprofit organizations in

2005 (Wing, Pollack, and Blackwood 2008). Some of the

recipients of these funds are well-known organizations and typically have a strong

presence in our communities. For instance, the Boys and Girls Clubs of America

received about $81 million in 2005. Their mission is to “enable all young people, es-

pecially those who need us most, to reach their full potential as productive, caring,

responsible citizens” (www.bgca.org). For over 40 years, the community-based or-

ganization Experience Works, originally called Green Thumb, Inc., has received

about $85 million in government dollars to “improve the lives of older people

through employment, community service, and training” (www.experienceworks.

org). By promoting the nonprofit sector, government is strengthening the fabric of

American civil society.

Another effort by government to enhance the common good is the promotion of re-

search. Although this may sound like an abstract concept that rarely affects the lives

of everyday people, it is just the opposite. One of the main avenues through which

research funding has a broad public impact is the National Institutes of Health, or

the NIH. The NIH was formed in 1887 and is now composed of 27 different research

institutions and groups. It is one of the largest funders of scientific research world-

wide. In 2007 the NIH made over 47,000 research awards at a total cost of about

$20 billion. Over its history, the NIH has provided funding for groundbreaking dis-

“No one is useless in this world who

lightens the burden of it for someone else.”

BENJAMIN FRANKLIN American Statesman; Ambassador; Patriot

21Public Administration: An Indispensable Part of Society

Accountability Accountability in the public sector most often boils down to dual aspects: accounta-

bility for what and accountability to whom. Typically, accountability is a political

construction. Public managers are accountable to their legislative counterparts. The

delegation of power takes place when Congress assigns its constitutional Article I,

Section 8 powers to the executive branch. Clause 18 of this section specifies that Con-

gress has the power “to make all laws which shall be necessary and proper for carry-

ing into execution the foregoing powers, and all other powers vested by this

Constitution in the government of the United States, or in any department or office

thereof.” While the courts have shifted back and forth on the issue of congressional

delegation, it is clearly stated in the “delegation doctrine” that Congress can delegate

its power to the executive branch as long as the power is accompanied by sufficient

standards or guidelines so the executive branch is controlled by Congress. Therefore,

the chief executive is accountable to the legislature from which power was granted.

In a 2000 article for Public Administration Review, David Rosenbloom highlights the dimensions of accountability implemented to link public administration to a con-

stitutional framework. Traditionally, the executive branch was seen as being under

the purview of the executive (president) in a top-down accountability scheme. How-

ever, as Rosenbloom points out, this is not in line with the U.S. constitutional frame-

work or with the interpretations handed down by the Supreme Court over the years.

As Congress delegates its power, Congress provides oversight for that delegated

power. Rosenbloom (2000) cites four acts passed by Congress to ensure this consti-

tutional accountability: the Administrative Procedures Act, the Federal Advisory

Committee Act (FACA), the Negotiated Rulemaking Act, and the Small Business Reg-

ulatory Enforcement Fairness Act.

Other observers divide accountability into a number of schemes and categories such

as Bureaucratic, Legal, Professional and Political (Romzek and Dubnick 1987).

Robert Behn (2001), in his text Rethinking Democratic Accountability, provides fur- ther insight into the question of professional accountability. Behn argues that ac-

countability among public administrators should be based on their performance. He

claims that systems of accountability should not be set up to deter behavior; they

should be set up to provide incentives for desirable behavior (Behn 2001).

Implementation Implementation is a concept that seems straightforward initially but raises many

questions upon further examination. When, for instance, does implementation (continued)

22 CHAPTER 1

coveries throughout the scientific community (NIH, 2010). Since 1998 NIH re-

search has contributed to increased prevention of type 2 diabetes, advanced treat-

ments for breast cancer, and new knowledge about the transmission and

suppression of HIV/AIDS. Table 1.1 summarizes some of the scientific break-

throughs made possible by NIH funding (NIH, 2009). This research—funded or

conducted by the NIH—has saved millions of lives. Many other federal agencies

have made similar advancements that dramatically improve our quality of life, in-

cluding for example the National Science Foundation (2010), the National Insti-

tute of Food and Agriculture (2010), and the National Office of Public Health

Genomics of the Centers for Disease Control and Prevention (2010).

In a world that becomes smaller each day in a technological sense—with, for in-

stance, the ability to transmit information from the United States to China in a mat-

begin? Who is responsible for implementation? Can the implementers change the

mode of implementation? We look to the formation of the term implementation from

the classic text by Pressman and Wildavsky (1973), Implementation. They write, “Im- plementation, to us, means just what Webster and Roget say it does: to carry out, ac-

complish, fulfill, produce, complete.” They authors state that it is a policy that is being

implemented, but they go further, providing a context for implementation. Imple-

mentation must have a clear goal; otherwise, it is difficult to determine the success

of the implementation efforts. The challenge in defining implementation in this man-

ner is that often the environment and conditions change. While initially stipulated

with a clear goal, the process may change due to the environment in which the im-

plementation is taking place. Ultimately, “implementers become responsible both

for the initial conditions and for the objectives toward which they are supposed to

lead” (Pressman and Wildavsky 1973).

Those responsible for implementation are sometime referred to as “street-level bu-

reaucrats”—a term coined by Lipsky (1980). These men and women are implement-

ing state policies; they are responsible for providing everyday services, including

police, education, and waste disposal. Lipsky believes this aspect of implementation

has grave consequences for society. He writes, “Thus, in a sense, street-level bu-

reaucrats implicitly mediate aspects of constitutional relationships of citizens to the

state. In short, they hold the key to a dimension of citizenship.”

According to Merriam-Webster’s Collegiate Dictionary, 11th ed., the verb imple- ment means to “CARRY OUT, ACCOMPLISH; especially: to give practical effect to and ensure of actual fulfillment by concrete measures.”

(continued)

23Public Administration: An Indispensable Part of Society

Year Discoveries

1998 Results from a National Cancer Institute (NCI) sponsored clinical trial showed

that women at high risk of developing breast cancer who took the drug tamoxifen

had 49 percent fewer cases of breast cancer than those who did not. Tamoxifen

was hailed as the first drug to prevent breast cancer in women at high risk for the

disease.

1999 A team of investigators led by a National Institute of Allergy and Infectious Dis-

eases (NIAID) grantee discovered that a subspecies of chimpanzees native to west

Africa are the origin of HIV-1, the virus responsible for the global AIDS pandemic.

2000 Researchers supported by National Institute of General Medical Sciences

(NIGMS) demonstrated that a simple and inexpensive change in basic surgical

procedures—giving patients more oxygen during and immediately after surgery—

can cut the rate of wound infections in half, thus saving millions of dollars in hos-

pital costs by helping to prevent postsurgical wound infection, nausea, and

vomiting.

2001 A team composed of scientists from National Human Genome Research Institute

(NHGRI) and National Institute of Neurological Disorders and Stroke (NINDS),

grantees of National Heart, Lung, and Blood Institute (NHLBI) and National In-

stitute on Aging (NIA), and others demonstrated that adult stem cells isolated

from mouse bone marrow could become functioning heart muscle cells when in-

jected into a damaged mouse heart. The new cells at least partially restored the

heart’s ability to pump blood.

2002 People with elevated levels of the amino acid homocysteine in the blood had nearly

double the risk of Alzheimer’s disease (AD), according to a team of scientists sup-

ported by NIA and NINDS. The findings, in a group of participants in NHLBI’s

long-running Framingham Study, are the first to tie homocysteine levels meas-

ured several years before with a later diagnosis of AD and the other dementias,

providing some of the most powerful evidence yet of an association between high

plasma homocysteine and later significant memory loss.

2003 Researchers supported by National Institute of Mental Health (NIMH) found a

gene called 5-HTT that influences whether people become depressed when faced

with major life stresses such as relationship problems, financial difficulties and

illness. The gene by itself does not cause depression, but it does affect how likely

people are to get depressed when faced with major life stresses. Another study led

by National Institute on Alcohol Abuse and Alcoholism (NIAAA) researchers

found that this same gene affects drinking habits in college students. These stud-

ies are major contributions toward understanding how a person’s response to their

environment is influenced by their genetic makeup.

TABLE 1.1 – THE NIH ALMANAC—HISTORICAL DATA

(continued)

24 CHAPTER 1

ter of seconds—one must also consider the common good outside U.S. borders.

Since the 1980s, globalization has increased at a particularly rapid pace, resulting

in both positive and negative effects. Globalization has changed how Americans do

business and has turned a national economy into a global economy. It has opened

up markets for American products and has allowed for the importation of less ex-

pensive goods from developing markets—i.e., China, India, Brazil.

At the same time, U.S. citizens have also witnessed how globalization might affect

their health and safety. Foodborne illnesses such as mad cow disease have traveled

across borders. H1N1 and avian flu strains have entered the United States with rel-

ative ease. Globalization has made it easier for terrorists to attack American inter-

ests both within and outside the borders of the United States. This new global

environment stresses the need for the U.S. government to increase national secu-

rity while improving defensive measures on an international scale as well.

TABLE 1.1 – THE NIH ALMANAC—HISTORICAL DATA (continued)

Year Discoveries

2004 An international clinical trial concluded that women should consider taking letro-

zole after five years of tamoxifen treatment to continue to reduce the risk of re-

currence of breast cancer. This advance in breast cancer treatment will improve

the outlook for many thousands of women. NCI supported the U.S. portion of the

study, which offered one more example of the ability to interrupt the progression

of a cancer using a drug that blocks a crucial metabolic pathway in the tumor cell.

2005 An HIV/AIDS vaccine developed by scientists at NIAID’s Dale and Betty Bumpers

Vaccine Research Center moved into its second phase of clinical testing in Octo-

ber. This vaccine contains synthetic genes representing HIV subtypes found in

Europe, North America, Africa, and Asia that account about 85 percent of HIV in-

fections worldwide.

2006 NCI-funded research spanning nearly two decades helped lead to U.S. Food and

Drug Administration (FDA) approval for a vaccine to prevent cervical cancer, a

disease that claims the lives of nearly 4,000 women each year in the United States.

It is the first cancer vaccine approved by the FDA.

2007 An experimental vaccine—originally created and tested over the past two decades

by NIAID scientists—appears safe and effective in preventing hepatitis E, a some-

times deadly viral disease prevalent in developing countries. A clinical trial in-

volving nearly 2,000 healthy adults in Nepal, where the virus is widespread, found

that the vaccine was nearly 96 percent effective in preventing hepatitis E during

a follow-up period of about two years.

Source: National Institutes of Health, “The NIH Almanac—Historical Data,” September 1, 2009, www.nih.gov/about/almanac/historical/chronology_of_events.htm.

25Public Administration: An Indispensable Part of Society

One of the federal government’s most powerful tools in the international arena

is the United States Agency for International Development, or USAID. Created

in 1961 with the primary responsibility of providing long-range social and eco-

nomic assistance, USAID has a vision of “accelerat[ing] the advance of democ-

racy, prosperity and human well-being in developing countries.” According to

the agency, its mission is to facilitate “human progress in developing countries

by reducing poverty, advancing democracy, building market economies, pro-

moting security, responding to crises, and improving quality of life. Working

with governments, institutions, and civil society, we assist individuals to build

their own futures by mobilizing the full range of America’s public and private

resources through our expert presence overseas” (USAID 2008). To accomplish

that mission, USAID has five strategic goals around which it organizes its oper-

ations: Peace and Security, Governing Justly and Democratically, Investing in

People, Economic Growth, and Humanitarian Assistance. As displayed in Figure

1.12, in FY 2007 the total net cost of USAID operations was about $9.3 billion,

and less than 2 percent of that was spent on management. More than $8 billion

was spent on foreign aid.

Since its inception in 1961, USAID has revolutionized the concept of foreign assis-

tance programs. According to the USAID website:

• More than 3 million lives are saved every year through USAID immu-

nization programs.

• Oral rehydration therapy, a low cost and easily administered solution

Source: USAID Policy. 2007. “Analysis of USAID's Financial Statements. Overview of Financial Position.” www.usaid.gov/policy/afr07/mda_0400.html.

FIGURE 1.12 – NET COST OF OPERATIONS (DOLLARS IN THOUSANDS)

N E T C O S T OF O P E R A T I O N S (Dollars in Thousands)

$117.152 (1.3%)

$459,065 (4.9%)

$1,386,054 (14.9%)

$1,303,047 (14.0%)

$3,000,895 (32.3%)

$3,029,681 (32.6%)

Objective

Peace and Security

Governing Justly and Democratically

Investing in People

Economic Growth

Humanitarian Assistance

Operating Unit Management

Total $ 9,295,894

26 CHAPTER 1

developed through USAID programs in Bangladesh, is credited with

saving tens of millions of lives around the globe.

• There were 58 democratic nations in 1980. By 1995, this number had

jumped to 115 nations.

• Life expectancy in the developing world has increased by about 33

percent, smallpox has been eradicated worldwide, and as of 2009, the

number of the world’s chronically undernourished has been reduced

by 50 percent.

• The United Nations Drinking Water Supply and Sanitation Decade, in

which USAID played a major role, resulted in 1.3 billion people re-

ceiving safe drinking water sources, and 750 million people receiving

sanitation for the first time.

• With the help of USAID, 21,000 farm families in Honduras have been

trained in improved land cultivation practices that have reduced soil

erosion by 70,000 tons.

• Agricultural research sponsored by the United States sparked the

“Green Revolution” in India. These breakthroughs in agricultural tech-

nology and practices resulted in the most dramatic increase in agricul-

tural yields and production in the history of humankind, allowing

nations like India and Bangladesh to become nearly food self-sufficient.

• In the past 50 years, infant and child death rates in the developing

world have been reduced by 50 percent, and health conditions around

the world have improved more during this period than in all previous

human history.

• Early USAID action in southern Africa in 1992 prevented massive

famine in the region, saving millions of lives.

Jennifer Government: NationStates (Simulation) In this nation-building simulation game, students take charge of a country and test their ability to improve its performance. Your decisions may reduce crime, improve educational achievement, lift people out of poverty, and accelerate economic growth. But improving performance is dependent upon the performance metrics you chose to establish. After completing the simulation, students will summarize the plan of ac- tion they have taken, justify those actions, and assess the outcomes of their deci- sions. In groups of three to five students, compare their strategies and results.

Jennifer Government: NationStates, www.nationstates.net

EXERCISE 1.2

27Public Administration: An Indispensable Part of Society

• Literacy rates are up 33 percent worldwide in the last 25 years, and

primary school enrollment has tripled in that period.

(Source: www.usaid.gov/policy/afr08/afr08_brochure.pdf)

Some observers may question the amount of money the U.S. government spends on

foreign assistance. Some may think that money can be better spent within the bor-

ders of the United States. Ultimately, the answers to those questions remain a po-

litical decision. Nevertheless, it is clear that without U.S. assistance, the world

would be a much different place. Whether through supporting the nonprofit com-

munity, investing in research, or providing assistance to the international com-

munity, federal government support enhances the quality of life as we know it. But

what about local governments? What efforts can we identify that improve the qual-

ity of our lives on a local level?

Governments around the country continually take innovative initiatives to deliver

public services as promised in their charters, by their elected officials, and by the

appointed public servants who are committed to continuous improvement. For ex-

ample, the city of Chicago makes enormous investments in police services. In 2002

the Chicago Police Department (CPD) launched the Citizen and Law Enforcement

Analysis and Reporting (CLEAR) program. CLEAR is a broad database of crime

statistics. The data are, in general, openly accessible through websites and provide

both police officers and citizens detailed crime information in response to their in-

quiries. CLEAR data are displayed utilizing Geographic In-

formation Systems (GIS) technology. Citizens may engage

the system in multiple ways: First, they can report inci-

dents through CLEAR. According to the website, those re-

ports “should be criminal, quality of life or neighborhood

disorder in nature, which affects more than one person and

should be addressed by the police, city services and the

community” (Chicago Police Department 2008). Second,

citizens may sign up to receive regular updates of crime sta-

tistics within a certain area. Areas can be defined by ward,

beat, district, etc. Finally, citizens can form block groups,

such as those associated with small, geographically defined

communities, or they can be represented as vertical block

groups for residents of one building. Once a block group is

formed, data about that specific block will then be posted

in the CLEAR database. The database can also be useful to police officers. Accord-

ing to Governing magazine, police officer Brian Joseph Tierney claimed it has helped him deal with criminals as he walks the beat: “It’s very deflating to them,”

he says, “when some character finds out that I know he’s lying to me because I was

able to pull up his picture with the touch of a finger.” Tierney’s experience must be

felt by others. Crime in Chicago has been decreasing by about 6 percent each year

“Government is a trust, and the officers of the

government are trustees; and both the trust and the

trustees are created for the benefit of the

people.”

HENRY CLAY American Statesman

28 CHAPTER 1

since the system was initiated in 2002. Based upon Chicago’s success, similar sys-

tems are being implemented throughout the United States.

Public Services Are Provided by Dedicated Public Servants It is ironic that the many deeply personal services of government, only a few of

which have been described here, are often provided by anonymous public servants

who rarely gain personal recognition. That is the government with which most

Americans are familiar—a bureaucracy staffed by civil servants with no faces and no

names. Every day millions of public servants provide the services that make our

lives more secure, healthy, and vibrant.

Dr. Rajiv Jain is the Chief of Staff and Methicillin-Resistant Staphylococcus Aureus

(MRSA) Program Director within the Department of Veterans Affairs. Jain received

his Doctor of Medicine from Saurashtra University in India. He then continued his

training at the University of Connecticut and at the University of Virginia Hospital

in Charlottesville, Virginia. He has won many awards for his outstanding work deal-

ing with MSRA.

In the United States, about 100,000 people die each year from infections contracted

during hospital stays. MRSA is one of the major causes of those infections. Dr. Jain’s

work has led to the reduction of MRSA-caused infections by about 60 percent. If im-

plemented throughout the United States, his techniques would reduce the number of

deaths by about 60,000 people and decrease the number of infections (which has now

reached about 2 million) by 1.2 million. Many other medical personnel—though un-

recognized—are helping him implement this program: “I think the [Service to Amer-

ica] award should really go to the people [working in the hospitals] because, although

we came up with the idea, they are the ones carrying it out every day” (Lu 2009). What

was originally intended to be a short stint at Veterans Affairs has turned into 29 years—

a dedicated life of serving the public. Jain believes, “The fact that you are serving the

public to me is absolutely the icing on the cake” (Service to America 2008).

Harness the Power of Public Service (Video) President Bill Clinton addresses Rutgers University students regarding the value of public service and civic engagement. Access the following website and watch the video. What key messages would you deliver concerning the importance of public service? Augment your answer with information from other videos on this site that deal with the impact of public service on community building.

Rutgers Newark Public Service, “Harness the Power of Public Service,” September 29, 2009, www.youtube.com/RUPubServe

EXERCISE 1.3

29Public Administration: An Indispensable Part of Society

Rarely do we acknowledge a particular public servant who keeps our community

safe or teaches our children on a daily basis. World War II veteran Osceola L.

Fletcher (Ozzie) is a public servant whose career spans 60 years. Not only did he

serve as an officer in the New York Police Department for 24 years, but he contin-

ued to work another 15 years as a teacher in the New York City Public Schools and

then went on to become a community relations specialist in

the Brooklyn District Attorney’s office. He was honored

with a Sloan Public Service Award, at which time the

Brooklyn District Attorney stated: “Ozzie Fletcher’s long

and distinguished career epitomizes what it means to be a

public servant” (Fund for the City of New York 2009, p. 2).

In Ozzie’s own words, “Everything I have done is a contin-

uum of the kind of public service I believe in. I have had

the opportunity to work with such a wonderful diversity of

people—something that was not possible when I was grow-

ing up. It is important to connect generations to each other;

otherwise we lose perspective on the meaning of what came

before and what lies ahead, and how to achieve a less con-

tentious world” (Fund for the City of New York 2009).

Bureaucracy—Functional or Not? Bureaucracy is the structure within which virtually all gov-

ernment organizations operate and is characteristic of

large, private concerns, as well. The concept of a bureau-

cracy is to ensure that goods and services can be produced

or provided in the most efficient manner possible. Max Weber (1922/2004), an

eminent German sociologist and organizational theorist, defined bureaucracy as

having the following characteristics:

I. Jurisdictional boundaries—which are typically prescribed by laws or ad-

ministrative regulations.

II. Hierarchy—which ensures an ordered system where superiors monitor

subordinates.

III. Reliance on written documents (or the preservation of files).

IV. Expertly trained managers.

V. The management of the organization subscribes to general rules, which

can be learned and applied uniformly more or less.

It has become commonplace to associate negative stereotypes with bureaucrats.

These are often perpetuated by groups seeking smaller government, politicians

looking to place blame, or citizens involved in uncomfortable interactions or trans-

actions. But these stereotypes often have little basis in fact. The career officials who

“We know that government can’t

solve all our problems—and we

don’t want it to. But we also know

that there are some things we can’t do on our

own. We know that there are some

things we do better together.”

BARACK OBAMA 44th President of the

United States

30 CHAPTER 1

work for government are typically productive, dedicated members of society. Politi-

cians will often blame an incompetent bureaucracy when a policy fails but rarely

credit the same bureaucratic officials when a policy is successfully implemented.

A common claim is that those who work in the public sector receive too much money

for the amount of time that they work. This is especially common in discussions of

teachers. The assumption is that they work fewer hours a day than other profes-

sionals and have long vacations throughout the year and in the summer. But a recent

study by the Time Committee (2007)—established by the State of Hawaii Board of

Education—found that teachers in Hawaii work an extra 1,780 hours a year prepar-

ing for class, grading papers, attending school events, etc. Even if that figure is some-

what exaggerated, the study suggests that teachers are actually underpaid for the

amount of hours they spend working in a professional capacity (Joint Hawaii State

Teachers Association and Board of Education Time Committee 2007).

Not only do teachers spend more time working in a professional capacity than is

typically acknowledged, but they work in a far more turbulent environment than

many other professionals. During the 2006–2007 school year, students aged 12

to 18 were the victims of 1.7 million nonfatal crimes, and about 10 percent of

teachers in urban schools were threatened with harm or violence (National Cen-

ter for Education Statistics 2009). In the 2003–2004 school year, more than

120,000 teachers reported being physically attacked by a student. That vulnera-

At Age 112, Montana Resident Reflects on More Than a Century of Changes WILLIAM MARCUS [PBS]: And who, of all those presidents, who’s your favorite?

WALTER BREUNING: Well, I think Roosevelt done the most when he created So- cial Security and made several changes. But, you know, the second war, if he hadn’t

opened up at that time, Roosevelt would have had a tough time.

WILLIAM MARCUS [PBS]: How would you counsel future generations to be a part of their country?

WALTER BREUNING: Everybody learns from life what’s going on. And if they pay attention to everything that people do, especially helping people, that’s one big thing.

A lot of people think they’re born for themselves; I don’t think that. I believe that

we’re here to help other people all the way through.

Source: PBS NewsHour, online transcript, February 16, 2009, www.pbs.org/newshour/bb/social_is- sues/jan-june09/walter_02–16.html.

31Public Administration: An Indispensable Part of Society

bility is not specific to teachers, however. In 2002, about 35 percent of social

workers reported being attacked. Other public servants such as police officers

and firefighters face even greater risk to their lives. On average about 62,000 po-

lice officers are assaulted and 95,000 firefighters are injured each year. The con-

tributions provided by dedicated public professionals in dangerous settings

certainly deserve our appreciation.

What, Then, Is Public Administration? Among the many depictions of the field of public administration (PA) is that of

the administrator as an impartial implementer. This view gained much of its cred-

ibility from some of the original scholars in the field of public administration, in-

cluding Woodrow Wilson (1887/2004) and Frank Goodnow (1906/2004). Both

scholars viewed the field as being separate from the everyday clashes and com-

promises of politics. They defined a field in which politics and administration

could and should be separated from each other. Wilson held that “the business of

government is to organize the common interest against the special interest”

(1887/2004). Goodnow advocated for a distinction between the functions of the

politics and the administration of government, noting that politics had to do with

policies and the administration dealt with their execution (1906/2004). Although

this view of a “dichotomy” has long been disputed and is commonly viewed as

overly narrow and simplistic, its legacy still partly defines public administration.

An overly narrow understanding of public administration can be challenged quite

easily by examining the many facets of responsibility for the public administrator.

Although impartial implementer may be one legitimate role, it does not fully define

a field so vast and influential in its actions. In 1926 Leonard White—a renowned

public administration scholar—defined public administration as “the management

of men and materials in the accomplishment of the purpose of the state.” He went

on to say, “The objective of public administration is the most efficient utilization of

the resources at the disposal of officials and employees.” Absent from this defini-

tion, though, is the idea of democracy and social equity (White 1926/2004).

A narrower view of public administration is as public management, generally con-

sidered the management of organizations within the government or nonprofit sec-

tor. Unlike private management, public management is driven by its need to reach

its goals or mission rather than its need to make a profit. Public management’s in-

herent attachment to democratic principles affects the dynamics of management

policies. Public management has to do with some of the key responsibilities of the

executive as defined by Luther Gulick’s (1937/2004) formulation of PODSCORB—

Planning, Organizing, Directing, Staffing, Coordinating, Recruiting, and Budget-

ing. In the twenty-first century, public management also deals with broad

organizational objectives through strategic planning, budgeting, and human re-

source implementation.

32 CHAPTER 1

Since the 1930s, the field of public administration has changed significantly. One of

the largest changes came in the 1960s and 1970s with the ideas that grew out of the

New Public Administration movement. Eminent scholar H. George Frederickson

wrote: “The rationale for public administration is almost always better (more effi-

cient or economical) management. New Public Administration adds social equity to

the classical objectives and rationale” (1971/2004). The concept of social equity—

and its adoption as an integral element of government’s mission—has transformed

the field of public administration.

Our own definition incorporates some of the classical and more recent concepts as-

sociated with public administration. We define public administration as the for- mation and implementation of public policy. It is an amalgamation of management-based strategies such as planning, organizing, directing, coordi- nating, and controlling. It incorporates behaviorally based practices adopted from fields such as psychology and sociology. All of those strategies and practices are utilized within a democratic framework of accountability. The formation and implementation of policy, while formally controlled by government managers, has since been expanded to include the nonprofit and for-profit communities.

The Encyclopedia Britannica Online defines public administration as “the imple-

mentation of government policies. Today public administration is often regarded as

including also some responsibility for determining the policies and programs of gov-

ernments. Specifically, it is the planning, organizing, directing, coordinating, and

controlling of government operations” (www.britannica.com/EBchecked/topic/

482290/public-administration).

33Public Administration: An Indispensable Part of Society

Behn, R.D. 2001. Rethinking Democratic Accountability. Washington, DC: Brookings Institution Press.

Boys and Girls Clubs of America. 2010. “Who We Are.” http://www.bgca.org/

whoweare/mission.asp.

Bureau of Labor Statistics. 2010. “Economic News Release. Volunteering in the

United States, 2009.” http://www.bls.gov/news.release/volun.nr0.htm.

Chicago Police Department. 2008. “CLEARpath. Community Concerns.”

https://portal.chicagopolice.org/portal/page/portal/ClearPath/Communi-

ties/Community%20Concerns.

Environmental Protection Agency. 2010. “EPA Office of Water.” http://

water.epa.gov/.

Experience Works. 2010. “What We Do.” http://www.experienceworks.org.

Frederickson, H.G. 1971/2004. “Toward a New Public Administration.” In Classics of Public Administration, ed. A.C. Hyde, J.M. Shafritz, and S.J. Parkes, 315–27. Belmont, CA: Wadsworth/Thomson Learning.

Fund for the City of New York. 2009. “Sloan Public Service Awards.” New York:

Alfred P. Sloan Foundation/Fund for the City of New York. www.fcny.org/

fcny/core/sloan/.

Goodnow. F. 1906/2004. “Politics and Administration.” In Classics of Public Ad- ministration, ed. A.C. Hyde, J.M. Shafritz, and S.J. Parkes, 35–37. Belmont, CA: Wadsworth/Thomson Learning.

Greene, J.P., and M. Winters. 2005. “The Teacher-Pay Myth.” New York Post, Sep- tember 22.

501(c)(3)

Bureaucracy

Employment taxes

Globalization

Gross domestic product (GDP)

Nonprofit sector

Private sector

Public administration (PA)

Public management

Public sector

Sales taxes

Taxation

KEY TERMS

REFERENCES

34 CHAPTER 1

Gulick, L. 1937/2004. “Notes on the Theory of Organization.” In Classics of Public Administration, ed. A.C. Hyde, J.M. Shafritz, and S.J. Parkes, 90–98. Belmont, CA: Wadsworth/Thomson Learning.

Howe, S. 2008. “Eight Stand-out Public Servants Receive Coveted Service to Amer-

ica Medals at Washington, DC Gala.” Partnership for Public Service, September 16. http://ourpublicservice.org/OPS/pressroom/releases/release_080917_

sammies.shtml.

Joint Hawaii State Teachers Association and Board of Education Time Committee.

2007. Time Committee Preliminary Report. Honolulu: Hawaii Board of Educa- tion, http://www.focusmauinui.com/pdf/TimeCommittee%20PreliminaryRe-

port_3–15–07.pdf.

Light, P.C. 2002. “Fact Sheet on the New True Size of Government.” Brookings

Institution website. www.brookings.edu/~/media/Files/rc/articles/2003/

0905politics_light/light20030905.pdf.

Lipsky, M. 1980. Street-level Bureacracy: Dilemmas of the Individual in Public Services. New York: Russell Sage Foundation.

Lu, Y. 2009. “Pittsburgh Doctor Wins Service to America Medal.” The Tartan On- line, January 26. www.thetartan.org/2009/1/26/scitech/serviceaward.

National Center for Education Statistics. 2009. “Indicators of School Crime and

Safety: 2008.” http://nces.ed.gov/programs/crimeindicators/crimeindica-

tors2008/key.asp.

National Institute of Food and Agriculture. 2010. “About NIFA.”

http://www.csrees.usda.gov/about/about.html.

National Institutes of Health. 2009. “The NIH Almanac—Historical Data,” Sep-

tember 1. www.nih.gov/about/almanac/historical/chronology_of_events.htm.

National Institutes for Health. 2010. “About the National Institutes of Health.” May

18. http://www.nih.gov/about/index.html.

National Office of Public Health Genomics of the Centers for Disease Control and

Prevention. 2010. “Public Health Genomics. About Us.” http://www.cdc.gov/ge-

nomics/about/index.htm.

National Science Foundation. 2010. “About the National Science Foundation.”

http://www.nsf.gov/about/.

New York City. 1998. Archives of Rudolph W. Giuliani. Mayor’s WINS Address,

Sunday, August 16. http://www.nyc.gov/html/records/rwg/html/98b/

me980816.html.

Partnership for Public Service. 2008. “Service to America Medal Recipients.”

35Public Administration: An Indispensable Part of Society

http://servicetoamericamedals.org/SAM/recipients/sam08/sam08a.shtml.

Pressman, J.L., and A.B. Wildavsky. 1973. Implementation: How Great Expecta- tions in Washington Are Dashed in Oakland; Or, Why It’s Amazing That Fed- eral Programs Work at All, This Being a Saga of the Economic Development Administration as Told by Two Sympathetic Observers Who Seek to Build Morals on a Foundation of Ruined Hopes. The Oakland Project series. Berkeley: University of California Press.

Romzek, B.S., and M.J. Dubnick. 1987. “Accountability in the Public Sector: Les-

sons from the Challenger Tragedy.” In Democracy, Bureaucracy, and the Study of Administration, ed. C. Stivers, 182–204. Boulder, CO: Westview Press.

Rosenbloom, D.H. 2000. “Retrofitting the Administrative State to the Constitu-

tion: Congress and the Judiciary’s Twentieth-Century Progress.” Public Admin- istration Review 60: 39–46.

United Nations. 2010. “International Water for Life Decade. Factsheet on Water

and Sanitation.” http://www.un.org/waterforlifedecade/factsheet.html.

Urban Institute. 2010. “Nonprofits.” http://www.urban.org/nonprofits/index.cfm.

USAID.2008. “Fiscal Year 2008. USAID Annual Performance Report. Overview.”

http://www.usaid.gov/policy/budget/apr08/apr08_overview.pdf.

Walters, Johnathan.2007. “Data on the Beat.” Governing magazine, July 31. www. governing.com/topics/public-justice-safety/Data-on-the-Beat.html.

Weber, M. 1922/2004. “Bureaucracy.” In Classics of Public Administration, ed. A.C. Hyde, J.M. Shafritz, and S.J. Parkes, 50–55. Belmont, CA:

Wadsworth/Thomson Learning.

White, L. 1926/2004. “Introduction to the Study of Public Administration.” In Clas- sics of Public Administration, ed. A.C. Hyde, J.M. Shafritz, and S.J. Parkes, 56– 63. Belmont, CA: Wadsworth/Thomson Learning.

Wilson, W. 1887/2004. “The Study of Administration.” In Classics of Public Ad- ministration, ed. A.C. Hyde, J.M. Shafritz, and S.J. Parkes, 22–34. Belmont, CA: Wadsworth/Thomson Learning.

Bozeman, Barry. 2007. Public Values and Public Interest. Washington, DC: Georgetown University Press.

Denhardt, Janet V., and Robert B. Denhardt. 2007. The New Public Service: Serv- ing, not Steering. Armonk, NY: M.E. Sharpe.

SUPPLEMENTARY READINGS

36 CHAPTER 1

Gargan, John J., ed. 2000. Handbook of State Government Administration. New York: Marcel Dekker.

Laurence E. Lynn. 2006. Public Management: Old and New. New York: Routledge.

Nicholas Henry. 2009. Public Administration and Public Affairs. Upper Saddle River, NJ: Pearson/Prentice-Hall.

Peters, B. Guy and Jon Pierre, eds. 2003. Handbook of Public Administration. Thousand Oaks, CA: Sage.

Philip H. Jos and Mark E. Tompkins. 2009. “Keeping It Public: Defending Public

Service Values in a Customer Service Age.” Public Administration Review 69, no. 6: 1077-1086.

Richard T. Green, Gary L. Wamsley and Lawrence F. Keller. 1993. “Reconstituting

a Profession for American Public Administration.” Public Administration Re- view 53, no. 6: 516-524.

Tina Nabatchi, Holly T. Goerdel, and Shelly Peffer. 2011. “Public Administration in

Dark Times: Some Questions for the Future of the Field.” Journal of Public Ad- ministration and Research 21: i29-i43.

Wamsley, Gary L., Robert N. Bacher, Charles T. Goodsell, Philip S. Kronenberg,

John A. Rohr, Camilla M. Stivers, Orion F. White, and James F. Wolf. 1990. Re- founding Public Administration. Newbury Park, CA: Sage.

Wing, K., Pollack, T.H., and Blackwood, A. 2008. The Nonprofit Almanac, 7th ed. Washington, DC: The Urban Institute Press.

Fred Thompson. "What Public Managers Should Study." Atkinson Graduate School

of Management, Willamette University, http://www.willamette.edu/~fthompso/

Public_MANAGEMENT.html

Robert Behn. 2005, "M-Gov, E-Gov, and I-Gov" Public Management report, 2-10,

http://www.hks.harvard.edu/thebehnreport/June2005.pdf

Russell W. Mills. 2010. "The Promise of Collaborative Voluntary Partnerships:

Lessons from the Federal Aviation Administration." Collaborating Across Boundaries Series. IBM Center for The Business of Government, http://www.businessofgovernment.org/sites/default/files/The%20Promise%20

of%20Collaborative%20Voluntary%20Partnerships.pdf

ELECTRONIC RESOURCES

37Public Administration: An Indispensable Part of Society

Building Commissioning for Better Public Buildings Case Study, “Bainbridge Is-

land High School—Assuring HVAC Comfort and Efficiency,” Washington State

Department of General Administration, Fall 2003, www.ga.wa.gov/eas/bcx/

BainbridgeIsland%20HighSchool-cx.pdf.

Fuchs, Ester R., Rachel Hare, and Hannah Nudell. “Innovations in City Govern-

ment: The Case of New York City’s Workforce Development System.” Columbia

School of International and Public Affairs Case Study, November 5, 2008,

www.nyc.gov/html/sbs/wib/downloads/pdf/columbia_case_study.pdf.

CASE STUDIES

38 CHAPTER 1

Government-Bashing: Seven Myths Claim 1: Government exerts too much control over our lives. Every time private citizens allow “government” to enact a new law, or new regulation, we cede a little bit more power to it. We give up a little bit more of our privacy, a bit more control over our future, and enable this huge impersonal force called government to make more decisions for us.

Answer: Ask yourself the following questions: What goes into our ears? Sounds pro- vided by Clear Channel and an ever-shrinking number of privately owned radio con-

glomerates answerable to no one. What goes into our eyes? TV shows and movies

and news broadcasts provided by a small group of ever more powerful private enti-

ties whose goal is to increase their bottom line. Who tells us what foods to eat and

medicines to take? Privately owned companies like McDonald’s and Coke and Pfizer

and Johnson & Johnson. Who tells our children what constitutes “cool behavior” and

gives our kids daily examples of what is fair and moral? Does [President Barack]

Obama get on TV and say that premarital sex and swearing are great ways to make

friends? No, but private industries do—in that case, the entertainment industry,

which makes money selling kids extremely nonfamily values. Who tells us what cars

we need to drive in order to feel manly, what gadgets we need to buy for our chil-

dren, and where to shop? Private industry does. Who tells our children that it’s much

better to spend money on trinkets and fancy cars to impress girls than it is to save for

college? Who tells our kids to drink Budweiser and smoke cigarettes? Private indus-

tries do, industries that make billions of dollars from your children’s future addic-

tions. Who collects data on the websites we visit, what we buy online, and whom we

chat with? Well, my friend, that would be Google, Microsoft and Facebook, not “gov-

ernment.” Who reports the identities of political dissidents to repressive govern-

ments like China, sells our personal data to the highest bidder, and spies on our

Internet activity? You’re thinking, that’s gotta be Obama and those wicked Democ-

rats? No. Once again, that would be Yahoo, Facebook and Google, respectively. Does

government make the schoolbooks our children learn from? No. Private industries

do, companies like Pearson, McGraw-Hill, Reed Elsevier, and Houghton Mifflin.

Check your child’s textbook. Did “government” make it? Nope. Mostly likely, it came

from one of the companies I just named. Does government make the voting machines

we vote on? No. Private industries do, companies like Diebold, Sequoia, and the Ne-

braska-based Election Systems, who are answerable to no one but their sharehold-

ers. And who has the largest financial stake in you ignoring the above paragraph, and

wants you to please, please get back to the business of complaining about govern-

ment? Private industry does.

39Public Administration: An Indispensable Part of Society

Claim 2: When government steps in to fix a problem, they never get it right. They should just leave business to fix itself.

Answer: It’s quite true that government’s fixes never seem to work, but that’s by de- sign. We don’t want a government with absolute power to dictate policies, even if

those policies seem good for the short term. We’re too smart for that. We know very

well that giving government lots of power to fix today’s crises would create rules that,

later on, would be burdensome. This is true by and large, but there are times we

should rethink that notion. Take the example of the BP oil mess. For decades, Amer-

ica has let Big Oil pretty much have its own way, let them sign off on their own safety

reports, accept their verbal assurances that they will play nice and not hurt the pretty

fishes when they drill. Now, BP has created a crisis they can’t control, so we want

[President] Obama to step up and take over. But since America has always let oil

companies manage their own problems, we lack the expertise to come in behind BP

and play cleanup. Obama will now try his best to jump in and fix things, and the re-

sults will appear clumsy and poorly thought out, simply because a spill of this mag-

nitude is quite new to all of us, and we’ll have to learn as we go. One might say that

the government should have been keeping closer watch of Big Oil all along, so as not

to be caught in this sort of mess. But then, Republicans would have seized that op-

portunity to whine even more about “government” interference. Another example of

government’s partial solutions to big problems is Obama’s foreclosure prevention

plan. It’s a flop. Why? Because the plan is voluntary. Obama’s plan would work just

fine if Congress forced the banks to play, but who has the political stomach for that?

Force the banks to take pennies on the dollar? There’d be cries of “socialism.” Very

few people want to grant the government the broad powers and regulatory teeth re-

quired to craft a workable solution to the foreclosure problem. Such a plan would be

very good for the economy, but enacting it is a matter of political will. Who wants to

tell the banks that they need to take a haircut for the good of the nation? Obama

could, if he had enough political support to weather the Glenn Beck character assas-

sination that is sure to follow. But since Americans want Obama to be both “in

charge,” but also let the private sector run its own ship, then he’s bound to fail in

many people’s eyes. Americans seem destined to accept ineffective half-solutions to

the problems we want the government to address, rather than give the President the

mandate to enact something far-reaching and comprehensive. So pick your poison:

Give government the wide-ranging power to fix a problem, or live with that problem

and feel “free” from government oppression. But don’t just complain that “govern-

ment can’t fix things.” (continued)

40 CHAPTER 1

Claim 3: Government can’t do anything right.

Answer: Everything you do is protected by government. We drive on paved high- ways, eat food, drink water, breath air, and take medicines that are relatively safe

and contain ingredients that bear some similarity to what’s on the label, all because

of government. The dealer who sold you a car can’t sell you a lemon, because of gov-

ernment. The restaurant where you eat can’t serve you spoiled food, because of gov-

ernment. We live in homes that are built according to legal codes, codes that punish

builders who use shoddy workmanship and toxic materials. These benefits also come

from government. We are paid regular wages by employers who are obligated to do

so by law. Because of government oversight, the police [officer] who pulls you over

can’t punch you in the stomach just because he’s in a bad mood. When we go to the

hospital, we are treated according to standards that carry the force of regulations

that come from government. When we hire a lawyer, he or she must do the same, or

risk disbarment. The elderly among us are not obliged to beg, or die in the streets

when they get sick, because a government program takes care of them. When we turn

on the radio or TV, the airwaves broadcast as expected. Programs not suitable for

families are labeled accordingly, and aired only when the kids are (supposed to be)

in bed. Despite all our complaints, our lives are improved greatly by that evil boogey-

man, “government,” the institution we love to hate, those mousy regulators that are

the butt of everyone’s jokes. These faceless, plodding, uninspiring bureaucrats that

we endlessly make fun of actually make it so that our lives run relatively smoothly.

Claim 4: Before [President Ronald] Reagan came along and reduced government and low- ered taxes, America was worse off. Although it’s true that in the 1950s–70s, Amer- ica enjoyed a heyday, with a healthy middle class, lots of well-paying union jobs, few economic worries, where the average worker could raise a family in a nice neighborhood, buy a home, and afford to send his kids to college. However, these salad days were built on comfortable union deals and high taxes that were only sustainable because America was the sole economic engine of the West. Enter the mid-1970s, with its crippling inflation, expensive foreign aid commitments, and the resulting Carter-era “stagflation,” and it became clear that America’s experiment with high taxes and liberal big government was coming to an end. The allies Amer- ica helped rebuild were challenging our economic dominance, and no Democrat had the guts to propose scaling back government and union power. When Presi- dent Reagan was elected, he bucked all trends and lowered taxes, especially on the wealthy, and on corporations. Reagan ordered The Fed to tighten money, which

(continued)

41Public Administration: An Indispensable Part of Society

unfortunately ushered in three years of painful unemployment, but the final result was an unprecedented economic boom that made money for everyone and gener- ated wealth in all quarters. There can be no doubt that Reagan’s brave medicine of tax cuts in the face of almost universal Democratic opposition turned the nation around, so that the America that Reagan left us, awash in national pride and wealth, bore no resemblance to the sorry state given him by the outgoing President Carter in 1980.

Answer: There’s certainly some truth to the above. It’s true that by 1980, America’s allies were becoming industrial powerhouses, and wiser heads predicted a day when

the world would no longer buy all our cars, absorb our exports, and thus finance Big

Labor’s expectation of cradle-to-grave comfort for America’s workers. Reagan’s an-

swer was to radically cut taxes. In doing so, he created massive deficits. America

quickly learned that deficits would balloon and become unmanageable, so in 1983,

Reagan backed off his tax cuts and raised the amount that each worker had to con-

tribute to Social Security. He also raised the Social Security deduction ceiling to

$90,000 (before this, you didn’t have to pay Social Security tax on yearly income

over $30,000). However, Reagan continued to cut corporate taxes and taxes for the

very wealthy, so the deficit grew. To curb it, he borrowed hundreds of billions from

the Social Security trust fund, the first president to do so in significant amounts.

Americans still pay 100 billion dollars a year in interest on the money that Reagan

took from Social Security. This deficit-fear and all the creative bookkeeping required

to paper over the deficit has clouded every presidency since. There was, however,

lots of money floating around in the ’80s. The shifting of the tax burden to regular

workers and away from corporations and their owners resulted in a rush of new cash

that required investment, capital that had to be stashed in some way. What’s more,

other nations were coming into their own, flush with cash, and were eager to loan it

to us so America could skip down its merry high-borrowing ways. Thus began the

now-familiar scenario of foreign investors owning an ever-increasing portion of the

American pie. And around this time, since banks and corporations and the wealthy

were flush with cash, common-sense investment regulations were tossed aside. Cap-

italization/reserve requirements of banks were reduced. Banks began bundling debts

from various sources and swapping them for other commodities (sound familiar?),

making billions of dollars in the process. Wealthy players were encouraged to bet on

energy futures, and one result was the collapse of Enron, half a generation later,

which cost taxpayers billions. Thus, Reagan’s newly minted billionaires played Wall

Street like a casino, and Wall Street’s character changed from the stolid, relatively

boring institution it had become in the postwar world. We see the results of such

gambling today, when Goldman Sachs testified before Congress that they thrived (continued)

42 CHAPTER 1

during the 2008 meltdown by betting that their own investors would fail. And under

Reagan, for the first time, pension funds and bond markets were encouraged to begin

playing these risky financial games. These staid pillars of prudence were no longer

content with slow growth, while the rest of the big players were making billions. So

they tossed money into the pot as well, and one result was the financial near-collapse

of Orange County, California, in 1994. All of this was presaged by the Reagan-era

Savings & Loan scandal, which was but the first of the now-familiar bankers’ games

that cost the taxpayer hundreds of billions of dollars. The 2008 and 2009 “bailouts”

were not the first time the taxpayers footed the bill for Wall Street’s betting frenzy.

They were only the first giveaways to be called what they really were. But it was under

Reagan that taxpayers began shoring up bankers after they failed at dice. Before his

presidency, such a practice was unheard of.

What else did the Reagan-rich do with their newly minted billions? Buy other compa-

nies. The phenomena of eliminating companies and product lines because they weren’t

profitable enough, of forcing every company to do what it must to maximize profits or

risk being taken over, all that started under Reagan. The Reagan billionaires didn’t buy

other companies for the good of the nation, so that America could run fit and trim on

the open seas of tough competition, but instead, they treated newly acquired firms as

if they were ATMs, firing employees, gutting communities, stripping legacy businesses

of their assets, and draining money to the new corporate headquarters. The resulting

dearth of small businesses, the lack of local flavor, the corporate bigness that reduces

every town to a series of strip malls each with a Starbucks and a Subway and a Block-

buster Video, that all started under Reagan. The mega-rich reasoned that the purpose

for all the easy money Reagan gave them was to make more. We Americans didn’t no-

tice the trends right away, the corporate acquisitions that gradually touched every cor-

ner of America over three decades. Therefore, it’s hard for us to imagine an America

that doesn’t resemble an ever-shrinking portfolio of corporate logos dotting the high-

way. There was a time when a community’s livelihood had a lot more to do with what

actually happened in that community (no matter how small), not a corporate board-

room in a different state, or different country. Can you imagine a world in which CEOs

could grow their company at a manageable pace over a number of years, focusing on

sustainability rather than obsessing over quarterly profits? Before Reagan, such goals

were the norm. Of course in 2010, in the wake of the Enron scandal and the 2008 Melt-

down, we are careful to lament the obsession for fast profits at the expense of common

sense, but such wariness is only hindsight. Beginning under Reagan and through today,

profit-mania is viewed as a patriotic duty. Many have also lamented the loss of small,

local industries, local food and power production—but these had been deemed “inef- (continued)

(continued)

43Public Administration: An Indispensable Part of Society

ficient” by the still-popular Reagan business model, and so, we find that they’ve gone

the way of the typewriter and the dial-up modem. This notion that maximum prof-

itability must be the Golden Mean for all commerce was not popular until the Reagan

presidency sanctioned pure profitability for its own sake. A local industry that employs

perhaps a few hundred people can seldom compete with the profitability of its global

brethren. But so what? Should that assessment be regarded as the final word on its

value? Reagan convinced America that it was.

In the short run though, Reagan’s America was indeed awash in cash. We were

wealthy on paper, but those billions created relatively few jobs, and the ones created

were usually not robust. The 1980s saw the decline of well-paying manufacturing

jobs and the rise of the “service sector.” American workers emerged from early 1980s

recession to find themselves wearing aprons and colorful hats and serving ham-

burgers. But rather than invest in industries that would create good jobs, rather than

building industries that required highly educated workers in a multi-step produc-

tion chain that would put lots of people to work, the Reagan-rich invested in finan-

cial schemes that created a quick buck. Why didn’t the rich invest in stable,

multifaceted industries that created a vast array of products that regular people could

actually buy? Because during the Reagan years, regular people couldn’t afford to buy

much of anything. During Reagan’s first term, 10 percent of all working Americans

had no job, and the jobs they found later didn’t pay very well. Thus, industry had lit-

tle incentive to re-invent the Boom Years of 1955–75, during which products and all

their parts were made at home. During that era, regular Americans could afford to

buy the things they manufactured, a dual role which encouraged industry to manu-

facture more, creating a healthy cycle. But under Reagan, the middle class lost buy-

ing power, making up for this loss only by going into debt. The result was that the

Reagan-rich saw little incentive to finance what might have been a rejuvenated in-

dustrial base, a new economy that created long-term, nonexportable jobs, rather than

electronic trinkets that could just as well be manufactured overseas.

It’s quite true that in 1980, taxes needed to be cut, but America had other options be-

sides setting the rich loose on some sort of extended Las Vegas vacation at our ex-

pense. What if Reagan had cut taxes but created strong incentives to reinvest in

America? By now, we’d be energy-independent, a nation of producers as well as con-

sumers, and this notion of America going bankrupt because the Chinese market blinks

would be the subject of a novel, not our reality. How? By doing what America does

best: invent what is next. Ever hear of Bell & Howell? A joint business-government

think tank that developed technologies that shaped the world. We got there first.

America did it by combining brains and skill with manufacturing know-how. We could (continued)

44 CHAPTER 1

do that again by developing renewable energy sources, for example biomass fuels,

which only need a bit of tweaking to be profitable. America under Reagan, flush with

cash from tax cuts, could have begun such a partnership, getting a jump on fuel-effi-

cient cars (by now, we’d all have one, and oil-producing nations would have no power

over us at all). Under Reagan, we could have used all that cash to develop small in-

dustries with minimal environmental impact that could be controlled locally, which

matches the goal of both the Right and Left—to keep our affairs small and control-

lable. If Reagan hadn’t simply handed over tax cuts to the rich, giving them play-

money to manipulate stocks and housing, but had instead put America first, today,

we’d have broadband in every corner of America, we’d have small rural industries ef-

ficiently run off biomass fuels and computer technology, and students that could look

forward to jobs in these new burgeoning sectors, instead of working at Starbucks and

flipping houses. Under Reagan, America’s prisons grew by 90 percent. Imagine if the

percentage of Reagan Youth that spent its years behind bars could have, instead, been

given a low-cost education, then put to work developing tomorrow’s technologies. Ex-

pensive? Not as expensive as incarceration. Incarceration is much, much more ex-

pensive than education. The rush to lock up citizens is a problem of mindset, a

problem that results when you listen to an actor, not a thinker. We can do better.

Claim 5: Small government is good government.

Answer: Because of the atmosphere described in the above paragraphs, the need to squeeze every dollar spent for maximum profit, businesses can’t function with a lot

of common sense. In such a go-getter environment, a company is tempted to make-

believe that their employees can actually live on 8 dollars per hour, or that, by cut-

ting health insurance, their employees will magically stay healthy and productive. A

company is tempted to pretend that water runoff from animal waste will magically

avoid the lettuce crops nearby, or that customers who purchase your pharmaceuti-

cals will magically not notice the nasty side-effects that you’ve been hiding for years.

The breakneck rush for profits, the need to avoid being taken over by a larger com-

pany who’s willing to be nastier than you are—well, those realities make it too tempt-

ing for a large business to engage in predatory and unsafe practices. Business critics

on the Left often characterize corporate leaders as evil human beings. That’s not fair.

They’re just people who want their companies to survive, who believe that by firing

300 employees today, they’re doing right by the 800 employees who remain. Today’s

corporate heads did not make these rules. Reagan and his cronies did, and today’s

businesses must survive by them. I once worked at a fiber-optic cable company, and

one day, a particular salesman was lauded for making our product the dominant

(continued)

45Public Administration: An Indispensable Part of Society

player in Australia and Oceana. “Good show,” everyone said. “Now, go out and do it

again. And we’ll fire all your colleagues that can’t keep up with you.” For a moment,

you could see the weariness in his eyes, the realization that his own demise was only

a matter of time, the realization that this is not a way to do business.

But, regardless of whose fault it is, it’s fair to say that, given the atmosphere described

above, big companies cannot function with our best interests at heart—“our” mean-

ing the regular people who drive their cars and buy their products and work at their

factories and offices. Therefore, some entity needs to watch for stuff, watch for the

salmonella in the lettuce, the shoddy workmanship in the cars, the pollutants in the

air, the side effects in the medications, and so forth. Of course, a person might live

each day eating food that’s relatively free of poisons, living in a home constructed

with safe materials, and believe that the world of commerce proceeds smoothly as if

by magic. That’s not true. It’s because of “government.” This fact won’t be obvious

until you become one of those sad statistics whose plane trip ended in tragedy, whose

liver was ruined from unlabeled medication, whose shoreline is covered with oil,

whose daughter died from E. coli in the cheese. You see them on TV, and it’s easy to

assume they’re just trying to squeeze money from a company that made an honest

mistake. But when you find yourself in a similar situation, you realize how easy it is

for big companies to get away with… well, murder. You realize it is perfectly fair to

expect government to protect us from these economic entities that have such control

over our daily lives. Such “government” oversight is indeed necessary.

Of course, if you read the news, you’d think all big companies practice careless dis-

regard for our lives. That’s silly. People are people. But regardless of the exaggera-

tions, it should be obvious America needs corporate watchdogs, unless you believe

that CEOs are saints who would never cut corners on safety reports or produce

shoddy ingredients. That, too, is silly. Society just runs much better if somebody’s

keeping the big guys honest. And not just anybody. The task requires a powerful en-

tity outside a company’s corporate structure, an entity accountable only to “the peo-

ple” (at least on paper), and not corporate boardrooms. We would call that

“government.” Now, does all this mean government should be “big?” Not necessar-

ily. But regulatory agencies should be well-funded and staffed, empowered with the

right technology and skills to do their job, and enough regulatory teeth to make their

findings legally binding and enforceable. If regulation agencies are not “big,” then

they are no match for the corporations they much watch over, who are getting big-

ger and more concentrated by the minute. Still, in America, we don’t like to interfere

with a man and his right to make a dollar. We’re inclined to side with the bloke who

made the machine, rather than the guy who wants to burden him down with “safety” (continued)

46 CHAPTER 1

this and “safety” that. What this means, then, is that the public supports regulations,

but unfortunately, only toothless ones, regulations with huge loopholes. If politicians

try to design regulations that honestly do the job, for example, force oil companies to

install safety mechanisms so that oil spills can be contained, the companies complain

of overregulation and start ragging on “government,” and usually get the support of

the public. From there, it gets worse: these toothless, ineffective regulations give the

public more reason to complain “government can’t do anything right.” Sometimes,

it all seems like a game of cat and mouse, and it’s only after you’ve been screwed out

of your life savings, lost your house, a limb, or a family member, or had your coast-

line polluted by oil that you realize that it’s not a game at all.

Claim 6: Government is more secretive and less answerable to the people than business.

Answer: In reality, businesses routinely hide data that would be of great interest to the general public. Goldman Sachs claims that they had no obligation to reveal that

they were betting against their own investors. During the recent financial meltdown,

firms routinely cooked the books to hide their losses, claiming such deceptions were

legal. Food companies claim they have the right to call their products “organic” when

they are anything but, and bottled water companies can legally lie about the source

of their natural spring (city tap) water. Car companies will hide data about their un-

safe vehicles until the resulting injuries and deaths can no longer be plausibly de-

nied. Companies routinely hide the anticompetitive results of their mergers and

acquisitions, and mask the deceitful means they use to drive competitors out of busi-

ness. Businesses claim these rights because they don’t want to reveal trade secrets,

or reveal their true financial health to competitors. In any event, right or wrong, big

corporations believe they don’t have to reveal facts that might be harmful to their

bottom line, regardless of the central roles their products play in our lives. Govern-

ment, however, does have an obligation to be transparent, and when it refuses, we

can fire officeholders who refuse to be accountable. Whistleblowers at government

agencies are protected by law and have at least some recourse when they are harassed

for speaking up. Although government regulators lie as much as anyone, there are

pathways for concerned citizens to get to the bottom of these deceptions. Raise sim-

ilar charges against a large private company, and they can stonewall until the money

runs out (forever).

Claim 7: Anything government can do, business can do better.

Answer: In America, we don’t look to government to take on money-making, po-

(continued)

47Public Administration: An Indispensable Part of Society

tentially profitable ventures. We leave that for the private sector, with its healthy,

profit-seeking motivation. We look to government to do things that all citizens re-

quire, even those citizens that can’t pay. The postal service delivers mail to everyone,

because not everyone can afford UPS and Fed Ex. Public schools have to let in all the

kids, even those who might never read or write or do math very well. Not everyone

can afford a car, so you have to have busses. Not all goods can be delivered on air-

planes, so you have to have trains, even though they’re not profitable. Since we

haven’t found a way to keep germs on the poor side of town, we have to have hospi-

tals where poor people can get treated. Notice every institution I just mentioned is the

frequent butt of anti-government jokes. It’s true that none of these ventures make

money, because they’re not allowed to choose whom they treat, educate, deliver mail

to, or drive around town. Now, businesses often say that they can run these ventures

“at a profit,” and do them “better than government.” What they mean is that they

can cut people off who can’t pay. But profitability is not the point of these services.

They are necessities and are provided by government, for everybody, without regard

to profit. Therefore, they will forever be considered “money losers” and “inefficient.”

Source: Cohen, Gail. 2010. “Government-Bashing: 7 Myths.” Daily Freep, June 4. http://dailyfreep.blogspot.com/2010/06/government-bashing-7-myths.html.

Organizational Theory and Management

CHAPTER 2

Chapter 2 presents the literature on administrative and

organizational theory and behavior relating to the challenges

and opportunities of public management. The information in

this chapter will enable students to identify and discuss major

authors, concepts, and terms associated with organizational

theory and management. Some of these theories relate to

efficient administration of an organization—the so-called

classical and neo-classical management theories that intro-

duce readers to Max Weber’s idea of bureaucracy, Frederick

Taylor’s assembly-line approach to managing organizations, as

well as Herbert Simon’s skepticism of these approaches. The

discussion then shifts to the human side of organizations,

where Mary Parker Follett, Abraham Maslow, and Douglas

McGregor show us that organizational management must take

into account the feelings and needs of people. We conclude

with an examination of more modern organizational theories.

48 CHAPTER 2

49Organizational Theory and Management

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

“When in charge, ponder; when in trouble, delegate; when in doubt, mumble.”

JAMES H. BOREN Author; Founder of the International Association

of Professional Bureaucrats, 1970

Postal Workers Sorting Mail – Mural, Ariel Rios Building, Federal Triangle, Washington DC.

50 CHAPTER 2

The Classical Management Movement Frederick Taylor Frederick Taylor’s 1911 monograph, The Principles of Scientific Management, rev- olutionized the idea of optimizing productivity. His four principles of scientific man-

agement are the hallmark of the classical management period of public

administration. The first principle encompasses the adoption of laws and formulas

to determine the most efficient ways of completing tasks. Standard work proce-

dures were believed to engender productivity—and more importantly profit. Taylor,

a mechanical engineer by profession, implemented the use of time-and-motion

studies to determine the highest level of worker output in accordance with a par-

ticular procedure. To motivate workers and maximize output, Taylor advocated ad-

herence to stringent working procedures and tied employee production levels to

earnings: he paid workers on a piece-rate basis.

The second principle of Taylor’s scientific management theory entails studying the ca-

pabilities of workers. By doing so, management can better identify the inherent

strengths and limitations of each worker and offer special training to maximize his or

her capabilities. Specialization is paramount within the context of Taylorism, a notion

first embraced by the eighteenth-century Scottish economist Adam Smith in The Wealth of Nations (1776/2003). Smith believed that specialized work increased or- ganizational productivity by increasing the “dexterity” of its workers, allowing them

to become as proficient as possible in completing their task. Also, according to Smith,

much time is saved by eliminating the need to change tasks, tools, and the like.

Taylor’s third principle of scientific management is the fusing together of work pro-

cedures and specialized training. “You may develop all the science that you please,”

noted Taylor (1911), “and you may scientifically select and train workmen just as

much as you please, but unless some man or some men bring the science and the

workmen together all your labor will be lost.” The fusion of procedures and train-

ing is arguably the most important responsibility of management, and the success

of scientific management is contingent upon an equal division of responsibility be-

tween management and workers. This is the fourth, and final, principle of Tay-

lorism. An equal division of labor is advantageous, given the fact that management

can better supervise its workers, thereby ensuring adherence to standard proce-

dures. Moreover, according to Taylor, dividing labor promotes cooperation and in-

terdependence, which reduces the likelihood of serious disputes. Productivity and

efficiency are the primary ends of scientific management. Standard work proce-

dures, as developed through empirical examination, specialized training, and di-

vided labor serve as the means to those ends. Taylor’s organizational components,

THEORIES OF MANAGERIAL EFFICIENCY

51Organizational Theory and Management

and the subsequent relationships they manifest, correspond to a bureaucratic

framework defined by Weber and discussed later in this chapter.

Frank and Lillian Gilbreth: Stewards of Scientific Management As associates of Frederick Taylor, Frank and Lillian Gilbreth operated their own

management consulting firm, Gilbreth, Inc., from 1910 to 1924. They taught work-

ers how to be more productive and efficient. The Gilbreths were employed as effi-

ciency experts by several major industries both domestically and internationally.

Frank Gilbreth’s work as a building contractor inspired him to conduct time-and-

motion studies in order to decrease the number of motions a worker would need to

complete a given task. The results of his studies led to the redesign of machinery op-

erated by factory workers. Lillian Gilbreth was an engineer and a trained psychol-

Workers on the first moving assembly line put together magnetos and flywheels for 1913 Ford autos. By an unknown photographer, Highland Park, Michigan, 1913. Source: National Archives, Records of the U.S. Information Agency (306-PSE-73-1534).

52 CHAPTER 2

ogist, and she and Frank coauthored several books on motion studies, including

Fatigue Study: The Elimination of Humanity’s Greatest Unnecessary Waste; A First Step in Motion Study (1919). The Gilbreths had twelve children—most likely

a motivating factor in their work on efficiency and time

management. Two of their children, Frank Gilbreth, Jr.,

and Ernestine Gilbreth Carey, chronicled their parents’ use

of scientific management principles in the context of child

rearing in the book Cheaper by the Dozen, which was first made into a film in 1950.

Frank Gilbreth believed that what worked in a factory could

work as effectively in a household. For example, he adapted

industry process charts for use in the home. These charts

listed each of his children’s duties and when they were to be

done. Throughout the film version of Cheaper by the Dozen, one can see Taylorism at work. Particularly memo- rable scenes include showing his children’s school principal

the most efficient way to take a bath (fully clothed, of

course), as well as the application of motion studies to re-

duce the recovery time required for his children’s tonsil-

lectomies. Frank Gilbreth died in 1924, only days before he

was scheduled to lead an assembly of the World Congress

of Scientific Management in Prague. At this assembly,

Gilbreth was to be honored for his work on the elimination

of fatigue in industry through motion study. Lillian

Gilbreth ultimately attended the conference in his place.

The story of the Gilbreth family subsequent to Frank’s death is told in the book

Belles on Their Toes, which was adapted for film as well.

Lillian Gilbreth had trouble continuing the work of Gilbreth, Inc.—not for a lack of

expertise, but because many clients in the 1920s doubted that a woman could com-

mand the respect of factory foremen and workers. She started a motion study

school in her home in Montclair, New Jersey, believing that even if companies felt

she was incapable of implementing scientific management theories within the

workplace, they might be willing to send their engineers to her for training.

Gilbreth reached out to women, as well, designing blueprints for an efficiency

kitchenette that remains the standard for studio apartments even today. She was

awarded a contract from General Electric, and the publicity from her kitchenette

design caused enrollment in her motion study school to increase substantially.

Gilbreth later became a professor of management at Purdue University, and dur-

ing World War II she was recruited by the War Manpower Commission to help

with the rehabilitation of amputees. The American Society of Mechanical Engi-

neers awarded the Henry Laurence Gantt medal to Lillian Gilbreth, and posthu-

“We don’t have plush office space. For many years we weren’t treated as professionals, but this office is very

professional… We have to take everybody who

comes here. Unlike private agencies, we cannot pick and choose our clientele. You’ve got to love it to stay… I’ve been here 25 years.”

MARY VIRGINIA DOUGLASS Social Worker

53Organizational Theory and Management

mously to Frank Gilbreth, in 1944. This medal recognizes exemplary work in man-

agement and community service. In 1966 Lillian Gilbreth became the first woman

elected to the National Academy of Engineering.

The Weberian Bureaucracy Max Weber was a German sociologist and educator. His model of bureaucracy in-

cludes several components that mirror Taylor’s principles. According to Weber in

his influential book Economy and Society (1922, published in English translation in 1978), bureaucratic models possess stringent hierarchical components, whereby

authority is centralized. Bureaucracies are “jurisdictional” structures that afford

modest, if any, individual latitude (1922/1978). This notion of bureaucracy man-

dates uniform procedures, which are to be executed in an impersonal fashion. For

example, Weber advocated the use of written documents as a means of establish-

ing formal lines of communication, which ultimately reinforce a member’s powers

and responsibilities within the context of the organization’s hierarchical structure.

The viability of a bureaucracy is contingent upon technical expertise and appro-

priate training. While this notion of expertise is thought to be common within cor-

porate structures, Weber believed it was paramount that governmental

bureaucracies follow suit. In addition to technical expertise, bureaucracies func-

tion best when responsibilities are divided in accordance with competence. Weber

championed a bureaucratic model where hierarchy, technical expertise, and merit-

based appointments, in conjunction with uniform and impersonal procedures, pro-

duce greater organizational output. The Weberian bureaucracy is a machine-like

structure under which efficiency is paramount (1922/1978).

Luther Gulick, Lyndall Urwick, and Henri Fayol Building on the principles of Taylor and Weber, Luther Gulick and Lyndall Urwick

(1937) developed the notion of POSDCORB—a set of organizational processes that

offer executives a tangible understanding of administration. POSDCORB stands for

planning, organizing, staffing, directing, coordinating, reporting, and budgeting, all of

which are functional responsibilities of a chief executive. Gulick and Urwick’s major

goal was to develop the framework for designing and running the most effective or-

ganizations. Besides POSDCORB, other equally important principles of administration

are discussed by the French executive engineer Henri Fayol in his major work, Gen- eral and Industrial Management (1916, published in English translation in 1949).

Henri Fayol’s 14 Principles of Management 1. Division of work. Specialization allows for continuous improvement in

skills and methods, which leads to increased productivity.

2. Authority. The right to give orders and the expectation that they will be followed comes with responsibility.

54 CHAPTER 2

THE PAPER “STREAM” Artist: V. Kunnap; Poet: V. Suslov; “The Fighting Pencil” group, 1960. Look! This is the method of a conveyer belt, But it seems to resemble more of a red tape, And if we want to be more precise and less cautious, We can call the method what it is – just VICIOUS.

55Organizational Theory and Management

3. Discipline. Employees are expected to obey the rules. At the same time, the management should provide good leadership.

4. Unity of command. This is the “one master principle.” That is, a worker should answer to one superior and only one superior to avoid conflicting

lines of command.

5. Unity of direction. A single mind establishes a single plan that every- body in the organization has a role in. Unity of direction assumes a strate-

gic planning focus.

6. Subordination of individual interest to the common interest. When at work, employees must focus only on work-related activities, while

the management ensures that they stay focused on achievement of organi-

zational goals.

7. Remuneration of personnel. Payment is an important motivator and should be fair, although Fayol points out that there is no perfect system of

remuneration.

8. Centralization refers to the consolidation of management functions. De- cisions flow from top to bottom.

9. Scalar chain (or line of authority) is a formal chain of command running from top to bottom of the organization whereby superiors have authority

over and responsibility for a number of subordi-

nates, while the span of control suggests that a

manager should not have authority over and re-

sponsibility for too many subordinates, as this can

adversely impact the reach of a manager. Hierarchy

is necessary for unity of direction. However, lateral

communication is also important as long as superi-

ors know that it is taking place. Scalar chain should

not be overstretched or consist of too many levels.

10. Order. All materials and personnel have a proper place.

11. Equity means equality of treatment (not to be con- fused with identical treatment). In running a busi-

ness, a “combination of kindliness and justice” is needed. Treating personnel

“well” is paramount for achieving equity.

12. Stability of personnel tenure. Employees work better if they have some measure of job security and future career prospects. High employee

turnover will deleteriously affect the organization.

“Leaders work on the culture of the organization,

creating it or changing it.

Managers work within the

culture of the organization.”

EDGAR H. SCHEIN Author, Organizational

Culture and Leadership

56 CHAPTER 2

13. Initiative. Affording employees opportunities to take initiative is a means of building a strong organization.

14. Esprit de corps or unity of employed people. Management must fos- ter the morale, harmony, and cohesion among its employees. As Fayol sug-

gests, “Real talent is needed to coordinate effort, encourage keenness, use

each person’s abilities, and reward each one’s merit without arousing pos-

sible jealousies and disturbing harmonious relations” (1916/1949).

Fayol believed his principles of management were universal and applicable to any

type of organization. The most important among them are specialization, unity of

command, scalar chain, authority, and unity of direction (the last two are referred

to as “coordination” by managers).

Drawing from and building on Fayol’s theories, Urwick (1952) established “Ten

Managerial Priorities The principal responsibilities usually assigned to a manager are listed below. Re- view the list and add any responsibilities that you think are missing. Then, rate the five most important managerial responsibilities in descending order from 1 to 5. _____ Communicate to each worker what the organization expects

from him or her. _____ Interpret policies and procedures. _____ Plan the work. _____ Assign the work, providing instructions and explanations to employees. _____ Provide ongoing guidance to workers. _____ Maintain quality standards. _____ Observe and evaluate worker performance. _____ Correct difficulties as they arise. _____ Use criticism constructively to improve performance. _____ Keep records and do required paperwork. _____ Provide incentives. _____ Administer and maintain discipline. _____ Train and orient personnel. _____ Plan and carry out programs to stimulate employee improvement

and growth. _____ Communicate employees’ feelings up the line. _____ Communicate management’s feelings to employees. _____ Display a keen interest in the work. _____ Improve your own effectiveness.

EXERCISE 2.1

57Organizational Theory and Management

Principles,” which are now regarded as classical guidelines for organizational man-

agement.

1. Principle of the Objective: Organizations and each organizational sub- division must be guided by a central purpose.

2. Principle of Specialization: Limiting workers to a single responsibility engenders greater pro-

ductivity.

3. Principle of Coordination: The purpose of or- ganizations is to unify workers’ efforts.

4. Principle of Authority: In any organization, it is imperative that ultimate authority rest with some-

one. Further, there should be a clear command

chain that runs from supreme authority to each in-

dividual in the organization.

5. Principle of Responsibility: Managers must be held accountable for their subordinates.

6. Principle of Definition: All workers must be informed, in writing, as to the nature of their respective positions. This includes ensuring that work-

ers understand their duties and responsibilities, as well as their working re-

lationship with other positions, both superior and subordinate.

7. Principle of Correspondence: There should be continuity between re- sponsibility and authority. In other words, the more authority an individ-

ual is given, the more responsibility that individual has.

8. Span of Control: The number of subordinates a manager oversees should not exceed six.

9. Principle of Balance: Organizational subdivisions must be kept in balance.

10. Principle of Continuity: Organizations must recognize that “organiz- ing” is a never-ending process.

Fayol, Urwick, and Gulick’s theoretical principles were put into action through the

Committee on Administrative Management, also called the Brownlow Commis- sion, which was established by Congress in 1936. Under the direction of Gulick, the recommendations set forth in the Brownlow Commission Report (1937) sought to

apply classical management principles to public sector institutions. Highlighting

the need for reorganization within the executive branch of the federal government,

the report recommended an expansion of the White House staff. Additional exec-

utive officers would serve in an administrative capacity, providing the president

with necessary information so that decisions could be made more responsibly and

“A good plan is like a road map: it

shows the final destination and usually the best

way to get there.”

H. STANLEY JUDD Author; Communications

Consultant

58 CHAPTER 2

efficiently. Other Brownlow Commission recommendations included the consoli-

dation of government agencies, an alteration of the fiscal system, and civil service

reformation that called for greater emphasis on attracting the most capable indi-

viduals for administrative posts.

The Neo-Classical School Herbert Simon’s Skepticism Widely accepted classical management principles suggest that productivity and ef-

ficiency are a function of specialization, hierarchy, a limited span of control, and

unity of command and direction. According to Herbert Simon (1946), however,

these principles are merely “proverbs,” as they are not grounded in scientific re-

search. Simon believed that the classical management principles of administra-

tion should be tested empirically, embracing the quasi-scientific methods of

controlled experimentation and quantitative analysis. “It is necessary that the ob-

jectives of the administrative organization under study be defined in concrete

terms so that results, expressed in terms of these objectives, can be accurately

measured,” Simon wrote in his now-famous article for Public Administration Re- view, “The Proverbs of Administration.” He further noted that “sufficient experi-

mental control be exercised to make possible the isolation

of the particular effect under study from other disturbing

factors that might be operating on the organization at the

same time” (1946). Descriptive summaries and best prac-

tices research, according to Simon, were inadequate. In

particular, Simon argued, “What does it mean, for exam-

ple, to say: ‘The department is made up of three bureaus.

The first has a function of…, the second the function of…,

and the third a function of….’ What can be learned from

such a description about the workability of the organiza-

tional arrangement? Very little, indeed… Administrative

description suffers currently from superficiality, oversim-

plification, [and] lack of realism” (1946). Best practices introduce the notion of

subjective realism, whereby one operates under the assumption that an organiza-

tion is a model of success, regardless of whether there is a factual basis for such an

assumption.

Simon further advocated what became known as the fact-value dichotomy (1946), based on the premise that management science inquiry be concerned only with facts.

The employment of quasi-scientific methods would afford scholars and practition-

ers an enhanced understanding of public administration’s most productive and effi-

cient practices, and thus the so-called “proverbs” of administration could be replaced

with true principles. Simon’s quasi-scientific approach to the study of administra-

tion—and especially his fact-value dichotomy—engendered significant criticism.

“Anything that gives us new

knowledge gives us an opportunity

to be more rational.”

HERBERT A. SIMON Nobel Laureate; Artificial

Intelligence Expert

59Organizational Theory and Management

Public administration scholars like Robert Dahl (1989) argued that values were im-

portant to the study of public administration, while Dwight Waldo maintained that

value-free research undermines the inherent importance of morality and ethics.

Underscoring this point, Waldo wrote the following in American Political Science Review: “To maintain that efficiency is value-neutral and to propose at the same time that it be used as the central concept in a ‘science’ of administration is to com-

mit one’s self to nihilism, so long as the prescription is actually followed” (1952).

Earlier, he had criticized Simon’s fact-value dichotomy as

implausible, arguing that “administrative study, as any ‘so-

cial science,’ is concerned primarily with human beings, a

type of being characterized by thinking and valuing. Think-

ing implies creativeness, free will. Valuing implies moral-

ity” (Waldo, 1948).

Robert Merton’s Challenge Like Simon’s challenge of the classical principles, Robert

Merton challenged the Weberian model of bureaucracy

during this neo-classical period. As discussed in the con-

text of classical management, the Weberian model of bu-

reaucracy is hierarchical: power is centralized, individual

responsibilities are jurisdictional, and uniform procedures

are executed in the interest of efficiency. Weber champi-

oned rationalization and legal order. According to his model, control and power

are sources of stability, and they exist within the context of a dominant-subordi-

nate relationship. The inherent complexity of interpersonal relationships neces-

sitates a measure of coordination, and the Weberian model serves as a means of

that coordination.

Merton acknowledged the inherent tension between bureaucratic and democratic

principles, most notably because the Weberian model is predicated on secrecy.

Transparency and citizen participation are seemingly nonexistent within the context

of Weber’s model, as Merton points out in his book Social Theory and Social Struc- ture (1957, p. 102): “Bureaucracy is administration which almost avoids public dis- cussion of its techniques.” Merton considers this condition antithetical to democratic

governance. He further contends that the Weberian bureaucracy engenders organi-

zational rigidity, whereby an organization’s members are unable to adapt to chang-

ing conditions because patterns of behavior are programmed. While programmed

patterns of behavior foster greater administrative efficiency, consistency, and pre-

cision, there is a disadvantage: behavior that is programmed to the point of being

machine-like severely compromises an individual’s administrative capacity, perhaps

to the point where nothing can be accomplished. Merton refers to this as “trained in-

capacity” (1957). For example, police officers trained to faithfully cite all traffic vio-

lators are unlikely to be successful in enforcing more serious laws.

“The threat of people acting in their own enlightened and rational

self-interest strikes bureaucrats,

politicians and social workers

as ominous and dangerous.”

W.G. HILL

60 CHAPTER 2

Merton emphasizes the administrative implications of overconformity; that is, the

nature of Weber’s bureaucracy cultivates a culture of conformity to the point where

groupthink is omnipresent. Organizations, then, become overly conservative and re- sistant to change. Irving L. Janis (1972) describes “groupthink” as a specialized kind

of conformity. It occurs only in highly cohesive groups that operate in an environ-

ment where there is a feeling of security. The primary goal of this particular decision-

making group is to maintain its power and cohesiveness. Groupthink is characterized

by extreme conformity that gets in the way of any critical analysis. In the wake of Sep-

tember 11, 2001, the U.S. intelligence community was criticized in this regard, espe-

cially the Central Intelligence Administration (CIA), where secrecy and conformity are

believed to be pervasive. Further, the standardization of the Weberian model creates

a tendency toward depersonalized relationships, the implications of which are felt

most at the grassroots level. The routine and depersonalized

nature of street-level bureaucrats propagates the impression

that public administrators are altogether haughty and un-

caring, which reflects poorly on government in general.

A recurring theme throughout public administration is rec-

onciling the inherent conflict between administrative bu-

reaucracy and democratic governance. Bureaucracies are

synonymous with a managerial approach, which is predi-

cated upon a hierarchical structure, formalization, and uniform procedures that are

carried out rather impersonally. Representative bodies are political in nature, which

suggests a certain measure of transparency and accountability. This is in contrast

to the Weberian bureaucratic model, where a premium is placed upon secrecy. Fur-

thermore, expertise is the hallmark of a bureaucracy, which affords bureaucrats a

monopoly of power. Bureaucracies are closed systems that execute policies in a

technical rationalist manner—a manner antithetical to the nature of democratic in-

stitutions, which ideally emphasize openness and citizen participation.

Philip Selznick Philip Selznick’s discussion of informal organizations within the formal organiza-

tion departs from classical principles (1949). Selznick notes that the “classical” for-

mal organization is comprised of a certain number of managers and staff, each of

whom has specific duties and responsibilities, a chain of command, and some hi-

erarchical arrangement that is reinforced through formal rules and procedures.

However, according to Selznick, embedded within this “formal” organization are

informal organizations that can either buttress the formal organization’s goals and

functions, or in some cases serve as tools of resistance, impeding what the formal

organization is trying to accomplish (1949). In simplest terms, informal organiza-

tions are cliques that are grounded in personal relationships. These cliques can cut

across the formal organizational hierarchy—as vice presidents, managers, and rank-

and-file employees can form an informal organization.

“What you cannot enforce, do not

command.”

SOPHOCLES Greek playwright

(c. 496–406 B.C.)

61Organizational Theory and Management

Selznick also introduces the concept of organizational co-optation (1949). Co-

optation deals with bringing new or outside elements into an organization’s lead-

ership or decision-making structure. The purpose of doing so is to protect the or-

ganization from potential threats. A concrete example will help clarify the idea:

Suppose that a state’s department of transportation (DOT) has plans to construct

an additional highway to alleviate traffic congestion from the suburbs to one of its

major cities. Let us assume that this highway project will cut through several resi-

dential areas and some parkland throughout a number of municipalities. Even

though the new highway is thought to be largely positive in that it will help shorten

commute times for workers, its construction will displace a certain number of res-

idents and destroy park land. This is very likely to spark some controversy from

local residents and environmentalists. In an effort to minimize the controversy, the

DOT will co-opt local residents and environmentalists by giving them a formal voice

within the DOT’s decision-making and planning structures relating to the highway

project. This could be done by simply creating a temporary (or ad hoc) advisory

committee that provides input and expresses their concerns regarding the highway

project. By having a voice, certain concession from the DOT might be gained. For

example, environmental representatives on the ad hoc committee may influence

the DOT to pay for the planting of three trees for every one tree destroyed by the

highway’s construction; or, perhaps the DOT could partially fund the construction

of a new park altogether.

Chester Barnard Chester Barnard’s management insights stem from his experiences as president of

New Jersey Bell Telephone Company. Barnard differs from the classical theorists

in that he stresses the importance of monetary and nonmonetary work incentives

in an effort to secure greater worker cooperation. This, in turn, leads to greater or-

ganizational stability and improved worker performance. Classical theory assumes

that worker cooperation is a function of money and negative reinforcement (e.g.,

wage reductions, punishment, threats of punishment). In The Functions of the Ex- ecutive (1938), Barnard discusses eight types of worker incentives:

• Material inducements

• Personal nonmaterial opportunities

• Desirable physical conditions of work

• Ideal benefactions

• Habit and attitude conformity

• Opportunity for participation

• Associational attractiveness

• Condition of communion

62 CHAPTER 2

A material inducement refers to money. Personal nonmaterial opportunities are

synonymous with work-related power, prestige, and the opportunity to distinguish

oneself. Desirable physical conditions of work can be taken at face value: If an in-

dividual works in a factory, a safe working environment may be an important in-

centive. If an individual works in a white-collar setting, a comfortable office or

workspace might be important. The notion of ideal benefactions refers to the belief

that your work makes a difference or has a societal purpose. Pride in your work is

central to this notion. Habit and attitude conformity is Barnard’s way of suggesting

that organizational members need to embrace a core set of beliefs. The opportu-

nity for participation coincides with the feeling that one’s voice is being heard. And

while most workers would not expect to have significant influence in decision mak-

ing, knowing that their concerns and ideas do not completely fall upon deaf ears

can prove to be a cooperative incentive. Associational attractiveness and condition

of communion refer to the interpersonal dynamics at work in an organization.

Specifically, associational attractiveness assumes that creating a good work envi-

ronment is a function of everyone “getting along,” despite any personality or com-

-- WHY ARE YOU LURING MY PEOPLE AWAY FROM ME? Artist: V. Travin; Poet: V. Shkliarinsky; “The Fighting Pencil” group, 1973. The people choose to work in those places That have well-organized and clean workspaces.

63Organizational Theory and Management

patibility differences that could be a source of friction. Condition of communion

takes things a step further. Instead of merely getting along, an optimal work envi-

ronment can be created if workers are afforded the “opportunity for comradeship.”

Associational attractiveness and condition of communion is the difference between

getting along with your coworkers and actually liking them (Barnard 1938).

Barnard’s notions are a departure from classical management principles. Barnard

acknowledges that workers are motivated by more than money, as workers have

more complex needs and those needs should be addressed in the interest of fos-

tering cooperation and loyalty to the organization and its goals. It is important to

note that while Barnard injects more humanistic views into the broader manage-

ment literature, the organization remains of paramount importance (1938). People

are still thought to be cogs—albeit more complex cogs that can be motivated to co-

operate through nonmonetary incentives.

The Human Side of Organizational Management Mary Parker Follett Throughout history, friction between upper management and the proletariat has been

common. This friction, if not mitigated through proper leadership, can adversely in-

fluence the productivity and efficiency of an organization. Organizational leaders are

responsible not only for overseeing operations but also for delegating authority. Ac-

cording to Mary Parker Follett in “The Giving of Orders” (1926/2008), authority

must be exercised in an impersonal fashion if a leader is to avoid being perceived as

overly authoritative or obsequious, as both extremes are counterproductive. The no-

tion of depersonalized orders originated from scientific management. The deper-

sonalization of orders coincided with the notion that workers were like machines.

Follett sought a way to reduce management-worker conflict, recognizing that nega-

tive behavioral responses are more likely to emerge with superiors who embrace an

overly authoritative leadership style. More specifically, Follett wrote:

What happens to a man, in a man, when an order is given in a disagreeable

manner by foreman, head of department, his immediate superior at the

store, bank or factory? The man addressed feels that his self-respect has

been attacked, that one of his most inner sanctuaries is invaded. He loses

his temper or becomes sullen or is on the defensive… the wrong behavior

pattern has been set…. He is now set to act in a way which is not going to

benefit the enterprise in which he is engaged.

Follett stressed the importance of effective leadership. Organizational leaders must

be able to unify individuals, resolve conflicts, demand performance, and delegate

authority without dehumanizing an individual. Having written during the height of

the classical management movement, Follett interjected humanistic considerations

into classical principles.

Stumbling Upon Human Relations Theory Human relations theory emerged with the Hawthorne experiments, which were conducted for studying productivity in accordance with Taylor’s scientific man-

agement principles. For example, the Western Electric Company conducted an ex-

periment that examined the impact of light amplification differences on worker

productivity. Workers were divided into two groups: the treatment group and the

control group. The treatment group was exposed to changing light amplifications,

while the control group was exposed to a constant light am-

plification. Curiously, productivity increased in both

groups. Further examination by Elton Mayo and Fritz

Roethlisberger determined that social-psychological fac-

tors impact worker productivity. In other words, the work-

ers at Western Electric were more productive because of

the attention paid to them.

The Hawthorne experiments further demonstrated that,

under Taylorism, worker-management relationships fos-

tered behaviors that adversely affected organizational effi-

ciency and productivity. The solution was not to increase

wages, as Taylor would have prescribed. On the contrary, it was discovered that

workers’ needs extend beyond economic considerations. Organizations are social

institutions, and the classical management theories proved inadequate for satis-

factorily explaining organizational dynamics. Such theories failed to acknowledge

how complex human nature can be and how a changing environment can impact

workers’ performance.

Abraham Maslow and Douglas McGregor The unanticipated results of the Hawthorne experiments engendered a scholarly

movement that altered the dynamics of organizational theory. This, in turn, fostered

the ascendance of scholars such as Abraham Maslow (1943) and Douglas McGregor

(1960), whose theories of motivation were credible enough to rival the orthodoxy.

Maslow’s theories pertaining to human motivation have been recognized as a hall-

mark of the human relations movement. In his 1943 article “A Theory of Human

Motivation,” Maslow states that motivation is predicated upon five fundamental

needs, known as the needs hierarchy. At the lowest level of the hierarchy are the physiological needs necessary to sustain life (e.g., shelter, food, and clothing). Given

the fulfillment of physiological needs, safety needs emerge. Safety needs refer not

only to personal security but also to the desire for an “ordered” and “predictable

world.” Should one’s physiological and safety needs be fulfilled, the need for love is

next on the hierarchy. In this instance, love refers to acceptance, affection, and a

64 CHAPTER 2

“Nearly all men can stand

adversity, but if you want to test a man’s character, give him power.”

ABRAHAM LINCOLN 16th President of the

United States

65Organizational Theory and Management

sense of belonging. Fulfillment of an individual’s need for love and affection gives

way to esteem needs, which are divided into two subgroups. The first accounts for a

person’s need to be recognized as strong, confident, and autonomous, while the sec-

ond encompasses a desire for prestige and appreciation. Gratification of esteem

needs produces feelings of self-worth and efficacy. Representing the apex of the

needs hierarchy is the desire for self-actualization. Individual happiness, according

to Maslow, requires that an individual recognize his or her societal niche. As Maslow

wrote in “A Theory of Human Motivation” (1943), “A musician must make music, an

artist must paint, a poet write, if he is to be ultimately happy. What a man can be, he

must be. This need we may call self-actualization.” Proving to be the most complex

need, the fulfillment of one’s inherent potential epitomizes self-actualization.

Classical management theories assume that individuals are motivated primarily by

money. Maslow undermined this notion. He contended that individuals are moti-

vated by social and psychological needs, which served to reaffirm what was ob-

served during the Hawthorne experiments. Maslow’s needs hierarchy legitimized

the human relations school as an alternative to classical management. Several

human relations theorists were propelled to the forefront of the management arena,

most notably McGregor. Regarded as one of the most influential organizational hu-

manists, McGregor offered two conflicting management theories, each of which

Source: P. Diñoso (2006). School of Public Affairs and Administration, Rutgers University-Newark.

FIGURE 2.1 – CHANGES IN PUBLIC PERSONNEL MANAGEMENT

Federalist Period, 1789-1800

The Jeffersonians 1801-1829

Era of the Spoils 1829-1865

The Road to Reform 1865-1883

Informal Organizations

Perscnal -contacts & interactions & -associated groupings of people

Establishes certain habits, attitudes, customs, etc.

Creates conditions for Formal Organizations

Downsizing 1990s

Retrenchment 1980s

Psychological Needs

Safety Needs

Theory Y Carrot-Stick Approach

Civil Service Reform Early 20th Century

Formal Organizations

Necessary for informal organizations Wartime and

Peacetime Needs 1940sExample:

"Invisible Government:"

Reform Accountability, slow Growth in Govt 1970s Equity & Justice 1950s

1960s

Theory X Motivation Seff-Fulfillment

Ego Needs

Social Needs

makes specific assumptions regarding human nature. They are Theories X and Y. Theory X assumes that individuals dislike work, and they avoid it whenever possi- ble. This makes intense supervision necessary, because workers typically shun re-

sponsibility and are frequently incapable of solving problems. Under Theory X, workers are motivated by economic factors, threats, and punishment. This theory

represents a classical Weberian closed model, which is

reminiscent of a quasi-military structure.

Theory Y is an open model that assumes individuals enjoy work and they embrace responsibility. Most people are ca-

pable of self-direction and prefer not to be micromanaged.

Theory Y further assumes that individuals possess the in- genuity to solve complex problems through creative

means. According to this theory, management should af-

ford its workers the latitude to achieve individual goals

through self-directed efforts. This will help to achieve or-

ganizational goals. McGregor embraced Theory Y, as it of- fers more realistic assumptions regarding human nature and human motivation.

Theory X places a premium upon “external controls,” while Theory Y relies heav- ily upon “self-direction.” In other words, the difference between Theories X and Y is “the difference between treating people like children and treating them as mature

adults” (McGregor 1960). Theory X management principles hinder individual ca- pabilities and discourage personal responsibility through excessive control and

worker manipulation. As organizations become more complex, managing becomes

more complicated. As such, Theory X assumptions are less helpful, and Theory Y styles of management that recognize delegation of authority, job enlargement, and

participation must receiver greater attention.

Rensis Likert and Chris Argyris Rensis Likert (1961) developed an organizational model consisting of participative

work groups. These work groups were envisioned as important sources of individuals’

need satisfaction. Central to Likert’s model is the creation of “supportive relation-

ships,” which better allow managers to facilitate the productivity of such groups. Lik-

ert also constructed a typology of organizational leadership, distinguishing among

four types of management: (1) exploitative authoritative, (2) benevolent authoritative,

(3) participative consultative, and (4) participative management systems. Systems

three and four are ideal from both productivity and human relations standpoints.

Chris Argyris (1957) emphasized the importance of the human condition within or-

ganized settings. He viewed the individual and the formal organization as two ele-

ments that are often in conflict, ultimately seeking separate goals. Argyris argued

that the formal organization—with its chain of command, span of control, and task

specialization—can create individual feelings of failure and frustration. Employees

may feel deprived of their potential for growth and self-fulfillment. In place of in-

66 CHAPTER 2

“Never tell people how to do things. Tell them what to do and they will

surprise you with their ingenuity.”

GEORGE S. PATTON U.S. Army General,

1944

67Organizational Theory and Management

X-Y Theory Questionnaire Score the statements (5 = always, 4 = mostly, 3 = often, 2 = occasionally, 1 = rarely, 0 = never) to indicate whether your current work situation is X or Y: 1. My boss asks me politely to do things, gives me reasons why, and invites

my suggestions. 2. I am encouraged to learn skills outside of my immediate area of responsibility. 3. I am left to work without interference from my boss, but help is available

if I want it. 4. I am given credit and praise when I do good work or put in extra effort. 5. People leaving the company are given exit interviews to hear their views

on the organization. 6. I am incentivized to work hard and well. 7. If I want extra responsibility, my boss will find a way to give it to me. 8. If I want extra training, my boss will help me find how to get it or will arrange it. 9. I call my boss and my boss’s boss by their first names. 10. My boss is available for me to discuss my concerns or worries or suggestions. 11. I know what the company’s aims and targets are. 12. I am told how the company is performing on a regular basis. 13. I am given an opportunity to solve problems connected with my work. 14. My boss tells me what is happening in the organization. 15. I have regular meetings with my boss to discuss how I can improve

and develop. Total score [___]

60–75 = strongly Y-theory management (effective short- and long-term) 45–59 = generally Y-theory management 16–44 = generally X-theory management 0–15 = strongly X-theory management (autocratic; may be effective

short-term, poor long-term) Score the statements (5 = always, 4 = mostly, 3 = often, 2 = occasionally, 1 = rarely, 0 = never) to indicate whether the person prefers being managed by X or Y style: 1. I like to be involved and consulted by my boss about how I can best do my job. 2. I want to learn skills outside of my immediate area of responsibility. 3. I like to work without interference from my boss, but be able to ask for

help if I need it. 4. I work best and most productively without pressure from my boss or the

threat of losing my job. 5. When I leave the company, I would like an exit interview to give my views

on the organization. 6. I like to be incentivized and praised for working hard and well.

(continued)

EXERCISE 2.2

68 CHAPTER 2

centives to produce, there are often pressures to be mediocre. Otherwise intelligent

and enthusiastic new employees quickly receive messages not to overwork or out-

perform their superiors. Most important, bureaucrats do not “rock the boat.” This at-

titude is often reinforced by the knowledge that underperformers are seldom fired,

a consequence of Weberian-like bureaucratic mechanisms. Argyris suggests that a

worker’s participation in decisions affecting his or her work gives that individual

greater job satisfaction, which, in turn, will have a positive impact on productivity.

One other unanticipated consequence of bureaucracy is the creation of what is known

as the “organization man or woman.” The organization man is one who has bartered

his or her conscience for security. These individuals are survivors in that they are prod-

ucts of the necessity “to go along to get along,” which means compromising and com-

plying in the interest of protecting one’s position and work. They are cooperative, adept

at embracing colleagues, effective in establishing informal links within an organization,

and protective of their subordinates. In short, they are successful “bureaucrats.”

Others who may not be suited to bureaucracy include the “technical expert.” The or-

ganizational roles of technical experts are unique; they share a special commitment

to their skills and a primary identification with their professional peers. Their pro-

fessional values may conflict with bureaucratic claims for organizational loyalty and

adaptability. As a result, they often find it difficult to play the roles required to com-

(continued)

7. I want to increase my responsibility. 8. I want to be trained to do new things. 9. I prefer to be friendly with my boss and the management. 10. I want to be able to discuss my concerns, worries, or suggestions with

my boss or another manager. 11. I like to know what the company’s aims and targets are. 12. I like to be told how the company is performing on a regular basis. 13. I like to be given opportunities to solve problems connected with my work. 14. I like to be told by my boss what is happening in the organization. 15. I like to have regular meetings with my boss to discuss how I can improve

and develop. Total score [___]

60–75 = strongly prefers Y-theory management 45–59 = generally prefers Y-theory management 16–44 = generally prefers X-theory management 0–15 = strongly prefers X-theory management

EXERCISE 2.2

69Organizational Theory and Management

pete for organizational success and power. These technical experts differ from so-

called “locals” who identify with and stress loyalty to the bureaucracy.

Human relations theorists were critical of classical management approaches, par-

ticularly Taylorism, because they ignored the social and emotional impacts these

theories exerted on workers. Classical management underestimated the inherent

complexity of human nature; consequently, workers were not treated as human be-

ings. Rather, they were thought to be interchangeable cogs working within the

framework of a hierarchically rigid, machine-like organizational structure.

Structural Theory Structural theory assumes that organizations are rational in that they function to

accomplish specific goals and objectives. Further, for every organization there is

believed to be a “best structure,” and organizational dysfunction can be corrected

through structural changes. Structural theory is, by and large, grounded in classi-

cal principles of efficiency, effectiveness, and productivity. In their research on elec-

tronics firms in the United Kingdom, Tom Burns and G.M. Stalker (1961) describe

two disparate but complementary organizational management systems: mecha- nistic and organic systems. Mechanistic systems are Weberian in nature, and they are ideally suited for stable environments. In mechanistic systems, worker roles

and responsibilities are clearly defined, communication is formal and top-down,

the organizational structure is hierarchical, and the decision-making processes are

authoritative. Emphasis is placed on being able to efficiently repeat procedures, an

example of which is mass production or mass service delivery. Organic systems are

better suited for environments where instability and change are frequent. Worker

roles and responsibilities are less clearly defined and more flexible. Communication

is informal, and workers of different ranks exchange ideas through consultative

networks. The organizational structure is horizontal, and decisions are made on

the basis of knowledge and expertise as opposed to hierarchical position. Organic

systems emphasize adaptability and innovation over efficient repetition, example

of which may include IT systems. Burns and Stalker (1961) note that mechanistic

and organic systems are not mutually exclusive. In other words, the best organiza-

tions try to incorporate the best of both systems.

Henry Mintzberg (1979) identifies five fundamental parts of an organization. They in-

clude: (1) the operating core, (2) the strategic apex, (3) the middle line, (4) the tech-

nostructure, and (5) the support staff. The operating core represents the frontline

workers who are responsible for an organization’s production of goods or services.

The strategic apex—the organization’s upper-level or executive leadership—includes

CONTEMPORARY ORGANIZATIONAL THEORIES

70 CHAPTER 2

the chief executive officer, board of directors, and related executive level staff. Pri-

marily responsible for ensuring that the organization runs smoothly and in accor-

dance with a broader organizational strategy, the strategic apex is further charged

with managing outside stakeholder relationships that are critical to the organization’s

work. The third fundamental part of an organization, the middle line, represents mid-

dle management. These workers are charged with supervising the operating core

while simultaneously supporting and taking direction from the strategic apex. The

middle line is also responsible for managing relations with the technostructure and

support staff.

The technostructure and support staff are removed from the hierarchical structure

that encompasses the operating core, the strategic apex, and the middle line. The

technostructure represents analysts responsible for training, standardizing work

procedures, and general planning. This typically would include engineers, trainers,

accountants, and budget analysts. Finally, support staff ranges from public rela-

tions, legal aid, and personnel staff to mailroom, custodial, and foodservice work-

– TELL US EXACTLY IN WHAT WAY WE LIMIT YOUR INITIATIVE! Artist: E. Piho; Pikker (Estonia), the 1970s.

71Organizational Theory and Management

Source: Based on Tom Burns and G.M. Stalker, The Management of Innovation. Value-Based Management.net. www.valuebasedmanagement.net/.

Mechanistic Organization Form/ Management System

Organic Organization Form/ Management System

Conditions Stable Changing

Distribution of tasks

Specialized differentiation of functional tasks into which the problems and tasks facing a concern as a whole are broken down

Contributive nature of special knowl- edge and experience to the common task of the concern

Nature of individual task

The abstract nature of each individual task, which is pursued with techniques and purposes more or less distinct from those of the concern as a whole: i.e., the functionaries tend to pursue the technical improvements of means, rather than the accomplishment of the ends of the concern

The “realistic” nature of the individual task, which is seen as set by the total situation of the concern

Who (re)defines tasks

The reconciliation, for each level in the hierarchy, of these distinct perform- ances by the immediate superiors, who are also, in turn, responsible for seeing that each is relevant in his own special part of the main task

The adjustment and continual redefin- ition of individual tasks through inter- action with others

Task scope The precise definition of rights and obligations and technical methods at- tached to each functional role

The shedding of “responsibility” as a limited field of rights, obligations and methods (problems may not be posted upwards, downwards or sideways as being someone else’s responsibility)

How is task conformance ensured

The translation of rights and obliga- tions and methods into the responsibil- ities of a functional position

The spread of commitment to the con- cern beyond any technical definition

Structure of control, authority and communication

Hierarchic, Contractual Network, Presumed Community of Interest

Locating of knowledge

Reinforcement of the hierarchic struc- ture by the location of knowledge of ac- tualities exclusively at the top of the hierarchy, where the final reconcilia- tion of distinct tasks and assessment of relevance is made

Omniscience no longer imputed to the head of the concern; knowledge about the technical or commercial nature of the here and now may be located any- where in the network

Communication between members of concern

Vertical; i.e., between superior and subordinate

Lateral; i.e., between people of differ- ent rank, resembling consultation rather than command

Governance for operations and working behavior

Instructions and decisions issued by superiors

Information and advice rather than in- structions and decisions

Values Insistence on loyalty to the concern and obedience to superiors as a condi- tion of membership

Commitment to the concern’s task and to the “technological ethos” of material progress and expansion is more highly valued than loyalty and obedience

Prestige

Greater importance and prestige at- taching to internal (local) than to gen- eral (cosmopolitan) knowledge, experience, and skill

Importance and prestige attach to af- filiations and expertise valid in the in- dustrial and technical and commercial milieus external to the firm

TABLE 2.1 – MECHANISTIC VS. ORGANIC MANAGEMENT SYSTEMS

72 CHAPTER 2

ers. When comparing technostructure jobs with support staff jobs, the distinction

we draw is that while members of the technostructure could, more than likely, do

the work of the support staff, the support staff would probably require some spe-

cialized training to do the work of the technostructure. Consistent with Taylor’s

principles of scientific management, organizations placed greater emphasis on stan-

dardization following World War II, and thus the importance of the technostructure

grew. The advent and growth of operations research and strategic planning further

enhanced the importance of the technostructure.

Systems Theory Systems theory is based on the premise that the organization is comprised of sev-

eral interconnected parts, each of which is designed to achieve broader organiza-

tional goals and objectives. Systems theory looks at the organization in terms of

inputs, processes, outputs, and feedback mechanisms. Inputs refer to an organiza-

tion’s resources, and processes refer to what an organization does with its resources,

while outputs are the goods or services that an organization produces. Feedback

mechanisms are the means by which an organization collects and analyzes data re-

garding the impacts of its outputs. Inputs feed into processes, which feed into out-

puts. Outputs generate feedback, which cycle around and feed into the

organization’s inputs. Systems theory is cyclical, and it assumes that organizations

are ever changing in order to respond effectively to environmental and intra-orga-

nizational changes. In other words, systems theorists argue that organizations must

be able to adapt to changing conditions.

W. Edwards Deming and Japanese Management Following World War II, General Douglas MacArthur, commander of the U.S.

forces occupying Japan, sought to do all he could to revive the Japanese economy

as quickly as possible. He saw that Japan, as an island economy, needed to trade

with other nations rather than rely upon its own natural resources. However, he

also saw that Japan’s poor reputation for quality would seriously hurt its trade ef-

forts. MacArthur asked the U.S. government to assign someone to teach better qual-

ity control methods to Japanese industrial leaders. American quality management

expert Dr. W. Edwards Deming, a statistician for the U.S. government, was sent

overseas to train Japanese managers in continued process improvement. Deming

served in this function from 1948 to 1950, and he performed his job so successfully

that he was asked repeatedly to train more engineers and scientists in statistical

methods. In 1951, the Japanese government honored his services by establishing the

Deming prize. Dr. Deming’s philosophy, also known as the Deming wheel, says that

everyone should plan, collect data, analyze, construct the work, and keep the circle

rotating to maintain quality properly in a company.

73Organizational Theory and Management

The “Quality Circle” Deming (1986) introduced the Japanese to the concept of statistical quality control

(SQC), which was immediately adopted by the union of Japanese scientists and en-

gineers (JUSE) as the cornerstone of their improvement program. Then, in 1952,

at a conference in Syracuse, New York, Dr. Deming introduced the founder of JUSE,

-- WHY ISN’T YOUR NEW EMPLOYEE SLEEPING? – HE’S A CLIMBER. Artist: O. Kornev; Krokodil [Crocodile] satirical magazine, 1970s.

74 CHAPTER 2

Mr. Koyanagi, to another American expert on quality control, Dr. Joseph Juran.

(2004) Over the next few years, Juran visited Japan several times, teaching the

Japanese his approach to quality improvement, an approach that stressed partici-

pative decision making (2004). Juran’s ideas served as the basis for the so-called

“quality circles” program that followed several years later. Dr. Juran lectured and

preached what is known as total quality control, which says that quality begins in

the design stage and ends after satisfactory services are provided to the customer.

An organization’s success depends, therefore, on “total quality,” not simply manu-

facturing quality (Juran 2004).

In order for an agency or organization to increase its effectiveness and productiv-

ity, careful attention must be paid to the nature and quality of employee commit-

ment and participation. Thus, the concept of the “quality circle” (or QC) emerged

as a management concept. A quality circle is a small group of employees who per-

form similar tasks and meet regularly and voluntarily to solve work-related prob-

lems. The overriding purpose of these meetings is to improve the quality of an

organization’s services or products by systematically involving employees in the de-

FIGURE 2.2 – A COLLEGE THROUGH MINZBERG’S LENS

Strategic Apex

President Provost and Deans

Faculty Senate

Technostructure

IT Department Accountants Budgeteers

Legal

Middle Line

Department Chairs Faculty Committees

Support Staff

HR Registrar Bursar

Alumni Relations/PR Buildinings and

Grounds MaiIroom

Operating Core

Adjuncts Professors Teaching Assistants

75Organizational Theory and Management

cision-making process. The underlying concept is that the employee is an expert:

the person closest to the work knows the problems best and can be trained to solve

them. Employees share with management the commitment to identifying and solv-

ing problems related to coordination and productivity. Decisions are made by con-

sensus, with broad participation and a long-term view. For some organizations,

QCs formalize informal or sporadic efforts already under way. They provide struc-

ture, continuity, and recognition to ad hoc attempts at employee involvement. Their

appeal and potential is in offering a theory and set of practices for effecting orga-

nizational change.

QCs are not gripe sessions, social hours, alternatives to unions, or substitutes for reg-

ular staff meetings. They do not focus on union or personnel issues such as wages,

benefits, and grievances. Discussion of specific personalities is usually forbidden, al-

though some QC programs allow it if the purpose is to solve a problem and not sim-

ply to vent. QCs address problems related to work processes: expediting the work

flow (processing of cases, forms, requests, complaints, and the like); bureaucratic

rigidity (e.g., unrealistic, time-consuming procedures); organizing physical facilities

and resources more efficiently; overstaffing/understaffing; lateness and absenteeism;

communication bottlenecks among work units/levels; clarifying organizational goals,

objectives, and methods; reducing costs in specific program areas; reducing waste;

and improving on-the-job safety. As the most widely used method of participatory

management, QCs have been instituted under various names, among them:

• Quality teams

• Employee teams

• Task force management

• Operations improvement

• Performance circles

• Z teams

• Employee participation groups

• Participative decision making

Potential Benefits of QC Programs Performance improves for the following reasons: Quality of information improves

because employees are typically closer to the problems than management. When

employees solve their own work-related problems, management has access to a dif-

ferent set of information and a wider range of problems can be addressed. Usually

a small percentage of the people in an organization are responsible for the vast ma-

jority of the problem solving. With QCs, however, problems become the responsi-

bility of the entire organization. Quality of decisions improves, time is better spent,

76 CHAPTER 2

and more and better information about a wider range of problems that everyone

works to solve gives management more time to manage.

Employees are more committed to decisions that they make for themselves. Most or-

ganizations have to spend too much time “selling” their decisions to resistant em-

ployees. But if employees see the connection between their own performance and the

organization’s success, they feel invested in the outcome and commit more of them-

selves to it. Attitudes change and the quality of services and products improves as

emphasis shifts away from performance. Quality improvement is the raison d’être for

QCs. Organizational tensions decrease when employees gain a stronger voice in de-

termining their work environment. Likewise, when the burden of problem solving

becomes shared, managers’ attitudes change. A “win-win” orientation develops. Both

sides benefit from an atmosphere of cooperation, mutual interest, and trust.

Through QCs, an organizational mission develops—a genuine mission, not just a

paper mandate. Employees develop a clear sense of purpose in terms of their specific

jobs. High performance standards emerge; communication increases and actually

FIGURE 2.3 – THE DEMING WHEEL

4. ACTION Make changes

1. PLAN

3. CHECK Analyze data collected, deliberate, decide on course of action

2. DO Collect data, measure performance

77Organizational Theory and Management

improves as problems arise; and more people are consulted to create ongoing

consensus and ensure that the best ideas are implemented. Career develop-

ment becomes a dynamic process by expanding skills.

QCs promote personal growth by enlarging the

bounds of routine work. They provide job enrich-

ment. These benefits are particularly important in or-

ganizations with limited avenues of vertical mobility.

Pride in performance increases, and employees gain

a sense of autonomy: they realize that they can influ-

ence how the job is done and that management will

help. Any dissatisfaction with the status quo moti-

vates them toward further improvement. At the same

time, managers feel better about their role by spend-

ing less time “managing by exception”—that is, emphasizing the negative side

of employees’ performance.

Organizational Economic Theory Organizational economic theory is primarily concerned with ensuring that

managers and rank-and-file employees are working for the betterment of the

organization. In other words, economic theory strives to ensure that worker

interests coincide with the organization’s interests, which are embodied in the

organization’s “owner.” This idea is best captured in what is known as princi- pal-agent theory. Principal-agent theory deals with the inherent challenges of motivating workers and controlling cooperative action. It holds that an orga-

nization’s principals—owners, stockholders, CEOs, government agency heads—

desire some organizational achievement. From a private sector perspective,

this could include greater profits and market share or higher stock prices. From

a public sector perspective, this could include more efficient and effective serv-

ice delivery or improved citizen satisfaction. Regardless of what the principals

hope to achieve, they need help from “agents.” Agents usually represent an or-

ganization’s employees, but they also include external players that provide serv-

ices to the organization but are not a part of the formal structure.

A fundamental problem is that both principals and agents are motivated by self-

interest. Principals are concerned about themselves in the context of how the or-

ganization is performing, while agents are simply concerned about themselves.

Another problem for principals is that they seldom know whether agents are

behaving in a way that benefits the organization. In short, principals are at a

significant disadvantage in terms of information. Principal-agent theory at-

tempts to reconcile the inherent conflict between principal and agent interests,

while at the same time addressing the information disadvantage of principals.

This is accomplished by (1) monetarily compensating agents in a manner that

“The disease which inflicts

bureaucracy and what they usually

die from is routine.”

JOHN STUART MILL Nineteenth-century English Philosopher

78 CHAPTER 2

influences the interests of the agents to converge with interests of the principals, and (2)

implementing oversight mechanisms that make sure agents are performing as expected.

Organizational Culture What is organizational culture? Does it refer to the customs and rituals that go on

within an organization? Does it refer to behavioral norms or the way people inter-

act with one another? Can organizational culture be defined as the values that un-

derpin how an organization operates? Or, as Joanne Martin (2002) suggests, does

it refer to “how things are done” within any organization? In short, organizational

culture is all of these things and much more. Edgar Schein (1993) believes that or-

ganizational culture refers to shared notions that bind together members of an or-

ganization, some of which include:

• Behavioral regularities when people interact: This could include

greeting a coworker with a “good morning” or asking about

someone’s family or weekend.

• Group norms and values.

• A guiding mission and formal rules that dictate what is and is not

appropriate behavior.

• Climate and environment. This typically refers to an organization’s

physical layout.

• Shared skills and modes of thinking.

An organization’s physical layout can tell someone a great deal about an organization’s

culture. New York City mayor and media mogul Michael Bloomberg believes that the

layout of an organization’s workspace significantly impacts worker morale and per-

formance. As former chief executive of Bloomberg, L.P., Mayor Bloomberg does not

believe in private, individual offices or closed-in cubicles; rather, he champions an open

layout, whereby rank-and-file and upper-level employees are given small, open work-

spaces within a large chamber. Dubbed the “bullpen,” Bloomberg’s open layout is rem-

iniscent of the trading floor of the New York Stock Exchange. From an organizational

culture standpoint, what does this convey? Most notably, it conveys the importance of

transparency and accountability. Furthermore, the open layout is conducive to em-

ployee interaction. City Hall employees are not forced to schedule time with the mayor

to ask his opinion or gain approval for something. All they need to do is stop by his

desk, which is in the middle of the bullpen, and talk to him face to face. When there is

a need for privacy, the mayor and his associates can retreat to conference rooms that

are surrounded by glass. Mayor Bloomberg does not believe in executive dining halls

or private parking spaces, as these types of things serve only to create class culture,

which can have a negative impact on employee morale (Bloomberg 1997, 2001).

79Organizational Theory and Management

The importance of organizational culture was thrust center stage following the ter-

rorist attacks on New York City’s Twin Towers on September 11, 2001. Specifically,

the CIA and FBI were highly criticized for their failure to cooperate with one another

regarding domestic terrorism. Any effort to get the CIA and FBI to work together goes

beyond mere edicts. The organizational cultures of the CIA and FBI differ fundamen-

tally, and this cultural rift makes collaboration and communication inherently difficult.

From an outsider’s perspective, it would appear that an ongoing clash exists between

the CIA and FBI—a clash that manifests itself in petty turf battles that are simply a

part of interagency competition. This, according to experts, would be oversimplifying

the problem, as members of the CIA and FBI view the world very differently.

The FBI’s mission is law enforcement, and success is measured in terms of the num-

ber of arrests, prosecutions, and convictions made. FBI agents tend to process infor-

mation in a linear fashion; that is, they have tunnel vision, only concerning

themselves with facts that are relevant to a specific case. Like all domestic law en-

forcement agencies, the FBI is guided by strict rules with regard to information gath-

ering (refer to the Fifth Amendment of the U.S. Constitution), while the CIA is not

bound by the same legal standards given its operations abroad. The FBI is case driven,

whereby emphasis is placed on gathering facts that lead to a suspect. In contrast, the

CIA is concerned not with facts of specific cases but rather with the relationship or

connection between facts and cases. This ideally enables the CIA to predict what

might happen in the future. The FBI’s world is real and tangible, while the CIA’s world

is hypothetical and predictive. In other words, FBI agents are not trained to predict

where the next bank robbery will take place; they are trained to react to the situation

once it occurs. In contrast, CIA agents are trained to be proactive, not reactive.

National Performance Review Given the public pressure on government organizations to perform more effectively,

Osborne and Gaebler’s Reinventing Government (1992) provides recommendations

Organization Effectiveness Simulator (Simulation) Test your understanding of organizational theory through a series of exercises pro- vided on the Booz & Company website. Identify the organizational flash points and create a strategy to address them. Using this simulator, test your strategy and eval- uate the results. After you have completed this exercise, analyze the process for di- agnosing the flash points, for creating the strategy, and for assessing the results. Would you have done anything differently?

Booz & Company, Inc., “Organization Effectiveness Simulator” www.simulator-orgeffectiveness.com/booz

EXERCISE 2.3

80 CHAPTER 2

for improvements. The “reinventing government” movement is a synthesis of varying

approaches. Specifically, Osborne and Gaebler (1992) argue that government should:

• Act as a catalyst

• Empower rather than simply serve

• Be competitive

• Be mission-driven as opposed to rule-driven

• Be results-oriented

• Be customer-driven

• Be enterprising

• Anticipate social problems

• Be decentralized

• Be market-oriented

As much as reinventing government has become part of the public management

lexicon, it is far from a new invention. For instance, the ideas of decentralization

and competition were taken from the public-choice school of thought (in the mid-

1960s). The reinventing government school of thought is more pro-government

than public choice, whose supporters tended to view government as inherently

problematic. Reinventing government calls for more discretion for public admin-

istrators, praise for entrepreneurial government, and support for preventive rather

than reactive government.

Central to reinventing government is competition. Competition, however, is not

limited to private sector organizations bidding to do the work of government or-

ganizations. Rather, the idea calls for competition within the public sector itself—

public organizations competing with other public organizations. Osborne and

Gaebler advocate competition as a means for improving government performance.

They further point out the strengths and weaknesses not only of the public sector

but also of the private and nonprofit sectors. The public sector, they argue, is bet-

ter suited toward policy management, regulation, enforcement of regulations, pre-

vention of discrimination and exploitation, and promoting social cohesion. The

private sector is better suited for generating profit and fostering self-sufficiency.

The nonprofit sector (which generates no profit and relies on huge numbers of vol-

unteers) is ideal for promoting social welfare, individual responsibility, commu-

nity, and commitment to society’s general welfare.

81Organizational Theory and Management

Argyris, C. 1957. Personality and Organization. New York: Harper.

Barnard, C.I. 1938. The Functions of the Executive. Cambridge, MA: Harvard University Press.

Bloomberg, M.R. 1997, 2001. Bloomberg by Bloomberg. Hoboken, NJ: Wiley.

Brownlow Commission. 1937. Report of the President’s Committee on Administra- tive Management (The Brownlow Report). U.S. Government Printing Office.

Dahl, R. 1989. Democracy and Its Critics. New Haven, CT: Yale University Press.

Deming, W.E. 1986. Out of the Crisis. Cambridge, MA: MIT Center for Advanced Engineering Study.

Fayol, H. 1916. General and Industrial Management. Trans. C. Storrs. London: Pitman Publishing, 1949.

Follett, M.P. 1926/2008. “The Giving of Orders.” In Classics of Public Adminis- tration, ed. A.C. Hyde, J.M. Shafritz, and S.J. Parkes. Belmont, CA: Wadsworth/Thomson Learning.

Brownlow Commission Report

Bureaucracy

Co-optation

Fact-value dichotomy

Groupthink

Hawthorne experiments

Informal organizations

Mechanistic systems

Needs hierarchy

Organic systems

Organizational culture

POSDCORB

Principal-agent theory

Proverbs of administration

Quality Circles (QCs)

Reinventing government

Scalar chain

Scientific management

Span of control

Systems theory

Theory X

Theory Y

Total Quality

Unity of command

Unity of direction

KEY TERMS

REFERENCES

82 CHAPTER 2

Gulick, L.H., and L. Urwick, eds. 1937. Papers on the Science of Administration. New York: Institute for Public Administration. See especially: “Notes on the

Theory of Organization,” pp. 1–46.

Janis, I.L. 1972. Victims of Groupthink: A Psychological Study of Foreign-Policy Decisions and Fiascoes. Boston: Houghton Mifflin.

Juran, J.M. 2004. Architect of Quality. New York: McGraw-Hill.

Likert, R. 1961. New Patterns of Management. New York: McGraw-Hill.

Martin, J. 2002. “Organizational Culture: Pieces of the Puzzle.” In Classics of Organizational Theory, ed. J.M. Shafritz, J.S. Ott, and Yong Suk Jang, 6th ed. Belmont, CA: Wadsworth Publishing.

Maslow, A.H. 1943. “A Theory of Human Motivation.” Psychology Review 50: 370–96.

McGregor, D. 1960. The Human Side of Enterprise. New York: McGraw-Hill.

Merton, R. 1957. Social Theory and Social Structure. New York: Free Press.

Minzberg, H. 1979. The Structuring of Organizations: A Synthesis of the Research. Upper Saddle River, NJ: Prentice Hall.

Osborne, D., and T. Gaebler. 1992. Reinventing Government: How the Entrepre- neurial Spirit Is Transforming the Public Sector. Reading, MA: Addison-Wesley.

Schein, E.H. 1993. Organizational Culture and Leadership, 2d ed. San Fran- cisco: Jossey-Bass.

Selzick, P. 1949. TVA and the Grass Roots: A Study in the Sociology of Formal Organizations. Berkley, CA: University of California Press.

Simon, H.A. 1946. “The Proverbs of Administration.” Public Administration Review 6, no. 1: 53–67.

———. 1947/1997. Administrative Behavior. New York: Simon and Schuster.

Smith, A. 1776/2003. The Wealth of Nations. New York: Bantam.

Taylor, F. 1911. The Principles of Scientific Management. New York: W.W. Norton.

Urwick, L.F. 1952. Notes on the Theory of Organization. New York: American Management Association.

Waldo, D. 1948. The Administrative State: A Study of the Political Theory of American Public Administration. New York: The Ronald Press Co.

83Organizational Theory and Management

———. 1952. “Development of Theory of Democratic Administration.” American Political Science Review 46 (March): 97.

Weber, M. 1978/1922. Economy and Society: An Outline of Interpretive Sociol- ogy. Trans. and ed. Guenther Roth and Claus Wittich. Berkeley: University of California Press.

Etzioni, A. 1964. Modern Organizations. Englewood Cliffs, NJ: Prentice Hall.

Gilbreth, F. and L.M. Gilbreth. 1919. Fatigue Study: The Elimination of Human- ity’s Greatest Unnecessary Waste; A First Step in Motion Study, 2d ed. New York: MacMillan.

Kanigel, R. 1997. The One Best Way: Frederick Winslow Taylor and the Enigma of Efficiency. New York: Viking.

Rainey, H. 2003. Understanding and Managing Public Organizations, 3d ed. San Francisco, CA: Jossey-Bass.

Robbins, S.P. 2005. Essentials of Organizational Behavior, 8th ed. Upper Saddle River, NJ: Pearson/Prentice Hall.

Waldo, D. 1961. “Organization Theory: An Elephantine Problem.” Public Admin- istration Review 21, no. 4: 210–25.

Weber, M. 1958. From Max Weber: Essays in Sociology. New York: Oxford University Press.

Carnegie Mellon School of Computer Science, “A Tribute to Herbert Simon,”

http://www.cs.cmu.edu/simon/index.html

The Department of Economics of the New School for Social Research, “Max

Weber, 1864–1920,” The History of Economic Thought Website

http://homepage.newschool.edu/het//profiles/weber.htm

Huitt, W. 2007. “Maslow’s Hierarchy of Needs.” Educational Psychology

Interactive Website. Valdosta, GA: Valdosta State University, 2007

www.edpsycinteractive.org/topics/regsys/maslow.html

SUPPLEMENTARY READINGS

ELECTRONIC RESOURCES

Managing Human Resources

CHAPTER 3

Chapter 3 examines the management of an organization’s

most important resource—its people. Upon reading this

chapter, students will be able to discuss the major concepts

associated with human resource management. Productive

human resource management and the cultivation of a high-

quality and diverse workforce are discussed, with emphasis on

the importance of recruiting the best and brightest workers

and devising employee development strategies. The chapter

then transitions into a discussion of employee motivation

theories, touching on employee assessment and counseling

techniques. To conclude, strategies for creating a quality work

environment are addressed.

84 CHAPTER 3

85Managing Human Resources

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“No duty the Executive had to perform was so trying as to put the right man

in the right place.”

THOMAS JEFFERSON Third President of the United States

(1743–1846)

– I NEED THOSE WHO FIT THIS MEASURE… Arti st: Y. Cherepanov; Krokodil [Crocodile] satirical magazine, 1965.

86 CHAPTER 3

Twenty-first-century management is dynamic. It is characterized by competition,

increasing demands for improved and new services, budgetary constraints, calls for

higher performance, increased citizen involvement, and a variety of political pres-

sures. These demands present new challenges for managers within the public sector.

Public managers must attend to demands for responsive and effective government,

the citizenry’s demands for greater involvement in public decision making and gov-

ernance, and an evolving workforce that holds new attitudes and higher expecta-

HUMAN RESOURCES MANAGEMENT

Source: www.cartoonstock.com

EMPLOYEEOF THEMONTH EMP

LOY EE

OF THE

MO NTH

John Parker

87Managing Human Resources

tions. In addition, there exists a political-administrative dynamic that is embodied

in the demand for open and transparent governance, while simultaneously charged

with providing more and better services with fewer resources. Public managers are

now forced to respond with novel and groundbreaking ways of managing their

human resources. High-performing public organizations are using innovative ap-

proaches to create and maintain a productive workforce.

The most important resource of any public organization—indeed, the public sector’s

most critical investment—is its people. In fact, employee

salaries and benefits make up between 50 and 85 percent of

government budgets. Guy (1992a) underscores the impor-

tance of people in high-performing public organizations:

“The easiest way to make quick productivity gains is to mech-

anize a process. The most difficult, but most enduring, way to

make productivity gains is to develop each worker’s desire

and ability to be maximally productive. The reason is simple:

It is people who, in the long term, control the productivity of

any organization” (p. 307).

According to Mintzberg (1996), an organization without

commitment to its human resources is analogous to a body

that has no soul. Flesh, bones, and blood may be able to

consume and to exert energy, but without a soul there is no

life force. Public organizations, notes Mintzberg, need a

life force, so to speak. Thus, acknowledging and respond-

ing to emerging human resource management needs is di-

rectly tied into improving government performance.

High-performing organizations are compassionate and demonstrate concern for

meeting the needs of their employees. This coincides with the view that productive

organizations have a vested interest in satisfying human needs. In other words,

productive human resource management balances a worker’s needs and an orga-

nization’s goals.

Human resource management encompasses managing people’s concerns. Man-

agers who deal effectively with these concerns are more likely to achieve organiza-

tional goals, in addition to satisfying employee needs, which range from job

satisfaction, to recognition for personal and group achievements, to a competitive

salary and a safe work environment. Public organizations are dependent on knowl-

edgeable, industrious, enthusiastic workers and harmonious relations between

managers and employees (Isaacs 1996).

At one time, human resource management dealt with standardizing personnel

processes. Twenty-first-century human resource management, however, is not just

about safeguarding employees and upholding the integrity of personnel systems

“Leadership is all about people. It

is not about organizations. It is not about plans. It

is not about strategies. It is all

about people— motivating people

to get the job done. You have to be people-

centered.”

COLIN POWELL U.S. Army General;

Former Secretary of State

88 CHAPTER 3

from management exploitation. With more traditional management models, ad-

herence to strict processes was paramount. Under more contemporary public man-

agement paradigms, where performance improvement and the achievement of

organizational goals are vital, the focus of human resource management is to enable

managers and employees to better serve the public (Cooper 1998). This requires

the traditional human resource elements of

• Hiring the right workers to achieve an organization’s goals and fulfill

its mandate;

• Training and developing workers; and

• Rewarding workers using monetary, as well as non-

monetary, psychological rewards—i.e., creating an or-

ganizational environment that engenders loyalty and

cooperation.

In this era of scarce resources, increasing cynicism and dis-

trust of government, and demands for improved perform-

ance, human resource management systems have

additional concerns. Key among those concerns, notes Naff

(1993), are:

• Creating and maintaining a diverse workforce;

• Affording workers a measure of power in the workplace;

• Enabling workers to fulfill and balance both work and family respon-

sibilities;

• Enabling workers to hold their managers accountable for merit prin-

ciples;

• Taking into account different ways of motivating workers; and

• Identifying ways of fostering a culture of cooperation and teamwork

in the workplace.

Productive Human Resource Management Overall, productive human resource management can be thought of as a lively, open

system (Cooper 1998) in which external and internal environments are intercon-

nected. Such a system is likely to influence a public organization’s capacity to attract

and hold on to workers who take on new and more complex responsibilities. This

occurs in an environment where the public sector often competes with private sec-

tor organizations for human resources. Also, ongoing changes in and increasing re-

“The growth and development

of people is the highest calling of

leadership.”

HARVEY S. FIRESTONE Industrialist; Founder

of Firestone Tire and Rubber Co.

89Managing Human Resources

liance upon technology have resulted in a greater need for knowledge workers and

information systems that support management decisions. Sherman, Bohlander,

and Schnell (1998) argue that rapid technology change requires a superior work-

force. Productive human resource management reflects societal demographic

changes as well. As society becomes more diverse, it is imperative that public sec-

tor employees reflect a similar measure of diversity. Human resource management

systems must embrace all employee differences. This view is supported by Sher-

man, Bohlander, and Schnell (1998). Public organizations have been shown to ben-

efit from diversity by acknowledging and embracing the differences and concerns

of their employees. The increasing presence of females and racial and ethnic mi-

norities in public administration has led to a significant amount of academic work

on the value of diversity in organizations (Golembiewski 1995; Rainey 1997).

Porous department and unit boundaries of public organizations pose human re-

source challenges that can best be met by adopting a “team player” approach.

Human resources must work with other departments and units in achieving or-

ganization-wide goals. Clearly, internal factors—most notably the values held by

an organization’s upper management and by extension the organization’s culture—

—THE WORK IS IN FULL SWING, BUT THERE’S A SHORTAGE OF PEOPLE! Artist and Date Unknown; “The Fighting Pencil” group.

90 CHAPTER 3

influence human resource management. Upper-management leadership deter-

mines the extent to which human resource management is viewed as important.

Schuler and Huber (1993) argue that if upper managers downplay the importance

of workers to the organization’s overall success, so will line

managers. If line managers do the same, then the human

resource department will be less likely to embrace innova-

tive and productive human resource policies. On the other

hand, upper management’s support of and commitment to

employee-centric human resource policies does not neces-

sarily ensure that the organization will be productive. Per-

formance improvement in public organizations requires a

commitment from all employees.

The culture of an organization embodies its value system. In-

dividual-level and organizational-level performance can only

be understood if that organization’s culture is taken into ac-

count (Schein 1988). As one of the key factors influencing

employee motivation (Romzek 1990), organizational culture,

to some measure, indicates how organizations treat their em-

ployees (Schuler and Huber 1993). Organizations possessing

a culture of concern and respect for individuals are likely to

have policies that address employee needs specifically. Em-

ployees, too, learn a great deal about an organization’s culture

through human resource practices—for example, how the or-

ganization chooses people for hiring and promotion, what

criteria are used to evaluate employees, and how well it com-

pensates its employees both monetarily and nonmonetarily.

These indicate a great deal about an organization.

The political-administrative interconnection has profound

human resource implications. Thompson (1990) is among

the theorists who maintain that human resource manage-

ment may well have political consequences. Processes such as hiring and firing are

no longer clandestine activities; such policies must now withstand public and in-

terorganizational scrutiny. Depending on the human resource issue, several public

agencies may have a role to play. For example, when policy questions are raised re-

garding employee performance appraisal in the federal government, the Equal Em-

ployment Opportunity Commission, the Office of Personnel Management, the

Federal Labor Relations Authority, and the Merit Systems Protection Board all have

a vested interest in the issue. In such organizations, politicization must be balanced

with principles of merit and equal opportunity for employment.

An organization’s environment—both internal and external—influences human re-

source management. Recognizing internal and external environmental factors pre-

“You know the type. They bank vacation days.

They hand in slips of paper noting how many half- days or holidays they’ve worked.

They remind bosses and

colleagues of company policies regarding over-

time. They are little technocrats who show time and time again that

they are not working for fun or

the passion to win. They’re just

logging hours.”

JACK WELCH Retired CEO of

General Electric

91Managing Human Resources

pares human resource managers to address the challenges inherent in their field. In

high-performing organizations, human resource managers look at these factors as op-

portunities, not problems. Responsibilities for human resource (HR) management

are spread out in the organization: organization heads and their upper managers, mid-

dle managers, and HR managers share these responsibilities. According to Naff (1993),

virtually all managers are dependent on human resource management. In fact, man-

agers are an HR department’s most important customers. Human resources support

enables managers to cultivate and sustain a quality workforce; develop and prepare

employees for more advanced positions; and preserve the principles of merit and fair

play within the organization. Human resource departments provide invaluable sup-

port services so that managers may deliver more efficient and effective services.

Among the strategies to effectively manage human resources in high-performing

organizations are:

• Cultivating and maintaining a high quality of work environment, and

• Creating satisfying work relations through teamwork and

collaboration.

Cultivating and Maintaining a High-Quality Diverse Workforce While challenging and time-consuming, the task of improving performance re-

quires the capacity and motivation of the workforce to operate at high levels. In-

novative public sector strategies for managing human resources show that

cultivating and sustaining a high-quality and diverse workforce is indeed an at-

tainable goal. Doing so entails identifying and hiring the right people, systematically

preparing them for their roles, providing them with sources

of motivation, and then evaluating them fairly. Workforce

planning involves more than estimating the number of

workers needed in various capacities now and in the future;

it deals with personnel development, the optimal utiliza-

tion of each worker, and employee retention. Workforce

planning also has prospective and evaluative components,

as it addresses the future impacts of employment based on

present-day decisions.

Recruiting the Best and the Brightest Sustained attacks on public servants dissuade the best and

the brightest students from pursuing public sector careers

(Holzer and Rabin 1987). The importance of recruiting and retaining exceptional

employees cannot be overstated; yet, public organizations risk losing many of their

most talented people to alternative employment (Romzek 1990, p. 374). According

to research conducted by Jurkiewicz, Massey, and Brown (1998), there are 15 fac-

“People often say that motivation

doesn’t last. Well, neither does

bathing—that’s why we recommend

it daily.”

ZIG ZIGLAR Corporate Trainer;

Motivational Speaker

92 CHAPTER 3

tors relevant to the motivation of public employees. Of those factors, high prestige

and social status ranked fifteenth (Jurkiewicz, Massey, and Brown 1998, p. 235).

Identifying and hiring the right people have emerged as significant issues that war-

rant innovative approaches. Public organizations need to woo the so-called “best

and brightest” from multiple recruiting pools—from new graduates, to private sec-

tor employees who have been “downsized,” to older workers looking for a second ca-

reer, to civic-minded volunteers. Some organizations have implemented innovative

hiring practices that are more user friendly. Holzer (1991) recommends several

strategies for persuading the best and the brightest into government, namely ad-

vocacy activities that keep the idea of public service on the forefront of people’s

minds. Central to this is educating and reminding people that public service is both

a necessary investment and a civic duty. Of course, appealing to an individual’s civic

virtues will accomplish only so much. More competitive salaries, increased em-

ployee discretion, and the power of resources all play important roles in attracting

the best and the brightest to government.

Employee Development In high-performing public organizations, training and development are never-end-

ing processes. Twenty-first-century organizations operate in a climate that requires

constant organizational learning (Mills 1994). Training begins with employee ori-

entation as an individual begins work, and it continues throughout that individ-

ual’s career in order to fulfill the need for new knowledge, skills, and

attitudes—commonly referred to as KSAs. Employee de-

velopment encompasses a long-term agenda of activities

(that is, training and education) to prepare workers for ca-

reer advancement within the organization. Training is cen-

tral to improving performance and lessens the probability

of employees becoming obsolete in an increasingly chang-

ing environment. Training and development are vital to ac-

complishing workforce plans, as well as improving

individual competencies.

Training employees is of the utmost importance, as public

employees work within politically charged environments. Be-

cause of the traditional separation between politics and ad-

ministration, the legislative—or lawmaking—environment is often unfamiliar to public

employees, and they tend not to work as effectively in it. Public employees will perform

better if they have a better understanding of the legislative environment (Lewis and

Raffel 1996). Clearly, according to Isaacs (1996), the effectiveness of training and de-

velopment programs affects employee performance. Not to be overlooked, however,

is how receptive trainees are to training and development programs. The training pro-

gram design, delivery, and evaluation—as well as whether employees are afforded op-

portunities to use their newly acquired skills—also affect organizational performance.

“There are incalculable

resources in the human spirit,

once it has been set free.”

HUBERT H. HUMPHREY

38th Vice President of the United States

93Managing Human Resources

New in Hiring Practices— A Strategic Approach to Hiring A MAKEOVER THAT MATTERS: THE EXTREME HIRING MAKEOVER Current events have raised the stakes on government’s success—and to perform ef-

fectively, government needs top talent. But the federal government is in double jeop-

ardy: More than half of all federal employees will be eligible to retire within the next

five years, and there is a very thin pipeline of talent waiting in the wings to replace

the skilled and experienced workers who will walk out the door. Worse yet, the way

the federal government hires is often inadequate—it takes too long, is cumbersome,

and may fail to produce quality results.

The federal hiring process is one of the biggest impediments to attracting new em-

ployees to government service. In some cases, federal job application instructions

run 35 pages long—and applicants often have to wait six months to a year before get-

ting a federal job offer, sometimes with little or no communication from agencies.

There is also growing concern that methods used by federal employers for assessing

the skills of potential employees are among the least effective available. If it takes

federal agencies a year to hire, and they don’t properly assess applicant skills, they

will lose the most highly qualified candidates to more nimble organizations.

Project Overview Modeled after the popular Extreme Makeover television shows, this project united

some of the nation’s premier experts on recruiting and assessment with three federal

agencies to implement some of the most effective hiring practices used in any sector.

Like the television shows, participating agencies boldly and bravely came forward

with a simple desire to improve. But unlike the TV show participants, their measure

of success is not cosmetic, but something far more important: bringing the best tal-

ent into the federal government by improving the way the government works. This

is a makeover that matters.

Agencies The three participating agencies are the Centers for Medicare & Medicaid Services

(CMS), within the Department of Health and Human Services (HHS); the Depart-

ment of Education (ED); and the National Nuclear Security Administration (NNSA),

within the Department of Energy.

Partners The Extreme Hiring Makeover project was enhanced by the participation of world-

(continued)

94 CHAPTER 3

class experts in the area of recruiting and hiring. Whether the issue is planning, mar-

keting, assessment, or selection, the Extreme Hiring Makeover (EHM) team has the

skills and knowledge to help participating agencies improve their practices. In addi-

tion to the Partnership for Public Service, this team included: Monster Government

Solutions, ePredix, CPS Human Resource Services, AIRS, Brainbench, the Human

Capital Institute and Korn/Ferry International.

Approach This project was launched in the summer of 2004 with a phased approach. From

July to January, the EHM team helped agencies diagnose the key issues they face

through a series of interviews and by mapping the hiring process. Also, “quick wins”

were implemented to demonstrate rapid progress. Those included creating new

looks and marketing appeal for vacancy announcements, targeting passive candi-

dates for existing positions, helping to script communications for job fairs, and

providing interview guides for managers. From January through the end of April,

the project participants constructed short-term fixes—designing the new hiring

process, creating a new front-end toolkit to facilitate better planning for managers

and HR teams, tightening up the pre-screening and assessment process, designing

new recruiting materials, and training the agency’s recruiting experts. The re-

maining portion of the project focused on long-term planning for building on and

sustaining change.

At all three organizations, mapping the hiring process allowed them to gain a real-

istic and practical understanding of their hiring issues. While it is difficult to pre-

scribe the optimal number of steps for any given agency, this exercise highlighted

areas where non-value added steps had crept into the process over a period of years.

Many of those steps were not generated by statute or regulation, but through a lay-

ered history of Department, agency, and functional practice. Most important, it al-

lowed the collective leadership of the organization to understand each other’s

activities and where to hunt for real process improvements. The simple visual of

this multi-step process evoked enthusiastic commitments for change from all the

Makeover teams.

Key Lessons While this project illustrated several areas where rapid improvement can be achieved,

it also underscored the obstacles facing government agencies as they try to imple-

ment and manage change initiatives. To improve their hiring results, each agency

could improve the planning phase of their process, better sell their job opportuni-

ties, and focus on quality. To enable these changes, the involvement of top leadership

(continued)

95Managing Human Resources

was clearly the most critical factor leading to success, but it was also apparent that

staff members implementing such efforts must support the project. In effect, agen-

cies need to change from the inside out. Though the Extreme Makeover showed focus

on the surface, this project pushed agencies to review their deeper internal practices

to find better ways to present themselves to the public. Some team members called

this “battling inertia,” daring to do things differently.

Even with notable accomplishments at all three participating organizations, each

agency team can identify specific areas where they could have improved their results.

Team members agreed that enhanced internal communication, extending to those

outside the project, would have benefited the outcome. Further, there was consensus

that dedicated project resources, specifically assigning staff members solely to this ef-

fort, would have eliminated competing priorities and allowed the team to focus ex-

clusively on their intended goals.

Across government, agencies post vacancy announcements and assume top-flight

candidates will apply. Each agency in this project has benefited from outreach to can-

didates who may not regularly seek government work, broadening their reach and ex-

panding their organizational capabilities. Through a variety of means, agencies can

market their job openings to new and diverse sources of candidates, often with ex-

ceptional results. While targeted recruiting promotes agencies, it also demonstrates

the appeal of serving our nation. When Uncle Sam calls, top talent answers.

THE SCIENCE OF MARKETING: NATIONAL NUCLEAR SECURITY ADMINISTRATION While almost every organization sees itself as unique, the National Nuclear Security

Administration (NNSA) is truly one of a kind. Where else can you harness nuclear en-

ergy for security and scientific advancement, and save the world from nuclear pro-

liferation and terrorism? Established in March 2000, NNSA merged the efforts of

several federal programs responsible for nuclear security: defense nuclear weapons,

nuclear non-proliferation, the naval nuclear propulsion program and other support-

ing efforts.

Just as NNSA’s mission is highly specialized, so are the skills and talents that it needs

in its federal workforce. Given the critical shortages in scientific and technical talent

in America and a rapidly changing security environment, recruiting needed talent

presents a major challenge for NNSA.

For national security reasons, NNSA did not maintain a highly visible public pos-

ture. Potential candidates for employment were not aware of NNSA’s exciting and (continued)

96 CHAPTER 3

challenging programs. Compounding the difficulty of hiring the right talent is the

challenge of finding people to work in remote locations. To overcome these chal-

lenges, NNSA needs world-class recruiting capabilities. Agency leaders recognized

that old methods would not allow them to compete effectively for their highly sought-

after talent.

Challenges NNSA leaders had already begun to take a close look at their hiring process when the

Extreme Hiring Makeover (EHM) team arrived.

The multiple-page job announcements did not capture the power of the critical mis-

sion that NNSA serves, did provide an overly extensive list of job duties that obscured

the major features and selling points of the job, and did not highlight the most im-

portant skills and experience that the candidate needed to bring to the organization.

As a result, some of NNSA’s critical positions went unfilled. In launching the Extreme

Hiring Makeover effort, Mike Kane, the Associate Administrator for Management

and Administration, used the example of a nonproductive effort for a senior scientific

position as a proxy for their larger issues. After looking for months, using the current,

longstanding, job announcement formats, they had only three candidates and none

fit the bill. How could the Makeover turn that situation around?

Solutions Extreme Makeover Team members rose to the challenge. After reviewing the prior

vacancy announcement for the senior scientific position and meeting with the hiring

manager and HR team, the root of the problem became clear: NNSA was not selling

or marketing its unique employment opportunities. When asked about the vacancy,

the hiring manager could describe the position at length in technical terms but had

not considered how to convey the job in such a way as to excite a potential applicant.

So, the Extreme team led him through a series of questions to elicit what the position

really entailed, why a candidate would want to work there, and what competencies

and credentials were most important for the job.

NNSA Gets a Face Lift Following the manager interview, the team worked with NNSA to produce a mar-

keting pitch and targeting strategy. Monster Government Solutions helped to create

a new look and language for their position announcement that conveyed the impor-

tance and excitement of the position. Not only did the new announcement start with

a description of why NNSA is a great place to work, but it utilized a user-friendly,

five-tab vacancy announcement format developed for the Office of Personnel Man-

(continued)

97Managing Human Resources

agement’s (OPM’s) USA Jobs website. The announcement was also written in plain

English—no government jargon. The web-based posting also included photos of the

unique work environment at NNSA that would appeal to the scientists and engineers

it sought to attract.

To further improve NNSA’s odds of attracting highly qualified applicants, AIRS

helped to implement an Internet-based targeted recruiting strategy. They searched

various job boards and other Internet sources for experienced candidates who met

the highly skilled NNSA criteria. A senior NNSA official then called the most desir-

able candidates that came out of this targeted search to encourage them to apply.

The new look for the announcement and the proactive outreach approach produced

a slate of 28 qualified candidates.

Emboldened by this success, NNSA leaders took up their own sales and marketing ef-

forts. They developed an advertisement that ran in Government Executive magazine featuring the new face of NNSA—”Where Engineering, Science and National Security

Intersect in a Challenging Career.”

Engaging the Next Generation To build a pipeline of future leaders, NNSA also launched an emerging leaders pro-

gram that took the recruiting message to a new level. NNSA recruiters targeted fif-

teen universities, many in the South and West, with an emphasis on diversity.

Building on some of the lessons from the EHM, professional recruitment materials,

including a state-of-the art Flash presentation, were prepared for use in on-campus

(continued)

WHERE ENGINEERING, SCIENCE AND NATIONAL SECURITY

INTERSECT IN A CHALLENGING CAREER Come help the National Nuclear Security Administration manage highly visible programs involving nuclear weapons and controlling nuclear threats, both here and abroad. We offer careers where you are compensated for your performance. We also oversee national laboratories that help maintain U.S. leadership in science and technology. NNSA is an agency of the U.S. Department of Energy.

For more information, visit us on the web at: www.nnscr.cfoe.gov Specific job opportunities can be found at: jobsonline. doe.gov

National Nuclear Security Administration

98 CHAPTER 3

recruiting efforts. NNSA developed a core intern-training program built around three

separate functional curricula tracks in facility oversight, business functions, and in-

formation technology.

To compete successfully with private sector organizations, NNSA now aggressively

employs a wide range of recruiting flexibilities and benefits. They tackle the money

issues head-on by offering candidates the possibility of student loan repayment, sign-

ing bonuses and relocation assistance.

Partnering with Managers Effectively The NNSA HR team is constantly looking for ways to enhance their service to man-

agers and forge a collaborative working partnership. They have worked with man-

agers to reexamine their hiring process to reduce the time and effort required to bring

someone on board while improving the quality of candidates delivered by the process.

Extreme Makeover sponsor CPS assisted NNSA in mapping their existing process

and identifying areas for improvement. Managers and HR representatives agreed

that engaging in a comprehensive strategic conversation at the outset would speed

the process, eliminate redundancies and guarantee improved quality of outcomes.

Providing Great Recruiting Resources Also in the course of the diagnostic phase, NNSA determined that they needed to en-

hance their human resources staff, and the HR Director took action. As part of their

targeted approach to address that issue, a new position was created to lead HR op-

erations. Additionally, the HR team embarked on renewed workforce planning to

identify current and future skills gaps; provide training where needed; and improve

its use of automated HR systems and tools, including a new, consolidated approach

to performance management and recognition.

Results Science and marketing do mix to create a potent force.

• The pilot project to fill a senior scientific position yielded an eight-fold

increase in the number of applicants.

• Selecting officials have chosen the first class of about 30 interns, and

their feedback indicates that the candidate pool was of a very high qual-

ity. Having heard about the success of this program, leaders recruiting

candidates in other functional areas have asked for a custom program

of their own.

Perhaps the best example of success comes from the HR Director himself. Having

(continued)

99Managing Human Resources

participated in the first pilot effort to recruit the senior scientist, Ray Greenberg de-

cided to set an example by revamping his own approach to hiring. He needed an HR

operating executive who was ready to embrace a challenge and help make change

happen in this new organization. Ray spent time upfront in developing a clear posi-

tion description and an effective marketing pitch, job announcement and recruiting

strategy. It worked. His final candidates were so good that he faced an entirely new

kind of challenge: how to select the best from a range of outstanding candidates.

Lessons Learned Top Leadership Commitment Is Critical As with the other participating agencies, NNSA witnessed how the commitment of

top leadership within their organization could advance the goals of the project.

Everything Flows from Strategy The HR staff saw the benefits of having a deeper knowledge of the business of NNSA,

including the type of talent they need to attract, where to look for ideal candidates,

and what top talent would find attractive about working at NNSA. This foundational

understanding of the organization helps the HR team enhance its partnership and

collaboration with management. By building their own organization, they help build

NNSA in its entirety.

New Ideas Fuel Innovation Openness to external assistance and seeking outside expertise is extremely valu-

able when tackling major change initiatives. Many agencies don’t have the re-

sources to hire outside consultants or expand their operational practices. In this

project, NNSA had access to both the pro-bono assistance provided by the EHM

partners as well as to further outside assistance to produce recruitment materials

for the intern program. This openness to outside assistance helped to improve its

internal practices.

A Picture Speaks a Thousand Words Mapping the hiring process provided a shared understanding of current activities

across the HR and management teams. The visual of the process facilitated efforts to

develop a shared vision for improvement, and enabled NNSA to smartly target areas

for training and development—for both HR staff and hiring managers—as they seek

to make improvements in the recruitment process.

Recruiting Flexibilities Make a Difference NNSA has committed to optimizing its use of available flexibilities. In each compo-

nent of this project, where applicable, NNSA has interwoven the application of stu-

dent loan repayments, recruitment bonuses and relocation payments along with (continued)

100 CHAPTER 3

special hiring authorities. This both heightens NNSA’s appeal to potential applicants

and brings the agency toward its goal of recruiting and retaining top talent.

What’s Next? As with many federal agencies, NNSA has seen that successful transformational ef-

forts require follow-up and follow-through. To achieve the goals outlined in this ef-

fort, and to encourage enduring change, the team is prepared to make a long-term

commitment to improvement. NNSA will map a plan to institutionalize the changes,

folding them into their standard hiring process and spreading their knowledge

throughout the agency by communicating more broadly with agency staff.

Inspired by their own progress in this effort, NNSA has launched an “Employer of

Choice” initiative, demonstrating its commitment to recruiting and retaining top tal-

ent. The agency will begin with a survey of all employees, using the Partnership for

Public Service’s Best Places to Work in the Federal Government analysis of employee

satisfaction data as one benchmark. From those results, the team will assess its

strengths and weaknesses and craft corresponding efforts to address key issues.

Building on the foundational elements of the Extreme Hiring Makeover project, the

NNSA team also plans to expand and address efforts central to human capital issues,

including a major workforce planning effort. This will help identify the skills and

competencies needed in the workforce, identify skills gaps, and fine-tune future

workforce planning. On a parallel track, the team is developing a “one-NNSA” ap-

proach to HR systems that emphasizes linkages between HR initiatives and the or-

ganization’s strategic goals. This will include implementation of a single performance

management system to replace eight different legacy systems. To deepen collabora-

tion with managers, the HR team will also begin to use additional automated tools.

NNSA may be unique in many ways, but its experiences in the Extreme Hiring

Makeover and its additional efforts to improve its practices offer lessons that are ap-

plicable to any agency across government.

PRESCRIPTION FOR HIRING SUCCESS: CENTERS FOR MEDICARE & MEDICAID SERVICES Responsible for programs like Medicare, Medicaid, the State Children’s Health In-

surance Program, and the Health Insurance Portability and Accountability Act

(HIPAA), CMS touches the lives of nearly 1 in 4 Americans. CMS processes more

than 1 billion claims per year, providing service to nearly 42 million beneficiaries

who receive Medicare benefits.

The agency’s mandate was recently expanded with the enactment of the Medicare

(continued)

101Managing Human Resources

Modernization Act (MMA)—the most extensive modification to the Medicare pro-

gram since its inception in 1965. The MMA includes a drug discount card in 2004,

new preventive benefits including a “Welcome to Medicare” physical for new

Medicare beneficiaries in 2005 and a prescription drug benefit plan by 2006.

Challenges CMS had a pressing need for change in staffing to meet the requirements of the

MMA. Implementation of the new law demanded significantly increased hiring,

growing the size of the workforce by approximately 500 professionals within two

years. This increase constituted 10 percent of the existing workforce and twice the

agency’s normal annual hiring. Such changes involved not only consideration of

new lines of business but also new skills and competencies to effectively rollout

provisions of the MMA.

Among other hiring challenges, the agency’s managers were very vocal about their

dissatisfaction with both the length of time it took to hire and the quality of applicants

that emerged through the certification process. Moreover, like the rest of govern-

ment, CMS has an aging workforce and will likely face significant retirements in com-

ing years. It must attract and retain a highly skilled workforce to address the

increasing pressures of America’s aging population.

Hiring challenges were further compounded by the introduction of a new automated

staffing system and the transition to a new human resources servicing model as the

Department of Health and Human Services consolidated staffing and other services

at the Department level. Given the considerable amount of change taking place in

the organization, volume hiring for MMA and anticipated retirement turnover, it was

clear the old system would not meet the needs of the new CMS.

Solutions At CMS, a focus on effective selection and assessment processes was central to ad-

dressing managers’ concerns. They wanted to ensure that the CMS of the future

would have top talent to meet changing circumstances and their increasing mission

requirements. With high volumes of applicants for many CMS positions and an au-

tomated staffing system that few understood how to use effectively, screening and

assessing candidates for quality were often a challenge.

Analyzing the Process All of the Makeover efforts included an “end to end” mapping of the hiring process

and identification of short-term and long-term fixes. With resources from across the

agency and partners at CPS Human Resources Services, the hiring process was (continued)

102 CHAPTER 3

mapped from end to end—starting when a manager identifies his or her need and

concluding when the person reports for duty. That is notable because the effort ex-

tends well beyond the traditional HR functions.

Focusing on Quality Concurrent with the process mapping and diagnosis, CMS conducted a demon-

stration hiring process for one of its components. This demonstration process em-

ployed a selection of successful pre-screening and assessment processes from best

practice organizations, thereby providing a model on which other CMS groups

could base their practices. This demonstration also presented the opportunity to

test category rating, demonstrating greater flexibility in considering a range of qual-

ified candidates.

CMS identified the position of health insurance specialist as the best candidate for the

test process for several reasons:

• It was the most common occupation series across the organization.

There will always be hiring needs in this area.

• There were immediate hiring needs for multiple positions.

• Many of the projected retirements are expected to deplete these posi-

tions going forward, so the work done in this area could benefit future

hiring.

• There were no special flexibilities or direct hiring authorities for these

positions, so positive results might benefit all hiring efforts and be even

more significant for MMA positions.

The EHM team began the demonstration effort with a strategic conversation with

the hiring manager to clearly define the needs of the position. Information gathered

during this critical discussion and during job analysis enabled the team to:

• Market the position using a visually appealing, plain-English vacancy

announcement,

• Proactively target qualified candidates via a number of Internet acces-

sible resume databases, and

• Build tools to effectively screen applicants and assess their skills and fit

for the position, combining several different approaches to enhance re-

sults.

(continued)

103Managing Human Resources

Results Results from the demonstration process were very impressive. In the first round,

more than 200 people applied for the GS-13 health insurance specialist position (the

average number of applicants for similar positions in HHS was slightly more than

50). Of that population, 33 applicants were a direct result of the team’s proactive re-

cruiting efforts using Internet-accessible resume databases.

Pursuing a phased approach to screening and assessment, CMS required the appli-

cants to complete a questionnaire in QuickHire. The well-crafted questions screened-

out about 15 percent of applicants, a significantly higher percentage than in most

other CMS efforts. The remaining applicants were then required to complete an on-

line skills test. Applicants were ranked based on the combined score from the ques-

tionnaire and skills test.

Applying category rating, the hiring manager was presented with 24 applicants to

consider rather than three as in the conventional process. Finally, candidates in-

vited to interview were required to complete an additional assessment. Whereas the

first online skills test reviewed specific knowledge and writing skills, the final as-

sessment was predictive, reviewing behavioral competencies and cognitive abilities.

In the final analysis, the hiring manager was able to hire seven people—the first within (continued)

Demonstrating Success

Increase # of Qualified Applicants • Better Sales Pitch • Enhanced Marketing • Targeting

• 227 applicants verses the average 53

• 33 applicants from the target pool

• 15% screened out in pre-screening, up from 6%

• 169 applicants took the online skills assessment

• 24 individuals deemed “well qualified” in category ranking

• 6 new employees hired in the 1st round

Early Involvement of Managers

Clarified Roles for Candidates

Marketing & Targeted Outreach

Automated Pre-Screening

Web-Based Skills Assessment

Category Ranking

Cognitive Screen

Interview

Offer

Efficiently Select the Best Applicants • Pre-Screening • Skills Test • Predictive Assessment • Interviews

104 CHAPTER 3

22 business days of closing the vacancy announcement—and was extremely pleased

with the caliber of candidates. Having committed significant time to the project, he

stated, “The process produced great candidates and was well worth the effort!”

In addition to conducting the pilot, CMS also implemented some “quick fixes” to the

hiring process. This included modifying the vacancy announcements to better mar-

ket the agency and streamlining the hiring process to eliminate redundancies and

unnecessary handoffs. In streamlining the hiring process, more than 60 steps were

identified that represented a series of actions involving the hiring managers, their

executive officers, budget resources, agency and HHS executives, EEO and multiple

HR resources. Illustrating the steps highlighted some of the inefficiencies that had

crept into their practices over time and helped each function better understand its in-

volvement in the overall process.

The illustration also led to a focus on accountability. Experts helped CMS reduce the

steps in their hiring process by more than 20 percent. The agency has since taken

steps to further streamline the process.

Source: This is an abridged and modified version of the case studies published 02/20/2004 by the Partnership for Public Service. The full version can be found at the following web address: http://www.ourpublicservice.org/OPS/publications/viewcontentdetails.php?id=85.

(continued)

High-performing organizations tailor their training and development programs with

emphasis on satisfying the needs of both the organization and the individual. In an ideal

world, these programs are not based on imagined needs or “a wish list” (Isaacs 1996). In-

struction must be carefully monitored to make sure that stated training objectives are

met. Experience dictates that when organizations make use of employees’ new skills and

knowledge, the employees will perform at higher levels. Similarly, performance will likely

suffer when there is resistance to applying these skills or employees are made to feel

powerless and discouraged in their efforts to utilize the skills (Isaacs 1996).

On-the-Job Methods of Employee Development On-the-job methods for development can be very effective if used properly by the

supervisor. Five techniques are available: delegation, coaching, special assignments,

job rotation, and understudy.

1. Delegation: Can be utilized when an employee exhibits potential. The su- pervisor can delegate as much authority and commensurate responsibility

as possible to his or her subordinate. Exercising authority helps an indi-

vidual to grow. This technique also encourages self-confidence.

105Managing Human Resources

2. Coaching: Giving an individual an assignment and then personally as- sisting them in its completion allows the subordinate to learn by doing. It

further encourages the subordinate to seek advice from the supervisor as

often as needed. Coaching is a delicate art and must be practiced with a

keen sense of understanding. A good coach reviews the subordinate’s

progress and provides constructive criticism and praise when needed.

3. Special assignments: Can increase an employee’s usefulness and self- confidence. Presenting a plan to a group or the department, correcting of-

fice or production problems, and helping to develop new product ideas are

examples of special projects that can be assigned. The challenges of a spe-

cial assignment can stimulate the subordinate.

4. Job rotation: Refers to moving an employee from one responsible job to another. Job rotation can expose him or her to different problems, deci-

sion processes, and solutions.

5. Understudy: Is a term that refers to the supervisor’s choice of a subordi- nate to succeed him or her. When the supervisor receives advancement,

the subordinate chosen for this type of development must possess the

skills, ability, and common sense necessary to fill a leadership position.

Delegation There are several reasons why supervisors should delegate more. For one, it frees

them of time-consuming tasks that would otherwise keep them from supervisory

work and overall planning. In addition, delegation demonstrates trust. By delegat-

ing, supervisors show that they have confidence in their subordinates. Developing

one’s subordinates is, perhaps, the most important skill a

manager can have. Delegation allows a supervisor to take

time off for business or just a vacation. Delegation also

helps in the process of compiling performance appraisals,

giving a manager tangible ways to observe and measure the

performance of delegated assignments. Similarly, delega-

tion facilitates promotions. An organization runs more

smoothly when subordinates can step into other positions.

Supervisors may get some good ideas by delegating work to their employees. Sub-

ordinates may approach a task with a fresh eye, coming up with ways to do things

better or faster. Delegation also increases the efficiency of the manager, since he or

she is forced to communicate the assignment clearly and precisely.

The Role of the Boss in Delegating. A delegator must accept the fact that effective delegation is critical to agency success and a key factor in improving organizational

performance and productivity. He or she must communicate goals and tasks clearly;

set high performance standards; know employees’ work backgrounds, strengths,

and interests; encourage participation in objectives and gain commitment to them;

“Government is only as good as the men in it.”

DREW PEARSON Journalist

106 CHAPTER 3

establish communication (or feedback) systems and expectations; provide neces-

sary supports (i.e., coaching and training); exhibit confidence and trust at all stages;

be aware of progress and be available for backup help; review results, not methods;

and evaluate the completion of each task and provide feedback to the workers.

The Role of the Employee in Delegating. Employees must know organizational and unit goals and priorities; take the initiative and determine personal goals; be sure

the delegation is realistic; check for complete understanding of the following: (a) re-

sources available, (b) performance standards, (c) potential problems, (d) new

ideas/techniques to use, and (e) possible personal outcomes; establish a commu-

nication (or feedback) system; report to the boss (i.e., allow for no surprises); and

submit completed project, including all paperwork.

Why Supervisors Do Not Delegate. Supervisors who are reluctant to delegate are usually fearful of the consequences of delegation, do not realize the benefits of del-

egating, or do not know how to delegate effectively. The reasons why supervisors do

not delegate enough typically include:

• Fear of mistakes: Since supervisors are still accountable, they will likely be blamed for mistakes made by their subordinates. However,

by learning through experience, employees will make fewer mistakes

with time.

• A supervisor may delegate him or herself out of a job: However, by being indispensable, workers at all levels are actually less likely to be promoted.

• The job can be done faster by the supervisor than by subordinates: Perhaps, but the supervisor is robbing him or herself of time that could be spent

doing managerial tasks—for instance, planning ahead.

• A supervisor will lose prestige by foregoing certain decisions: A supervisor who must make all decisions—even minor ones—usually earns a reputa-

tion for lacking confidence in his or her subordinates.

• A supervisor will not be able to check up on delegated assignments: This is a flimsy excuse—a supervisor should establish deadlines, set performance standards, keep in touch,

ask for progress reports, etc.

• Delegation forces a supervisor to give up favorite parts of the job: Supervisors do not have to give up everything. However, all of their tasks should be cast in the role of the supervisor.

• Subordinates will have too much to do if more work is dele-

“Our progress as a nation can be no swifter than our progress in education… The human mind is

our fundamental resource.”

JOHN F. KENNEDY 35th President of the

United States

107Managing Human Resources

The Knowledge Transfer Dilemma Although we can’t train people in relationship management or create an instant his-

tory, there are structured, methodical approaches we can employ to accomplish the

transfer of knowledge.

• Job Analysis—This helps identify job duties and the skills, knowl- edge, and abilities needed to accomplish those duties. There are a num-

ber of methods for conducting a job analysis, including observations,

questionnaires, and work logs. Some models are quite complex, but for

the purpose of knowledge transfer, a simple questionnaire and inter-

view will probably suffice.

• Job Shadowing—This is something that we haven’t always been able to do in the public sector. Typically, budget constraints and human re-

source policies present problems in hiring a replacement before the re-

tiree has departed. However, many organizations are recognizing the

value in overlapping the incumbent with the newcomer and HR offices

are developing methods for accomplishing the overlap.

• Process Documentation—Clear process documentation can be very helpful in both storing and passing on job requirements. Process flow

charts, desk procedure manuals, critical event calendars, and other

documents can be very helpful for passing information from a more ex-

perienced worker to their replacement. With jobs that are very depend-

ent on relationship management, a network journal can be helpful.

This document is a method for capturing whom the incumbent deals

with and for what purpose.

To be successful, there must be several factors at play in making knowledge transfer

part of the culture of your organization.

• Performance appraisals for managers should include objectives focused

on succession planning and knowledge transfer plans.

• Retiring and TERI employees should be required to develop and imple-

ment structured knowledge transfer plans.

• Training departments should be co-opted to help with conducting job

analysis and developing learning plans.

• The organization’s policies and procedures should be reviewed to en-

sure that they support knowledge transfer. (continued)

108 CHAPTER 3

gated to them: Supervisors who think this way should ask them- selves the question: Since I have been doing the job instead of super-

vising it, am I sure that I have reviewed my operations to determine if

it is really operating efficiently?

• A supervisor does not really know how or what to delegate: Anyone can learn how to delegate from articles, books, a boss, or sem-

inars.

• A supervisor’s boss will be annoyed if he or she delegates the job instead of doing it: Bosses are typically most interested that a job is done well, not in who does it.

• Subordinates don’t really want more work: A supervisor who gives people an opportunity to make decisions themselves may find

that many of them actually enjoy it.

Delegating Effectively. Meaning what you say is imperative. In other words, once you have given someone full authority through delegation, that authority should

never be taken back without good cause. Ensure that subordinates know exactly

what tasks have been delegated. Soliciting a subordinate’s ideas regarding the del-

egated task can be helpful in this regard. Managers with knowledge on how best to

accomplish a given task can use delegation as a way to develop alternative skill sets

and workplace proficiencies. Similarly, delegating tasks that subordinates are not

necessarily familiar with can prove useful in long run; that is, this enables workers

to cultivate new skills. Not insisting that the delegating task be done “your” way is

important to effective delegation. People have their own ways of working. A man-

So far we have not seen a mass exodus of retirees. Many of our retired employees

have returned to the workplace. However, that will not always be the case, and we

need to focus on the processes needed to transfer knowledge from our experi-

enced workforce to our newer employees. Not only do we risk the inability to

carry out our missions when people do leave our organizations, we may struggle

to retain talented potential leaders. When employees don’t see an opportunity

for moving into leadership roles because retirees are staying in key roles, these

potential leaders will move on to other organizations, exacerbating the current

problem.

Source: Reprinted from article appearing in Impact—The South Carolina State Government Improve- ment Network Newsletter, September 2007. http://www.scsgin.org/newsletter/XVI_III.pdf.

(continued)

109Managing Human Resources

ager may find that a subordinate’s way of doing things is, perhaps, a better way.

Delegation must be a sustained process—a way of doing business in the depart-

ment. Those who delegate must show that they want feed-

back. Managers must work to create an organizational

climate where subordinates will seek assistance when

stymied, confused, or apprehensive about proceeding. Fi-

nally, following up after the task is completed is necessary.

Managers must inform subordinates precisely how well

they have performed.

Employee Motivation Motivating employees to perform at a high level goes be-

yond competitive pay and benefits. What Carl Stone’s

Work Attitude Survey (1982) emphasized more than two decades ago still holds true today: greater numbers of workers are driven by the desire to find a societal

niche where their talents are recognized, where they are treated as human beings

who have deeply held desires, where they view their work as having a greater pur-

pose, and where they are afforded the opportunity to be consulted on those matters

that have influence on their work lives. Healthy worker-management relationships,

clear lines of communication, more training to cultivate and improve skills, and an

attractive physical work environment may all motivate the workers in high-per-

forming organizations.

Managers should hold responsibility, punctuality, and the yearning for accom-

plishment in high regard. Most managers feel that they underscore these quali-

ties when supervising their workers. All too often, however, workers fail to

What Motivates You? Complete the following sentences with the first words or phrases that come to mind: 1. I go to work because . . . 2. Work to me means . . . 3. The best part about work is . . . 4. The worst part about work is . . . 5. My job is . . . 6. Motivation to work comes from . . . 7. If I made one change to make my work more interesting, I would . . . 8. My motivation at work would improve if . . . 9. My motivation would decline if . . .

10. My ambition is to . . .

EXERCISE 3.1

“No executive has ever suffered

because his subordinates were strong

and effective.”

PETER DRUCKER Economist; Author

110 CHAPTER 3

execute their tasks as effectively or efficiently as a manager might like. The con-

cept of motivation can be thought as “something” that triggers a person to act in

a certain way. From a manager’s perspective, motivation means coexisting with

workers in a way that causes them to be responsible, punctual, and productive

Job Satisfaction and Fulfillment This article offers some simple suggestions to facilitate “Joy Building” within the

work environment:

1. Be here now. Employee appreciation days do not make up for otherwise in-

sincere or abusive behavior. What do you do every other day of the week?

2. Don’t be a fair weather friend. Keep your employees engaged in good times

and bad.

3. See team members as individuals. Define your goal and use each employee’s

strengths to get there.

4. Remember that silence is not golden. Talking to employees only when they

make a mistake alienates them.

5. Let friendship ring. When employees find friends at work, they feel con-

nected to their jobs and will likely be happier and more productive em-

ployees.

6. Let the outside world in. Asking employees about their weekends or their

kids shows that you see them as people, not just slots on an organizational

chart.

7. Be yourself. What works for celebrity CEOs doesn’t always work for every-

body else. An honest, low-key chat can be as effective as a high-voltage

pep rally.

8. Make it meaningful. Tell the mailroom clerk why that package is so impor-

tant. Let people know The Big Picture. Everyone wants to feel that their work

matters.

Take a few minutes to rediscover your employees and customers before you tackle the

next crisis. Who knows, you might approach things from a different perspective and

achieve a greater sense of fulfillment, even happiness, with your accomplishments.

Source: Walter Caudel, Impact—The South Carolina State Government Improvement Network Newslet- ter, Spring 2005, XIV, I. http://www.scsgin.org/newsletter/XIV_I.pdf.

111Managing Human Resources

when completing job-specific tasks. Workers’ “lack of ambition,” absence from

work, and lackluster performance are outgrowths of negative job experiences.

Workers need to experience on-the-job rewards. This will foster more positive

worker behaviors. In order to use effective motivational techniques, a manager

need not know every detail about every worker; rather, the manager must under-

stand that worker motivation is tied to workers’ needs, and motivational tech-

niques that enable workers to have positive experiences will help cultivate a sense

of responsibility on the job.

Public organizations increasingly employ a host of innovative approaches mo-

tivating people. These organizations recognize that money, while no doubt an

important source of employee motivation, is certainly not the only source. Such

high-achieving organizations embrace an approach to human resource man-

agement that links HR management policies, plans, and

processes. According to Isaacs (2003), employees’ work

needs and expectations must be given constant attention

from the time they begin working in an organization

until the time they leave. Humanistic management ap-

proaches that account for employee needs, expectations,

and attitudes and recognize employees’ differing abili-

ties and knowledge likely improve worker performance.

Hierarchy of Human Needs Abraham Maslow, author of the groundbreaking 1943 ar-

ticle “A Theory of Human Motivation,” states that motiva-

tion is predicated upon five fundamental needs. . At the

lowest level of the needs hierarchy are physiological needs,

which deal with anything that is necessary to sustain life

(for example, shelter, food, and clothing). Given the ful-

fillment of physiological needs, safety needs emerge.

Safety needs refer not only to personal security but also

the desire for an “ordered” and “predictable world” (Maslow 1943). This includes

job security, financial security, and emotional security. Should one’s physiological

and safety needs be fulfilled, the need for love emerges in the hierarchy. In this in-

stance, love refers to acceptance, friendship, affection, and a sense of belonging.

Fulfillment of an individual’s need for love gives way to esteem needs, which are

divided into two subgroups. The first refers to one’s desire to be recognized as

strong, confident, and autonomous—in other words, feeling independent is central

in this case. The second encompasses a desire for prestige and appreciation—in

other words, anything that enhances one’s self-image. Representing the apex of

the needs hierarchy is the desire for self-actualization. Individual happiness, ac-

cording to Maslow, requires that an individual recognize his or her societal niche;

fulfilling one’s inherent potential epitomizes self-actualization.

“Most important, leaders can

conceive and articulate goals

that lift people out of their petty

preoccupations and unite them

in pursuit of objectives worthy

of their best efforts.”

JOHN W. GARDNER Government Official; Leadership Expert

Herzberg’s Satisfiers and Dissatisfiers In a 1959 study directed by Frederick Herzberg, psychologists interviewed 200

Pittsburgh-area engineers and accountants. Each was asked the following:

1. Think of a recent experience that made you feel particularly good about

your job.

2. Think of a recent experience that made you feel particularly bad about your

job.

3. What effects did these incidents have on your attitudes and performance?

4. How long did these effects last?

112 CHAPTER 3

FIGURE 3.1 – MASLOW’S NEEDS HIERARCHY

SELF-ACTUALIZATION Fulfilling one’s

potential

ESTEEM NEEDS Recognition as strong and confident Desire for prestige and appreciation

LOVE NEEDS Acceptance, affection, and sense of belonging

SAFETY NEEDS Personal security and the desire for an ordered world

PHYSICAL NEEDS Food, clothing, shelter

113Managing Human Resources

TABLE 3.1 – HERZBERG’S TWO-FACTOR THEORY

Satisfiers Dissatisfiers

Achievement Company policy and administration

Recognition Supervision

Work itself Working conditions

Responsibility Interpersonal relations

Advancement Salary

Growth Status

Job security

Herzberg (1966) found that when people felt good about their jobs, it was because

some event had revealed that they were doing their jobs well or becoming more ex-

pert in their field. Bad feelings, on the other hand, usually resulted from unfair

treatment rather than a factor specifically related to the content of the job. These

findings led Herzberg to conclude that two sets of factors affect performance:

• Job content factors (satisfiers) and

• Hygiene or maintenance factors (dissatisfiers)

Employee Motivation and Theories X and Y Regarded as one of the most influential organizational humanists, McGregor (1960)

offered two conflicting management theories, each of which makes specific assump-

tions regarding human nature. According to Theory X, the average person dislikes

work and will avoid it if possible. Because of this, most people need to be coerced, con-

trolled, or even threatened with reprimand to motivate the

effort needed for the achievement of organizational goals.

Theory X further argues that people prefer being directed,

avoid responsibility at all costs, have few ambitions, and de-

sire job security above all else. In contrast, Theory Y argues

that work comes naturally to most people. Under this theory,

external control and coercive threats of reprimand are not

necessary for the achievement of organizational goals; rather,

workers will exercise self-direction in the interest of achiev-

ing organizational goals to which they are committed. Commitment to organizational

goals is a function of the rewards associated with goal attainment; that is, the oppor-

tunity and capacity to exercise high levels of imagination, ingenuity, and creativity in

“Management is nothing more than motivating other people.”

LEE IACOCCA American Automobile-

industry Leader

solving organizational problems. Finally—according to Theory Y—the intellectual po-

tential of the average person is only partially developed.

How might the above assumptions affect employees’ behaviors? Let’s take a specific

example. Let’s suppose that we—the authors—are supervising you—the reader. As

your supervisor, we make the following assumptions about you:

• You dislike work.

• You are lazy and avoid responsibility.

• You are incapable of directing your own behavior and prefer to be led.

• You avoid making decisions.

• You are unconcerned about organizational goals and objectives.

We may not actually say such things to you, but the following behaviors make our

attitudes quite clear:

• We don’t tell you anything.

114 CHAPTER 3

Source: From Frederick Herzberg. 1966. Work and the Nature of Man. Cleveland, OH: World Publishing.

FIGURE 3.2 – SATISFIERS AND DISSATISFIERS

100% motivated

50% motivated

0% motivated

Satisfiers Achievement Recognition The Work Responsibility Status Advancement Opportunity for Growth

Dissatisfiers Agency Policy Supervision Skill Salary Working Conditions

SATISFACTION SCALE

Fully Satisfied

Can fully satisfy or dissatisfy if absent

Can only dissatisfy or move the worker to zero on the satisfaction scale

Fully Dissatisfied

MOTIVATION SCALE

115Managing Human Resources

• We don’t allow you much latitude in your work: we tell you what to

do, how to do it, and when to do it.

• We accept your ideas, but only when they agree with our ideas.

• We take care of all important communications.

• In order to minimize favoritism, we communicate with all employees

individually.

Our various acts or behaviors will have a direct effect on your behavior. It is likely

that you will react in the following ways:

• Since we don’t tell you anything, you begin to “leak” information to

prove your own importance.

Actions that reveal needs Needs revealed by actions

Does extra work Self-actualization

Takes fixed positions and refuses to

evaluate others’ positions Esteem

Overly agreeable Love, affection, belongingness

Wants step-by-step instructions Safety

Uses new or difficult methods to

complete assignments Self-actualization

Resists control and structure Esteem

Aloof, inwardly directed Safety

Volunteers for group work Love, affection, belongingness

Argues rather than listens Esteem

Keeps low profile Safety

Brags about accomplishments Esteem

Asks for feedback on progress Self-actualization and love,

affection, and belongingness

Asks for lots of structure Safety

TABLE 3.2 – ACTIONS/NEEDS ANALYSIS TABLE

• Since we determine what you do on the job, you don’t develop new

work interests.

• Since we reject your ideas, you stop giving them.

• Since we accept your recommendations only if they agree with ours,

you try to anticipate what our position will be.

• Since we don’t communicate with your group, you and your cowork-

ers develop informal coalitions to “keep us guessing.”

It would be natural for you to become frustrated, apathetic, and resistant to organi-

zational goals in such an atmosphere. As a result—to complete the circle—we will see

you as lazy, incapable of making decisions for yourself, and unwilling to assume re-

sponsibility. Through a self-fulfilling prophesy, you will have proved our original as-

sumptions. This example illustrates how behavioral assumptions held by managers

have a direct influence on the organizational climate. These attitudes, behaviors, and

communication characteristics essentially make up the organizational climate.

Assessing Employee Performance High-performing organizations implement well-conceived and well-managed per-

formance appraisal systems to act as developmental and motivational tools. These

systems recognize that mutually dependent factors help create a work environ-

ment conducive to high performance (Guy 1992b). Among these factors are an or-

ganizational culture that depends on team building, takes advantage of employee

116 CHAPTER 3

Appraisal Communication Role Plays 1. You are Supervisor John Samuels. Your secretary has informed you that Mike

Adams has requested to see you immediately concerning his performance evaluation. You rated him unsatisfactory for the following reasons:

• He is consistently late, thereby holding up unit production. • He has not gotten along well with his coworkers, thus creating morale

and assignment problems. • His unit assignments are oftentimes late and of poor quality.

2. You are Supervisor Jim Thompson. Henry Johnson requested an appointment to see you four days ago concerning his performance evaluation, which you rated satisfactory. You have no information as to the reason for Henry’s request to see you.

3. You are Supervisor Michele Davis. You have asked to speak to Amy Brennan concerning her performance evaluation, which you rated “satisfactory.” You do not have any problems with Ms. Brennan as her work is always done in a satisfactory manner; however, you feel you should give all your workers an opportunity to discuss their performance evaluation.

EXERCISE 3.2

117Managing Human Resources

Identifying When Counseling Is Necessary 1. Mr. Brown always arrives 10 to 15 minutes early for work and starts his

assignments immediately. Frequently, he stays at least a half an hour after working hours to complete a special project. Despite the extra time he works, the quality and quantity of his work is average. [__] Counsel [__] Do Not Counsel

2. Ms. Jones is a clerk in a small office that faces frequent deadlines. There is constant pressure on the staff to increase production. Very often there are arguments among the staff; more often than not, Ms. Jones seems to be the instigator of the arguments. Although Ms. Jones’s work is satisfactorily completed, the unit’s production is often late and incomplete, and morale is very low. [__] Counsel [__] Do Not Counsel

3. Mr. Kavech is a professional employee who is assigned to travel within New York State, auditing work for the local social services districts. This auditing requires a team of three employees. It is rumored that Mr. Kavech is gay. His work is satisfactory. However, because of these rumors, certain employees do not want to travel with Mr. Kavech. [__] Counsel [__] Do Not Counsel

4. Ms. Carey is always volunteering to help other workers catch up on their assignments. The staff seems to seek her guidance constantly. She also appears to be very effective in assisting new employees. Additionally, Ms. Carey’s own assignments consistently far exceed the standard. [__] Counsel [__] Do Not Counsel

5. Mr. Ett is responsible for traveling within New York State to implement an automated eligibility system in the local Social Security districts. Because of the political ramifications involved in the process of a state organization working with a county organization, Mr. Ett is required to be courteous, tactful, and aware of the sensitive nature of his position. Although Mr. Ett’s work as a technician is excellent, he is discourteous and abrupt with the county employees, including some of the local district commissioners. [__] Counsel [__] Do Not Counsel

6. Ms. Caliber is a longtime employee of your office. You are her newly appointed supervisor. Ms. Caliber is an average employee who gets the work done. She does not practice the personal hygiene habits that would normally be accepted in an office setting. It is apparent that she doesn’t bathe regularly and she does not use deodorant. Ms. Caliber has been around for so long, the other employees have learned to work around her offensive nature. [__] Counsel [__] Do Not Counsel

EXERCISE 3.3

118 CHAPTER 3

strengths while compensating for employee weaknesses, maintains open and

transparent communication channels, and balances organizational needs with em-

ployee needs.

Organizational mandates at the operational level equate to on-the-job tasks for

work teams or individuals. These tasks serve as a starting point for the perform-

ance assessment process. Now, both employer and employee may discuss and set-

tle on the distribution of these tasks to the employee’s work team or position.

When a performance standard for completion of those tasks is established, an op-

portunity is provided for an inventory of the skills or training that the employee

Purposes of Performance Appraisals 1. To assure an employee a regular, formal opportunity to discuss his/her per-

formance, achievements, difficulties, and goals.

2. To provide a regular, formal opportunity for a supervisor to discuss his/her

view of an employee’s performance and present standing.

3. To improve employee performance through recognition, encouragement,

constructive criticism, or personal counseling.

4. To establish goals or performance standards to be followed until the next

evaluation.

5. To offer a periodic, formal means of identifying training needs and fostering

employee development.

6. To offer a periodic, formal means of gathering employee suggestions for im-

proving methods, procedures, performance, or morale.

7. To demonstrate that the employee’s contribution matters, and that the su-

pervisor is concerned about him/her as an individual.

8. To deepen the employee’s job satisfaction and his/her commitment to the

organization.

9. To help determine employee potential for advancement.

10. To help provide an objective, equitable basis for making compensation,

transfer, and other decisions.

119Managing Human Resources

needs. After this, the appropriate employee developmental plans are established

and implemented (McDonald 1995).

In high-performing organizations. performance assessment is used to cultivate first-

class employees and improve performance. The success of performance assessment

as a developmental tool relies on sincerity between manager and employee. Assess-

ment is a way of identifying employee strengths and weak-

nesses on a continual basis, providing performance feedback

to employees regularly, counseling employees, and identify-

ing ways to improve performance. If carried out effectively,

performance assessments make employees aware of

whether or not they are fulfilling job expectations. Success-

ful performance assessments may bolster an employee’s

confidence and morale, both of which are likely to positively

affect performance (Isaacs 1996).

Inherent to the assessment process is conflict. There are,

however, ways of minimizing this conflict. To begin with, em-

ployees must have an understanding of their job expectations. This can be done by:

providing job descriptions that underscore expectations; having discussions with em-

ployees regarding reachable performance standards; and developing performance

standards that measure work quality, work quantity, and the timeliness of the work to

be completed. According to McDonald (1995), identifying performance standards is an

essential precursor to the performance assessment process in that it gives the em-

ployee a framework within which to conduct self-assessments. It also establishes the

agenda for the formal assessment session. Delineating clear job expectations and per-

Appraisal Communication—Exercise in Counseling Supervisor Role You are Jo Davis. You have arranged to meet with Sandy Donaldson, your subordi- nate, to follow up on his/her performance appraisal interview of two months ago; you had rated him/her satisfactory at that time. Lately, though, you have been noticing that Sandy has not been returning to work after lunch on the average of twice a week and passed out at work just the other day. Rumor has it that Sandy has been drinking heavily.

Employee Role You are Sandy Donaldson. You have agreed to meet with your supervisor, Jo Davis, to follow up on your performance appraisal interview. You are anxious because you know you haven’t been at your desk during the busy time of the day lately. You have not been feeling well and are bit bored with work. Only an innocent drink or two at lunch seems to dull the strain of the workday.

EXERCISE 3.4

“Not surprisingly, work-life moaners

tend to be a phenomenon of below-average performers.”

JACK WELCH Retired CEO of

General Electric

120 CHAPTER 3

formance standards removes the subjectivity and ambiguity that all too often under-

mine the performance appraisal process. Clear goals, then, reduce the likelihood of

manager-worker conflict. In an effort to reduce conflict even further, some organiza-

tions may hire professional appraisers to assess performance accurately. Professional

appraisers champion a problem-solving approach to formal assessment (Isaacs 1996).

Employee Counseling Performance problems need to be faced as early as possible before they turn into

disasters. Usually when a supervisor counsels with a subordinate, it is about a

particular problem such as the worker’s tardiness, inability to complete assigned

work, or his or her personality conflict with a coworker. Counseling may also be

used to give feedback on performance and to plan for employee development

when those opportunities exist. As in all management, counseling involves hav-

ing an impact on others so that the task of the group is accomplished. The pur-

pose of the counseling session is to determine the cause of an employee’s

behavior, give feedback, and guide subsequent efforts. Counseling should not be

viewed as punitive, but as a problem-solving session. The supervisor’s goal is to

help employees to help themselves in resolving existing problems, avoiding po-

tential problems, and making future decisions. When the supervisor approaches

the counseling situation, he or she stands to benefit for many reasons: Counsel-

ing can accomplish many objectives that fall within supervisor’s responsibility.

It provides:

• The most direct and efficient means available to improve employee

performance;

• A vehicle for planning and monitoring staff development;

• An effective way of identifying necessary avenues for improvement

(e.g., training);

• An excellent means to get to know employees and build credibility

into the employer-employee relationship;

• A way to reduce on-the-job anxiety;

• A means for recognizing serious employee problems that require re-

ferrals;

• A means of identifying and offsetting potential problems.

On the other hand, the counseling situations contain many risks. Counseling can:

• Be time consuming;

• Be personally unpleasant;

121Managing Human Resources

• Uncover deep-rooted problems that are difficult to cope with;

• Reveal problems that both the employer and employee contribute to;

• Worsen the problem if mismanaged.

There is always a risk of mismanaging counseling when the supervisor miscon-

– GOOD WORK, PETROV. YOU WENT A WHOLE MONTH WITHOUT MAKING A SINGLE DEFECTIVE PART! – YEAH, I WAS ON VACATION! Artist: V. Bokovnia; Krokodil [Crocodile] satirical magazine, mid-1980s.

122 CHAPTER 3

Sample Counseling Sessions Example 1 Circumstances: Supervisor Jackson discovers that employee Wray is late for work again. This is the sixth time in the last month that the employee has been late. Wray

did not call to inform Jackson that she would be late.

Scene: Outer office about 3 minutes after Wray gets back to her desk, Jackson en- ters as Wray is assembling some of her typing materials. The rest of the secretarial

staff are at their desks, and three or four other individuals wander in and out of the

office during the following discussion.

Wray: Hi, Ms. Jackson. Sorry I’m late. The subways were really slow this morning.

Jackson: Look, Wray, I don’t know why you can’t get in here on time. Everyone else does.

Wray: Well, you know I live way out . . .

Jackson: (Interrupting) Don’t give me that. You’re just irresponsible. Do you know what is going to happen if you don’t straighten out?

Wray: No, not really.

Jackson: Sure, you do. Don’t ever let this happen again.

Wray: But I really have a good explanation… Can’t you…?

Jackson:(Interrupting) I’ve heard all I’m going to. Don’t give me any more excuses. Just get to work.

Example 2 Circumstances: Supervisor Jackson discovers that employee Wray is late for work again. This is the sixth time in the last month that Wray has been late. Wray did not

inform Jackson that she would be late.

Scene: Supervisor’s office.

Jackson: Come in.

Wray: You wanted to see me?

Jackson: Yes. I noticed that you were late again this morning. I’m quite concerned.

Wray: Why? I got in. Didn’t I?

Jackson: Well, not on time.

123Managing Human Resources

Wray: Other employees are late sometimes. Why are you picking on me?

Jackson: Because you are making it a habit. This is the sixth time this month. Do you have a particular problem?

Wray: Well, I live up in the Bronx where the trains get backed up during rush hour. It takes a lot longer time to get here. All the others live a lot closer than I do.

Jackson: You are aware that you have a responsibility under the atten- dance rules to be here on time no matter where you live. Aren’t you?

Wray: You mean I don’t get any consideration?

Jackson: I’ve given you plenty of consideration to this point, but I cannot let you slip into a habit of arriving tardy. We have work to do, and sometimes other employees are unable to begin their work until you arrive.

Wray: Look. The subway is frustrating. If I leave any earlier, I will have to get up at five in the morning. Do you want me to come to work ex- hausted?

Jackson: No. But if you have to get up earlier in order to get here on time, I would suggest that you go to sleep earlier at night. If that poses too much of a problem, then you may want to consider transferring to an office closer to your home.

Wray: Does that mean you want me to leave?

Jackson: No. In fact, I’d hate to lose you.

Wray: Then why can’t I just start later and take a shorter lunch hour?

Jackson: Because, rules just don’t permit that and until they do, you have to be here on time. If your tardiness doesn’t improve, I will be forced to recommend that you be disciplined. You are too good an employee to go that route.

Wray: Okay. I get the message.

Jackson: I’ll tell you what. Let’s get together in about a month. I will re- view your promptness record before that meeting. I think by that time you will have corrected the problem.

Wray: Okay.

Jackson: Thanks for dropping by to speak with me.

124 CHAPTER 3

strues his or her role. Furthermore, it must be remembered that counseling is

not therapy. It is inappropriate for the manager to function as therapist. It is,

however, appropriate for the manager to arrange for help from someone else if

and when the employee’s problem warrants—such as when a worker has a drug

or alcohol problem that interferes with job performance. Also, counseling is not

discipline: it should not be threatening or punitive in tone. It is appropriate to

inform an employee that performance is below standard and that continued fail-

ure to perform adequately could lead to disciplinary measures. However, the

discussion’s main objective should be to uncover the causes for the undesirable

behaviors, and to spell out future courses of constructive action. Finally, coun-

seling is not coaching. Coaching employees is a day-to-day supervisory job that

involves giving employees clear directions and guidance in how to complete spe-

cific tasks. On the other hand, counseling is a discussion between employer and

employee that focuses more broadly on the employee’s performance and how it

can be improved.

Before you counsel a subordinate, you should plan an approach that will effectively

move the employee’s behavior in the desired direction. Although each counseling

session is unique, the following guidelines are always relevant:

• Conduct counseling sessions in private surroundings.

• Never schedule a counseling session when you are in a hurry.

• Be direct. Do not “beat around the bush” when talking to employees.

Be candid.

• Give an employee the opportunity to explain his or her version of the inci-

dent or circumstances about which you are concerned. Be a good listener.

• Keep an open mind. If after talking to the employee you determine

that your concern was misplaced, then say so.

• Explore means by which an employee can overcome a performance

shortcoming.

• Some employees may be hostile. In these cases, you should remain

calm, constantly trying to return the attention to your concerns. In

other words, refocus on what happened, why it happened, and what

can be done to improve it.

• Never characterize counseling sessions as “discipline.”

• Do not speak in a punitive or derogatory manner.

• At the conclusion of the session, thank the employee for seeing you

and establish an open-door policy should further problems arise.

125Managing Human Resources

The Problem Performer Most employees want to do a good job and intend to correct behavior that is un-

productive or unacceptable to their superiors. Some reasons why change does not

always occur include:

• Conscious and unconscious forces may interfere with the change, e.g., the need to be liked by a group;

• Rewards may reinforce old behaviors, e.g., the need to repeat pleasurable activity;

• Situational factors may control behavior, e.g., an employee feels that a work situation calls for be- havior that causes him or her discomfort.

Managers often need to have a job done correctly as soon

as possible, with no time for the effects of long-term positive

reinforcement to kick in. We know through behavioral re-

search that people behave differently in different situations.

For example, we behave one way when we feel safe and an-

other when we feel threatened. The following situational

controls can be used by managers to encourage behavioral change on the job:

1. Blend a new element into the situation—e.g., a change in work loca- tion that places the problem employee closer to the foreman or perhaps

near a highly productive fellow employee.

2. Create discomfort in the current situation—e.g., in a work area where loitering takes place, constrict the area so no more than one or two

can be comfortable in the area.

3. Generate conditions that create mild fear—e.g., remind a worker that a drop in productivity may lead to the loss of business orders and even-

tually to possible layoffs.

4. Assign a task that requires change—e.g., if one employee is working slowly and holding back the person who has the final piece of a task, the

slow worker should be given the end part of the assignment. A change in

behavior may be necessary to complete the final project, or the individual

may be indicated as the one holding up the work.

5. Eliminate situational supports for the undesirable behavior— “As long as an employee receives rewards—e.g., group approval/attention

for behavior—the behavior will continue. When rewards are given coinci-

dentally with hostile or aggressive behavior, the employee experiences this

as management support for the negative behavior” (Adapted from Don-

aldson 1928).

“There are three main ways

managers get firing wrong—

moving too fast, not using enough

candor, and taking too long.”

JACK WELCH Retired CEO of

General Electric

126 CHAPTER 3

Getting Along with People Theodore Roosevelt once said, “The most important single ingredient in the formula

of success is knowing how to get along with people.” I guess this depends on what you

call success. For me, success is about relationships. People. So how do you get along

with people?

1. First, you must be curious. Human beings are amazing works of art. Each

one has his or her own unique history. Just ask someone you don’t know a

couple of open-ended questions like, “What gets your best?” or “What kinds

of things do you do in your free time?” and actively listen to their response.

You’ll be amazed at what you will learn. Listen and learn.

2. Second, be willing to share. How can we expect to get to know people if we

aren’t willing to share information about ourselves? Let people see the real

you. A great way to reveal the real you is through a personal story. A per-

sonal story gives the listener a chance to visit a moment in time in your life.

People love stories.

3. Third, be compassionate. Practice the “platinum” rule: “Do unto to others as

they would have done unto themselves.” Breaking news . . . everybody is not

like me! We each have individual preferences and paradigms that make us

who we are. The more we understand, embrace, and respect the preferences

and paradigms of others the better we can connect with others—which leads

me to the next point.

4. Fourth, become a student of human behavior. Participate in a Myers-Briggs

Type Indicator (MBTI) workshop. Swiss physician-psychologist Carl Jung

believed people could be identified by their different and equally valuable

preferences for understanding and viewing both the world and themselves.

An understanding of type preference fosters self-awareness and increases

appreciation of others. The MBTI enables us to more easily see similarities

and differences in the mental processing preferences of others—their deci-

sion styles, approaches to team work, relationships with co-workers, and

communication styles. Seemingly chance variation in human behavior in fact

is not due to chance; it is the logical result of a few basic, observable prefer-

ences.

5. Fifth, practice positive talk with yourself and others. When engaged in daily

conversation with others, be a source of positive dialogue. Talk in terms of

solutions and what’s going right. Speak of the positives of every situation.

127Managing Human Resources

Turn the negative side of a situation around by practicing the “flipside” tech-

nique, a humorous approach useful in warding off the “negativity” virus. For

example, if someone cuts you off in traffic say, “Where have you been, I’ve

been saving this safe place in front of me for you for 10 minutes.” You get

the idea. Diffuse a bad situation with humor—which leads me to my last

point…

6. Laugh! Nothing builds relationships with people better than a shared laugh.

Research supports the point that laughter is actually a primal form of rela-

tionship building. Laughter is universal. It’s easy, contagious, good for you,

and fun. Make someone laugh and you make a connection.

In conclusion, be curious, share, be compassionate, be a student, be positive and

laugh. Now, get out there and get along with people. Please? Thank you!

Source: Bobby George. “Getting Along with People.” Impact—The South Carolina State Government Im- provement Network, XIII (IV) (December 2004), www.scsgin.org/newsletter/XIII_IV.pdf.

Creating a Quality Work Environment Creating a Team Mentality An organization’s upper management, middle and line managers, and human re-

source managers must cultivate and sustain teams in order to create a quality work

environment, thereby leading to organizational productivity. Productive human re-

source management fosters cooperative work relationships, a high-value and di-

verse workforce, and a work environment that enhances—or at least does not

detract from—an employee’s quality of life. Work relations in high-performing or-

ganizations require clear and open communication between employees and em-

ployers, as well as a working partnership. This ensures that employees understand

their rights, obligations to the organization, and job expectations. Balancing em-

ployee and organizational need is paramount. In this context, it is becoming more

obvious that high-performing organizations use “work teams” to complete tasks

and achieve objectives. As its name suggests, individuals within work teams work

cooperatively. They do not work as individuals competing against each other. Work

teams typically embrace a supportive philosophy for their members and can ac-

complish more than a group of individuals working independently.

Fostering Labor-Management Cooperation Public administration scholars tend to agree that harmonious labor-management

relationships are central to improving employee performance (Coleman 1990;

Hodes 1991; Grace and Holzer 1992; Herrick 1990). Obviously, labor and manage-

ment tension exists because of complicated workplace relationships, impasses, or

other disagreements. Adversarial relations between employer and employee pres-

ent the classic “no win” situation. Munroe (1992) argues that the development of

partnerships must replace adversarial factions and that cooperative work systems

must replace antagonistic ones. Building partnerships is likely to be difficult, as it

requires persistence, determination, time, and diplomacy. Munroe advocates for

Employee Involvement Programs, which are designed to bring all employees into

the fold when important decisions need to be made. These programs are likely to

minimize workforce demotivation, improve morale, and marshal human resources

for exigent labor-management problem solving.

Holzer and Lee (1999) maintain that employer-employee strain is likely to occur

when each views the other as an adversarial “out-group.” Harmonious labor-man-

agement partnerships might be established through a mindset change; that is, view-

ing the dynamic between labor and management not as a “conflict” but rather as a

mutually dependent and mutually beneficial “partnership.” This mindset change

can be accomplished only through open communication, the full support of upper

management, and a large supply of previous success stories. Open communications

will enable labor and management to better understand mutual problems. Provid-

ing success stories on labor-management partnerships will engender optimistic be-

liefs that labor and management can, despite their inherent differences, work toward

equally beneficial resolutions. Finally, upper-management support will lend needed

credibility about the seriousness of creating labor-management partnerships.

Although employer-employee cooperation is a condition for productive public man-

128 CHAPTER 3

Case Study: The Electronic Hallway Budget Reorganization in the Urbanopolis Human Resource Department (Simulation) As the human resource manager for an urban city, you are mandated by the mayor to reduce your budget. In this exercise you will tackle present-day human resource management decisions based on a myriad of both city government and human re- source management priorities, and civil service regulations. Read the case study and develop a staff reduction plan. This plan should include the positions you would eliminate and why. Also include the total dollar impact of your reduction plan. Compare your recommendations with other students in class and discuss your results.

The Electronic Hallway, Case Teaching Resources from the Evans School of Public Affairs https://hallway.org/cases/index.php

EXERCISE 3.5

129Managing Human Resources

agement, tension will continue to be part of the labor-management relationship. It

should be noted, however, that labor-management partnerships are possible, an ex-

ample of which is the Department of Public Works in the City of Portland, Maine.

Despite significant resource constraints, labor-management cooperation in the con-

struction of a sports venue enabled the project to be com-

pleted under budget and in record time. In order to facilitate

open communication, the city manager created a 26-person

labor-management working group, which included an

equipment operator, a working foreman, an assistant city

manager, an administrative assistant, an engineer, an ar-

borist, and the head of the department, in addition to the

president of American Federation of State, County, and Mu-

nicipal Employees (AFSCME) Local 481. As a result, em-

ployees came to view management as part of their team

rather than as outsiders and adversaries. No longer was the

dynamic between labor and management characterized as “us versus them.” Central

to this success story was strong leadership on the part of the mayor of Portland (U.S.

Department of Labor 1996).

Among the key factors in overcoming labor-management tensions is the formation

of partnerships—partnerships facilitated by open communication, the sharing of

previous success stories, and the support of upper management. It is important

that public managers appreciate the magnitude of labor-management partnerships

and emphasize these three factors for productive human resource management.

Fruitful human resource management is unlikely to exist without a harmonious

labor-management relationship.

Productive working relationships are not limited to employer-employee relations.

Relations between public organizations and the citizens they serve are important as

well. Productive relationships with both internal and external clients are important

in order to circumvent potential problems. Quality work relationships are necessary

to improve problem situations that may burgeon into conflict and become the basis

for litigation. It is vital that managers emphasize the importance of this relationship

to employees.

Productive human resource management exists in an open system in which inter-

nal and external factors are connected. People are the primary means to improving

organizational performance in the public sector. It is critical to be aware of how to

develop and effectively manage public employees, as well as to recognize what mo-

tivates these people to work at a high level. Effectively managing people will remain

a critical issue in public personnel administration. This chapter has presented

strategies relevant to creating and maintaining a quality and diverse workforce and

creating and maintaining a high quality of work-life environment.

“You may be the boss, but you’re only as good as the people who work for you.”

WILLIAM LEAHY U.S. Naval Officer;

White House Chief of Staff during World War II

130 CHAPTER 3

NOTHING YOU CAN DO Artist: V. Kunnap; Poet: G. Tumarinson; “The Fighting Pencil” group, 1968. The Wolf has an office and mouth very loud, He scolded the Hare and started to shout. Offended, the weeping Hare Brought his petition to the Bear. The Bear did not probe too deeply in the act, He resolved the problem as a matter of fact. The end is obvious for the Hare: He needed intensive health care. PEOPLE WHO EXAMINE GRIEVANCES SHOULDN'T FORGET INCIDENTS LIKE THIS.

131Managing Human Resources

In terms of creating and maintaining a quality and diverse workforce, discovering

ways to attract the so-called “best and brightest” is paramount to productive human

resource management. The next step is to provide these individuals with training

and development, enabling them to work effectively within what can be at times

both a rapidly changing and a politically charged environment. At the same time,

public managers must be mindful of a number of factors that have significant im-

pacts on employee motivation. In addition to rudimentary factors such as reward-

ing workers (using monetary as well as nonmonetary, psychological rewards),

public managers must recognize that employee commitment is not universal; that

is, workers may be differentially committed to their managers, work group, unions,

upper management, and clients. This multidimensional

outlook on employee commitment enables managers to

better identify what type of employee commitment serves

as a source of motivation at a given time within the organ-

ization. Employee commitment also varies with differences

in organizational culture.

Creating and maintaining a high quality of work life is cru-

cial. The significance of a worker’s physical surroundings—

workplace safety, ergonomically sound workstations, a

clean place to have lunch—are challenges for high-per-

forming organizations. Accidents, diseases and hazards,

and poor amenities generally result in lower performance, inefficiencies, higher

rates of worker turnover and absenteeism, and increased numbers of medical

claims. In dealing with these problems, it is necessary to have a variety of programs

available to assist employees. By taking steps to lessen the likelihood and severity

of these problems in the first place, both the workers and the organization benefit.

Finally, creating a cooperative workplace culture is essential. Organizational per-

formance improvement is not the product of one employee’s efforts. A collaborative

atmosphere helps employees to be more productive, making labor-management

partnerships imperative. These partnerships thrive on open communication, sup-

plying success stories, and upper management leadership. While no doubt difficult,

successful partnerships can be achieved when these factors are working simultane-

ously. Productive human resource management is more likely to occur when mul-

tiple strategies are pursued simultaneously, and throughout the rest of the

twenty-first century, such management must be alert, responsive, and committed to

its employees and to the demands of an ever-changing environment.

“Our chief want is someone who will

inspire us to be what we know we

could be.”

RALPH WALDO EMERSON

Author; Poet; Philosopher (1803–1882)

132 CHAPTER 3

Coleman, C.J. 1990. Managing Labor Relations in the Public Sector. San Fran- cisco, CA: Jossey-Bass.

Cooper, P.J. 1998. Public Administration for the Twenty-First Century. Fort Worth, TX: Harcourt Brace.

Donaldson, L. 1928. Behavioral Supervision. Addison-Wesley Publishing Com- pany, Inc.

Golembiewski, R.T. 1995. Managing Diversity in Organizations. Tuscaloosa: University of Alabama Press.

Grace, S.L., and M. Holzer. 1992. “Labor-Management Cooperation: An Opportu-

nity for Change.” In Public Productivity Handbook, ed. M. Holzer, 487–98. New York: Marcel Dekker.

Guy, M.E. 1992a. “Managing People.” In Public Productivity Handbook, ed. M. Holzer, 307–20. New York: Marcel Dekker.

———. 1992b. “Productive Work Environment.” In Public Productivity Hand- book, ed. M. Holzer, 321–34. New York: Marcel Dekker.

Herrick, N. 1990. Joint Management and Employee Participation: Labor and Management at the Crossroads. San Francisco, CA: Jossey-Bass.

Herzberg, F. 1966. Work and the Nature of Man. Cleveland, OH: World Publishing.

Coaching

Delegation

Dissatisfiers

Employee development

Equal Employment Opportunity

Commission (EEOC)

Federal Labor Relations Authority

Human capital

Human resource management

Job rotation

Merit Systems Protection Board

Office of Personnel Management

(OPM)

Performance appraisal

Personnel selection

Satisfiers

Understudy

Workforce planning

Workforce retention

KEY TERMS

REFERENCES

133Managing Human Resources

Hodes, N. 1991. “Achieving Quality through Labor-Management Participation in

New York State.” Public Productivity and Management Review 15, no. 2: 163–68.

Holzer, M. 1991. “Attracting the Best and the Brightest to Government Service.”

In Public Personnel Management: Current Concerns—Future Challenges, ed. C. Ban and N. Riccucci, 3–16. White Plains, NY: Longman.

Holzer, M., and S.-H. Lee. 1999. “Labor-Management Tension and Partnership:

Where Are We? What Should We Do?” International Review of Public Admin- istration 4, no. 2: 33–44.

Holzer, M., and J. Rabin. 1987. “Public Service: Problems, Professionalism, and

Policy Recommendations.” Public Productivity and Management Review 11: 3–13.

Isaacs, H. 1996. Personnel Management and Industrial Relations MS488 Study Guide. Kingston, Jamaica: University of the West Indies Press.

———. 2003. “Nonmonetary Incentives and Productivity.” In Encyclopedia of Public Administration and Public Policy. New York: Marcel Dekker.

Jurkiewicz, C.L., T.K. Massey, Jr., and R.G. Brown. 1998. “Motivation in Public

and Private Organizations: A Comparative Study.” Public Productivity and Management Review 21: 230–50.

Lewis, J.R., and J. Raffel. 1996. “Training Public Administrators to Work with

Legislators.” Case Studies in Productive Public Management: From the Public Productivity and Management Review, ed. M. Holzer and V. Gabrielian, 301– 9. Burke, VA: Chatelaine Press.

Maslow, A.H. 1943. “A Theory of Human Motivation.” Psychology Review 50: 370–96.

McDonald, N. 1995. “The Importance and Role of Performance Appraisal.” In

Personnel Management and Industrial Relations MS488 Study Guide, 71–72. Kingston, Jamaica: University of the West Indies Press.

McGregor, D. 1960. Human Side of Enterprise. New York: McGraw Hill.

Mills, O. 1994. “Leadership and the Culture of Change.”Caribbean Labour Jour- nal. 4, no. 1: 29–31.

Mintzberg, H. 1996. “Managing Government, Governing Management.” Harvard Business Review 74: 75–83.

Munroe, T. 1992. “Partnership in Labor Relations.” Caribbean Labour Journal 3 (September): 27.

Naff, K.C. 1993. “Human Resources Management Support.” In Public Adminis-

134 CHAPTER 3

tration for the Twenty-First Century, ed. P. Cooper, 285. Fort Worth, TX: Harcourt Brace.

National Partnership for Reinventing Government. 1998. “Vice President Gore’s

National Partnership for Reinventing Government Summary of Accomplish-

ments: 1993–1998.” http://govinfo.library.unt.edu/npr/whoweare/history-

ofnpr.html, accessed August 1, 2010.

Rainey, H.G. 1997. Understanding and Managing Public Organizations. 2d ed. San Francisco, CA: Jossey-Bass.

“Report of Task Force on Work Attitudes to the Right Honourable Edward Seaga,

Prime Minister of Jamaica.” (March 1983): 11–12.

Romzek, B. 1990. “Employee Investment and Commitment: The Ties That Bind.”

Public Administration Review 50: 374–82.

Schein, E.H. 1988. Organizational Culture and Leadership: A Dynamic View. San Francisco, CA: Jossey-Bass.

Schuler, R.S., and V.L. Huber. 1993. Personnel and Human Resource Manage- ment, 5th ed. Eagan, MN: West Publishing Co.

Sherman, A., G. Bohlander, and S. Snell. 1998. Managing Human Resources. Cincinnati, OH: South-Western College Publishing.

Stone, C. 1982. Work Attitude Survey: A Report to the Jamaican Government. St. Anne, Jamaica: Earle Publisher’s Ltd.

———. 1983. Findings of the Stone Survey. Kingston, Jamaica: JIS Press.

Thompson , F. 1990. “The Politics of Public Personnel Management.” In Public Personnel Administration: Problems and Prospects, ed. S. W. Hays and R. Kearny.

U.S. Department of Labor. 1996. Working Together for Public Service. Washing- ton, DC: U.S. Government Printing Office.

Ban, C., and N. Riccucci, eds. 2002. Public Personnel Management. 3d ed. New York: Longman.

Berman, E., J. Bowman, J. West, and M. Van Wart. 2001. Human Resources Management in the Public Service. Thousand Oaks, CA: Sage Publications.

Condrey, S.E., and R. Maranto, eds. 2001. Radical Reform of the Civil Service. Lanham, MD: Lexington Books.

SUPPLEMENTARY READINGS

135Managing Human Resources

Gore, A. 1993. Creating a Government That Works Better and Costs Less: Rein- venting Human Resource Management. Washington, DC: Government Print- ing Office.

Lewis, G., and S. Frank. 2002. “Who Wants to Work for the Government?” Public Administration Review 62 (July/August): 395–404.

Mosher, F.C. 1982. Democracy and the Public Service, 2d ed. Oxford, UK, and New York: Oxford University Press.

Perry, J.L., and L.R. Wise. 1990. “The Motivational Bases of Public Service.” Pub- lic Administration Review 50, no. 3: 367–73.

Shafritz, J.M., N. Riccucci, D.H. Rosenbloom, K. Naff, and A. Hyde. 2001. Per- sonnel Management in Government. 5th ed. New York: Marcel Dekker.

Partnership for Public Service

http://www.ourpublicservice.org/OPS/

Society for Human Resource Management

http://www.shrm.org/

Uniform Guidelines.com—A Free Service for Human Resources Professionals

http://www.uniformguidelines.com/

U.S. Department of Labor Employment and Training Administration

http://www.doleta.gov/

U.S. Office of Personnel Management

http://www.opm.gov/

ELECTRONIC RESOURCES

Public Decision Making

CHAPTER 4

We are confronted with a relentless need to make decisions.

Virtually every day, a situation arises that does not conform to

our expectations. We then ask ourselves: What should we do?

How do we decide what to do? Each person has his or her own

approach to decision making. Some people panic, while others

automatically respond in a specific way. Some individuals try

one solution after another before they find the right one.

This chapter dissects the decision-making process and

examines each step in it. It further underscores various

theoretical models of decision making and concludes with

a discussion of dysfunctional decision making.

136 CHAPTER 4

137Public Decision Making

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Decision-making processes hold the key to understanding organizations.”

HERBERT A. SIMON Economist; Nobel Prize Winner

During the Cuban Missile Crisis in 1962, President John F. Kennedy authorized the creation of ExComm—or the Executive Committee of the President.

138 CHAPTER 4

The Nature of Decision Making In simplest terms, decision making entails choosing one course of action among

other competing courses of action. The decision process includes the following

steps: (1) pinpointing the problem; (2) identifying causes; (3) setting objectives; (4)

formulating alternative courses of action; (5) evaluating alternatives against orga-

nizational objectives; (6) choosing the best course of action; and (7) implementing

and evaluating the decision.

Step 1: Pinpointing the Problem In pinpointing the problem (Step 1), the decision maker compares an expected stan-

dard of performance to the actual standard of performance. In other words, what

is happening, and what should be happening? It is important to have a clear defi-

nition of a problem before looking for its solution. The analysis of a problem should

be specific and should indicate the desired behavior, as well as the present behav-

ior. This can be stated as follows:

The goals (desired condition) should be realized. One should also pinpoint the pos-

sible cause or causes for the disparity between the existing condition and the desired

condition, and then decide the most likely cause for the situation (Step 2).

Step 2: Identifying Causes In identifying possible causes, one may ask: “What are the causes for the deviation

between the actual and desired condition?” The most likely cause of the problem is

the one that most precisely explains all the facts about that problem.

• Has all the available information been gathered?

• Are there specific barriers to be faced in the process?

• Do strong individual member attitudes exist toward the situa-

tion?

• Are there important points of view not yet represented?

Actual condition Desired condition

What is happening? What should be happening?

Where it is happening? Where should it be happening?

When is it happening? When should it be happening?

To what extent is it happening? To what extent should it be happening?

HOW DECISIONS ARE MADE

139Public Decision Making

Step 3: Setting Objectives After the problem and its causes have been identified, the decision maker must set

objectives that the decision must achieve (Step 3). Effective objectives should:

• Be specific

• Be measurable (this implies an empirically-based performance

criteria)

• Indicate who, what, how much, when, and where

Examples of objectives: • Ineffective objective—Each respondent will receive an appropriate fi-

nancial evaluation interview.

• Effective objective—To decide the respondent’s support payments, the caseworker will interview him or her to determine his or her: age,

marital status, employment status, number of other children, finan-

cial resources, and eligibility for assistance.

After listing the objectives for a given course of action, those objectives should

be separated into objectives that are absolutely necessary (“must” objectives)

FIGURE 4.1 – DECISION-MAKING STEPS

PINPOINT THE PROBLEM

IDENTIFY THE CAUSES

SET OBJECTIVES

(“Musts” and “Wants”)

FORMULATE ALTERNATIVES

(Brainstorming)

EVALUATE ALTERNATIVES AGAINST OBJECTIVES

CHOOSE BEST ALTERNATIVE

ASSESS POTENTIAL CONSEQUENCES

140 CHAPTER 4

and those that are desirable but less pressing (“want” objectives). “Must” objec-

tives set limits that are nonnegotiable. “Want” objectives set limits that are, to

some extent, flexible.

Example: “Must” objective—All staff will remain with the unit for a minimum of

two years.

“Want” objective—All staff will remain with the unit for three to five years.

“Want” objectives need to be weighted as to their relative importance. There are

two methods for doing this: One method is to decide which objective is the least

important and give it a numerical weight of 1. Then, decide how much more im-

portant another “want” objective is compared to the one deemed least essential and

give the second objective a weight in accordance with that decision, for example a

2 or a 3. Continue on with each want objective, comparing it to the least important

one and ranking it accordingly. The other method is to use a straight interval scale

ranging from 1 to 10 as a means of rating the importance of “want” objectives. Less

important objectives are given scores of less than five, while more important ob-

jectives are given scores greater than five. The idea here is to establish a criterion

for determining which “want” objectives a decision maker should consider when

making a final decision.

Step 4: Formulating Action Alternatives When formulating alternative courses of action (Step 4), a decision maker should

ask whether the problem has existed before. If so, what was done and what was the

outcome? Has a related problem occurred? If so, what elements were similar? How

were they handled and to what effect? A primary method of formulating courses of

action includes brainstorming, which was developed to help generate ideas in the

field of advertising. The term means to use the brain to “storm” a creative problem.

Effective brainstorming entails the following:

• Criticisms of ideas must be postponed temporarily.

• Freewheeling is encouraged; that is, the wilder the idea, the better—

the logic being that it is easier to tone down wild ideas than to liven

up lackluster ones.

• Quantity is stressed over quality. The greater the number of ideas, the

more likely there will be potential winners in the pack.

• Combination and improvement are pursued. Not only should partici-

pants contribute ideas of their own, but also they should strive to use

other people’s ideas to make better ideas—i.e., combining two or

more ideas into an alternative idea.

In conducting effective brainstorming sessions, the problem should not be revealed

141Public Decision Making

before the session. The idea is to create an environment conducive to spontaneity,

which will help generate a free flow of ideas. During the session, however, the prob-

lem should be defined clearly. Within a brainstorming discussion group, it is ad-

vantageous to include people with experience and people new to the specific

problem. An eclectic group of participants is more likely to trigger a range of inno-

vative ideas. The flow of ideas can sometimes be increased

by presenting idea-spinning questions such as, How can

we adapt (modify, rearrange, reverse, combine, minimize,

maximize) any general solution? Finally, when the discus-

sion group seems to have run out of ideas, try reviewing the

list quickly, and then ask for a precise number of additional

suggestions.

Creativity and Formulating Decision Alternatives Creativity is an innate human capacity, not a gift of the tal-

ented elite. To become creative in our work and personal

lives, we must unlearn a range of limiting behaviors and at-

titudes and foster creative organizational sets. Creativity is

synonymous with seeing things in a new way; going out-

side of our own experiences for solutions; challenging as-

sumptions—which encompasses flexibility of thought, going beyond stereotypical

interpretations, questioning self-evident truths, and developing a healthy skepti-

cism. Making connections between seemingly unrelated ideas and/or events is cen-

tral to creativity. Taking risks is also central to creative decision making.

Several personality traits affect individual creativity. These traits include: a toler-

ance for ambiguity, a healthy self-concept, a reasonable focus of control, and a mod-

erate level of comfort regarding risk taking. The higher an individual’s tolerance

for ambiguity, the more patience he or she will have for systematically working

through the elements of the situation and then formulating and assessing alterna-

tives. The lower an individual’s self-concept, the more anxiety that individual will

have about how he or she is viewed by others. This leads to stress, preventing a

thorough search for decision alternatives. Also, the lower the self-concept, the more

sensitive a person will be to social pressure, causing that person to side with the ma-

jority. Additionally, people who believe they have little control over outcomes will

be less exhaustive in searching for alternatives. They may ask themselves, Why do

anything when the result is beyond my control, anyway? Finally, a person who is

neither a high risk taker nor a low risk taker will be the best decision maker. A high

risk taker is an inefficient decision maker because it is unlikely that the risky alter-

native will solve the problem. The low risk taker, on the other hand, plays it too

safe and is less likely to come up with a sufficient number of decision alternatives.

Blocks to Creativity. Creativity is an innate human capacity. People differ in the de- gree, not the kind, of creative resources available to them. In order for us to cultivate

“Indecision is debilitating; it

feeds upon itself; it is, one might

almost say, habit-forming.

Not only that, but it is contagious; it transmits itself

to others.”

H.A. HOPF Author

142 CHAPTER 4

our creative resources, we must overcome numerous creative blocks, among them:

• Overdominance of left side of brain

• Organizational and individual mindsets that impose immediate judg-

ment and evaluation of ideas

• Internal conflict between experimental and safekeeping selves

• Childhood conditioning

• Fear of mistakes

• Fear of risking self-esteem

• Need for control and conditioned responses

• Overly narrow or broad definitions of problems

• Competition

• Perfectionism

Source: Choo, C.W. 2006. The Knowing Organization: How Organizations Use Information to Construct Meaning, Create Knowledge, and Make Decisions (2nd ed.). New York: Oxford University Press.

FIGURE 4.2 – DECISION PROCESS MODEL

IDENTIFICATION DEVELOPMENT SELECTION

Search Screen

Diagnosis Design Judgment Authorization

Recogntion Analysis

Bargaining

Internal Internpt

New Option Interrupt

External I n t e r r u p t

143Public Decision Making

Costs of Creativity. Developing our creative resources may cause certain strains. Recognizing these potential stresses can help minimize blocks to our creative ef-

forts. Creative individuals face new frustrations because of increased problem

awareness. People who are highly sensitive to problems are likely to expose them-

selves to more and greater despair because they are struck

by the full complexity of the issues before them, as well as

the full scope of their new responsibilities.

Creative individuals face new frustrations because of in-

creased opportunity awareness. For example, they see new

opportunities to improve agency effectiveness, but often no

one in authority seems willing to dedicate the time or re-

sources to mine the gold that is there. Others will say that the opportunities are not

gold ore, but chunks of rock.

Creativity adds up to a lot of hard work. Many individuals feel overworked already.

Often, however, they have become overly busy with the 80 percent of the work

that—if done perfectly—accounts for only 20 percent of the results. They keep busy

to avoid the pain, frustration, and worry of tackling the important work, that is, the

20 percent that matters. Reweighing priorities is hard work. Implementing ideas is

even harder.

Creativity adds new risks to life, which brings new tensions and new anxieties.

Some individuals crave creativity and innovation, yet they are uncomfortable with

change. This is a contradiction, of course, as creativity implies something new, non-

conforming, or different. Also, the more confidence a person builds with creativity

tools, the more pioneering that person becomes. He or she will be taking the ini-

tiative, knowing full well who is accountable if the idea fails. An idea can fail. There

are no magic bullets for solving problems or making decisions creatively; there are

no magic potions for developing imaginative opportunities. A first try may be a dis-

aster—but that does not mean a second try will not bring success.

Steps 5 and 6: Evaluating Alternatives and Choosing the Best One Evaluating each course of action against the objectives (Step 5) allows the decision

maker to choose the best course of action (Step 6). To remain in the running, a

course of action should meet all of the “must” objectives, and it should meet some

of the “want” objectives. Moreover, it is important that decision makers take into

account the potential impacts each course of action may have on the organization

and its people. Some questions to consider include:

• Will the workers’ motivation, skills, or growth be affected?

• Will relationships among units, communication, responsibility, or

delegation be affected?

“If you chase two rabbits, both will

escape.”

CHINESE PROVERB

144 CHAPTER 4

• Will the organization’s image be affected, or will there be legal and/or

political ramifications of choosing one course of action over another?

By and large, the best course of action is the one that meets all of the “must” objec-

tives and the most number of “want” objectives, while at the same time engender-

ing the fewest disadvantages to the organization and its people. Using a balance

sheet is a good way of visually representing the benefits and burdens of one course

of action versus another. The balance sheet helps individuals to make more com-

prehensive appraisals of competing courses of action, as decision makers are bet-

ter able to think about possible trade-offs, concentrate on the major differences

between the choices, and think about the degree of importance of each pro and con.

Table 4.1 is an example of a balance sheet created by a manager who is considering

moving to a different job. The balance sheet is meant to evaluate his present posi-

tion. The matrix details the positives and negatives of staying with the current job.

Expected consequences Positives Negatives

Gains and losses

for self

1. Satisfactory pay

2. More opportunities to use

skills

3. Current status within the

organization is good

1. Long hours

2. Constant time pressure

3. Unpleasant paperwork

4. Poor prospects for ad-

vancement

Gains and losses

for others

1. Adequate income for fam-

ily

2. Family receives perks

given my position

1. Not enough free time for

family

2. Spouse forced to deal

with my work-related

irritability

Self-approval

or disapproval

1. This position allows me to

make use of full potential

2. Proud of my achieve-

ments

3. Sense of meaningful

accomplishments

1. Feel like a fool at times

for putting up with unrea-

sonable deadlines and other

work-related red tape

Social approval

or disapproval

1. Approval of members of

my team—who look up to

me.

2. Approval of my supe-

rior—who is a friend and

desires that I stay

1. Very slight skeptical reac-

tion from spouse

2. A friend who has wanted

to wangle a new job for me

will be disappointed

TABLE 4.1 – BALANCE SHEET

145Public Decision Making

Decision-Making Example: “Must” objective: All unit staff will remain with the unit for at least two

years.

“Want” objectives: (1) All unit staff will remain with the unit for at least

three years.

Weight = 3 (on a scale of 1–5, with 5 being the highest)

(2) All unit staff will remain with the unit for at least five years.

Weight = 1 (on a scale of 1–5, with 5 being the highest)

From the “must” and “want” objectives listed above, the following deci-

sion alternatives are formulated and evaluated.

Decision Alternatives: (1) Staff will sign two-year renewable contracts.

(2) Staff will sign one-year renewable contracts.

(3) Staff will sign three-year renewable contracts.

Decision alternative 2 does not meet the “must” objective sufficiently.

Rank of decision alternative 1 against “want” objective 1 = 4 (on scale of

1–5, with 5 being the highest).

Rank of decision alternative 1 against “want” objective 2 = 2.

Rank of decision alternative 3 against “want” objective 1 = 5.

Rank of decision alternative 3 against “want” objective 2 = 5.

Relative score of decision alternative 1 = (4*3) + (2*1) = 14

Relative score of decision alternative 3 = (5*3) + (5*1) = 20

Decision alternative 3 should be chosen.

Theoretical Models of Decision Making Rational Model The rational decision-making model is grounded in economic principles. The con-

cept of marginal utility, according to Verne Lewis (1952), brings pure rationality

into public decision making. Relative value, effectiveness, and incremental com-

parisons should determine which decision alternative is chosen. Relative value

refers to the “opportunity cost” of a particular policy decision. The opportunity cost

of a choice reflects the difference between one’s first and second choices. Consider,

for example, that Thomas chooses to pursue a Master of Public Administration

(MPA) degree after college. The cost of tuition and living expenses amount to

146 CHAPTER 4

$40,000 per year for two years ($80,000 total). This $80,000 total, however, does

not reflect opportunity cost. Let us further assume that by going to graduate school

for two years, Tom turned down a job that would have paid him $50,000 a year

with a 5 percent raise after the first year ($102,500 total). This $102,500 reflects the

opportunity cost of choosing graduate school instead of the job, and therefore the

total real cost of graduate school equals $182,500. So, why pursue an MPA degree?

The idea is that more education will afford Tom more earning potential long-term,

which will offset any lost wages in the short-term.

Effectiveness deals with evaluating a decision in terms of achieving a common pur-

pose. Lewis’s notion of incremental comparisons (1952) refers to comparing mar-

ginal value and costs, assuming that the value of anything decreases with increasing

quantity. In other words, as one acquires additional units of anything, an added

unit has decreasing value. Consider this: you need four tires on a car. You may need

a fifth due to the occasional flat tire. Having a sixth tire, however, does not seem

worth the cost relative to its value. While the policymaking process deals with value-

laden questions, economic and cost-benefit principles must remain dominant, ac-

Source: S-Y, Rho. 1998. School of Public Affairs and Administration, Rutgers University, Newark, NJ.

FIGURE 4.3 – DECISION MAKING BY HERBERT SIMON

Bounded Rationality

Cognitive limits on rationality

Organization as Decision Unit

Human Problem-Solving Process

Modes of Organizational Influence

1) Information

2) Organizational loyalties

3) Criterion of efficiency

4) Advice and information

5) Training

True Scientific Method

Principles of administration: inconsistent, conflicting, inapplicable

Logical positivism

1) Distinction between fact and value

2) The role of values emphasized the subjective elements of decision maker

3) Science is concerned with facts, not values

147Public Decision Making

cording to Lewis (1952). Much like Lewis, J.L. Mikesell (1978) maintains that the

decision-making process should try to identify valuable government activities. In

doing so, cost-benefit analysis (CBA) serves as a primary tool of the rational deci-

sion maker.

CBA is predicated on comparing the primary and secondary costs of a program or

policy, and comparing those costs to direct and indirect benefits. Both costs and

benefits are expressed in monetary terms. Typically, results are expressed in terms

of a benefit-cost ratio, which is equal to the benefits of a program divided by its

costs. If the benefit-cost ratio is greater than one, it can be said that the benefits of

a program outweigh its costs. CBA can be conducted on either an ex ante or ex post

basis. Ex ante analyses are prospective in that they try to estimate costs and bene-

fits of a program or policy prior to development or implementation. In contrast, ex

post analyses are retrospective, as they examine costs and benefits of programs and

policies that have existed for some time. Both ex ante and ex post analyses aid the

rational decision maker in determining whether a program or policy should be pur-

sued or continued. CBA is covered in greater depth in Chapter 8.

Herbert Simon (1947/1997) was somewhat critical of the rational model given his

belief that people’s cognitive limitations make it impossible to consider the full

range of decision-making alternatives and the information corresponding to each

Source: Choo, C.W. 2006. The Knowing Organization: How Organizations Use Information to Construct Meaning, Create Knowledge, and Make Decisions (2d ed.). New York: Oxford University Press.

FIGURE 4.4 – BOUNDED RATIONAL DECISION MAKING

DECISION PREMISES

BOUNDED RATIONALITY

• Values • Information

• Skills

DECISION ROUTINES

• Performance Programs

• Satisficing•

Sequential Search

ORGANIZATIONALLY RATIONAL

DECISION BEHAVIOR

148 CHAPTER 4

alternative. This concept is known as bounded rationality. Decision makers are,

therefore, limited to a few courses of action and ultimately choose the one that is

most satisfactory or “good enough.” Simon terms this satisficing (1947/1997).

Satisficing and Incrementalism Policy changes occur little by little. According to Lindblom (1959), individuals tend

not to follow the rational model when making decisions. Instead, they avoid “ra-

tional” decision making through satisficing and incrementalism. From a practical

standpoint, Simon’s concept of satisficing entails lowering the bar in terms of goal

attainment, and then choosing a policy alternative that satisfies this lower stan-

dard. Furthermore, decision makers who satisfice choose policies that are thought

to be “good enough” for the time being, until a better policy alternative can be

found. The incremental decision-making model suggests that: (1) realistically, only

The Administrative (or Behavioral) Model • Is descriptive in that it describes how decisions are actually made.

• Decision makers seek to simplify problems and make them less com-

plex because they are constrained by their individual capabilities (e.g.,

limited information-processing ability) and by organizational condi-

tions (e.g., availability of resources).

• Assumes that decision makers operate with limited (or “bounded”) ra-

tionality; this means that decision makers are rational within a simpli-

fied model that contains fewer components (e.g., fewer

decision-making criteria, fewer options, and so on).

• Assumes that decision makers identify a limited number of decision-

making criteria, that they examine a limited range of alternatives (only

those that are easy to find, highly visible, have been tried before, or are

only slightly different from the status quo) and that they do not possess

all the information needed to make a decision.

• The decision maker selects a satisficing alternative. This is an alterna-

tive that is “good enough” or satisfactory in that it meets the minimum

criteria established for a desired solution.

• Decision making proceeds sequentially: alternatives are examined one

at a time and the first satisfactory alternative that is found is selected.

Source: CSWT Papers, “Group Decision Making Within the Organization: Can Models Help?” by Ryan K. Lahti (Center for the Study of Work Teams, University of North Texas).

149Public Decision Making

a few policy alternatives can be considered at one time, and (2) these policies do not

differ radically from existing policies. Change, therefore, occurs through decisions

that have an incremental effect. The incremental model is a more realistic approach

to public decision making, as it provides greater flexibility in coping with time-sen-

sitive policy problems (Lindblom 1959).

Incrementalism is often criticized, given that it perpetuates and condones the sta-

tus quo. In more extreme cases, it allows failing government agencies and programs

to continue and even expand. Fundamental change is difficult to achieve via incre-

mentalism (Dror 1964). One response to incrementalism is the use of sunset pro-

visions, under which an agency, program, or law expires automatically following a

specified period, unless the legislature votes to reenact it. This was the case with

many of the provisions of the USA Patriot Act, which was passed in the wake of the

9/11 terrorist attacks on the United States.

Revised Garbage Can Model In contrast to the rational decision-making model, Kingdon (2003) defies conven-

tional wisdom by claiming that the decision-making process is neither systematic

nor neatly defined within the context of the political arena. Rather, public admin-

The Implicit Favorite Model • Is descriptive in that it describes how decisions are actually made.

• The decision maker seeks to simplify the decision making process by

identifying an “implicit favorite” before alternatives are evaluated; this

often occurs subconsciously.

• The decision maker is neither rational nor objective and unbiased.

• After a “favorite” is selected, the decision maker tries to appear rational

and objective by developing decision criteria and by identifying and

evaluating various alternatives; however, this is done in a biased way so

as to ensure that the favorite appears superior on these criteria and

thus, can legitimately be selected as the “best” solution.

• In this model, “decision making” is essentially a process of confirming

a choice/decision that has already been made. The actual decision was

made in an intuitive and unscientific fashion.

Source: CSWT Papers, “Group Decision Making Within the Organization: Can Models Help?” by Ryan K. Lahti (Center for the Study of Work Teams, University of North Texas).

150 CHAPTER 4

istration decision making is chaotic. According to the revised garbage can model,

the decision-making process can be understood in the context of three separate

“streams” that operate independently. Specifically, the problem, political, and pol-

icy streams steer the decision-making process. The problem stream refers to an un-

derstanding of “how and why one set of problems rather than another comes to

occupy officials’ attention” (Kingdon 2003, p. 87). The political stream represents

the pulse of the nation as conveyed through public opinion, election results, or ide-

ological shifts as evidenced through public and special interest campaigns. Finally,

within the policy stream, administrators, technocrats, researchers, and political

Source: Choo, C.W. 2006. The Knowing Organization: How Organizations Use Information to Construct Meaning, Create Knowledge, and Make Decisions (2nd ed.). New York: Oxford University Press.

FIGURE 4.5 – GARBAGE CAN MODEL

Problems

Participants

Participants Problems Solutions Participants Problems Solutions

COs Choice Opportunities

COs

PARs

COs Choice Opportunities

COMMITTEE

DEPARTMENT A DEPARTMENT B

Participants

Solutions

PARs

COs

PARs

COs

PARs

COs

151Public Decision Making

staffers formulate policy proposals. Policy advocates who have crafted specific pro-

posals wait for a compelling problem to emerge and present their respective pro-

posals as plausible solutions. In the absence of a societal problem with which

advocates can link their respective proposals, a change in the political climate is

necessary for certain policies to be given consideration. Policy advocates increase

their chances of influencing the agenda-setting process given the convergence of the

problem, political, and policy streams. That is, the policy window widens (i.e., the

likelihood that a policy will be given consideration) when a problem emerges and

the political climate is ripe for certain policy preferences. The three streams con-

verge at “critical times” (e.g., a crisis), according to Kingdon (2003).

The gun control movement moved to the forefront subsequent to the near-fatal in-

jury of White House press secretary James Brady during

an assassination attempt on President Ronald Reagan in

1981. Arguably, it was this focusing event that served as the

impetus for more widespread gun control measures. In the

context of Kingdon’s framework, the problem was the

availability of firearms. The existing solution (or policy

preference) was the Brady bill (now the Brady law), which

requires a five-day waiting period and mandatory back-

ground checks prior to the purchase of certain firearms. It

was believed that these measures would reduce crimes of

passion and ensure that convicted felons or the mentally ill

were not able to purchase firearms. The policy window for the Brady bill widened

with the election of President Bill Clinton, as the bill was originally introduced in

1987 and was signed in November 1993.

The passage and implementation of the USA Patriot Act fits within the context of

Kingdon’s garbage can model. Passed shortly after the terrorist attacks on the

World Trade Center and the Pentagon in 2001, the Patriot Act expanded the au-

thority of U.S. law enforcement agencies to intensify the fight against terrorism in

the United States and abroad. The most notable provisions of the Patriot Act deal

with the federal government’s enhanced power in gathering information. For ex-

ample, the Patriot Act gives law enforcement agencies greater authority to search

telephone and e-mail communications, as well as medical and financial records.

Other surveillance provisions include what are called roving wiretaps—which give

the U.S. government the authority to wiretap all types of communication devices.

Previously, the government would need to obtain permission from a court to tap

each device (filing a separate request, for instance, for a phone, cell phone, per-

sonal computer, iPhone, and so on). With roving wiretaps, however, the govern-

ment can tap into any and all of a subject’s communications devices after receiving

blanket authority from a court. Now, consider this: The Patriot Act was written and

passed into law on October 24, 2001—only six weeks after the terrorist attacks. This

“For every complex problem, there is a

simple solution that is wrong.”

GEORGE BERNARD SHAW

Irish Critic; Poet (1856–1950)

152 CHAPTER 4

piece of legislation was a hefty 342 pages. How on earth could this have been writ-

ten and passed so quickly? The answer is that many of the Patriot Act’s provisions

were failed legislative proposals that were still floating around the legislature. These

ideas and proposals did not have any traction, so to speak, because there was never

any problem serious enough to warrant putting such ideas into place—not until

September 11, 2001, anyway. The problem, therefore, was domestic terrorism, and

the political window widened given the fear of another attack and people’s desire for

concrete action. The solution became a compilation of policies that previously had

not taken root but were nevertheless repackaged as the USA Patriot Act.

Participatory Model Participatory decision making assumes that a diverse group of individuals (or in-

dividuals representing a diverse set of interests) will act in a consultative capacity.

Typically, those people affected by a particular problem or a potential course of ac-

tion are afforded the opportunity to provide input. This input is documented

through public meetings or hearings, advisory boards, and citizen advocacy groups.

A classical example of participatory decision making deals

with the writing of federal regulations. Federal regulatory

agencies such as the Environmental Protection Agency

(EPA), the Food and Drug Administration (FDA), and the

Occupational Safety and Health Administration (OSHA)

are responsible for writing and rewriting what are known

as “rules.” Rules have the same impact as laws, and they

exist for purpose of protecting the citizenry. For example,

some rules stipulate that tests, trials, and other safety pre-

cautions be met prior to a new drug’s release; others mandate that automobile

plants must meet certain environmental and safety standards. Even though rules

are not passed by Congress (or the legislature at the state level), they possess the ef-

fect of law. As a result, individuals or corporations who, for instance, violate envi-

ronmental rules by dumping toxic waste into the oceans will be held accountable for

their actions. The federal government alone writes and rewrites thousands of rules

each year. Agencies like the EPA, FDA, and OSHA rely upon information and ex-

pertise from private individuals and business owners to craft these rules. In 2005

the federal government launched Regulations.gov, an Internet-based clearinghouse

that allows anyone to read and comment on proposed federal rules through an elec-

tronic template. From a more local perspective, participatory decision making oc-

curs when a parent-teacher association advises a school board or the

superintendent of schools. Binding referenda represent more extreme cases of par-

ticipatory decision making. Through referenda, citizens are given the authority to

accept or reject specific policy actions through the ballot box.

The participatory model is advantageous insofar as interest groups provide decision

makers with a wealth of information. Decision makers too dependent on informa-

“By failing to prepare, you are preparing to fail.”

BENJAMIN FRANKLIN American Statesman; Ambassador; Patriot

153Public Decision Making

Public Involvement Techniques for Transportation Decision Making: Citizens on Decision and Policy Bodies Who are citizens on decision and policy boards? Community people serve on policy and decision-making committees and boards.

They represent groups organized around civic, environmental, business, or commu-

nity interests, or specific geographic areas, or they serve as individual experts in a

field. They need not be elected officials or agency staff. The Connecticut Department

of Transportation (ConnDOT) appointed a community committee to develop and

recommend alternatives for reconstruction of a large I-95 bridge.

Some boards make decisions; others help formulate policy. Regional residents sit on

the decision-making Great Falls City/County Planning Board in Montana, and on

Washington’s Puget Sound Regional Council. The head of Georgia’s Chatham

County-Savannah Metropolitan Planning Committee sits on the Metropolitan Plan-

ning Organization’s (MPO’s) Project Committee. Citizens on such boards are distinct

from purely advisory groups, such as civic advisory committees, that are often part

of planning and project development.

These boards are established by statute, regulation, or political decision. Ad hoc com-

mittees are set up by legislative acts or executive decision to investigate specific sub-

jects. They may be temporary or permanent. In Portland, Oregon, a committee of

community members works with the Metropolitan Planning Organization (MPO)

staff to develop scopes of service for projects and to review and select consultants. For

the U.S. 301 corridor study, Maryland’s governor created a 76-member task force to

address regional transportation issues, develop and evaluate possible transportation

and land-use solutions, and recommend public policies. The majority of members

were private citizens.

The composition of a board varies, depending on its assigned task. A board may include

citizens and elected or appointed officials or be composed entirely of citizens. It may be

assisted in its task by staff members assigned from elected officials or agency represen-

tatives. The Airport Policy Committee of the San Diego, California, MPO has a mixed

representation of citizens and professionals. The Metro Council, MPO for Minneapolis-

St. Paul, Minnesota, has both citizens and elected officials on its 30-member Trans-

portation Board, including 10 municipal elected officials, 7 elected county officials, 9

private citizens (including the chair), and 4 representatives of state or regional agencies.

People are appointed to boards in a variety of ways. They are nominated or appointed (continued)

154 CHAPTER 4

to these positions by public officials, or they volunteer or are elected by their peers.

The ways they come to serve depend on the rules and nature of the policy body.

The board’s role establishes the amount of influence these citizens wield. The 76-

member task force overseeing the U.S. 301 Corridor Planning Study in Maryland has

virtually total decision-making power. Composed entirely of citizens appointed by

the governor, Arizona DOT’s Transportation Board has final say on the state’s five-

year plan, the transportation improvement program, and state transportation plan-

ning projects.

Why are they useful? Community people bring new points of view, new ideas, and a community perspec-

tive directly into the decision-making process. Little Rock, Arkansas, MPO found

that people were able to integrate political and technical engineering issues in solv-

ing problems. They focused on whether an idea made sense to them, their neighbors,

and the people most affected by the decision. Ad hoc committees help local people

participate in decision making. For the Albuquerque, New Mexico, MPO’s Urban

Area Truck Route Task Group, membership was solicited through more than 300

letters to neighborhood, advocacy, and business groups. Volunteers worked with

technical staff from the city and a neighboring county to develop a commercial vehi-

cle network plan processed as though it were an agency-prepared plan.

Decisions have greater legitimacy if residents are involved. Including local people in

decision making demonstrates an agency’s commitment to participatory planning. At

the contaminated U.S. Department of Energy site in Rocky Flats, Colorado, a com-

munity committee directed the planning of an off-site hazardous waste sampling pro-

gram. In essence, such empowerment validates the principle that people want—and

should be able—to decide what is best for their community.

Do they have special uses? Citizen committees oversee specific aspects of complicated programs. For the Hudson

River Waterfront Alternatives Analysis/Draft Environmental Impact Statement in New

Jersey, local residents directed agency staff in implementing air quality monitoring.

Community representatives work directly with project design consultants. For pro-

posed construction of I-70 through Glenwood Canyon in Colorado, the governor ap-

pointed area residents to work with the state’s highway planners and the principal

design consultants to address public concerns from the beginning of preliminary en-

gineering and highway design. Along with frequent public hearings, local represen-

tation served to satisfy public demand for a greater voice in the project.

(continued)

155Public Decision Making

Local people facilitate communication between decision-making bodies. The Airport

Policy Committee of the San Diego, California, MPO worked with officials to forge

consensus on several controversial issues. These people provided a free flow of ideas,

unconstrained by concerns for existing policies, and were able to help overcome po-

litical deadlock.

Community representatives serve as informed spokespersons for an agency’s pro-

grams. Individuals from the Boise, Idaho, MPO citizen committee host public meet-

ings, speak to other organizations, and attend neighborhood events. They use

nontechnical language to make citizens more comfortable and willing to participate

in discussion.

Residents help achieve an agency’s goals. For the Dade County, Florida, rail system,

a decision-making committee was appointed, composed of elected officials and

neighborhood representatives. These citizens subsequently provided leadership on

two referenda supporting funding for the new rail system.

Civic outreach committees assist with public involvement programs and provide ad-

vice based on what they hear in their own discussions with the public. Seattle’s Cen-

tral Puget Sound Regional Transit Authority (RTA) appointed a group of people to

assist in developing a ballot proposal for regional transit.

Who participates on these boards? People who serve on policy boards are drawn from many sources. They include com-

munity and business leaders, leaders from special interest groups, and interested in-

dividuals. Length of tenure varies, depending on tasks, but is generally one to five

years. It is important to recognize special interests. The Hartford, Connecticut, MPO

agency-wide technical committee includes representatives of four private groups: the

American Lung Association, the Chamber of Commerce, a construction industry as-

sociation, and a ridesharing corporation. The board of the Port Authority of Al-

legheny County, Pennsylvania, has long included representatives from the Sierra

Club and the League of Women Voters.

What are the costs? Monetary costs are usually nominal. Local people appointed to policy boards are sel-

dom paid. Costs to support their participation include agency staff time, postage,

transportation, and occasional meals. Many agencies economize by sending the same

information packages to both elected officials and boards that include citizens. Costs

of including community people on existing boards are likely to be lower than those

of forming an entirely new board or committee such as a collaborative task force. (continued)

156 CHAPTER 4

Staffing requirements may be very small. A 1995 nationwide survey of transit agency

policy committees showed that staff support to the committees averaged 12.4 hours

per month. Full-time staff members with assignments including support to these

committees averaged 1.2 people. However, even modest requirements of staff time

may pose a challenge to small MPOs.

How is this organized? The first step is to determine the need for local representation. Agencies may be

aware of the need because of comment or criticism from local people. The media

sometimes call for local representation when an agency undertakes a specific task. An

agency also becomes aware through discussions with peers in other areas.

Another step is to research legal requirements. State laws may specify whether indi-

viduals may sit on MPO boards. Participation may be limited by an organization’s

by-laws.

An agency devises a strategy for local representation, designing community positions to

suit the board’s functions and objectives. The Albany, New York, Capital District Trans-

portation Committee (CDTC)—all elected officials—puts local people on many task

forces, along with local agency representatives and institutional and business leaders.

An agency solicits local interests in a variety of ways. The media help by opening the

issue to public discussion. A letter soliciting interest in participation on boards or

committees might be sent in a general mailing. For a long-range planning effort, the

Albany CDTC took a sample survey of local people to determine potential interest in

participating on planning and policy committees.

An agency seeks a balance of various viewpoints. The nature of a task may draw vol-

unteers who represent only one side of an issue, yet a board should encompass many

stances.

A formal appointment process is established. A simple letter or a more formal event

lends legitimacy to the process and gives satisfaction and encouragement to an ap-

pointee. A written document formalizes the time frame, responsibilities, and the ex-

pected products. It is also important to point out the extent of the powers that

accompany the appointment and how the results of the task will affect further agency

actions. Agencies involve elected officials and keep them informed. Officials are often

able to provide helpful insight. They may also want to be apprised of the board’s

progress.

Agencies determine the nature of their involvement on boards. It may take the form

(continued)

157Public Decision Making

of representation, usually in an ad hoc and non-voting capacity. It may involve board

support, in the form of staff services, meeting space, and use of equipment for pre-

sentations and recording of proceedings. In some instances, agencies supply meals,

especially if participants travel long distances or a meeting is held during a conven-

tional meal hour.

A method of selecting a committee chair is determined. Often a board selects its own

chair, or the chair is appointed. If elections are to take place, introductions of board

member candidates are appropriate, so that an informed selection is made. Intro-

ductions can be informal or take a more formal approach, such as written position pa-

pers that define an individual’s expectations and goals for the processes and products.

Meeting frequency is derived from the size of the task and its deadlines. In order to ac-

complish an assignment, a board may need to meet frequently. Many citizen commit-

tees meet monthly, but specific projects or responsibilities may dictate different

schedules. Board members should play a major role in determining meeting frequency.

Communication is maintained between meetings. Minutes of each meeting are kept

for the record and distributed to remind participants of past events and decisions. Issue

papers are distributed prior to meetings to help people prepare and to aid discussions.

Many agencies keep local representatives informed with periodic status reports.

Decision-making bodies need time to adjust to the dynamics of public involvement.

In some cases, important informal communication occurs during breaks or outside

formal meeting hours. For effective communication among policy board members,

the sponsoring agency may take time to foster a positive atmosphere or use familiar

procedures. For guidance, many MPOs, such as those in Portland, San Diego, and

Phoenix, employ the commonly understood meeting procedures outlined in Robert’s

Rules of Order.

Ethical issues must be considered. Public agencies frequently have established rules

of professional ethics, and these rules extend to community participants. For exam-

ple, potential conflicts of interest need to be identified and addressed immediately.

How is this used with other techniques? Community representatives are important components of a public involvement pro-

gram and complement almost any other technique. However, local representation

cannot be the sole method an agency uses to involve the public in the planning

process. Community representatives are most effective if they relate continuously

with their constituent groups and participate in an agency’s other public involvement

outreach techniques. (continued)

158 CHAPTER 4

tion from interest groups run the risk of being swayed into making decisions that

serve the interest groups more than the organization itself. This is referred to as “cap-

tivity.” Captive organizations are more inclined to underemphasize organizational

values and goals and overemphasize the values and goals of clientele groups. The par-

ticipatory model is derived from a school of political-philosophical thought known

as pluralism. Contrary to the European oligarchies, the American system of govern-

ment was founded on the principle of popular sovereignty, the embodiment of which

is the right to participate in the electoral process. Participation ensures the stability

and prosperity of our political system, and within the context of a pluralistic society,

it is a vehicle by which factions compete for political access and policy preferences.

The notion of pluralism assumes that voluntary associations or interest groups par-

ticipate in the interest of persuading key players within the political arena. The out-

comes of participation include electoral majorities that support or compete against a

group’s interests. Pluralism is predicated upon collective behavior and compromise.

The ideal democratic system, according to R.A. Dahl (1982), is predicated upon “ef-

fective participation,” which assumes that all are afforded an equal voice and that cit-

Local representatives are ideal speakers. They are generally well informed and usually

have extensive experience and exposure to issues. They are good candidates for a speak-

ers’ bureau, but agencies must remain considerate of demands placed on their time.

What are the drawbacks? The selection and appointment process may be criticized, especially if the appointee’s

qualifications are questioned or if the process is seen as closed or unfair. To counter

such charges, an agency can develop a strategy for the process that is comprehen-

sive and well understood.

Board members may not be fully representative. Selected representatives may not

share the prevailing opinions of the communities they represent. An agency some-

times needs to expand the number of representatives to bring in underrepresented

interests. Balanced representation of interest groups is crucial in avoiding contro-

versy. Disputes over representation require skillful diplomacy to maintain the legit-

imacy of the process. Agency culture sometimes presents barriers. Agencies that

perceive themselves as empowered with sole decision-making responsibility are re-

luctant to share authority with non-elected citizens. An agency’s traditional organi-

zation or decision-making style may block efforts to increase the influence of private

citizens on decision or policy bodies.

Source: U.S. Department of Transportation, Federal Highway Administration, “Public Involvement Tech- niques for Transportation Decision Making,” www.fhwa.dot.gov/reports/pittd/citizens.htm.

(continued)

159Public Decision Making

izens share in the decision-making process. Within the context of pluralism, organ-

izations serve to “prevent domination and to create mutual control,” notes Dahl in

Dilemmas of Pluralist Democracy: Autonomy vs. Control (1982, p. 270).

Elite Theory In contrast to participatory decision making and pluralism, elite theory assumes

that a select few are afforded the privilege of making decisions. While the very na-

ture of a democratic system presupposes that a wide range of individuals will have

a voice in the decision-making process, elite theory assumes otherwise. A separa-

tion exists between the elite members of government and the masses, even though

greater public engagement in the policymaking process would allow government to

tap wider sources of information, thereby improving the quality of public policy.

Nevertheless, according to J.A. Schumpeter in An Elite Theory of Democracy (1942/1976), the term “democracy does not mean and cannot mean that the peo-

ple actually rule in any obvious sense… Democracy means only that the people have

the opportunity of accepting or refusing the men who are to rule them” (p. 81).

From a decision-making perspective, being one of the elite may center on an indi-

vidual’s knowledge level, education, or status within a public organization.

The Power Elite by C. Wright Mills (1956) contains a widely noted argument for an elitist determination of important decisions. Mills’s concept of decision making

within the arenas of government is one of executive rather than congressional de-

terminations; decisions by the electorate seem out of the question completely.

Within the executive branch, Mills feels that the professional bureaucrats and party

politicians are essentially subservient to members of the elite who move in and out

of government, pausing for relatively brief stays as opposed to the career orienta-

tions of professionals. Elites fill the very top positions of president, vice president,

cabinet members, department and bureau heads, agency and commission heads,

and the White House staff.

The Town of Twin Creeks Considers a New Law (Simulation) As a member of one of the many constituent groups who will be affected by the town’s decision to eliminate motorized vehicles on our 100-acre lake, students will explore the political, personal, and economic issues involved with this pending de- cision. After completing the simulation, students will be required to summarize the experience by compiling a mini–case study. These case studies will be compared and contrasted with others in the class.

Timothy D. Oliver, Faith Lutheran School, Nevada, “Town Meeting—Direct Representation,” Columbia Education Center Lesson Plans http://www.col-ed.org/cur/sst/sst170.txt.

EXERCISE 4.1

160 CHAPTER 4

Political Model The political decision-making model assumes that intra-organizational coalitions

compete for influence. This competition establishes which decision-making alter-

natives are chosen and which are discarded. In other words, the more powerful

coalitions win out, as do their decision-making preferences. The political model is

thought to be tantamount to office “game playing.” Office games are designed to

improve an individual’s position, while simultaneously hurting and eventually elim-

inating alternative viewpoints. Game players are skillful at pleasing their superi-

ors, becoming sycophants for the sole purpose of gaining power. They support their

superiors’ opinions and choices at all costs—even to the point of withholding in-

formation that might keep a superior from making a poor decision. Risky and un-

safe positions are never taken, and when someone else proffers a good idea, their

response is: “I was thinking the same thing.” The game player’s energy is most con-

cerned with building alliances and consolidating power, which will be use to exert

influence over future decisions.

Public Choice Theory Public choice theory is a school of thought derived from microeconomics, the study

of the economic behavior of individuals and organizations. Adherents of the public

Source: Choo, C.W. 2006. The Knowing Organization: How Organizations Use Information to Construct Meaning, Create Knowledge, and Make Decisions (2d ed.). New York: Oxford University Press.

FIGURE 4.6 – POLITICAL MODEL OF ORGANIZATIONAL DECISION MAKING

Environmental Uncertainty

Resource Dependence

Task Interdependence

Goal Conflict

Organizations as Coalitions

Procedural Rationality

1. Control strategic uncertainties

2. Create dependencies

3. Provide resources

1. Build coalitions / expand Networks

2. Control decision premises

3. Enhance expertise

4. Make preferences explicit

Building Power Base

Exercising Power in Decision Making

161Public Decision Making

choice theory argue that self-interest determines how decisions are made. From a

public administration perspective, bureaucrats will make decisions that minimize

risks and maximize rewards for their department, agency, or organization. This

typically involves supporting courses of action that increase the size, area of re-

sponsibility, and budget of department, agency, and organization. Public choice

theorists underscore the importance of efficiency, and they tend to champion gov-

ernment contracting out and the privatization of government services.

Dysfunctions in Decision Making Egos can sometimes cause bureaucratic Waterloos; managers can fall victim to the

image of the isolated decision maker making difficult choices. While decisions that

receive a stamp of approval from yea-saying subordinates may meet the immediate

needs of the boss, they often fail to meet the needs of the organization or its clients.

In virtually all cases, open and honest discussion of a possibility—branching as far

up, down, or sideways as the decision will reach—will result

in a different, better choice than instinct might have origi-

nally dictated. Clearly, important decisions require input

from everyone (not just from top management) affected by

the decision. If some midlevel bureaucrat or rank-and-file

worker knows why plans “A” and “B” will fail but “C” will

succeed, or management styles “X” and “Y” are faulty but

can be corrected by “Z,” it is only prudent to consider that

worker’s advice.

Asking for input may make us feel uncomfortable. But lis-

tening to paid employees is more efficient and cost-effec-

tive than hiring well-paid consultants (whom those same

employees will resist). And failure will deliver a much

larger trouncing to the ego than will humility. As any or-

ganization caught in a recall has learned, decisions shared could have avoided the

prohibitive costs of decisions repaired. The swine flu vaccine is, unfortunately, a

good example of a bad decision. In 1976, an Army recruit contracted a rare form of

swine flu and died shortly thereafter. Public health experts expressed concern that

the swine flu strain closely matched the 1918 influenza strain that killed an esti-

mated 50 to 100 million people worldwide. A swine flu vaccine was developed.

However, Dr. Anthony Morris, a government virologist, warned that death and

paralysis could result from the use of the vaccine. Under pressure for quick action

from the president and Congress, the National Institutes of Health ignored Dr.

Morris’s findings. Swine flu never materialized, but by the time vaccinations were

halted, at least a dozen American had died from the vaccine’s effects and hundreds

more had been paralyzed. Claims against the government eventually amounted to

almost $500 million.

“Bad administration, to be sure, can destroy good

policy; but good administration can

never save bad policy.”

ADLAI STEVENSON American Politician and Presidential Candidate

(1900–1965)

162 CHAPTER 4

Group Decision-Making Dynamics The poorest decisions are made when members of the decision-making team are en-

gaged in a power struggle. This leads to accomplishing nothing or arriving at poorly

contrived and compromised decisions that fail to meet the organization’s goals and

objectives. Overconformity is yet another decision-making dysfunction. If some

members of the decision-making team are particularly assertive, and the other mem-

bers are passive to the point of failing to voice their opinions or ideas, there is a

greater likelihood that the passive members will conform to the more assertive mem-

bers. Passive members typically censor their opinions and ideas, given the fear of

being derided or criticized by the more assertive members of the decision-making

team. This is especially true under circumstances in which a passive member has an

innovative idea or an opinion that is considered to be “outside the box.” Also, pas-

sive members hold back on thinking independently and fail to resist conformity im-

posed by more assertive members in an effort to stay in the good graces of the group.

Groupthink: When Conformity Kills According to Irving Janis (1972), groupthink is a specialized form of conformity. It occurs only in highly cohesive groups that operate in an environment where there

is a feeling of security. The primary goal of this particular decision-making group

is to maintain its power and cohesiveness. Groupthink is characterized by extreme

conformity that gets in the way of any critical analysis. The circumstances under

which groupthink occurs tend to coincide with (1) directive leadership, (2) group

homogeneity in terms of ideals and background, and (3) isolation from outside in-

fluences. The symptoms of groupthink include:

• Illusion of invulnerability: This refers to the group’s overestimation of

its worth. Members of the group share the belief that their group is

“special,” and that they will be successful, regardless of whether they

make more conservative or hazardous decisions.

• Stereotyping: Refers to an “us versus them” dichotomy. Those who

oppose the group are considered enemies. In more extreme cases, “us

versus them” presents itself as “good versus evil.”

• Rationalization: Shared rationalizations are used to dismiss warning

signs of the potential dangers of groupthink.

• Moral high ground: The belief that the group has a monopoly on what

is right or just.

• Self-censorship: If a member of the group has doubts or a dissenting

opinion, that individual keeps such thoughts to him or herself.

• Illusion of unanimity: The illusion that everyone within the group

agrees 100 percent with a given course of action reinforces self-cen-

163Public Decision Making

What Is a Consensus Process? A consensus process is an effort in which government agencies and other affected

parties seek to reach agreement on a course of action to address an issue or set of re-

lated issues. For example, task forces may use consensus to develop recommenda-

tions. Stakeholder groups convened by an agency may use consensus to develop

legislative recommendations on regulations, or intragovernment work groups in-

volving multiple agencies may use consensus to reach agreement.

In a consensus process, representatives of all the necessary interests with a stake in

an issue work together to find a mutually acceptable solution. Each process differs be-

cause in each case the parties design it to fit their circumstances. However, success-

ful consensus processes follow several guiding principles:

Consensus decision making—Participants make decisions by agreement rather than by majority vote.

Inclusiveness—All necessary interests are represented or, at a mini- mum, approve of the discussions.

Accountability—Participants usually represent stakeholder groups or interests. They are accountable both to their constituents and to the

process.

Facilitation—An impartial facilitator accountable to all participants manages the process, ensures that ground rules are followed, and helps

maintain a productive climate for communication and problem solving.

Flexibility—Participants design a process and address the issues in a manner they determine most suitable to the situation.

Shared control—Participants share responsibility for setting the ground rules for a process and for creating outcomes.

Commitment to implementation—The sponsor and all stake- holder groups commit to carrying out their agreement.

Stages of a consensus process A consensus process moves through three stages, each with its own set of activities.

Before—Assess whether or not to initiate a consensus process and how to bring diverse interests to the table, then work with the facilita-

tor to plan and organize the process, and write ground rules. (continued)

164 CHAPTER 4

During—Engage in the problem-solving discussions: exchange infor- mation, frame issues, conduct the discussions, generate and evaluate

options, develop mutually acceptable solutions, and secure the en-

dorsement of all constituents and authorized decision makers.

After—Implement the agreement: formalize the decision, carry it out, and monitor the results.

How consensus processes differ from consultation The most significant differences between consultation and consensus processes are

how decisions are made and what happens to the product of the discussions. In a

consensus process, the parties share decision making about both process and out-

come. By contrast, in a consultative process the sponsoring agency decides whether

to initiate a process and how it will be organized. In a consensus process, the prod-

uct of the discussion gets translated into official decisions, while in a consultative

process, the agency formulates the decisions. In both approaches, the agency retains

final decision-making authority, but in a consensus process, the agency puts the

product of a consensus process out for official review as the proposed decision. In

consultation, the agency receives input from the participants, and then staff members

formulate the proposed decisions.

Sometimes, because of legal requirements, sponsoring agencies refer to a process as

“consultative” or “advisory,” even when the intent is to agree with stakeholders on an

outcome. Federal agencies that sponsor regulatory negotiations must charter the

process as an advisory committee under the provisions of the federal Advisory Com-

munications Act. A legislature or administrative policymaking body that authorizes

a consensus process may designate the group as advisory in order to make it clear

that the formal decision will still be made by government officials.

Again, the most important distinctions among these processes are how decisions are

made and what happens to the outcome. If a sponsoring agency treats the commit-

tee’s final agreement as advice and picks and chooses parts to include in the official

decision, the process is consultative. If it participates along with other parties in for-

mulating the agreement, then accepts it as a package consisting of trade-offs that

cannot be detached (and if it is committed to implementing the package), then the

process is consensual. According to the authors of Building Consensus for a Sus- tainable Future, who first pointed out this distinction, “Consultation is designed to inform decision makers who will ultimately make the decision. Consensus involves

the participants as decision makers. . . . In a consensus process, the participants must

address and persuade one another and find solutions acceptable to all.”

(continued)

165Public Decision Making

Definition of consensus A practical definition for consensus in the public policy setting is: the parties have

reached a meeting of the minds sufficient to make a decision and carry it out; no one

who could block or obstruct the decision or its implementation will exercise that

power; everyone needed to support the decision and put it into effect will do so.

This definition does not mean unanimity of thought or abandonment of values. In-

deed, one of the characteristics of a well-constructed agreement is that it represents

diverse values and interests. Given the mixture of issues and values in public conflict,

the resulting agreement often is a package with varying levels of enthusiasm and sup-

port for different components, but on balance one that each party or stakeholder can

accept. In a consensus process, the parties or stakeholders must define consensus

for themselves and include their definition in the ground rules. Most definitions

imply acceptance, an acknowledgment that things can move forward, that people

support a decision, or at least can live with it. Even if only most participants like the

decision, at least all of them are willing to accept it.

Why use consensus and not majority vote? Because stakeholders and government officials together are the decision makers in

a consensus process, participants must try to educate and persuade one another

about their needs and interests. They also must listen carefully to determine how the

solution can meet the needs of the other parties. Majority voting induces a different

kind of interaction than does consensus decision making. When participants know

they can revert to a majority vote if they cannot agree, they may focus more on build-

ing coalitions for such a possibility rather than trying to meet all the parties’ needs.

Source: State of Maine, Public Policy Consensus and Mediation, “What Is a Consensus Process?” www.maine.gov/consensus/ppcm_consensus_home.htm.

sorship. In other words, even if someone has doubts about a decision,

that individual will refrain from expressing this doubt so as not to

upset the illusion of unanimity.

• Pressure applied to group dissenters: Should the illusion of unanimity

fail to reign in any potential dissenters, pressure is applied to any

group member who may desire to speak out against the group’s deci-

sions.

• Mind guarding: Deals with protecting the group’s leader(s) from ex-

ternal dissenters or criticism.

The groupthink atmosphere discourages anyone from conveying a dissenting opin-

ion. If any member argues against any of the group’s decisions, direct pressure is

placed on this individual by the other members. Group loyalty is paramount, and dis-

sent or criticism undermines loyalty. Even though several group members may have

reservations about a decision, each believes that everyone else is in agreement. Great

failures are often group failures, as shown by the disaster at Pearl Harbor on De-

cember 7, 1941. U.S. intelligence knew Japanese carriers were in the Pacific, but no

one dared speak up to question assumptions that Pearl Harbor was impenetrable.

The results were disastrous, but the lesson unlearned. Two decades later, no one in

the White House dared challenge President John F. Kennedy’s decision to invade

Cuba’s Bay of Pigs—even though the invasion plan hatched out by the Central Intel-

ligence Agency called for using 1,400 Cuban exiles, fewer than 200 of whom had any

prior military experience, to overrun Castro and retake control of the island. One

White House aide, Arthur Schlesinger, expressed a desire to question the president

before the plan was put into action, but he was met by this response from Attorney

General Robert Kennedy, “You may be right or you may be wrong, but the President

has made up his mind. Don’t push it any further. Now is the time for everyone to help

him all they can” (quoted by Janis in 2d ed., 1982, p. 40). That same groupthinking

group brought about disaster in Vietnam, as the war effort kept growing despite ev-

idence that further escalation would not enable the United States to achieve its mil-

itary objectives. This mindset is nowhere clearer than in American industry, where

groupthinking groups in major competitive corporations arrived at the same wrong

conclusions that their Japanese counterparts were not a threat to the market.

In the twenty-first century, we have seen groupthink and its consequences regard-

166 CHAPTER 4

Based on: Janis, I.L. 1972. Victims of Groupthink: A Psychological Study of Foreign-Policy Decisions and Fias- coes. Boston: Houghton Mifflin. 2d ed., 1982.

FIGURE 4.7 – THE GROUPTHINK PROCESS

Pre-conditions

1. High cohesiveness and homogeneity 2. Insulation of the group 3. Lack of methodical procedures for search and appraisal 4. Directive leadership

Symptoms

1. Illusion ol invulnerability 2. Belief in inherent morality 3. Collective rationalizations A. Stereotypes of out-groups 5. Direct pressure on

dissenters 6. Self-censorship 7. Illusion of unanimity 8. Self-appointed mind-

guards

Decision-Making Dysfunctions

1. Incomplete survey of alternatives

2. Incomplete survey of objectives

3 Failure to examine risks of preferred choice

4. Inadequate information gathering

5. Failure to reappraise alternatives

6. Failure to work out contingency plans

167Public Decision Making

ing the U.S. occupation of Iraq. When the Iraqi invasion was in the planning stage,

there were arguably two identifiable groups: the in-group consisting of Vice Presi-

dent Dick Cheney, Defense Secretary Donald Rumsfeld, Deputy Defense Secretary

Paul Wolfowitz, and the former chair of the Defense Policy Board Richard Perle.

These four primary members of President George W. Bush’s in-group shared sim-

ilar backgrounds, as both Cheney and Rumsfeld got their starts in politics during

the Nixon administration. Wolfowitz and Perle has close working relationships with

Cheney and Rumsfeld, and Wolfowitz served as mentor to Cheney’s former chief of

staff, Lewis “Scooter” Libby, while Libby was a student at Yale and later in his ca-

reer. These four members of the in-group have been characterized as champions of

a foreign policy ethos known as neoconservatism. Neoconservatism embraces no-

tions such as preemptive war and unilateralism. In contrast to President Bush’s in-

group, former Secretary of State Colin Powell and his deputy, Richard Armitage,

arguably represented the out-group within the administration.

Source: The New Yorker Collection.

SAY IT AINT So!

PERISH THE

THOUGHT!

You'vE GOT TO B E

KIDDING!

HEAVEN FORBID!

No! No! A THOUSAND

TIMES NO!

"All those in favor say 'Aye'." "Aye."

"Aye." "Aye." "Aye."

"Aye."

MONTH

168 CHAPTER 4

Some of the classic symptoms of groupthink can be identified easily if we examine

the U.S. occupation of Iraq. President Bush and the in-group were reluctant to ex-

plore alternative courses of action—even in the context of modifying the occupa-

tion strategy following the removal of the Iraqi dictator Saddam Hussein and the

Ba’ath Party. For instance, some individuals who were not a part of the president’s

in-group expressed concerns as to the number of American forces used in the oc-

cupation. As it stands, roughly 85,000 American troops have been carrying out the

occupation and rebuilding of Iraq. In 1999, four years prior to the Iraq war, a war

simulation known as “Desert Crossing” was conducted by the Department of De-

fense (DoD). The simulation estimated that 400,000 American troops would be

needed to successfully control Iraq and respond to security threats that insurgents

posed to American forces and Iraqi civilians. General An-

thony Zinni, who retired in 2000, oversaw the war simula-

tion. When it became apparent to Zinni that the Bush

administration had set its sights on invading and occupy-

ing Iraq, he made a call to some of his colleagues in Central

Command—the part of the DoD responsible for planning

and carrying out military operations throughout the Mid-

dle East—and suggested that the Bush administration and

military leadership review the findings of Desert Crossing.

According to Zinni, Central Command had no idea that this

war gaming scenario existed (as quoted in National Secu-

rity Archive, Post-Saddam Iraq: The War Game 2006). Knowing this, it seems pos- sible that the in-group within the Bush administration deliberately avoided the

Desert Crossing report for fear that its findings would undermine the current oc-

cupation strategy. Another possibility is that the contents of the report were known

by some but not conveyed to others for fear of upsetting the cohesiveness and feel-

ing of unanimity within the in-group. Or, perhaps the in-group was well aware of

the Desert Crossing findings, yet its findings were rationalized as being “alarmist”

or flat out wrong. These classic symptoms of groupthink were most likely present

during the planning of the Iraqi occupation.

Avoiding Groupthink The Bay of Pigs, the escalation of the Vietnam War, and the Iraqi occupation

demonstrate that groupthink can exist at the highest levels of government, where

some of the smartest, most capable people work every day. This being said, can any-

thing be done to reduce the likelihood of groupthink? Yes. There are a number of

strategies for avoiding it:

1. The leader of the group should avoid stating his or her preferences. Truth

to power is inherently difficult, and even more so if the members of the

group believe that the leader prefers one course of action to another.

2. The leader should designate a member of the group to serve as the “devil’s

“Take time to deliberate; but

when the time for action arrives, stop thinking and go.”

ANDREW JACKSON 7th President of the

United States

169Public Decision Making

advocate.” This person should be given the explicit responsibility of pre-

senting counterarguments and questioning the prudence of the group’s

ideas.

3. Outside experts can also be used as devil’s advocates.

4. Anonymity fosters truthfulness; therefore, the leader needs to give mem-

bers of the group a means of voicing their opinions anonymously.

5. The leader needs to a create a culture where debate, critical analysis, and

creativity are encouraged. Fostering a climate where a range of ideas can

flourish is key to avoiding groupthink and its potential consequences.

170 CHAPTER 4

Dahl, R.A. 1982. Dilemmas of Pluralist Democracy: Autonomy vs. Control. New Haven, CT: Yale University Press.

Dror, Y. 1964. “Muddling Through—‘Science’ or Inertia?” Public Administration Review 24: 153–57.

Janis, I.L. 1972. Victims of Groupthink: A Psychological Study of Foreign-Policy Decisions and Fiascoes. Boston: Houghton Mifflin. 2d ed., 1982.

Kingdon, J.W. 2003. Agendas, Alternatives, and Public Policies. 2d ed. New York: Longman.

Lewis, V. 1952. “Toward a Theory of Budgeting.” Public Administration Review 12 (Winter): 42–54.

Lindblom, C.E. 1959. “The Science of Muddling Through.” Public Administration Review 19: 79–88.

Mikesell, J.L. 1978. “Government Decisions in Budgeting and Taxing: The Eco-

nomic Logic.” Public Administration Review (November/December): 511–13.

Mills, C.W. 1956. The Power Elite. New York: Oxford University Press.

National Security Archive. 2006. Post-Saddam Iraq: The War Game. National Security Archive Electronic Briefing Book No. 207. Washington, DC: National

Security Archive of the George Washington University.

Schumpeter, J.A. 1942/1976. Capitalism, Socialism, and Democracy. 5th ed. London: Allen and Unwin.

Simon, H. 1947/1997. Administrative Behavior. New York: Simon and Schuster.

Balance sheet

Bounded rationality

Cost-benefit analysis (CBA)

Decision-making alternatives

Elite theory

Garbage can model

Groupthink

Incrementalism

Participatory model

Political model

Rational model

Satisficing

KEY TERMS

REFERENCES

171Public Decision Making

Allison, G., and P. Zelikow. 1999. Essence of Decision: Explaining the Cuban Missile Crisis. 2d ed. New York: Longman.

March, J. 1989. Decisions and Organizations. Oxford: Blackwell.

The Decision Analysis Society of INFORMS (promotes the development and use

of logical methods for the improvement of decision making in public and pri-

vate enterprise): http://decision-analysis.society.informs.org/

RAND Corporation: http://www.rand.org

The Society for Judgment and Decision Making (an interdisciplinary academic

organization dedicated to the study of normative, descriptive, and prescriptive

theories of decision making): http://www.sjdm.org/

SUPPLEMENTARY READINGS

ELECTRONIC RESOURCES

Politics and Public Administration

CHAPTER 5

This chapter examines the marriage of politics and

administration. Upon reading this chapter, students will

understand the need for administrative reform following the

Jacksonian spoils system, as well as the intersection and

reality of politics and administration. Central to this chapter is

an examination of bureaucratic discretion and decision

making. Further discussion centers on the executive branch’s

inability to control the bureaucracy, the legislative branch’s

lack of desire to control the bureaucracy, and the judicial

branch’s role as a reluctant arbiter of bureaucratic actions.

172 CHAPTER 5

173Politics and Public Administration

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

“A theory of public administration means in our time a theory of politics also.”

JOHN GAUS Political Science;

Public Administration Expert (1894–1969)

Newark City Hall, Newark, New Jersey

174 CHAPTER 5

Reform and Neutrality Competence versus responsiveness has been a historical struggle in public adminis-

tration. From George Washington to John Quincy Adams, the small bureaucracies of

the federal government valued competence and qualification. In 1828, however, the

bureaucracy’s focus on competence shifted. The election of Andrew Jackson to the

presidency ushered in a new public administration philosophy—the so-called “spoils

system.” Central to the spoils system was the belief in a more “responsive” bureau-

cracy. Jackson believed that virtually any individual was ca-

pable of executing the “simple” tasks of public management,

which were thought to be a matter of “common sense.” Dis-

appointingly, a heavy price was paid for more responsive ad-

ministration under the spoils systems. Inefficiency was

widespread, profiteering was common, and scandals were

recurrent. The ills associated with the spoils system were

pervasive not only at the federal level but also throughout

state and municipal bureaucracies. A large, rapidly growing

and increasingly industrialized nation could not afford sub-

standard public service administration. Waste and corrup-

tion had to be restrained. In the post–Civil War period,

reformers made public appeals for efficient and honest gov-

ernment. Reformers, most notably Princeton University ac-

ademic (and future U.S. president) Woodrow Wilson,

insisted on a politics-administration separation. Wilson

championed a dichotomy, or firm separation, between the

determination and implementation of policy. Policy deter-

mination should occur via the political process, while policy implementation should

be the realm of apolitical administrators only. In other words, policy stands as an ex-

pression of state will through elected officials, and public administrators should ex-

ecute that expression of state will in a professional, competent, and apolitical fashion.

The Pendleton Civil Service Act of 1883 changed everything by creating a biparti-

san Civil Service Commission—the predecessor of the system that is currently re-

sponsible for 90 percent of government employees. Critics maintain that a

significant price has been paid for this type of merit-based system. By being too

shielded from politics, mediocrity and incompetence has again become pervasive,

so much so that the system arguably rivals the Jacksonian spoils era. Other critics

argue that corruption has yet to be eliminated. Corruption persists in less obvious

ways, such as through friendly ties and under-the-table favors, although overt forms

of corruption still make headlines from time to time.

THE INTERSECTION OF POLITICS AND ADMINISTRATION

“All of us who are concerned for

peace and triumph of reason and

justice must be keenly aware how small an influence reason and honest

good will exert upon events in the

political field.”

ALBERT EINSTEIN Physicist;

Nobel Prize Winner (1879–1955)

175Politics and Public Administration

The creation of a civil service system provided the basis for more “businesslike”

government. The central principle became machinelike efficiency; that is, accom-

plishing a given task with as little wasted energy as possible. This civil service re-

form movement influenced governments at all levels to establish ethics codes,

which distinguished acceptable from unacceptable public employee behavior. Some

of these codes of ethics were incorporated into laws. The idea was that government

services must be delivered without passion or prejudice, and that truthfulness and

openness were essential to creating a most favorable administrative environment.

This reform movement assumed that public administrators would abide by the law

and even higher ethical standards. Providing services less efficiently was considered

acceptable as long as public servants conducted themselves lawfully and ethically.

Honest, businesslike government became the mantra during this reform move-

ment. Reformers like Woodrow Wilson and Frank Goodnow advocated that greater

thought be paid to the “science” of public administration. Wilson believed it was im-

perative that government not only determine what policies should be enacted but

also implement those policies with the highest degree of efficiency and respon-

siveness to the citizenry. Public administration needed to emerge as a profession,

The attack on the President’s life – Scene in the ladies’ room of the Baltimore and Ohio Railroad depot. Source: Berghaus, A., and C. Upham, Frank Leslie's Illustrated Newspaper, 1881 July 16, pp. 332-333. Library of Congress, Prints & Photographs Division, reproduction number LC-USZ62-7622.

176 CHAPTER 5

and public administrators needed to conduct themselves as such, that is, public ad-

ministrators must be responsible, professional, and efficient. Theories of “good gov-

ernance” became widespread, namely from the Bureau of Municipal Research in

New York, which was established in 1906. Good governance stresses that efficient

service delivery is vital to the public’s interest. Additionally, these theories suggest

that administration and politics should remain separated. Ideally, public adminis-

trators operate in an apolitical environment, removed from the sphere of elected

boards and political officials. Furthermore, expertise should be a trademark of re-

form. The essence of the good governance reform movement is encapsulated in the

proverb: “There is neither a Democratic nor a Republican way to build a road, just

the right way.” As satisfying as this may sound, contemporary public administration

has witnessed the movement away from the naive belief that politics and adminis-

tration can be separated and toward the recognition that the practice of public ad-

ministration cannot realistically occur in a neutral, apolitical environment.

The Reality of Bureaucratic Politics In contrast to the notions of nineteenth-century reformers like Wilson and Good-

now, twentieth-century analysts acknowledged the reality that appointed adminis-

trative officials often take the lead in making policy, while lower-level public officials

often interpret policies. Nineteenth-century policies were largely distributive—

meaning the government provided specific services that the free market would not

(for example, education, a national defense, and other services that did not require

significant interpretation on the part of public administrators). This all changed,

however, with the creation of the welfare state that began with President Franklin

Roosevelt’s policies during the Great Depression and continued with Lyndon John-

son’s Great Society, a reform package rooted in the twin concepts of social justice

and public improvement. To be clear, the welfare state refers to policies that pro-

vide for the general welfare of it citizenry. These policies are, by and large, “redis-

tributive” in nature, meaning that taxes collected from higher-income, wealthier

citizens are redistributed to lower-income, poorer citizens in the form of services

and benefits. Examples of redistributive policies include welfare benefits, food

stamps, and Medicaid (health insurance for the poor, which is not to be confused

with Medicare, health insurance for retirees under Social Security). With the ar-

rival of depression-era “big government” and the growing implementation of re-

distributive policies during Johnson’s Great Society, it became clear that any

dichotomy between politics and administration was not realistic. Wilson’s call for

politics-administration separation is now seen as rather naive. Clearly, politics and

values encroach on administration from numerous external sources. Public ad-

ministrators are policymakers, as public administration is ultimately the sum of

politics plus management (Holzer and Gabrielian 1998).

Many scholars have spoken against the utopian view of public administrators as

177Politics and Public Administration

neutral and apolitical. This attack on the oversimplistic nature of the politics-

administration dichotomy began in earnest in the 1940s, having gained momentum

by the end of World War II. Scholars such as P. Appleby (1949) pointed out that “ar-

guments about application of policy are essentially arguments about policy.”

D. Waldo (1984) maintained that public administration research was grounded in

political theory, while N.E. Long (1949) contended that “the lifeblood of adminis-

tration is power.” This underscored public agencies’ need to cultivate a clientele in

order to ensure political survival. P.A. Selznick (1949) demonstrated how the Ten-

nessee Valley Authority (TVA), a New Deal–era agency providing electricity and

resource management for the southeastern United States,

survived and accomplished its mission by taking into ac-

count the needs of the local citizenry. In his landmark book

Administrative Behavior, Herbert Simon (1947/1997) demonstrated that facts and administrative realities drive

not only how decisions are made but also how values are

formed. Simon (1967) disputed Wilson’s notion that “the

field of administration is a field of business. It is removed

from the hurry and strife of politics.” Simon stressed that

Wilson’s notion is normative, and thus “the field of ad-

ministration ought to be a field of business.”

The assumption that politics and administration could be

separated was ultimately disregarded as utopian. Wilson

and Goodnow’s idea of apolitical public administration

proved unrealistic. A more realistic view—the so-called

“politics” school—is that politics is very much a part of ad-

ministration. The politics school maintains that in a plu-

ralistic political system in which many diverse groups have

a voice, public administrators with considerable knowledge

play key roles. Legislation, for instance, is written by pub-

lic administrators as much as by legislators. The public bureaucracy is as capable

of engendering support for its interests as any other participant in the political

process, and public administrators are as likely as any to be part of a policymaking

partnership. Furthermore, laws are interpreted by public administrators in their

execution, which includes many and often unforeseen scenarios. Policy imple-

mentation is the final step in the policy process, and it serves as the last chance for

outside interests to influence policy.

Given that laws must be interpreted in the context of unanticipated circumstances,

administrative discretion becomes necessary. Administrative organizations are

often subject to external pressures by special interest groups and elected officials.

This stems from the fact that when public administrators draft policies and inter-

pret those policies, they are making value-based judgments. Even the most “tech-

“There is no doubt that the

development of the administrative

agency in response to

modern legislative and administrative need has placed severe strain on

the separation-of- powers principle

in its pristine formulation.”

BYRON WHITE Football Player;

Supreme Court Justice (1917–2002)

178 CHAPTER 5

nical” decisions are somewhat value-laden. With such discretion, public adminis-

trators fall victim to policy preferences from all sorts of stakeholders, most notably

interest groups, legislators, media groups, and rank-and-file citizens. Pressure is

also found within public organizations.

The manner in which a policy is interpreted and implemented is as important as the

writing stage of the policymaking process. As a result, public administrators are

consistently pressured by interest groups and elected officials. Within a public or-

ganization, bureaucrats often emerge as advocates for one special interest over an-

other—advocating for one certain position and interpretation of a newly drafted

policy. Making the “process” more objective is imperative, and one way of doing

this is to make the process more logical. According to the rational-comprehensive

school of decision making, the best decisions are logical; that is, decision makers try

to meticulously account for every possible consequence involved in choosing one

course of action over another. On the other hand, the incrementalist school argues

that pressures resulting from crises and deadlines limit the amount of time avail-

able for such a detailed analysis. The incremental approach defends the process of

making decisions based on choosing a course of action that is both satisfactory and

sufficient. In other words, incrementalists advocate finding a “good enough” alter-

native until a better one presents itself. This is called “muddling through.”

The intermingling of politics and administration is fairly obvious when one looks at

the budget process. Every government, regardless of the level (municipal, county,

state, or federal), operates under the direction of an official spending plan—more

simply, a budget. Budgets are massively dense documents filled with calculations

and figures. Thus, to most laypeople, budgets are overly dry. While true to some

extent, the battle for resources by public organizations is not as dry a process as

Tobacco Settlement Distribution Simulation A $2.5 billion settlement from a tobacco company is awarded to the State. A net- work of taxpayers, elected officials, and public administrators must distribute the award. This simulation challenges students to balance constituency needs, politi- cal forces, and public administrative goals in achieving an equitable distribution plan. What are the guiding principles that should be considered by the group and why? Create a list of the principles with a brief summary justifying each based upon the need to balance both political and equity priorities.

Linda Blessing and Bette F. DeGraw, E-PARCC. Program for the Advancement of Research on Conflict and Collaboration, The Maxwell School, Syracuse University http://sites.maxwell.syr.edu/parc/eparc/simulations/tobacco-settlement- distribution-simulation.asp.

EXERCISE 5.1

179Politics and Public Administration

one might think. Money is the lifeblood of any organization. An agency or depart-

ment’s budget affects the number of people it employs and the resources available

to them. The struggle for money becomes a struggle over values, prompting ques-

tions such as, Should money be spent on more police officers, for emergency med-

ical technicians, or for a remedial mathematics program? Eminent political scientist

V.O. Key (1940, p. 1138) recognized this struggle when he asked, “On what basis

shall it be decided to allocate x dollars to activity A instead of activity B?” Key be-

lieved that personal values and priorities ultimately determine where money is

spent. Developing “criteria” to decide how public resources

should be spent is nearly impossible, given that people’s

values and priorities differ. These diverse values and pri-

orities are reflected in budgetary choices. The budget,

therefore, is an interest-oriented process defined by con-

stant struggle—struggle to determine whose interests and

preferences will be given consideration. Politics ends up

being very much a part of this struggle (Wildavsky 1992).

Most public administrators will admit that bureaucratic de-

cisions are, to some measure, influenced by politics. Em-

ployees are sometimes hired to placate the powerful.

Government contracts are sometimes given to friends of

powerful officials. Former public officials are given prof-

itable private-sector consulting jobs. Typically, a public ad-

ministrator’s involvement in such situations is not tied to

personal gain; rather, involvement is a means of maintain-

ing close ties with important and influential people. The

golden rule of public administrators is not to make enemies,

which is accomplished, at times, by dodging hard decisions.

Sometimes when bureaucrats’ interests are severely threat-

ened, they become excessively political. For instance, when stuck in the middle of a

financial crisis with significant budget cuts looming, bureaucrats will often under-

score the political costs of budget cuts by summoning important “allies” to advocate

on their behalf. These allies include employee unions and interest groups. Special in-

terest group representatives can and will lobby forcefully—often with the active co-

operation of the bureaucracy—to do away with proposed budget cuts that a chief

executive or legislative committee has advocated. The budget reflects the successes

and failures of the various contenders—agencies and departments fighting to avoid

budget cuts (or increase their budgets) through their relationships with powerful

people and the influence they exert among high-ranking political appointees or

elected officials. These dynamics are present at the federal, state, and local levels.

Scholar Theodore Lowi (1979) argues against giving public administrators too much

discretion. Lowi contends that until the emergence of the administrative state, the

“Bureaucracies are inherently

antidemocratic. Bureaucrats derive

their power from their position in

the structure, not from their relations

with the people they are supposed

to serve. The people are not masters of the bureaucracy,

but its clients.”

ALAN KEYES Political Activist

180 CHAPTER 5

United States was dominated by Congress. He is critical of government programs

that grant bureaucrats discretionary powers, given the inherent difficulty of con-

trolling such discretion. Lowi’s criticism has added credibility when considering

the discretionary power of “street-level bureaucrats.” According to Lipsky (1980),

street-level bureaucrats are those that provide public benefits and maintain public

181Politics and Public Administration

order—namely, police officers, social service providers, public school teachers, and

judges. Street-level bureaucrats tend to be at the center of political controversies for

two reasons: (1) controversies regarding the appropriate scope of government are

essentially controversies regarding the functions of that level of bureaucracy, and

(2) street-level bureaucrats have extensive power over the lives of ordinary citizens.

These public employees play a vital role in citizen entitlements. Also, poorer indi-

viduals such as welfare recipients are typically more reliant on the services pro-

vided by street-level bureaucrats, and the services delivered by these bureaucrats

tend to be immediate and very personal.

Through their exercise of wide discretion, street-level bureaucrats essentially make

policy. For instance, police officers make decisions about whom to arrest, and

judges impose sentences every day. There are, of course, rules and regulations that

guide discretion. In some cases, however, the sheer number and constantly chang-

ing nature of these rules and regulations make it extremely difficult to hold street-

level bureaucrats accountable for their decisions. Lower-level workers are unlikely

to see eye-to-eye with management, as there is often an incentive for managers to

curb a worker’s discretion in the interest of achieving organization-wide goals. The

worker will likely view this exercise of power as illegitimate and resist it. For lower-

level street-level bureaucrats, there is a desire to maintain discretionary power. For

example, if a prosecutor did not believe in mandatory minimum drug sentences,

then he or she might charge a criminal with a less serious crime.

The responsibility of street-level bureaucrats is linked to “client processing goals”

and maintaining self-autonomy. Management, however, is more focused on achiev-

ing collective goals. Management also works to lessen the autonomy of the lower-

level bureaucrats. The relationship between managers and street-level bureaucrats

is characterized by mutual dependence. In other words, managers will honor work-

ers’ desires as long as managers are rewarded in terms of collective job perform-

ance—an example of which is a police chief giving his or her officers what they want,

provided crime in their jurisdiction remains low.

Checking Bureaucratic Discretion Despite the criticisms of Lowi and others, giving bureaucrats discretionary powers

is a real necessity. Some argue that the public bureaucracy is more representative

than elected institutions. John Rohr (1986) justifies bureaucratic discretion, given

the assumption that bureaucracies are microcosms of the American people. War-

ren (1993) believes it is pointless to argue the legitimacy of bureaucratic discretion;

rather, he views bureaucratic discretion as legitimate because it is a response to an

increasing demand for services. The delegation of power to bureaucrats who im-

plement and interpret legislation is guided by the principles of administrative law, which ultimately dictates what agencies, departments, or other public organiza-

tions can do.

182 CHAPTER 5

The Executive Branch’s Futile Efforts The executive branch attempts to steer the bureaucracy through the president’s

appointment powers. The president appoints more than 1,300 officials, all of

whom require senatorial approval. Presidential appointees, however, are often

unfamiliar with their respective agencies or departments, and therefore they de-

pend on the expertise and advice of well-connected midlevel career bureaucrats.

Moreover, assuming top-level appointees can influence agency policymaking,

their influence is not automatically an extension of presidential priorities. Cabi-

net and subcabinet officials are usually sympathetic and loyal to the bureaus,

agencies, and clientele groups that comprise a given department; for example,

agriculture secretaries typically represent midwestern states and therefore iden-

tify with farmers (Cann 1998).

In the 1970s and 1980s, respectively, presidents Nixon and Reagan used ideology

to counter captivity and loyalty issues; that is, appointments were based on ideo-

logical beliefs, as opposed to skill, expertise, or experience. During Reagan’s tenure,

few individuals were appointed to the cabinet or subcabinet level unless they cham-

pioned scaling back the bureaucracy and limiting government. Reagan appointees

were less concerned about cooperating with career bureaucrats and gave little at-

tention to the day-to-day business. This allowed the Reagan administration to ef-

fectively manage loyalty and captivity issues that had so plagued previous

administrations (Maranto 1993). In addition to appointments, the reorganization

of the executive branch is a powerful tool of presidential control. Consistent with

power vested in the Reorganization Act of 1939, Nixon reorganized staff agencies

within the Executive Office of the President (EOP) in the interest of gaining lever-

age over the bureaucracy. Specifically, Nixon created the Office of Management and

Budget (OMB), which replaced the Bureau of the Budget (BOB). Political appointees

currently head the OMB, while career civil service bureaucrats headed the BOB.

The OMB plays an active role in setting agency budgets, and the ability to appoint

its members gives the president some control over agency spending limits. In an

ideal world, this keeps the bureaucracy in step with the president’s wishes (Nathan

1975; Seidman 1980; Arnold 1986).

In contrast to Nixon and Reagan, President Carter tried to control the bureaucracy

through civil service reform, namely the Civil Service Reform Act of 1978. Central

to this act was the creation of what is known as the Senior Executive Services (SES).

Still in existence today, the SES gives high-level bureaucrats the option of forfeit-

ing civil service job protections in exchange for a higher salary, one that is more

competitive with the private sector. This measure sought to address captivity and

loyalty issues, and roughly 95 percent of those eligible for the SES have accepted it

(Cann 1998).

Despite these efforts, the federal bureaucracy is not easily tamed by the Executive

Office of the President. The bureaucracy is afforded the upper hand for a number

183Politics and Public Administration

of reasons. First, the EOP exhibits not more than a passing interest in what the bu-

reaucracy does and lacks specialized knowledge needed to effectively monitor the

bureaucracy. Second, the EOP lacks the resources to overcome bureaucratic re-

sistance. Bureaucrats resist because of their technocratic nature. Contrary to pop-

ular belief, bureaucrats are policy experts, and therefore executive branch

intervention is, by and large, perceived to be ill timed and politically motivated

(Riley 1987). Third, clientelism and captivity issues still loom in spite of previous

presidential efforts.

Congressional Power Unused Unlike the EOP, Congress is given considerable power over the bureaucracy by the

U.S. Constitution. Congress not only funds the bureaucracy but also determines

how much power an agency can exert. In terms of power, we are referring to

whether an agency will have the authority to make rules or issue orders. While both

possess the effect of law, rules are quasi-legislative in nature (meaning they are ap-

plied uniformly), while orders are quasi-judicial in nature (meaning they are ap-

plied narrowly) (Kerwin 1994). Nevertheless, the intimate relationship between

Source: Buchanan, B. 1981. “The Senior Executive Service: How We Can Tell If It Works.” Public Administra- tion Review 41 (3): 349–58.

FIGURE 5.1 – SENIOR EXECUTIVE SERVICE PROGRAM DESIGN LOGIC

Central Control of SES allocation

Rank-in-person mobility

Pay-linked performance

appraisal systems

Controls against prohibited personnel practices

Improve career noncareer interface

PROGRAM COMPONENTS

Personal Allocation Track

Performance Effectiveness Track

Personal Development and Certification Track

OBJECTIVES

Rational deployment of SES in response to federal priorities

Reward good executives dismiss incompetents

Eliminate prohibited personnel practices

Improve individual competence motivation performance

Improve agency performance

Improve program performance

Clarify and link agency, program and individual perfromance objectives

Increase public confidence and satisfaction

Executive development programs

Attract outside talent

Attract women and minorities

Certified professional qualifications

Executive recruitment and placement systems

184 CHAPTER 5

Congress and the bureaucracy arguably precludes meaningful oversight. The quin-

tessential iron triangle exists among congressional subcommittees, bureaucrats,

and interest groups.

The relationship within them [iron triangles] is symbiotic; that is, each

member of the triangle gets something that it needs from other members.

The agency gets appropriations and new programs from the subcommittee,

and the subcommittee gets support and information from the agency. The

interest groups get policies and benefits from both the subcommittee and

the agency, and the subcommittee gets support, information, and cam-

paign contributions… from the interest groups. (Cann 1998, p. 57)

Cann (1998) maintains that while presidents have demonstrated the will to control

the bureaucracy, they have lacked the means. In contrast, Congress is afforded the

power to control the bureaucracy but lacks the desire, given its cozy relationship

with and dependence on the bureaucracy.

Then, of course, there is the judicial branch of American government. The judicial

branch has been forced to play the role of reluctant arbiter when it comes to settling

controversies regarding bureaucratic discretion and the implementation of policy.

In instances where the politics in administration (or value-based judgments) go too

far, the courts must settle the issue. The Supreme Court’s rulings determine what

bureaucratic actions are appropriate—appropriate in the sense that these actions do

not violate the spirit of the U.S. Constitution.

FIGURE 5.2 – CLASSIC IRON TRIANGLE

Congressional Subcommittee

Campaign Contributions

Favorable Policies

Funding

Congressional Support via Lobby

Information

AgencyInterest Group

Favorable Policies

185Politics and Public Administration

The Court as the Ultimate Arbiter: Federal Administrative Case Law Congressional Delegation Given tremendous responsibilities, it is impossible for Congress to carry out all of

its duties. According to the Constitution, Congress is allowed to delegate some of its

powers to the bureaucracy. In the Supreme Court case of Hampton v. United States (1928), the Hampton Company imported barium dioxide assessed at a duty rate of

$.06 per pound ($.02 higher than what was mandated by legislation). President

Coolidge had raised the duty in accordance with the Tariff Act of 1922, which al-

lowed the president to alter duties in the interest of equalizing costs among foreign

and domestic products. The issue before the Court was whether Congress had the

authority to delegate its constitutionally enumerated powers to the chief executive

(or the bureaucracy, for that matter). The Supreme Court affirmed the constitu-

tionality of congressional delegation, contending that if Congress were required to

alter every duty, it would be impossible to exercise any of its powers. This case es-

sentially made it acceptable for Congress to pass on some of its responsibilities to

the bureaucrats.

Congress delegates many of its responsibilities to the bureaucracy in the interest of

making its workload manageable. Additionally, congressional representatives often

lack the technical acumen to address a particular issue, thereby making delegation

to an agency of expertise necessary. However, limits are placed on congressional

delegation so as to ensure that administrative actions are consistent with constitu-

tional standards. These limits are readily apparent when one examines the case In- dustrial Union Department AFL-CIO v. American Petroleum (1980), which dealt with a regulatory standard issued by the secretary of the U.S. Department of Labor

regarding workplace exposure limits to benzene, a potentially carcinogenic agent.

In accordance with delegated congressional powers vested in the Occupational

Safety and Health Act (OSHA) of 1970, the secretary imposed an exposure limit of

The Iron Triangle Simulation In this role-play exercise, students will take on contemporary public policy issues and experience the challenges of balancing the needs and wants of public admin- istrators, public opinion, lobbyists, legislatures, and presidential pressure when at- tempting to address the issues. With each of the issues identified in this simulation, create a list of the conflicting values anticipated from each force within the triangle and identify the reasons why.

Gruebs Education Technology http://gruebs.com/vscentral/irontrianglesimulation.

EXERCISE 5.2

186 CHAPTER 5

1 part per million (ppm) and required medical testing for work areas having levels

at .05 ppm.

In this case, the issue before the Supreme Court was whether the secretary of Labor,

in accordance with OSHA, exceeded his authority by imposing the most rigid reg-

ulatory standard without first determining the health risks associated with benzene

exposure, and without determining corporate impacts resulting from the regula-

tion. According to the Court, the regulatory standard imposed was deemed invalid,

as the secretary failed to comply with explicit and uniform congressional standards.

That is, to guarantee the constitutionality of the imposed

regulation of benzene, the secretary needed to (1) deter-

mine at what levels benzene exposure presents a signifi-

cant health risk, and (2) account for the economic impacts

of the imposed regulation upon industry viability. He failed

to make these determinations, and so the imposed regula-

tion of benzene could not be considered constitutionally

valid.

Consistent with case law, congressional delegation of

power to the bureaucracy is constitutionally sound as long

as there are sufficient standards to guide bureaucratic ac-

tions. Standards are imperative, because they prevent

agencies from both promulgating arbitrary regulations

and, essentially, making policy, which was highlighted in then-Justice William

Rehnquist’s concurring opinion in Industrial Union Department AFL-CIO v. Amer- ican Petroleum (1980), the so-called “Benzene Case.” Specifically, Rehnquist wrote: “To the extent Congress finds it necessary to delegate authority, it provides the re-

cipient of that authority with an ‘intelligible principle’ to guide the exercise of del-

egated discretion” (quoted in Cann 1998, p. 75). According to Rehnquist, the statute

used by the secretary of Labor in this case was standardless.

Due Process and Bureaucratic Discretion The Fifth (federal applicability) and Fourteenth (state applicability) amendments

to the Constitution prohibit the government from depriving life, liberty, or property

without due process. The notion of due process coincides with a guarantee of fair

procedures. Due process is an elastic concept, and it is shaped, in large part, by the

prevailing political climate and the ideological makeup of the Supreme Court. In-

dividuals claiming an infringement of due process must demonstrate a property or

liberty interest. A property interest coincides with an economic stake. In the con-

text of this discussion, a liberty interest refers to an individual’s future employment.

The high mark of administrative due process is embodied in Goldberg v. Kelly (1970). The issue before the Court in this case was whether an agency may termi-

nate welfare benefits without providing the recipient with a pre-termination evi-

“Politics, it seems to me, for years

or all too long, has been concerned with right or left instead of right

or wrong.”

RICHARD ARMOUR American Poet; Writer

(1906–1989)

187Politics and Public Administration

dentiary hearing. The majority held that a pre-termination evidentiary hearing was

warranted in accordance with the due process clause of the Fourteenth Amend-

ment. The basis for this decision lies in the nature of the property interest at stake.

That is, welfare benefits are means-tested, meaning their termination would leave

recipients without financial support. It is imperative, therefore, that welfare recip-

Uncle Sam’s Christmas Dream Source: Rogers, William Allen, Harper's Weekly, 49:1851 (December 23, 1905). Library of Congress, Prints & Photographs Division, reproduction number LC-USZ62-10352, http://hdl.loc.gov/loc.pnp/cai.2a14425.

188 CHAPTER 5

ients are given timely and adequate notice of termination, and the reasons for such

termination must be clearly stipulated so as to provide recipients with the oppor-

tunity to present evidence on their behalf. In this particular case, bureaucratic in-

terests are thought to be secondary, as the erroneous allocation of welfare benefits

would prove nominal to the state. The erroneous termination of welfare benefits,

however, would have a profoundly negative impact upon one’s livelihood.

On the other hand, in Matthews v. Eldridge (1976), the issue before the Supreme Court was whether a Social Security recipient is, in accordance with the due process

clause of the Fifth Amendment, entitled to a hearing prior to the termination of dis-

ability benefits. Unlike the Goldberg case, the Court held that a pre-termination

hearing was not due. The basis of this decision rests upon the following assump-

tions: First, disability benefits are not means-tested, and therefore the termination

of such benefits would not leave one destitute. Second, given that disability bene-

fits are allocated on the basis of medical records, the risk of an erroneous decision

is thought to be lower than in welfare cases. Finally, in weighing the interests of the

state versus the individual, a post-termination hearing more than adequately sat-

isfies due process.

Goss v. Lopez (1975) concerns a due process case in the educational arena. It stemmed from a challenge to an Ohio public school policy that gave principals the

authority to suspend students from school for a maximum period of 10 days. The

challenge in Goss v. Lopez followed the assumption that, consistent with the due process clause of the Fourteenth Amendment, one’s right to education cannot be de-

prived without a hearing. The Supreme Court held that the failure to provide a hear-

ing prior to or within a reasonable time subsequent to a student’s suspension

violates due process protections. The decision acknowledged the need for a limited

hearing (a guarantee of nominal due process) given a student’s entitlement to pub-

lic education as a property interest. A limited hearing may include notifying a stu-

dent (and parents) of the reasons for the suspension, providing an explanation of

the evidence that school officials have against the student, and giving the student

in question the opportunity to explain his or her side and present counterevidence.

Property interests are not limited means-tested and entitlement benefits. Taxes

represent bona fide property interests, and under specific circumstances, taxes can-

not be levied without a measure of due process. For instance, in Londoner v. Den- ver (1908), a nonlegislative body (a local board) established a special tax district for the purpose of financing road improvements. The issue before the Supreme Court

was whether a nonlegislative body may levy a special tax assessment without a hear-

ing. According to the majority opinion, no individual should be compelled to pay a

specialized tax assessment without having an opportunity to be heard. Specifically,

the Court ruled that when a legislative body gives lower units of government the

power to determine “upon whom” to impose a tax, an adjudicatory hearing must be

provided (Cann 1998, p. 221).

189Politics and Public Administration

Adjudicatory hearings are most appropriate if a limited number of people claim a

property interest, and if a decision is based upon evidence that can be rebutted,

which was the case in Londoner. However, an adjudicatory hearing was not con-

sidered necessary in Bi-Metallic Investment Company v. State Board of Equal- ization (1915). In this instance, the State Board of Equalization and the Colorado Tax Commission increased property taxes by 40 percent. Claiming a property in-

terest, the petitioner filed suit contending that property cannot be taken without

due process, thereby meriting an adjudicatory hearing. Ac-

cording to the Supreme Court, since the tax increase was

applicable to all taxable property, it impacted more than a

limited number of individuals. Given this fact, individual-

ized hearings are not necessary in accordance with due

process protections.

Due process protections apply to public sector employees,

as well. Public employees wrongly terminated may file suit

in accordance with the due process clauses of the Fifth and

Fourteenth amendments provided they are able to estab-

lish a liberty or property interest. In this context, a property

interest coincides with the expectation of future employment (for example, a con-

tract or tenure). A liberty interest can be established under the following condi-

tions: (1) A public employee’s superior has openly discussed the reasons for that

employee’s firing, thereby damaging that individual’s reputation and compromis-

ing his or her ability to gain future employment. This is precisely why public uni-

versity professors not receiving tenure are rarely, if ever, told why. (2) The reason

for a public employee’s termination was the exercise of a constitutionally protected

right (notably, First Amendment protections of free speech, assembly, and exer-

cise of religion).

In Hale v. Walsh (1987), Hale was the untenured chair of the Department of His- tory at Idaho State University. He was threatened with termination given his refusal

to change the grade of a student related to a former dean at the university. Aware

of his inability to establish a property interest because of his untenured position

(and therefore having no expectation of continued employment), Hale attempted

to establish a liberty interest by becoming involved in union activities. As a union

leader, he made a speech critical of the university president. When subsequently

dismissed, Hale argued that he was fired for exercising his constitutionally pro-

tected right to free speech, which would theoretically constitute a liberty in accor-

dance with the due process clause. However, he was ultimately unsuccessful in

establishing a liberty interest.

Unlike Hale, the petitioner in Pickering v. Board of Education (1968) was able to establish a liberty interest. Specifically, Pickering was a public school teacher who was terminated for writing a letter to the editor criticizing the board of education

“Politicians are the same all over. They promise to build a bridge even where there is no river.”

NIKITA KHRUSHCHEV Former Soviet Leader

(1894–1971)

190 CHAPTER 5

and the superintendent of schools for their support of a local bond issue. The issue

before the Supreme Court was whether public school teachers may be penalized for

First Amendment acts that do not impair their job or the institution. The Court held

that an individual’s First Amendment rights may be restricted in instances when

they interfere with the operation and administration of schools within the district.

According to the justices, however, Pickering’s letter to the editor failed to inter-

fere in this regard. His termination resulted from the exercise of a constitutionally

protected right, thereby establishing a liberty interest in accordance with due

process protections.

Administrative Expediency v. Search and Seizure Protections Consistent with the letter of the Fourth Amendment, individuals have the right to

be “secure in their persons, houses, papers, and effects against unreasonable

searches and seizures, and no warrants shall issue, but upon probable cause…par-

ticularly describing the place to be searched and the person or things to be seized.”

The Pendleton Act Provides Civil Service Reform: 1883. Image Source: Smith, Carter, ed. American Historical Images on File: Key Issues in Constitutional History. New York: Facts on File, 1988.

TURNTHE RASCALSOUT!

WE THE BOYS

HAVE BEEN CHEATED OUT Of OUR SPOILS.

WE ARE THE PEOPLE WE ARE

CIVIL

REFORM IS A

HUMBUG

191Politics and Public Administration

Accordingly, warrantless searches and seizures are deemed “unreasonable” (Cann

1998, p. 142). The intent of the Fourth Amendment has since served as a means of

controlling bureaucratic discretion within the context of information gathering pur-

suant to the implementation of redistributive or regulatory

policies. For example, in Marshall v. Barlow’s, Inc. (1979), the issue before the Supreme Court was whether a warrant

is necessary for administrative searches of industries, as-

suming there is an absence of criminal charges. The ma-

jority held that agencies conducting inspections must

obtain a warrant. The rationale for the majority opinion

rests on the contention that a warrant, in accordance with

the protections vested in the Fourth Amendment, offers

proprietors assurances that agency inspections are reason-

able. According to the majority opinion, “the authority to

make warrantless searches devolves almost unbridled dis-

cretion upon executive and administrative officers, particularly those in the field,

as to when to search and whom to search” (Marshall v. Barlow’s, Inc., as cited in Cann 1998, p. 155). The warrant requirement ultimately protects against the arbi-

trary exercise of bureaucratic discretion.

In Wyman v. James (1971), an Aid to Families with Dependent Children (AFDC, a form of welfare) recipient was informed that her home would be visited by a case-

worker. While the petitioner offered to provide all relevant information, she re-

fused to allow the caseworker to visit. Subsequently, the petitioner’s AFDC benefits

were terminated. The petitioner sought injunctive relief, claiming that the case-

worker’s visit violated the Fourth Amendment, and therefore there was no justifi-

cation for the termination of her benefits. The Supreme Court needed to decide

whether a state agency violates the Fourth Amendment by preconditioning AFDC

benefits to home visits. According to the majority, the caseworker’s visit was not

thought to be a “search” within the context of the Fourth Amendment. Further-

more, even if the visit could be considered a search, it was not unreasonable as it

served a valid administrative purpose regarding the dispensation of AFDC benefits

(verifying the care of children).

In addition to conducting physical inspections, agencies sometimes use subpoenas

to obtain information. The case of the Federal Trade Commission (FTC) v. Amer- ican Tobacco Company (1924) addresses administrative subpoena powers. In this instance, the issue was whether Congress intended to afford the FTC the power to

subpoena any information it deemed useful. The Supreme Court held that while

the FTC has the authority to subpoena documentary evidence related to a matter

under investigation, so-called fishing expeditions remain unjustified. In Oklahoma Press Publishing v. Walling (1946), the petitioners claimed that a subpoena issued in accordance with the Fair Labor Practices Act (FLPA) violated the Fourth Amend-

“Bureaucracy is not an obstacle

to democracy but an inevitable

complement to it.”

JOSEPH A. SCHUMPETER

Austrian Economist; Political Scientist

(1883–1950)

192 CHAPTER 5

ment. The issue was whether Congress authorized an agency to subpoena nonevi-

dentiary subject matter pursuant to an investigation. According to the majority

opinion, the subpoena was thought to be reasonable and germane to the Labor De-

partment’s mission, and therefore there was no constitutional breach. That is, em-

ployee records were subpoenaed, and consistent with the FLPA, the secretary of

Labor has the authority to investigate wage and hour violations.

The Supreme Court attempts to balance the bureaucracy’s need to obtain informa-

tion against the rights of the citizenry. Specifically, within the context of an ad-

ministrative inspection, a warrant is required where there is a “reasonable

expectation of privacy,” which coincides with the case of Barlow’s, Inc. (Cann 1998, p. 162). In Wyman, however, an individual receiving AFDC benefits is subjected to warrantless home inspections pursuant to an administrative purpose (verifying the

care of children). With respect to administrative subpoena powers, subpoenas can

be used to obtain information relevant to an agency’s mission and scope of author-

ity, which was the Court’s rationale in Walling. However, administrative subpoena powers cannot be used to justify fishing expeditions, which was the basis for Court’s

ruling in FTC v. American Tobacco.

Torts as a Bureaucratic Check In accordance with the notion of sovereign immunity, the government cannot be

sued unless it allows itself to be sued. While seemingly monarchical and antitheti-

cal to fundamental democratic tenets, sovereign immunity is justified given the as-

sumption that if the government suffers through litigation, then the citizenry will

ultimately suffer. However, the Federal Tort Claims Act has altered the dynamic

regarding sovereign immunity, as it allows the federal government to be sued under

similar circumstances as private citizens. The act, however, contains a number of

notable exceptions.

Despite the statutory provisions of the Federal Tort Claims Act, government func-

tions that are discretionary in nature are exempt from tort litigation. The rationale

for this exemption is based on the notion that without sovereign immunity coin-

ciding with discretionary actions, the government may discharge its duties in an

overly cautious and timid manner. The mere prospect of litigation could have a

chilling effect. For example, without discretionary immunity, law enforcement of-

ficers may not aggressively pursue suspected criminals for fear of civil liability re-

sulting from, say, a car accident.

While discretionary governmental functions are immune from liability, there are ex-

ceptions. In Bivens v. Six Unknown Named Agents (1971), Bivens claimed that agents of the Federal Bureau of Narcotics entered his home, placed him in hand

shackles, and searched his apartment without a warrant or probable cause. Bivens

sought damages, and the Supreme Court held that an individual is entitled to sue

federal law enforcement agents (as opposed to the agency) for damages given Fourth

193Politics and Public Administration

Amendment violations. According to some constitutional scholars, Bivens created what has become known as “qualified immunity.” That is, while certain officials—

judges, prosecutors, the president—are afforded total immunity, the majority of gov-

ernment officials and street-level bureaucrats may be sued

for egregious constitutional infringements (Cann 1998;

Barry and Whitcomb 1987). The precedent set forth in

Bivens was taken further in Butz v. Economou (1978), whereby the Court held that citizens have grounds to file

suit against federal officials in instances when “the officials

knew or should have known that the official’s action would

violate a citizen’s constitutional rights” (Cann 1998, p. 394).

The Butz ruling essentially made it easier for citizens to sue federal bureaucrats, thereby serving as a check against potential abuses of bureaucratic discretion.

Given the aforementioned discussion, one may assume that the U.S. Supreme Court

takes an activist role in checking the power of the bureaucracy. While this assump-

tion is debatable, potential litigants must overcome a number of barriers before a

case or controversy is given consideration. Standing proves to be a noteworthy bar-

rier. According to Barry and Whitcomb (1987), standing “involves the question of

whether a party has sufficient interest in a controversy to bring an action in court”

(p. 90). Establishing standing requires the following conditions: (1) injury or the

imminent likelihood of injury, (2) the violation of a constitutional principle, and (3)

the presence of redressability. For example, in Allen v. Wright et al. (1984), the Wrights sued the Internal Revenue Service for providing tax-exempt status to

racially segregated private academies, which is a violation of the Internal Revenue

Code. Since the Wrights made no attempt to enroll their children at one of these

academies, there was no injury, and therefore the Wrights had no standing.

The doctrine of primary jurisdiction serves as another potential barrier to litiga-

tion. Primary jurisdiction involves the question of whether a case or controversy

would be better settled in a court or by a bureaucracy. The courts will typically defer

to agencies in instances where agency expertise overrides the courts or in the in-

terest of regulatory uniformity (Barry and Whitcomb 1987; Cann 1998). Nader v. Allegheny Airlines (1976) is a notable primary jurisdiction case. Specifically, con- sumer activist Ralph Nader filed suit against the Allegheny Airlines claiming its

overbooking practices constituted fraudulent misrepresentation in accordance with

the Federal Aviation Act of 1958. The issue before the Supreme Court was whether

the Civil Aeronautics Board (CAB) has primary jurisdiction to determine if over-

booking practices constitute fraudulent misrepresentation. The Court declared that

the CAB does not have primary jurisdiction, as the courts are more than capable of

rendering a decision related to statutory interpretations. Hypothetically speaking,

had Allegheny dealt with issues of regulatory uniformity or expertise, the Court would have deferred to the CAB.

“To the victor belongs the

spoils.”

WILLIAM L. MARCY New York Senator

194 CHAPTER 5

Additionally, a petitioner’s claim is unlikely to be given consideration until all ad-

ministrative appeals have been exhausted. That is, one must exhaust “all legal reme-

dies within an agency” before the Supreme Court will hear a case or controversy

regarding agency action (Cann 1998, p. 117). Exhaustion affords agencies the first op-

portunity to address a dispute, thereby decreasing the likelihood of litigation. Other

barriers that litigants must overcome include ripeness and jurisdiction, which is not

to be confused with primary jurisdiction. Ripeness simply refers to whether a case

or controversy is ready to be heard, and it is highly subjective. Regarding jurisdic-

tion, an individual adversely affected by an agency’s action must demonstrate that

the courts have the “power to resolve” the controversy. In accordance with Article III

of the U.S. Constitution, federal courts have the jurisdiction to hear controversies

pertaining to constitutional and federal statutory interpretations, in addition to dis-

putes regarding federal agency action, given Congress’s constitutional authority to

delegate power to agencies. Barriers to litigation are often used to justify judicial in-

action. In many instances, the courts use these barriers to avoid addressing cases or

controversies that are overly political in nature. Such barriers reduce the frequency

of frivolous lawsuits, thereby preventing the courts from becoming overburdened.

This ideally gives the courts the latitude to hear more exigent disputes.

The inherent value conflict between administrative bureaucracy and democratic

governance exists on several levels. Bureaucracies are synonymous with a mana-

gerial approach, which is predicated on a hierarchical structure, formalization, and

uniform procedures that are carried out impersonally. Representative bodies are

political in nature, which suggests a certain measure of transparency and account-

ability. Expertise is the hallmark of a bureaucracy, which affords bureaucrats a mo-

nopoly of power. Bureaucracies are closed systems that execute policies in a

technical, rationalist manner. This is arguably antithetical to the nature of demo-

cratic institutions, which ideally emphasize openness and citizen participation. The

president’s inability to control the bureaucracy effectively, coupled with Congress’s

symbiotic relationship with the bureaucracy, necessitates judicial vigilance. And

while the nation’s High Court serves as a reactive and often reluctant arbiter, its

holdings guide the bureaucracy so as to ensure that bureaucratic actions do not run

counter to the letter and spirit of the Constitution.

195Politics and Public Administration

Appleby, P. 1949. Policy and Administration. Tuscaloosa: University of Alabama Press.

Arnold, P.E. 1986. Making the Administrative Presidency: Comprehensive Reor- ganization Planning, 1905–1980. Princeton, NJ: Princeton University Press.

Barry, D.D., and H.R. Whitcomb. 1987. The Legal Foundations of Public Admin- istration. St. Paul, MN: West Publishing Company.

Cann, Steven J. 1998. Administrative Law. Thousands Oaks, CA: Sage Publica- tions.

Holzer, M., and V. Gabrielian. 1998. “Five Great Ideas in American Public Ad-

ministration.” In Handbook of Public Administration, ed. J. Rabin, W.B. Hil- dreth, and G.J. Miller. New York: Marcel Dekker.

Kerwin, C.M. 1994. Rulemaking: How Government Agencies Write Law and Make Policy. Washington, DC: CQ Press.

Key, V.O. 1940. “The Lack of a Budgetary Theory.” American Political Science Review 34 (December).

Lipsky, M. 1980. Street-Level Bureaucracy. New York: Russell Sage Foundation.

Long, N.E. 1949. “Power and Administration.” Public Administration Review 9: 257–64.

Lowi, T.J. 1979. The End of Liberalism: The Second Republic of United States. 2d ed. New York: W.W. Norton.

Maranto, R. 1993. Politics and Bureaucracy in the Modern Presidency: Careerists and Appointees in the Reagan Administration. Westport, CT: Greenwood Press.

Nathan, R. 1975. The Plot That Failed: Nixon and the Administrative Presidency. New York: John Wiley and Sons.

Administrative discretion

Administrative law

Distributive policies

Due process

Iron triangle

Redistributive policies

Search and seizure protection

Street-level bureaucrats

Tort

Welfare state

KEY TERMS

REFERENCES

196 CHAPTER 5

Riley, D.D. 1987. Controlling the Federal Bureaucracy. Philadelphia, PA: Temple University Press.

Rohr, J. 1986. To Run a Constitution: The Legitimacy of the Administrative State. Lawrence, KS: University Press of Kansas.

Seidman, H. 1980. Politics, Position, and Power: The Dynamics of Federal Or- ganization. Oxford, U.K.: Oxford University Press.

Selznick, P.A. 1949. TVA and the Grass Roots. New York: Harper and Row.

Simon, H.A. 1947/1997. Administrative Behavior. New York: Simon and Schus- ter.

———. 1967. “The Changing Theory and Changing Practice of Public Administra-

tion.” In Contemporary Political Science: Towards Empirical Theory, ed. I. de Sola Pool. New York: McGraw-Hill.

Waldo, D. 1984. The Administrative State. 2d ed. New York: Holmes and Meier.

Warren, K. 1993. “We Have Debated Ad Nauseam the Legitimacy of the Adminis-

trative State—But Why?” Public Administration Review 53, no. 3: 249–253.

Wildavsky, A. 1992. “Political Implications of Budget Reform: A Retrospective.”

Public Administration Review 52 (November): 594–99.

Riccucci, N. 1995. Unsung Heroes: Federal Execucrats Making a Difference. Washington, DC: Georgetown University Press.

Rosenbloom, D.H. 1987. “Public Administrators and the Judiciary: The ‘New

Partnership.’” Public Administration Review 47, no. 1: 75–83.

OMB Watch (a nonprofit research and advocacy organization): http://www.omb-

watch.org/

American Civil Liberties Union (an interest group agency): http://www.aclu.org

Guide to Administrative Law—HG.org, Worldwide Legal Directories:

http://www.hg.org/adm.html

SUPPLEMENTARY READINGS

ELECTRONIC RESOURCES

197Politics and Public Administration

Allen v. Wright et al. (1984). 468 U.S. 737.

Bi-Metallic Investment Company v. State Board of Equalization (1915). 239 U.S. 441.

Bivens v. Six Unknown Named Agents (1971). 403 U.S. 388.

Butz v. Economou (1978). 438 U.S. 478.

Federal Trade Commission (FTC) v. American Tobacco Company (1924). 264 U.S. 298.

Goldberg v. Kelly (1970). 397 U.S. 254.

Goss v. Lopez (1975). 419 U.S. 565.

Hale v. Walsh (1987). 747 P.2D 1288.

Hampton v. United States (1928). 276 U.S. 394.

Industrial Union Department AFL-CIO v. American Petroleum (1980). 488 U.S. 607.

Londoner v. Denver (1908). 210 U.S. 373.

Marshall v. Barlow’s, Inc. (1979). 436 U.S. 307.

Matthews v. Eldridge (1976). 424 U.S. 319.

Nader v. Allegheny Airlines (1976). 426 U.S. 290.

Oklahoma Press Publishing v. Walling (1946). 327 U.S. 186.

Pickering v. Board of Education (1968). 391 U.S. 563.

Wyman v. James (1971). 400 U.S. 309.

CASE CITATIONS

Intergovernmental Relations

CHAPTER 6

The term intergovernmental relations refers to the

collaborative dynamic, or working relationships, that exist

among all levels of government—national, state, and local.

The U.S. Constitution created what is called a Federalist

system of government. A Federalist system consists of a

centralized national government that has jurisdiction over the

nation as a whole, while at the same time sharing power and

responsibility and working in concert with smaller subnational

governmental units at the state, county, and municipal levels.

This chapter delves into the complex workings of the American

Federalist system and examines a growing aspect of

intergovernmental relations at the local level—that being

interlocal shared services. The chapter concludes with a

discussion of intragovernmental and intergovernmental

competition as a means of improving performance.

198 CHAPTER 6

199Intergovernmental Relations

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

“We’re hearing how Pennsylvania municipalities are furloughing employees, cutting services

or taking other drastic measures to pay their bills…If they shared services, the financial pain would not be so great.”

KEN KLOTHEN Pennsylvania Department of Community

and Economic Development

Source: www.cartoonstock.com

200 CHAPTER 6

The Idea of Federalism The U.S. Federalist system created several layers of government. A number of models

are used to explain how the Federalist system works; among them are the layer cake,

the marble cake, and the picket fence models. The layer cake model envisions sepa- rate and distinct areas of authority between the national, state, and local governments.

For example, this model assumes that the national government (that is, U.S. Congress

and the president) is primarily responsible for defending the nation, engaging in in-

ternational diplomacy, and regulating interstate commerce. State governments are

primarily responsible for overseeing education and infrastructure such as building

bridges and roads. Local governments, which include county and municipal govern-

ments, are responsible for public safety, emergency services, and waste removal.

The marble cake model assumes that there are few hard-and-fast lines of distinc- tion as to what constitutes national, state, or local responsibilities. Like a marble

cake, governmental responsibilities are, at times, swirled or mixed. For example,

while defense would still fall under the domain of the national government, educa-

tion could potentially involve all three layers of government.

The picket fence model of the Federalist system is characterized by close fiscal re- lationships among the national, state, and local governments. These fiscal rela-

tionships emerged given the national government’s strong tax base, one that is less

affected by the hills and valleys of a fluctuating economy, coupled with the pre-

sumption that state and local officials are in a better position to spend money in a

manner that is responsive to their citizens. The picket fence model relies on grants-

in-aid programs: the national government provides grants (that is, transfers of tax

money collected by the Internal Revenue Service) to the states, a portion of which

is further filtered down to the county and municipal governments. In some cases,

the national government provides grants directly to local governments. These

grants not only help the state and local governments to finance necessary activities

and programs but also create working relationships among national, state, and local

public servants who share common policy concerns. In the picket fence model, the

pickets (or vertical slats) represent policy or functional areas that tie together bu-

reaucratic specialists throughout the various levels of government (represented by

the three horizontal slats).

There are two types of federal grants: categorical and block grants. Federal cate- gorical grants are funds that must be used for very specific purposes. For exam- ple, if the national government gives a categorical grant to a state for highway

construction, then that state is required to use that money in a way deemed ap-

propriate by the agency that granted it—in this case, the U.S. Department of

Transportation. With categorical grants, clearly defined rules and regulations dic-

THE LAYERS OF GOVERNMENT

201Intergovernmental Relations

FIGURE 6.1 – MODELS OF FEDERALISM

Layer Cake Model: This model envisions separate and distinct areas of authority between the levels of government; no level intrudes upon the others.

Marble Cake Model: This model assumes that there are few distinct areas that are strictly national, state, or local per se. Education, for example, is one policy area where all levels of government have concerns.

Picket Fence Model: This model is characterized by close fiscal relationships among the various levels of government, as well as the recognition that public servants from all lev- els of government have similar policy concerns regardless of the level of government.

NATIONAL GOVERNMENT

STATE GOVERNMENTS

LOCAL GOVERNMENTS

NATIONAL GOVERNMENT

STATE GOVERNMENT

LOCAL GOVERNMENTS

National

State

Local

C A T I

W E L F A R E

H I

G H W A Y S

U R B A N

R E N E

A L

H I

H W A Y S

P U B L I

E A L T H

U L I

S A F E

P U L I

L I B R A R A R

202 CHAPTER 6

tate how the money may be spent; there are strings attached and hoops to jump

through, and for these reasons, state and local governments tend to prefer block grants. Block grants gained popularity in the Nixon era (1969–1974). They afford the states much more freedom in determining how grant money will be spent.

Most notably, the Personal Responsibility and Work Opportunity Reconciliation

Act (PRWORA) of 1996 implemented a block grant approach to reforming wel-

fare. PRWORA replaced Aid to Families with Dependent Children (AFDC) with

Temporary Assistance to Needy Families (TANF). Through TANF, the national

government provides a lump sum of money to the states, and from there, each

state determines its own eligibility requirements and regulations. Through the

TANF block grant system, welfare became much more decentralized than under

the old system, meaning that power has shifted away from the national govern-

ment and to the states. Some observers have criticized this particular approach to

welfare, arguing that the block grant system creates a “race to the bottom” as

states seek to lower their TANF benefits to avoid becoming “welfare magnets.” In

other words, by having better benefits, states are fearful that they will attract more

welfare recipients.

Interlocal Shared Government Pubic demands for doing more with less, promoting public organizations that are

efficient and effective, and bolstering citizen trust through improved governmental

responsiveness have engendered interest in interlocal shared service agreements. State governments are exploring interlocal shared service agreements in order to re-

FIGURE 6.2 – POTENTIAL SHARED SERVICE OUTCOMES

Decreased Property Tax

Burden

Cost Savings

Service Standardization

SHARED SERVICE OUTCOMES

Improved Service Efficiency and Effectiveness Reduction of

Duplicative Services

Improved Responsiveness

203Intergovernmental Relations

duce service delivery costs and ease the tax burden on their citizens while simulta-

neously streamlining local services, doing away with duplicative services, and en-

hancing governmental responsiveness.

Types of Shared Services Sharing Personnel Sharing personnel is a straightforward concept. Smaller governmental units such

as municipalities and small cities recognize that while specific governmental func-

tions must be performed, sometimes there is simply not “enough work” to require

a full-time employee. While this dilemma may be resolved by having one worker

handle multiple functions, such a solution is not sensible

when the functions require specific technical or professional

skills. Part-time workers commonly fill these positions,

which include posts like certified assessor, certified munic-

ipal finance officer, or zoning officer. Cost is one advantage

of the part-time employee option, but other problems come

to pass, namely management control, pubic availability, and

accountability. Sharing personnel with other jurisdictions

may provide a better solution, but it requires planning and

cooperation among the jurisdictions involved. Shared staff

is preferable to the use of part-time staff due largely to in-

creased accountability over an individual managed by more

than one municipality.

Sharing Equipment Sharing equipment represents a partner model in which

ownership is shared by each community owning an indi-

vidual part of the entire piece of equipment. For example,

a piece of equipment known as the “Ditch Master” is owned

jointly by the townships of Franklin, Bridgewater, and

Montgomery in New Jersey. Each township has one-third

ownership of the device, which is used to remove debris from roadside drain

ditches. Franklin Township provides for upkeep and stores the Ditch Master, given

that it has large garage and a number of trained mechanics. Bridgewater Township

holds the escrow account of rental fees when neighboring municipalities contract

to use the Ditch Master. Fees collected are used to offset maintenance costs (Hes-

ter 2000).

Sharing Internal Services Sharing internal services is ideal when the service function requires little interac-

tion with the public. A prime example is the shared animal shelter in Maplewood

and South Orange, two municipalities in New Jersey. To the individual municipal-

ity, this is similar to a relationship with a private vendor. The difference, however,

“Government compares

favorably to the private sector in

characteristics and performance,

particularly when it is called upon to

achieve what other sectors of the society could

not achieve. Government

works.”

CHARLES GOODSELL Virginia Polytechnic

Institute and State University

204 CHAPTER 6

is that all communities have a vested interest in making the relationship succeed.

The shared service agreement benefits all participants who are acting collectively.

Sharing External Services External services refer to agreements in which one governmental unit consents to

provide essential services to another that no longer provides such services. An al-

ternative arrangement entails two or more governmental units consolidating serv-

ices into a single regional service delivery system. These shared service arrangements

may involve regional fire and police, public works departments, and waste disposal.

External shared service models are pursued in the interest of saving money and im-

proving service quality. It is believed that cost savings are the result of economies of

scale (Staley et al. 2005), which is a principle that assumes larger organizational

units are able to provide comparable service quality but at a lower cost. That is, a

larger, shared sanitation department will keep the streets just as clean as a smaller,

independent sanitation department—but at a lower public cost.

Shared Service Examples Shared service efforts are being explored in the hopes of cutting service delivery

costs, reducing tax burdens, and improving governmental responsiveness through

better services. For example, in California, the cities of Moreno Valley and Riverside

reached an agreement in 1996 to jointly construct a shared fire station instead of

constructing separate, independent stations separated by only one mile. Sharing a

fire station saves an estimated $750, 000 in capital and operating costs annually.

Serving the western part of the Moreno Valley and the Canyon Crest and Canyon

Springs areas of Riverside, the shared station has been responsible for significantly

reducing response times; for example, the response time to the Canyon Springs

area of Riverside has decreased from fifteen minutes to five (U.S. Conference of

Mayors 1997).

The North Hudson Regional Fire and Rescue Department, a shared service initia-

tive created in 1999, serves 200,000 residents throughout five New Jersey munic-

ipalities—Guttenberg, North Bergen, Union City, Weehawken, and West New York.

This regional department has saved each municipality about $5 million in service

costs annually. It has also created a more responsive and efficient fire department.

Not long after its creation, firefighters rushed to a house fire in a neighborhood of

West New York. Fire stations in the municipalities of Weehawken and North Bergen

were actually closer to this house fire than stations in West New York. In this case,

removing municipal boundaries allowed firefighters to respond faster and there-

fore better ensure the safety of West New York residents (Smothers 1999).

The Pine-Marshall-Bradford Woods joint police force represents another ground-

breaking shared service model. The small Pennsylvania communities of Pine, Mar-

shall, and Bradford Woods merged their police forces in 1969. Consolidation has

enabled these communities to support an 18-member police force. This includes a

205Intergovernmental Relations

detective—a resource not afforded to most small communities (Barcousky 2005).

Several communities in the United States have since emulated the Pine-Marshall-

Bradford Woods model to capture improvements in safety and service quality, most

specifically: an improved police presence and officer coverage; improved training;

and more opportunities for officers to specialize.

Sanitation and public works departments have become opportunities for shared

– WE’VE GOT PLURALISM! ONE TRAFFIC LIGHT IS RUN BY THE CITY, ANOTHER BY THE REGION, AND A THIRD ONE BY THE DISTRICT Artist: V. Uborevich-Borovsky (caption: A. Gostiushin) Cover of Krokodil [Crocodile] satirical magazine, 1991, No. 23.

206 CHAPTER 6

services, as well. Most notably, the Wisconsin counties of Outagamie, Winnebago,

and Brown merged their waste disposal and recycling departments in 2003. This

multicounty agreement projects cost savings of $35 million over 25 years for waste

disposal, and $8 million over 12 years for recycling (Tom 2003). The bridge main-

tenance program in Chautauqua County, New York, is a col-

laborative effort between the County Department of Public

Facilities and the municipalities within the county. The

bridge maintenance program was established to ensure

bridge and roadway safety. When established, 62 percent

of the county’s 488 bridges were in need of significant re-

pair and 69 bridges were impassable or weight restricted by

the State Department of Transportation. By pooling mu-

nicipal and county resources, bridge conditions within the

county improved significantly. For example, when the

bridge program was introduced in 1988, 55 percent of the

county’s bridges were considered “deficient,” compared to

34 percent eight years later (Hattery 1996).

Communities are seeking better parks and recreational op-

portunities through shared service agreements. Due to lim-

ited resources, the village of Pewaukee, Wisconsin could

provide recreational services only during the summer

months. The neighboring city of Pewaukee provided recre-

ational services year-round, yet its director of recreation

was employed only part-time. The village and city ulti-

mately combined their recreation departments, forming

the Pewaukee Joint Parks and Recreation Department. Vil-

lage residents were provided year-round recreational serv-

ices, while the city gained a full-time director of recreation.

This agreement has been credited with enhancing parks

and recreational services for both municipalities, in addi-

tion to reducing operating costs (Johnson 2006).

In the interest of enhanced library services, the municipality of Chula Vista, Cali-

fornia, cooperated with the Sweetwater Union High School District. The jointly sup-

ported East Lake Branch Library was established in 1993. For the students and

residents of Chula Vista, the shared municipal and school district resources afford

library users a more comprehensive and up-to-date book collection than could oth-

erwise be provided without this agreement (Repard 1993).

State Financial Support to Encourage Shared Services The prospects of cost savings and improved services have prompted many states to

establish funding streams that encourage intergovernmental shared service initia-

tives. For instance, the New Jersey Department of Community Affairs created a

“Doing more with less is an

impressive sound bite… Politicians

looking for a quick fix and corporations

looking to make quick profits are

promoting privatization as

the magic answer to government

deficit problems… Privatization is

undermining the public services

that bind us together and underpin the

foundations or our democracy.”

JUDY DARCY President, Canadian

Union Public Employees

207Intergovernmental Relations

program known as Sharing Available Resources Efficiently (SHARE). The SHARE

program provides municipal and county governments with feasibility or imple-

mentation grants. Typically in the range of $20,000, feasibility grants help gov-

ernments with the planning and developing stages of shared service initiatives.

Implementation grants of up to $200,000 help governments cover costs associ-

ated with putting a shared service arrangement into action (SHARE 2006).

New York established a program called the Shared Municipal Service Incentive pro-

gram (SMSI), which is a $25 million program designed to help municipalities con-

solidate local government services. For municipalities that want to consolidate into

one government unit, grants of up to $1 million are offered to offset the upfront

costs of consolidation. Grants of up to $300,000 are available for countywide-

shared service programs (NYSAC 2006).

The Department of Community and Economic Development for the State of Penn-

sylvania created the Shared Municipal Services Program (SMSP). Grants are pro- vided ranging from $10,000 to $25,000 for intermunicipal agreements that

promote cooperation (SMSP 2005), including but not limited to:

• Sharing technology

• Municipal insurance cooperatives

• Sharing public works departments

• Sharing recreation services

• Sharing code enforcement operations

• Sharing equipment

Emergency Management and Homeland Security Plan (Simulation) Collaboration is a key learning objective in this role-play simulation. Students be- come members of an intergovernmental agency task force commissioned to create an emergency response plan for their city. After reviewing the task, groups of six students will draft a plan for emergency response, including a public relations ef- fort strategy that involves local citizens. After completing this simulation, teams will present their plans to the class.

David E. Booher and Adam Sutkus, E-PARCC, Program for the Advancement of Research on Conflict and Collaboration, The Maxwell School, Syracuse University http://sites.maxwell.syr.edu/parc/eparc/simulations/booher-sutkus.asp

EXERCISE 6.1

208 CHAPTER 6

There are three main obstacles that impede the implementation of shared service

initiatives: (1) shared service proposals are typically opposed by union, civil service,

and tenured government employees; (2) local residents may oppose shared service

proposals given insufficient information regarding the potential benefits; and (3)

local community officials may fear losing total control over specific service areas.

The loss of “home rule” is a significant psychological obstacle, making the shared

service model particularly difficult for states having large numbers of independent

governmental units. New Jersey is a prime example, with 566 municipalities, 611

school districts, 212 fire service districts, and 21 counties packed within a relatively

small geographic area. In overcoming these obstacles, states must take the lead in

encouraging interlocal and regional service, perhaps through grant programs that

support feasibility studies and help to offset implementation costs. Accurately and

routinely measuring and disseminating cost savings and service delivery improve-

ments of shared service initiatives is important as well.

Improving Performance via Intragovernmental and Intergovernmental Competition Government should not be cast aside. Government must learn to compete with the

private sector. Public organizations might compete for government contracts

against one another and against private-sector organizations as well. The debate

regarding privatization—employing the private sector or nonprofit sectors to do the work of government—is based on the following premise: what the citizenry, pri-

vate businesses, and policymakers truly desire is productivity. Those who embrace

privatization have underscored the importance of high performance, defined in the

context of efficiency and effectiveness. Champions of government underscore less

tangible and more value-oriented impacts. However, advocates of both privatization

and government must address each other’s concerns. In other words, government

services that are privatized must be responsive to the public, and services delivered

by government must be done so efficiently and effectively. Competition has been

promoted to the citizenry and to policymakers as the best way of achieving effi-

ciency and effectiveness. Privatization is the type of competition that is talked about

most. A main argument advanced by the so-called “guru” of privatization, E.S.

Savas, is that “competition, achieved by prudent privatization, is the key to im-

proving the productivity of public agencies and, more broadly, of public programs

and public services. . . . Competition must be introduced and institutionalized, and

privatization is the technique of choice for accomplishing this” (Savas 1992).

Undoubtedly, competition can improve organizational efficiency and effectiveness.

However, linking competition to privatization assumes an overly narrow view of

competition. It is important to consider “government as competitor.” This idea of-

fers an expanded set of approaches to solving the problem of government per-

209Intergovernmental Relations

formance. The notion of “government as competitor” allows for intragovernmen-

tal competition in the delivery of public services as a substitute for private-sector

delivery. There are at least three approaches to competitive government:

1. Dye’s Competitive Federalism. T.R. Dye’s approach (1990) deals with com- petition among units of government. Individuals are capable of “voting

with their feet.” This simply means that, when economically feasible, indi-

viduals have the freedom to live where specific services are provided or

where a certain degree of service quality is pro-

vided. People can choose a specific town, state, or

even country in which to live. The dynamics of

competitive federalism can be seen quite often in

debates about public school quality. Families with

school-age children will often move to municipal-

ities that have high-performing schools. On the

other hand, empty nesters or singles may want to

live where school taxes are relatively low. Although

Dye’s model of intragovernmental competition is

valid, whether between states or localities, it has

done little to create the image of government as

competitor. Thus, it fails to establish government’s

claim to manage scarce resources better than other

providers.

2. Public v. Private Competition. Under this long- standing but less familiar concept, services are

“contracted in” to government rather than “con-

tracted out” to private or nonprofit organizations.

In Phoenix, Arizona (Holzer 1991), the Depart-

ment of Public Works “won back” services it had contracted out by lower-

ing service costs. The department’s Competition with Privatization

program utilized nontraditional approaches to competing with private-sec-

tor organizations. Other jurisdictions—New Orleans, Kansas City (MO),

Newark (NJ), Oklahoma City, and Minneapolis—have competed with the

private sector for sanitation services (Savas 1992). Although Savas con-

tends that government “should be given an opportunity to compete with

the private firms in an even-handed bidding process” (1992), he is rather

cynical about the impact of contracting in within the United States. How-

ever, he does describe effective competitive bidding by government agen-

cies throughout the United Kingdom .

3. Public vs. Public Competition. Governmental units compete to provide services appropriate only to the public sector. The model described next is

developed according to the public-private and public-public concepts.

“One of the major changes taking

place today in gov- ernment manage-

ment (federal, state, and local) is the shift from the

government as the historic ‘provider’ of public services to the government as the ‘manager of providers’ of serv- ices to the public.”

JACQUES S. GANSLER Educator; Corporate

Director; Political Appointee

210 CHAPTER 6

An Expanded Model of Governmental Competition Public administration scholars accept privatization given the assumption that gov-

ernments are altogether ill equipped to provide certain services in any capacity,

much less high-quality services. Even more accept the premise that government

monopolies are intrinsically inefficient. According to Savas (1992):

A government agency that enjoys a monopoly or is otherwise shielded from

competition can be expected to behave no differently than a private mo-

nopoly: Without the spur of competition, managers and workers alike gen-

erally lack the motivation to innovate, to seek better ways, to make

changes, to work smarter or harder, or to increase productivity.

There are inherent weaknesses in the argument that privatization is the only solu-

tion to government inefficiency and ineffectiveness, in addition to being the only

source of competition for government. First, using private providers does not en-

sure meaningful competition. Second, in a growing number of cases, private con-

tractors have failed to provide public-sector services at a level promised. Third,

there is a growing database of innovative and successful state and local performance

improvement projects. The Exemplary State and Local (EXSL) Awards program

database, for example, demonstrates that many public organizations are “busi-

nesslike”—in other words, they are competitive. These award winners undermine

the stereotypical view that government is inherently inept.

Drawing on government’s capacity for innovation, the open competition model of

government service delivery is discussed.

1. Open Competition. Many services are suitable for contracting out to pri- vate or nonprofit organizations. In cases where private organizations are re-

luctant to bid on a government project, or in cases where collusion is

suspected, public-sector bidders represent an important competitive force.

In the spirit of maximizing competition, all public organizations—regard-

less of their place within the government, their jurisdiction, or their mis-

sion—should be encouraged to bid on government contracts. A school

district, for example, could very well provide maintenance services to a po-

lice department. A state highway department could bid on a management

services project for a municipal parks department. Many public organiza-

tions have the know-how and surplus capacities that cannot be reduced be-

cause of technical, financial, or legal reasons. At the same time, if the

private sector or nonprofit organizations can do these jobs better, then so

be it. Consider that in some European countries, government-owned and

private airlines compete for government contracts. In another case, the ve-

hicle maintenance division of the New York City Department of Sanitation

won contracts to service city emergency service and police vehicles over

private organizations (Holzer 1988).

211Intergovernmental Relations

2. Open Competition Within Government Only. Sanitation, training, and maintenance are typical target areas for privatization. Some public-sec-

tor functions, however, are relatively intangible and complex, and thus

these services are best delivered by public organizations. For public ac-

countability purposes, services such as public safety and law enforcement,

public education, social services, public health, air traffic control, and en-

vironmental regulation should be under the di-

rection of government-owned contractors without

bids from private or nonprofit contractors. To pro-

tect democratic and service-delivery capacities, in-

tragovernmental competition may prove ideal.

Those bidders might include departments within

the contracting organization, other organizations

within the same jurisdiction, or organizations at

other levels (federal, state, county, or local) of gov-

ernment. In many cases, legislation would be

needed to allow public organizations to bid on

projects outside the realm of their stated missions.

Shared services represent an informal application

of this model.

3. Expanded Capacity for Competition. To strengthen the competitive forces suggested above, one might

hypothesize that government’s competitiveness will

increase given the introduction of new government-

based competitors. The collection of public-sector

bidders should be expanded to include more generic

agencies or units, the mission of which is improved

productivity. “Generic” agencies would be similar to

government-based conglomerates or internal con-

sulting firms that would serve a host of functions,

ranging from internal capacities (such as mainte-

nance, information services, duplicating, and train-

ing) to external capacities (such as housing,

education, transportation, or perhaps even defense).

These generic government agencies would include

public authorities or corporations and ad-hocracy with the ability to incor-

porate facets of several models, thereby allowing for the flexibility necessary

to sustain competition.

Public Authorities or Corporations Construction, transportation, highway, or port authorities and corporations are

often created as quasi-independent organizations that have their own revenue

“A proponent of aggressive

contracting out declares that ‘the purpose of local

government is not to provide jobs; it is to deliver

services to people.’ A critic

insists upon government’s

‘socially important role of providing

good jobs to people who might

otherwise not get them.’ Is local service

privatization a good thing, or not?

The question is as political as a

question can be.”

JOHN D. DONAHUE The Privatization Decision, 1989

212 CHAPTER 6

sources; therefore, they have greater flexibility in raising the resources needed to ac-

complish specific tasks. Public authorities and corporations have fewer constraints

than regular government organizations, which makes achieving private sector–like

efficiency easier. In some cases, authorities and corporations have been asked to

expand their missions to contract for other government services.

Ad-hocracy Regardless of the competitive vehicle—whether it is a new agency, agency sub-unit,

authority, or corporation—the nature and resources of this vehicle must be flexible.

Using “matrix organizations” and “project management practices” (Halachmi 1989)

facilitates the creation of ad hoc—or temporary—work groups to complete tasks

typically reserved to public organizations. These work groups have the skills to per-

form specific tasks for a certain period of time. A work group’s size, skills, and other

aspects of its performance can be altered to achieve a specific goal. This affords flex-

ibility—the level of which will be comparable to that of similar private-sector

groups—and this flexibility will likely foster comparable levels of performance. Ad-

hocracy substitutes an agency-specific civil service career model with a more flexi-

ble career option, the latter stemming from an employee’s successful completion

of other ad hoc assignments in task-specific working groups. More often than not,

the assignment of successive ad hoc duties to an employee is based on the past per-

formances of the individual and the working group.

There are a number of advantages to public-sector responses to bid notifications

by public organizations. A competitive governmental environment should:

1. Encourage greater managerial innovation, thereby making the jobs of man-

agers and workers more appealing.

2. Improve the use of available information resources. Far too many public

Electronic Hallway—Keep Your Eye on the Ball: The Road to the Real Salt Lake Stadium Deal (Case Study) This case study examines intergovernmental conflict. Tension erupts between city and state officials when Salt Lake City decides to use state funds to build a new sta- dium. The impact of this intergovernmental conflict on the sports team seeking to relocate to Salt Lake City is also examined. Students will read the case study and critique it with the goal of creating an alternative strategy that would result in more of a win-win situation for all four parties involved: city, state, team, and citizens.

http://hallway.evans.washington.edu/cases/details/keep-your-eye-ball-road-real- salt-lake-stadium-deal

EXERCISE 6.2

213Intergovernmental Relations

managers are lethargic readers, meaning they are not likely to mine infor-

mation from dense reports, professional conferences, electronic databases,

and tedious academic journals. Information needs to be a valued resource

that is critical to competitive survival, and thus it needs to be sought out

with greater frequency.

3. Improve the public sector’s competitive image. The popular image, which

is reinforced by politicians and media outlets on a

daily basis, is one of waste and ineptitude (Holzer

and Rabin 1987).

The previous discussion engenders a range of questions:

Q: What if a public organization is too successful, be- coming a monopoly?

A: Success should never be a deterrent to innovation.

For example, if an agency that is intended to in-

crease competition becomes too dominant, then

policymakers should limit its size by splitting the

agency into smaller units. Much like Darwin’s the-

ory of survival of the fittest, an agency’s “offspring”

could replace unsuccessful government bidding

units.

Q: What will public organizations do with additional resources—or profits—generated by contracts?

A: Profits can be reinvested in the public contractor.

In the private sector, large portions of profits are

dispersed among individual managers as bonuses;

in the public sector, profits can be reinvested with

ease. For one, improving the quality of work life

and enhancing worker recognition is paramount

to public managers. Additionally, legislators and

citizenry are unlikely to approve of the large

bonuses being doled out to public employees.

Q: Are public organizations capable of making decisions as quickly or flexi- bly as their private-sector counterparts?

A: Quite possibly, especially if generic agencies or agency units are expected

to operate nonbureaucratically. However, this may call for rewriting exist-

ing regulations or legislation.

Q: Are public agencies prepared to compete with the private sector?

“It is federal, because it is the government of

States united in a political union, in contradistinction

to a government of individuals, that is, by what is usually

called, a social compact. To

express it more concisely, it is fed- eral and not na-

tional because it is the government of

a community of States, and not

the government of a single State

or Nation.”

JOHN C. CALHOUN Seventh Vice President of

the United States (1782–1850)

214 CHAPTER 6

A: Not necessarily. A significant proportion of public agencies have experienced

a loss of talent and capital equipment. Historically, some public agencies

have never been funded adequately. One distinct advantage of privatization

is that private organizations have greater access to investment resources,

which is not characteristically the case for their public-sector counterparts.

Q: Will internal government competition have consequences that may be dysfunctional?

A: Of course. But these dysfunctions can be minimized if they are anticipated

and monitored. Such dysfunctions may include:

• Pirating information: Will managers attempt to dig for private infor-

mation to gain unfair advantages?

• Corruption: Will government managers attempt to influence each

other through bribery and other unethical or illegal means?

• Undue political influence: Will elected officials direct contracts to or-

ganizations where they have more influence?

Q: Will public agencies be able to endure “slack” in order to invest in public bidding—in other words, will public agencies be afforded a long-term view that, in time, success will emerge?

A: Possibly yes, given the argument that there is underutilized capacity in gov-

ernment. Internal bidding units may be criticized as redundant resources

that compete unfairly with the private sector. A related problem is expec-

tations: The expectations for bidding units may be unreasonably high, ex-

erting pressure for quick successes.

Q: Are public agencies less willing to transfer functions to other public agen- cies and more willing to contract out to private organizations?

A: Perhaps. Contracting to the private sector does not mean that an agency is

giving up its territory per se; permitting another public agency to provide

a service, however, may be perceived as such.

Improved competitive capacities may help convince cynics that government does—

or at least can—perform at a high level. Under a model of “government as com-

petitor,” the change in public opinion is not likely to be remarkable, but the

direction is likely to be more positive as governments’ reassert their missions and

highlight their competency.

215Intergovernmental Relations

Abramovitz, M. 1986. “The Privatization of the Welfare State: A Review.” Social Work 31 (July-August): 257–64.

Bailey, R.W. 1987. “Uses and Misuses of Privatization.” In Prospects for Privati- zation, ed. S.H. Hanke. New York: Academy of Political Science.

Bamekov, T.K., and J.A. Raffel. 1992. “Public Management of Privatization.” In

Public Productivity Handbook, ed. Marc Holzer. New York: Marcel Dekker.

Barcousky, L. 2005. “One Chief, Two Departments: Police Chief for Pine-

Marshall-Bradford Woods Force Also Will Lead Richland Department Under

One-Year Agreement.” Pittsburgh Post-Gazette, January 2, N6.

Dye, T.R. 1990. American Federalism: Competition Among Governments. Lex- ington, MA: Lexington Books.

Ferris, J., and E. Graddy. 1986. “Contracting Out: For What? With Whom?” Pub- lic Administration Review 46, no. 4: 332–44.

Halachmi, A. 1989. “Ad-Hocracy and the Future of the Civil Service.” Interna- tional Journal of Public Administration 12, no. 4: 617–50.

Hanke, S.H., ed. 1987. Prospects for Privatization. New York: Academy of Politi- cal Science.

Hatry, H.P. 1983. A Review of Private Approaches for Delivery of Public Serv- ices. Washington, DC: Urban Institute Press.

Hattery, M. 1996. “Chautauqua County Bridge Program.” Cooperative Highway Services Case Study Report Number 2. Local Government Program, Depart- ment of Agricultural, Resource, and Managerial Economics, College of Agricul-

ture and Life Sciences, Cornell University, December.

Ad-hocracy

Block grants

Categorical grants

Economies of scale

Federalist system

Layer cake model

Marble cake model

Picket fence model

Privatization

Public authority or corporation

Shared service agreements

KEY TERMS

REFERENCES

216 CHAPTER 6

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City-County Consolidation: A Review of the Recent Academic Literature.” Pre-

pared by the Indiana Policy Review Foundation, http://www.in.gov/legisla-

tive/interim/committee/2005/committees/prelim/MCCC02.pdf; accessed on

19 September 2009.

Tom, P.A. 2003. “It Takes Three.” Waste Age 34, no. 10.

U.S. Conference of Mayors. 1997. “Shared Fire Station Saves Money, Improves

Service for Moreno Valley, Riverside Residents.” November 24. http://usmay-

ors.org/usmayornewspaper/documents/12_22_97/documents/Best_Prac-

tices__97___Moreno_Valley__CA_and_Riverside__CA__11_24_97__0120

98.html.

Agranoff, Robert. 2007. “Managing within Networks: Adding Value to Public

Organizations.” Washington, DC: Georgetown University Press.

Gazley, Beth.2008. “Beyond the Contract: The Scope and Nature of Informal Gov-

ernment–Nonprofit Partnership.” Public Administration Review 68(1): 141-154.

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teractions between different levels of government),

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http://www.nj.gov/dca/lgs/share/

SUPPLEMENTARY READINGS

ELECTRONIC RESOURCES

Public Performance

CHAPTER 7

This chapter examines strategies for improving the

performance of public organizations. Upon reading this

chapter, students will understand the concepts of total

quality management (TQM) and performance measurement,

specifically the different types of performance indicators,

how to create a performance measurement system, and the

role of citizens in this process. This chapter transitions into

a discussion of the many social factors that influence

organizational performance and concludes with a

discussion of the privatization of government services.

218 CHAPTER 7

219Public Performance

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“An acre of performance is worth a whole world of promise.”

WILLIAM DEAN HOWELLS American Author

(1837–1920)

– YOUR APPLICATIONS ARE BEING LOOKED INTO… Artist: V. Travin; Poet: A. Shkliarinsky; “The Fighting Pencil” group, 1976. The promise is given only as a blind. They will have to come back not once, not twice... But many, many times.

220 CHAPTER 7

The Importance of Knowledge Sharing and Training There is undoubtedly a relationship between knowledge and performance. All “pro-

fessionals” are expected to be current: Doctors must read the latest medical jour-

nals and attend professional seminars and conferences. Lawyers must understand

changes in the legal field. Professionals must be innovative. There is significant in-

novation in government, yet there is also a significant amount of ignorance of in-

novation. Too few of the truly successful projects have been

replicated widely throughout the public sector. The fault

lies somewhat with small-minded professionals who resist

going beyond the borders of their own disciplines. Maybe

they are lazy or arrogant or simply lack the foundational

knowledge necessary for improving their performance. The

fault also lies with a budget process that is overly political

and shortsighted in terms of knowledge investments. Lux-

uries like conferences, academic journals, and professional

association memberships are thought to be needless or gra-

tuitous and offer no clear payoffs. Knowledge investments

have a difficult time surviving the budget process, losing

out to more immediate needs. Professional knowledge,

under the best of circumstances, is treated as a discre-

tionary expenditure as opposed to a necessary investment.

However, if public managers are not afforded access to

timely and adequate information, we can expect that same

mistakes will be repeated in the future.

Public organizations need to learn from their successes and

failures—but perhaps more important, they need to learn

from the successes and failures of other public organiza-

tions. Strategies for government performance improvement

are being reported in hundreds of publications and conferences. Public organiza-

tions need to unearth the mountains of available information by sharing experiences,

participating in conferences, and joining Internet-based networks such as the Pub-

lic Performance Measurement and Reporting Network (http://www.ppmrn.net), a

key information-sharing tool in the field. Launched in 2006 by the National Center

for Public Performance at Rutgers University’s School of Public Affairs and Admin-

istration, the Public Performance Measurement and Reporting Network was created

to support networks that include government officials, public and non-profit man-

agers, professors and researchers, citizens, and other stakeholders that are looking

to improve public-sector performance through the use and sharing of valid and re-

IMPROVING GOVERNMENT PERFORMANCE

“Measurement is the first step that leads to control and

eventually to improvement.

If you can’t measure

something, you can’t understand

it. If you can’t understand it,

you can’t control it. If you can’t control

it, you can’t improve it.”

H. JAMES HARRINGTON

Quality and Performance Improvement Consultant

221Public Performance

liable information. In supporting this network, the National Center for Public Per-

formance has launched several initiatives: an all-inclusive and up-to-date database

of publications and case studies; academic conferences; professional workshops;

books and articles dealing with measurement; an Online Public Performance Meas-

urement Certificate; and a monthly electronic newsletter.

In addition to knowledge and information sharing, a trained workforce is indis-

pensable. In many public organizations, however, on-the-job training is thought to

be “good enough.” Many public organizations suffer from the mistaken belief that

government work is simple—that it can be learned rather quickly by virtually any-

one. In a postindustrial society, however, on-the-job training is insufficient prepa-

ration for a public sector with increasingly complex responsibilities. Still, public

managers with only modest professional management training are often given the

responsibility of running public organizations.

Total Quality Management: Customer Focus and Responsive Public Organizations The adoption of total quality management (TQM) as a management philosophy has

been debated among public administration scholars and practitioners. TQM, orig-

inally intended to change American private-sector work environments, has been

implemented by numerous public agencies. TQM is defined as “an enterprise

lifestyle that emphasizes customer satisfaction, excellent service and rapid adjust-

ment to address ever-changing customer needs” (McCloskey and Collett 1993,

quoted in Flynn, Sakakibara, and Schroeder 1995, p. 1325). TQM is a strategy for

improving processes and services on a continual basis. Customer focus, upper-man-

agement commitment, continuous improvement, participative management, labor-

management cooperation, and organized analysis are essential functions in a TQM

environment (Shea and Howell 1998).

The difference between the public and private sectors has raised discussions about

what prevents TQM from being used within public organizations (Swiss 1992). Ex-

perience with TQM in the public sector has produced mixed results. Some public

organizations have reported success in using TQM, while others believe it has not

contributed to improvements in performance. Perhaps this is somewhat attribut-

able to a major misunderstanding associated with TQM (White and Wolfe 1995).

TQM’s central emphasis is customer focus—improving public agencies’ respon- siveness to the people they serve (Swiss 1992).

Assumptions of Total Quality Management W. Edwards Deming (1986) is the father of TQM, and he notes that it requires

transformation of the American business management style. It is also applicable to

governmental transformation. According to Milakovich (1992, pp. 584–86), the

222 CHAPTER 7

key elements of TQM include the following:

1. Leaders must develop and disseminate the aims and purposes of the

organization. Management must commit to these aims and purposes.

2. All must learn the new philosophy—including upper management.

3. In the interest of processes improvement and cost reductions, all must

understand the purpose of inspection.

4. Eliminate the practice of using cost as the basis for awarding business.

5. Continuously improve systems of production and service.

6. Implement modern training methods.

7. Teach leadership.

8. Eliminate fear, build trust, and create an environment conducive to inno-

vation.

9. Staff and work groups must be optimized toward the aims of the organi-

zation.

10. Eliminate pleas to the workforce.

11. Eliminate numerical quotas for work—rather, learn and implement meth-

ods for improvement.

12. Eliminate obstacles that deprive people of pride in their work.

13. Encourage worker education and self-amelioration.

14. Act to bring about the transformation.

Based on Deming’s 14 points, several assumptions can be drawn.

Customer Focus Without question, TQM assumes that the customer is paramount. This is because

the customer is the ultimate judge of quality. Performance improvement cannot re-

ally exist without customer satisfaction. The customer base is composed of both in-

ternal (employees) and external customers (citizens). Internal customers receive “any work output in the service or production process,” while external customers purchase the product (McGowan and Wittmer 1997). Customer satisfaction, there-

fore, must be the supreme priority of any organization. Both employee and citizen

satisfaction are important elements in measuring performance.

Continuous Improvement Another important assumption of TQM is continuous improvement. Any perform- ance improvement program is dependent on feedback from employees and citizens

223Public Performance

on a continuous basis. Continuous improvement includes: “(1) enhanced value to the

customer through new and improved products and services, (2) reduced errors, de-

fects, and waste, (3) improved responsiveness and cycle-time performance, and (4)

improved productivity and effectiveness in the use of all resources” (McGowan and

Wittmer 1998, p. 313). As Swiss (1992) points out, “Quality is not a static attribute;

it is a constantly changing target because it represents a delighted customer” (p. 358).

Top Management Commitment and Leadership Upper-management commitment is essential to TQM’s success. TQM is unlikely to

work unless implemented through strong leadership. Like other performance im-

provement strategies, TQM requires a long-term commitment from upper manage-

ment (Lee 2000a). Berman and West (1995) argue that too many organizations are

inclined to implement strategies such as TQM at “a token level rather than fully com-

mitting themselves to success.” In this regard, Rago (1996) points out that “agency vi-

sion and goals need to be clearly communicated throughout

all levels of the agency and leadership needs to be actively

involved in this effort” (p. 234).

Upper management needs to assume a significant role in

changing an organization’s culture so that TQM initiatives

can be fully embraced by employees at all levels. It is neces-

sary to change “bureaucratic” organizational culture—which

can be excessively hierarchical, centralized, and firmly struc-

tured—to a more innovative and supportive type of culture.

Innovative culture has a collaborative and people-oriented focus. Supportive culture

embraces creativity and getting results (Wallach 1983). White and Wolf (1995) note

that “the culture of public sector organizations must be shifted away from blame and

control to one of support for positive action” (p. 224). This culture change cannot

occur in the short run. It requires time and perseverance.

Empowerment and Teamwork Empowerment and teamwork assume that performance improvement cannot occur because of one person’s effort. Furthermore, no single managerial action can

foster employee loyalty and full support (Pollock 2001). There are several ways of

defining empowerment, but for our purposes empowerment involves a leadership

approach whereby decision-making authority is given to lower-level employees. In

doing so, employees are more likely to take ownership of their jobs and embrace

more responsibility (Holt, Love and Jawahar-Nesan 2000). Since empowered

teams are seen as central to correcting organizational problems, TQM suggests that

employees work as a team to overcome existing management problems rather than

ask for external help. The reason for this is straightforward: employees are the peo-

ple who really know what is going on in their organization; therefore, no one can

do a better job of correcting existing work problems than they can.

“In God we trust, all others

bring data.”

W. EDWARDS DEMING American Statistician;

Quality Consultant (1900–1993)

224 CHAPTER 7

There are three levels of teamwork (McGowan and Wittmer 1997). With vertical teamwork, upper management gives lower-level employees authority to make deci- sions that would meet customers’ demands. In the interim, horizontal teamwork enables different functional groups within an organization to deal with external de-

Source: Federal Quality Institute. 1991. Introduction to Total Quality Management in the Federal Government. Washington, D.C.: U.S. Office of Personnel Management.

FIGURE 7.1 – FEDERAL QUALITY INSTITUTE APPROACH TO TQM

FUNDERS

Traditional Management Focus

Quality Management Focus

ADMINISTRATION

CUSTOMERS EMPLOYEES

QUALITY MANAGEMENT

FUNDERS

CUSTOMERS EMPLOYEES

225Public Performance

mands. Interorganizational teamwork includes establishing work teams of suppli- ers, customers, and other external groups. In the public sector, this level of team-

work might be used to involve interest groups, agency representatives, citizen

representatives, subcontractors, and elected officials in the decision-making process.

Issues in Organizational Responsiveness Responsiveness is an important value of public organizations. Rourke (1984) defines responsiveness as “the extent to which [an organization] promotes correspondence

between the decisions of bureaucrats and the preferences of the community or the of-

ficeholders who are authorized to speak for the public” (p. 4). Such responsiveness

can be attained in an “organizational arrangement under which a great deal of au-

thority is delegated to lower levels of administration” (p. 8). Responsiveness coin-

cides with bringing government closer to its people. In this context, Kaufman (1987)

argues that representativeness, politically neutral competency, and executive lead- ership are important values in government. In particular, regarding representative-

ness, “there is a need to improve public representation within organizations because

‘many unorganized interests’ are excluded from formulation of decisions” (p. 394).

Barriers to Responsiveness and Solutions: Linking TQM’s Philosophy Situation 1 Problem 1: Interest Group Politics and Captive Bureaucracy. Sometimes, pub- lic organizations adhere to the desires of political parties and interest groups even

if these desires clash with what the public wants. This leads to unbalanced polit-

ical influences. Regarding interest group politics, the concept of a captive agency

should be noted. Rourke (1984) describes a captive agency as one that becomes

overly dependent on “the political support of an outside group.” This dependence

is so great that it ultimately ascribes the outside group with “veto power over

many of the agency’s major decisions. In [an] extreme case, the agency becomes

in effect a captive organization, unable to move in any direction except those per-

mitted it by the group upon which it is politically dependent” (p. 58). As a result,

the organization loses its capacity to respond to the demands of the public.

According to Lee (2001), unbalanced participation led by organized interest groups

makes it difficult for public organizations to reflect citizen desires. A common

dilemma with citizen participation is that citizens tend to keep their opinions to

themselves. Organized interest groups, however, participate in and try to influence

political agendas by making their opinions known. In this situation, policy out-

comes are likely to favor interest groups and not individual citizens. Lee argues that

this effect stems not from citizens’ indifference about policy issues but from the

fact that most citizens do not have the time, money, civic skills, and degree of or-

ganization necessary to participate in political life.

226 CHAPTER 7

TQM Solution 1: Establishing Interorganizational Teamwork and Training for External Customers. In most cases, becoming a captive agency is a consequence of not having institutionalized mechanisms for involving a wide range of citizen

groups in the political process. As mentioned earlier, the concept of interorganiza-

tional teamwork can assist in evening out this unbalanced political participation.

That is, it may be possible to involve various citizen groups, voluntary associations,

and citizen representatives in making major decisions within a local community.

Furthermore, given that individual citizens are less inclined to participate in the

political process because of time and money constraints, Internet-based participa-

tion may serve as an equalizing alternative. Washington State’s Internet-based par-

ticipation initiative explains how interorganizational teams composed of numerous

state agencies, boards, and commissions have established a digital government to

improve citizen participation. An interorganizational team called Access Washing-

ton in the Department of Information Services has developed web-based partici-

pation tools. As its progress report from 2000 states:

The Access Washington state Internal Portal was launched in 1998 to re- place a static, billboard-style state website called Homepage Washington that averaged only 170,000 monthly visitors. Within one year, page views

on Access Washington increased 488 percent to an average of one million per month, and the numbers keep climbing. Today’s Access Washington turns government to face the people, organizing hundreds of government

information programs and dozens of transactional services in citizen-cen-

tric navigation paths. Access Washington at access.wa.gov is the gateway to the digital government community: on-line storefronts and service cen-

ters filled with the government information and tools that citizens want,

when they want them. (Washington State Governor’s Office)

Chapter 12 of this book, Technology and Public Administration, provides numerous

other examples of how the Internet and other information and communications

technologies are changing citizens’ interactions and communication with bureau-

cratic and political institutions.

Situation 2 Problem 2: Expertise and Information Distortion. Bureaucratic expertise is a func- tion of a public organization’s characteristics and the capabilities of its members.

The operation of public organizations requires employment of a complex range of

people with specialized skills. Rourke (1984) asserts that bureaucratic expertise in-

fluences public policy development via three primary channels: “(1) the ability of

bureaucrats to gather information and to give advice that often shapes the deci-

sions of political officials; (2) the capacity of bureaucratic organizations to carry on

the tasks that must be performed once policy goals are decided upon—the power of

implementation; and (3) as a critical dimension of this power to implement policies,

227Public Performance

the discretion with which bureaucracies are commonly vested as they carry on the

work of government” (p. 20).

These three factors can cause negative results, most notably information distortion

in an organization. O’Reilly (1978) defines information distortion as “the incorrect

reproduction of objectively correct information,” resulting “from either conscious

or deliberate alteration or unconscious manipulation” (p. 329). That is, supposedly

objective information is knowingly or unknowingly bi-

ased—usually in the interest of self-preservation. Negative

but vital information is sometimes not delivered to upper-

level decision makers, who are reliant upon top-down com-

munication. In 1967, Downs contended that officials tend

to distort the information they pass upward in the organi-

zational hierarchy—overemphasizing (or at times even ex-

aggerating) information that looks good personally and

deemphasizing information that could be personally detri-

mental. This type of information distortion can make it

complicated for public organizations to adapt.

TQM Solution 2: Utilizing Vertical Teamwork and Empow- erment. Information distortion is likely to occur within verti- cal hierarchical structures, where authorized communication

is limited to the channels between upper managers, middle

managers, and rank-and-file employees. Central to avoiding

this distortion is the building of multiple communication

paths so that important information is available to upper

management at all times. As Gortner and colleagues (1987)

put it, “Information tends to be transmitted upward in the organization only if (1) its

transmission will not have unpleasant consequences for the transmitter, or (2) the su-

perior will hear of it anyway from other channels, and it is better to tell him first, or (3)

it is information that the superior needs in his dealings with his own superiors, and he

will be displeased if he is caught without it” (p. 203).

The use of “vertical teams” makes it possible for all employees to share important

information and to facilitate information flows within the organization. Vertical

teams enable upper-level management to receive information from lower-level

management and afford lower-level employees the power to make decisions. Em-

powered employees are more inclined to accept responsibility and risk for their ac-

tions, and they are less likely to hold onto unfavorable yet important information.

Additionally, they are more inclined to solve the problems with their superiors and

colleagues in a cooperative manner.

Situation 3 Problem 3: Specialized Structure and Parochialism. As specialization increases,

“When you can measure what you

are speaking about, and express it in numbers, you know something

about it: but… when you cannot

express it in numbers, your knowledge is of a meager and unsatisfactory

kind.”

LORD KELVIN Nineteenth-Century

Mathematical Physicist

228 CHAPTER 7

so too will administrative efficiency. According to Nobel laureate Herbert Simon

(1997, p. 292), “a major problem in an effective organization is to specialize and

subdivide activities in such a manner that the psychological forces of identification

will contribute to, rather than hinder, correct decision making.” Organizational

structures are centered on functional differentiation. This means that there are cognitive and emotional differences between specialists and separate organizational

departments. To effectively tie an organization’s different functions to its broader

goals, it is essential to integrate and coordinate these separate and specialized func-

tions. Therefore, integration is related to cooperation problems among departments

in an organization. Significant functional specialization can foster parochialism

among public organizations—that is, organizations become too narrowly focused.

This makes it very difficult for public organizations to respond to the various de-

mands of citizens and ensure the appropriate delivery of services.

TQM Solution 3: Utilizing Horizontal Teamwork and Preventing Variation in the Product and Process. While functional specialties are sometimes necessary for achieving efficiency and high organizational performance—especially if that or-

ganization is operating within a turbulent environment—excessive specialization

may serve as an impediment to the delivery of public services in a timely or appro-

priate manner. As mentioned earlier, central to TQM is the removal of barriers be-

tween organizational departments. The use of “horizontal teams” minimizes conflict

and reduces tension between departments. In a horizontal team, members repre-

senting various organizational departments learn how to cooperate beyond their

departmental boundaries. Formation of these “cross-functional teams” helps to re-

duce costs and time in producing and delivering citizen services.

Sometimes, becoming a high-performing organization is a function of minimizing

variations in the way things are done. Swiss (1992) points out that “slippages in

quality arise from too much variation in the product or service” (p. 357). Using

multi-unit teams also enables public agencies to rectify process variation prob-

lems. The Department of Labor and Industries in Washington State serves as a

good example: In July 2000, the department created a multi-unit team called the

“Factory Assembled Structures (FAS) Process Improvement Team” to solve

process problems:

Labor and Industries approved plans for modular building construction.

Manufacturers complained about the process, citing a low 30 percent ac-

ceptance rate for first time plans, poor communications and a lack of con-

sistency and professionalism. In collaboration with manufacturers, the

team improved communications, developed training and computerized

processes. They raised approval rates and enhanced customer service with-

out lowering standards or sacrificing public safety. The plan approval rate

went from 30 to 72 percent for the following 19-month period, an increase

of 140 percent. Training is provided on-site and online, and issues are cor-

229Public Performance

rected over the phone, saving time and money for the manufacturers.

(Washington State Governor’s Office, 2000)

Situation 4 Problem 4: Attribution Error and Management Failure. Under some conditions, the cultivation of stereotypical beliefs may stem from cognitive and information-

processing biases. In typical usage, “attribution refers to

judgments about one’s perceptions rather than causal per-

ception” (Hamilton 1980, p. 767). Attribution theory is

concerned with how ordinary people attempt to under-

stand the causes and consequences of events they witness.

Potential causal factors are thought to be internal to the

actor (for example, ability, effort, and intention) or exter-

nal to the actor (for example, task-related factors and luck).

According to Heider (1958), people searching for the

causes of events rely either on environmental attributes

(external attribution) or on attributes of the person in-

volved in the event (internal attribution). In reality, most

leaders are inclined to believe that organizational success

stems from their own actions and that organizational fail-

ure stems from the actions of others externally. The same

situation in reverse is usually seen by groups in opposition

(Miller and Ross 1975).

The same principle may characterize the relationship be-

tween managers and subordinates as it relates to perform-

ance evaluations. In this situation, people avoid finding out

the causes of policy or management failures, and they most likely fail to admit that “it

was our fault,” even if it was. This makes it hard for public organizations to find out

what went wrong, which likely reduces responsiveness to the demands of citizens.

TQM Solution 4: Admitting Variations in Employees’ Performance and Elimi- nating Numerical Quota. One underlying assumption of TQM is that “it is the man- agement, not the worker, that is a problem in many cases.” As White and Wolf

(1995) explain,

Typically, when a manager sees a performance distribution in which one

or some workers are low and others are high, the response is to evaluate

the low workers as bad, the high workers as good, and then set out to make

the bad workers like the good ones… In contrast, the TQM managers sim-

ply consider that the workers at the good end of the distribution have been

lucky and the ones at the bad end have been unlucky. (pp. 210–11)

TQM presupposes that any public organization is comprised of good and poor per-

formers. Being a good performer today does not necessarily mean that a worker

“The only man I know who

behaves sensibly is my tailor; he takes my

measurements anew each time he sees me. The rest go on with

their old measurements and expect me

to fit them.”

GEORGE BERNARD SHAW Playwright; Critic;

Nobel Prize Winner (1856–1950)

230 CHAPTER 7

will be a good performer tomorrow. Similarly, it is not known whether a poor per-

former today will become a good performer tomorrow. As a result, TQM managers

do not hold employees directly responsible for low performance. Instead, they try

to determine the reasons for the decline in performance. One of Deming’s 14 points,

“eliminate numerical quotas for work,” has been recommended in this context. In

instances where numerical quotas serve as major performance indicators, the rela-

tionship between labor and management is likely to be adversarial. While managers

attribute the cause of poor performance to employees—arguing, for example, that

employees use official work time for union activities—employees contend that poor

performance is not their fault (Holzer and Lee 1999). The following statement by

Bobby Harnage, past president of the American Federation of Government Em-

ployees, shows how management and workers see the causes of poor performance

quite differently:

There is no such thing as one poor performer. That individual has a su-

pervisor. If he or she is staying on the rolls, then we have two poor per-

formers. Performance management rules, which were established by the

Civil Service Reform Act, do not need to be changed. Instead, managers

need to have the courage to deal with poor performance. (Government Ex- ecutive Magazine, January 12, 1999)

Harry Singletary, former secretary of the Florida Department of Corrections, em-

phasizes that people are key to successful TQM application: “We, the members of

the Florida Department of Corrections, believe in the worth of the individuals,” he

stated, adding, “Our most valuable asset is a well-trained dedicated staff working as

a team to meet a challenge” (Florida Department of Corrections, 1997). Every aspect

of TQM is directed toward customer focus. Accepting employee performance vari-

ations and removing numerical goals and quotas will enable public organizations to

respond more effectively to the customers’ demands.

Situation 5 Problem 5: Organizational Entrapment and Trained Incapacity. Organizations often suffer from past resource allocation mistakes. Entrapment refers to “the ten-

dency to persist in a failing course of action in order to justify the allocation of prior

resources to that course of action” (Brocker and Rubin 1985, p. 242). Entrapment

is much more likely to occur in a public organization than in a private organization.

In addition, it should be noted that trained incapacity (Merton 1987) also hinders responsiveness to customers’ demands. Merton asserts that “actions based upon

training and skills which have been successfully applied in the past may result in in-

appropriate responses under changed conditions” (1987, p. 109).

TQM Solution 5: Driving Out Fear, and Training on a Continuing Basis. A critical element of TQM is eliminating fear. This means that employees—regardless of their

level within an organization—should feel comfortable suggesting new ideas and in-

231Public Performance

novative behaviors to their superiors and colleagues. Managerial innovation often

necessitates risk taking. It then becomes crucial that employees feel it is acceptable—

and at times even expected—that they will make mistakes. Creating an innovative

culture of “it is okay if you make a mistake” is imperative for productivity im- provement. Employees must be encouraged to abandon a failing course of action without fear. This is possible only if

employees are encouraged to suggest ideas at any time.

Therefore, “driving out the fear” ensures that the possibil-

ity of entrapment is minimized.

Well known for its successful implementation of TQM, the

Florida Department of Corrections places considerable

emphasis on driving out fear among its employees. As Sec-

retary Singletary noted, “Thomas Edison once said:

Genius is one percent inspiration and 99 percent perspi-

ration. I am challenging each of you to perspire often and

regularly. Go forth and sweat” (Florida Department of

Corrections, 1997). Moreover, Pennsylvania State has em-

phasized employee innovation, assuming that frontline employees are central in-

stallers of change. With the support of Pennsylvania’s former governor Mark

Schweiker (2001–2003), innovation teams have played an important role in state

policymaking. The teams have found groundbreaking ways of recognizing change

ideas proposed by employees, as well as recognizing individual or group creativ-

ity. As a result, numerous innovative ideas have originating from within the

agency, among them environmental site assessments in the Pennsylvania Depart-

ment of Transportation.

The Pollution Prevention Division within PennDOT reexamined the

process used to perform site investigations on underground fuel tanks.

This involved obtaining soil samples by drilling into the ground around

the tank and testing the samples for contaminants from possible leakage

or spillage from the tanks. The testing and analysis of these sites were at

the time being contracted to a private firm. The staff analysis showed that

the testing and analysis could be accomplished more cost-effectively if they

undertook the task themselves. Contracted testing was determined to cost

$28,000 per site. PennDOT staff could perform the same investigation for

$5,600 per site—saving $22,400 per site investigation. Consequently, the

Pollution Prevention Division staff reaped a savings award of $26,000.

(Pennsylvania State Governor’s Office 2001)

At the same time, supporting various training programs on a continuing basis is

critical to avoiding trained incapacity. Many observers agree that training is inte-

gral to managerial and organizational changes (Paddock 1997; Hannah 1995). De-

spite the importance of management training, though, training budgets are most

“What gets measured gets done, what gets

measured and fed back gets done well, what gets rewarded gets

repeated.”

JOHN E. JONES American Attorney

232 CHAPTER 7

likely to suffer in this period of cutback management (Paddock 1997). Training is

critical to cultivating and enhancing employee knowledge, skills, and abilities (typ- ically referred to as KSAs) and reduces the likelihood that employees will become

obsolete over time (Klingner and Nalbandian 1998). Continuous training requires

upper-management support, constant program evaluation, financial support, and

full backing from participants. It is expected to decrease the possibility of trained

incapacity in an ever-changing environment.

According to some public administration scholars and practitioners, short-sighted

goals, regular turnover among upper-level managers, and individualistic organiza-

tional cultures may prevent TQM from being successfully implemented (Swiss 1992;

White and Wolf 1995). However, many public organizations find TQM is feasible

and compatible with their goals. In a study examining managerial public employ-

ees’ attitudes in New Jersey State, Lee (2000b) found that of 19 various productiv-

ity and performance enhancement strategies, managerial employees reported

“Total Quality Management” as the most favored strategy. TQM is a way of trans-

forming organizational cultures and structures to improve performance. Central to

this is creating organizations that are customer-focused, cost-efficient, and com-

petitive. Correctly understanding and implementing TQM strategies will foster re-

sponsive, customer-centered public agencies, even in turbulent environments.

Measuring Performance to Improve Performance Measuring government performance is a requisite tool for accountability and, con-

sequently, for improvement. Generally speaking, performance measurement en- tails trying to answer questions such as:

• Is the organization fulfilling its mission and accomplishing stated

goals and objectives?

• Is the organization producing unintended impacts?

• Is the organization responsive to the people?

• Does the organization keep within its scope of authority?

• Is the organization productive?

• Does it perform well?

Performance measurement is implied when we ask questions that deal with the

quality of government services: “Is the neighborhood dangerous?” “Are the streets

dirty?” “Are the schools succeeding?” Citizens often answer these questions with

tales told by friends and acquaintances, rumors, and personal experiences.

Public organizations need to know how well they are performing, and in doing so

233Public Performance

they must rely on hard data: “Crime is down 10 percent.” “The streets are 25 per-

cent cleaner.” “Standardized test scores have increased by an average of five points

in the last year.” Public organizations often possess the

hard data to develop objective performance measures. As

award-winning and innovative cases suggest, measuring

public service quality is indeed feasible. Data are available,

and the results need not be too complicated to use (EXSL

1989–1995). Performance measurement provides an op-

portunity to present “hard” feedback in place of “percep-

tions” that are often fueled by incorrect information,

gossip, and conjecture. According to the U.S. General Ac-

counting Office (GAO 1992):

Managers can use the data that performance meas-

ures provide to help them manage in three basic ways: to account for past

activities, to manage current operations, or to assess progress toward

planned objectives. When used to look at past activities, performance

measures can show the accountability of processes and procedures used

to complete a task, as well as program results. When used to manage cur-

rent operations, performance measures can show how efficiently re-

sources, such as dollars and staff, are being used. Finally, when tied to

planned objectives, performance measures can be used to assess how ef-

fectively an agency is achieving the goals stated in its long-range strate-

gic plan. Having well-designed measures that are timely, relevant, and

accurate is important, but it is also important that the measures be used

by decision makers.

Performance measures serve several purposes. To successfully operate their or-

ganizations, public managers need specific information. This applies to all man-

agement levels within all organizations. Performance measurement must be

considered a requisite and critical part of the management process. Performance

management is thought to contribute to the following:

• Improved decision making: Performance measures afford managers

needed information to execute their control functions.

• Performance assessment: The measures connect individual and orga-

nizational performance to the management of employees, serving as a

means of motivation.

• Accountability: The process engenders managerial responsibility.

• Service delivery: The process fosters service performance improve-

ments.

• Public participation: Performance reporting can influence the citi-

“When dealing with

numerical data, approximately right

is better than precisely wrong.”

CARL G. THOR Performance

Improvement Expert

234 CHAPTER 7

zenry to care more about public workers’ efforts to improve service

delivery.

• Improvement of civic discourse: This makes public discussions about

public service delivery more factual.

While valuable to the full range of organizational personnel, performance meas-

urement is especially valuable to staff analysts and auditors. Measures can be use-

ful for both internal decision makers (i.e., public managers and policymaking

appointees) and external groups in improving their assessments of government.

This is because such assessments are based on real performance data as opposed to

anecdotal and unreliable information. Harry Hatry, an expert on performance man-

agement at the Washington, D.C.–based Urban Institute, was instrumental in cul-

tivating and spreading public-sector performance measurement (Hatry et al. 1977,

1979, 1990; Urban Institute 1974, 1980). Public agencies, professional associations,

research centers like the Urban Institute, and academics have developed many per-

formance measurement standards. In particular, the Government Accounting Stan-

dards Board (GASB) has published several volumes that recommend standards for

Service Efforts and Accomplishments (SEA). “Doing more with less” has emerged

as an enduring maxim directed toward all levels of government, and as such, per-

formance measurement has become a vital tool for organizational improvement in

the contexts of efficiency, effectiveness, and accountability.

Types of Performance Indicators Several different performance indicators are featured in a performance measure-

Government function

Input indicators

Output indicators

Outcome indicators

Efficiency indicators

Department

of Sanitation

• The number

of labor-hours

worked by

employees of

the Sanitation

Department

• The depart-

ment’s budget

• The number of

vehicles used by

the department

• Tons of

garbage

collected

• Miles of roads

cleaned

• Number of

customers

served

• Percentage of

clean streets

(as measured by

periodic visual

inspection,

citizen surveys,

and so on)

• Employee-

hours per ton

of garbage

collected

• Dollars spent

for one mile of

snow removal

TABLE 7.1 – TYPES OF PERFORMANCE MEASUREMENT INDICATORS

235Public Performance

ment system. The most common are: (1) inputs, (2) outputs, (3) outcomes, and (4)

efficiency indicators.

Input Indicators. Inputs reflect the quantity of resources appropriated to a gov- ernment organization, service, or program. Input indicators are typically contained

within the budget, representing financial or personnel resources.

Output Indicators. Outputs are workload indicators. They reflect the amount of work done or the number of services provided by a government program.

Outcome Indicators. These indicators capture the results (or quality) of the serv- ices provided. Outcome indicators are essential to establishing whether an organ-

ization or program has met predetermined goals and objectives. They help answer

questions about service quality and the impacts of service delivery. A measurable

change in students’ test scores resulting from a government-funded tutoring pro-

gram is an example of an outcome indicator.

Efficiency Indicators. These indicators examine the extent to which a public or- ganization or program is performing in relation to service delivery costs. Efficiency

indicators refer to the ratio of the service provided (for example, tons of trash col-

lected) to the cost required to deliver that service (wages for workers, gasoline for

trucks, and the like).

Robert Behn (2003) argues that performance measurement systems serve seven

fundamental purposes that go beyond simply evaluating how well a public organ-

ization is performing. These include:

• Control: Performance measures serve as a means of maintaining

managerial control, ensuring that workers are doing what is required

of them.

• Budget: Performance-based budgeting (or results-based budgeting)

links performance measures with how much money a public agency

or department receives. In other words, agencies and departments

that perform well may receive more money, while those that do not

may find their budgets cut. Critics argue that using performance

measurement as a basis for determining budgets is crude and coun-

terintuitive; that is, are we to believe that actually taking money away

from a public organization will help its situation? Perhaps this is not

a good idea.

• Motivate: By setting performance goals, public managers give their

staff something to work toward. Performance goals serve to focus

workers.

• Promote: Unlike the private sector, public organizations are dreadful

when it comes to self-promotion. The media effectively points out every

236 CHAPTER 7

flaw and misstep that government encounters, making it ever more im-

portant for public organizations to convey their accomplishments. Per-

formance measures can be very helpful in this regard. The New Jersey

Motor Vehicle Commission (NJMVC) serves as a vivid example. Per-

haps no public organization has been ridiculed as much as the NJMVC

(2006), where nightmarish stories of DMV ineptitude and inefficiency

are legendary. The NJMVC went through a massive reorganization, re-

formed itself, and is now doing a better job. How do we know this? Serv-

ice assessment results indicate that wait times have decreased

dramatically and customer satisfaction has increased (NJMVC 2006).

• Celebrate: Taking a moment to smell the roses is important. It is im-

portant from a morale standpoint that public managers use perform-

ance measures to celebrate organizational accomplishments with their

staff. This not only reaffirms the importance of measuring perform-

ance, but also serves as motivation for future projects, endeavors, etc.

• Learn and Improve: Collecting performance data is not an end in it-

self. Rather, it is a tool by which public managers can learn about

what is working and what is not, and make appropriate changes to

improve an organization. The City of Baltimore’s CitiStat program is

an example of using performance measurement data to learn about

and improve an organization’s operations. Developed by the former

mayor of Baltimore, Martin O’Malley (1999–2007; elected governor

of Maryland, 2006), CitiStat is a performance measurement–based

management system that uses computer pin mapping. CitiStat

evolved from New York City’s CompStat program, which was used by

the NYPD to pinpoint crime hotspots. CitiStat built upon CompStat’s

model by including all areas of government. Cooperation and commu-

nication make CitiStat work. City agency and bureau heads develop

strategies and set goals, collect performance data that coincide with

these strategies and goals, and then present the data every two weeks

at CitiStat meetings, where the mayor, deputy mayors, and other key

officials are present. For instance, Baltimore’s Solid Waste Bureau

would present performance data ranging from the number of com-

plaints about dirty alleys or missed trash pick-ups to the number of

sick days taken and the amount of overtime paid in a given two-week

period. With this information, both the mayor and the head of the

Solid Waste Bureau can devise a plan to ensure that missed trash

pick-ups happen less frequently or that those dirty alleys are cleaned

up. CitiStat has proven to be a very powerful management and ac-

countability tool, allowing the mayor to hear how the various func-

tions of the city’s government are performing.

237Public Performance

Source: Shane, Bryan. 2003. “Performance Measurement System: A Leadership-Driven Methodology.” Optimum online. The Journal of Public Sector Management. Vol. 33, Issue 3, Sep 2003. http://www.bpc- gallery.com/leadership_driven.html.

FIGURE 7.2 – SAMPLE PERFORMANCE MEASUREMENT ARCHITECTURE FOR A HUMAN RESOURCE (HR) ORGANIZATION

To be recognized as an innovative and efficient business partner in the

provision of high quality human resource services across the organization

Finances

To ensure cost

effective HR

services

Resource

Review HR

Framework

Best-in-Class

Service

Regional

Leadership

Quality Control

IT Strategy

Client

Communication

and Education

Client

Partnership

Recruit/

Retain Staff

Staff

Development &

Communication

Reward/

Recognition

Program

Best Practices

Revenues

Expenditures

Capital

Financial Ratios

Management

Index

Project

Management

Index

Client

Satisfaction

Index

Employee

Satisfaction

Index

Human

Resource

Management

Index

Continuous

Improvement

Index

On time

delivery of

high-quality

HR services

across the

organization

To achieve a

high level of

customer

satisfaction with

HR services

To develop

and maintain

an organization

of highly

professional and

dedicated staff

To establish

a culture

dedicated to

innovation

and learning

Quality of Service

Client Satisfaction

Employee Satisfaction

Continuous Improvement

Mission

Objectives

Strategies

Performance Measures

238 CHAPTER 7

Designing a Performance Measurement System Developing a performance measurement system need not be complex. It is likely, however, to be trying for those unaccustomed to measuring and estab-

lishing performance targets. A system of measuring performance requires that one understand what an organization or program is trying to achieve, who its

clients are, and what level of service is being delivered at the time. The seven

specific steps are:

1. Identifying a program to measure

2. Designing a purpose statement

3. Classifying program inputs, outputs, outcomes, and efficiency indicators

4. Setting performance targets

5. Monitoring performance

6. Reporting performance results

7. Concluding with analysis and action

Step 1. Identifying a Program to Measure. Governmental activities need to be iden- tified clearly and separated into distinct programs. Programs are collections of ac-

tivities that provide a specific public service. For example,

street resurfacing, pot hole filling, and curb repairing are

three activities that could collectively comprise a program

called “street maintenance.” Selecting what programs to

measure is somewhat subjective. Regardless of the pro-

grams selected, though, performance measurement sys-

tems typically are most effective when they collect a limited

amount of essential information about a program’s per-

formance.

Step 2. Designing a Purpose Statement. Preparing a state- ment of purpose is a vital step in the development of a per-

formance system. Measuring a program’s performance is not feasible without an

initial understanding of what the program should accomplish. A cogent mission

statement is highly desirable. If the program does not have mission statement, then

a detailed program description may suffice. For example, the Government Ac-

counting Standards Board (GASB) provides the following purpose statement for

government transportation services: “The basic purpose is to provide safe, de-

pendable, convenient, and comfortable transportation services at minimum cost to

the citizens, including special client groups such as the handicapped and elderly”

(Hatry et al. 1990).

Step 3. Classifying Program Inputs, Outputs, Outcomes, and Efficiency Indica-

“You get what you measure. Measure

the wrong thing and you get the

wrong behaviors.”

JOHN H. LINGLE Target Measurement

Pioneer

239Public Performance

tors. Inputs represent resources; they are expressed within a given program’s op- erating budget, in addition to the number of employee hours allotted over a spec-

ified period of time. Outputs are workload measures such as the amount of work

completed or the quantity of services a program provides. Outcome indicators re-

flect the results of a program’s efforts. Efficiency indicators measure the relation-

ship of cost (whether in dollars or employee hours) to either outputs or outcomes.

Step 4. Setting Performance Targets. Managers need to know when program goals and objectives have been met. A program’s effectiveness and quality is best deter-

mined by establishing measurable objectives in the context of time periods, quan-

tities, and percentages. For example, for a street cleanliness program, this may

mean having a citizen cleanliness rating of at least 70 percent each year, and a

trained observer cleanliness rating of at least 80 percent each year. Note, however,

that performance targets are not restricted to outcome indicators. Organizations

Source: M.B. Vergara. 2006. School of Public Affairs and Administration, Rutgers University–Newark.

FIGURE 7.3 – STRATEGIES FOR PERFORMANCE MEASUREMENT SUCCESS

Performance Measurement

Accountability

Citizen Surveys

Participation & Engagement

Efficiency & Effectiveness

Reliable & Accurate

Audits create safeguard

OR...

Transparency, Learning,

Appraising, Sanctioning

Auditing the accuracy of

Performance Data used to

create PM

Negative information, language

reporting has negative impact

Success for PM

5 Strategits: Tolerating competing product def.

Banning a monopoly on producing fig's Limit functions/for urns of PM

Limit products subjected to PM Use process & product perspective

If PM not accountable then...

240 CHAPTER 7

can set similar targets for input, output, or efficiency indicators (for example, when

budgets are experiencing shortfalls, setting input targets may prove worthwhile).

Step 5. Monitoring Performance. Each performance target needs to be monitored. Public managers can then make corrective changes if the performance data indicate

a potential problem. Systematic and regular monitoring is essential. For instance,

if a performance target is that 95 percent of park visitors are “satisfied” with a park’s

cleanliness and general maintenance from year-to-year, it does not mean that per-

formance data should be collected and examined only once a year. Smaller-scale

data collection efforts should be completed on a quarterly or even monthly basis.

Doing so affords managers a more complete understanding of what is going on in

terms of performance. Using the parks example, it would be easy to miss seasonal

(or cyclical) patterns in customer satisfaction if data were collected at only one point

in time during the year. An equally important point is the performance data col-

lection should be practical and not overburden an organization’s resource and per-

sonnel capacities.

Step 6. Reporting Performance Results. Performance reporting entails summariz- ing all the indicators and comparing the collected data to the performance targets

Source: D. Bromberg. 2006. School of Public Affairs and Administration, Rutgers University–Newark.

FIGURE 7.4 – DOWNSIDE OF PERFORMANCE MEASUREMENT

Long Term Goals Top-down Performance

Measurement

Long Term Goal

Standardized Perfornance Measurement

2014

2012

2010

2008

2006

G G

Social Security Administration

Health and Human

Services

Department of Homeland

Security

Different measurements

M M

Fit Measurement Here

Long Term Goal

Election

Measures increase short term production

Standardization may increase efficiency for decision makers but it stifles the ability administrators

Administrative reforms reflect political values not technocratic solubons

241Public Performance

discussed previously. Besides performance target comparisons, performance re-

porting can include comparisons with: (1) past years, (2) similar jurisdictions, or (3)

professionally developed standards or norms. Performance reporting formats vary

somewhat, but, at a minimum, they should be presented in a convenient arrange-

ment that includes: (1) program name, organization, and statement of purpose; (2)

inputs, outputs, outcomes, and efficiency indicators; (3) performance targets; and

(4) presentation of performance data in a way that facilitates clear comparisons.

Source: A. Ho and P. Coates. 2004. “Citizen-Initiated Performance Assessment: The Initial Iowa Experience,” Public Productivity & Management Review 27, no. 3: 34. Used by permission of M.E. Sharpe, Inc.

FIGURE 7.5 – THE CONCEPTUAL FRAMEWORK OF CITIZEN-INITIATED PERFORMANCE ASSESSMENT

Citizen Performance Team

Focus groups with community leaders & citizens

Internet chat room for citizens with internet access who are willing to participate

Interactive website for citizens who are comfortable with using computers

Citizen phone hotline for all citizens who are willing to call

Citizen suvey to reach all citizens, including the passive, unvocal groups

242 CHAPTER 7

Straphangers Campaign The Straphangers Campaign represents a bold attempt to influence the accountabil-

ity, accessibility and performance of local government on behalf of its citizens.

Through the New York Public Interest Research Group (NYPIRG), the Straphang-

ers Campaign received a grant from the Alfred P. Sloan Foundation to “launch a

new in-depth effort to measure the quality of the transit service.” The goal was to

accurately report on the condition of the New York City’s transit system and to

draw media, public and governmental attention to the need to continue to invest

in transit.

By the mid 1990s, ridership had plummeted to its lowest level since 1917. Many busi-

nesses cited poor transportation as the main reason for relocating from New York

City. An editorial in the New York Times on October 5, 1995 seemed to summarize the sentiment at the time: “Then the near-ruin of local mass transit was taken as a

metaphor for the decline and fall of the City itself. But New York did not fall, and

thanks to a $20 billion rebuilding plan, the subways got better. Now, it seems the

battle must be fought all over again.”

In their application to the Alfred P. Sloan Foundation, the NYPRIG wrote, “It is

to hold the Transit Authority accountable by a sophisticated range of measures

– and to communicate that information to the public in lively and meaningful

ways.”

The Straphangers Campaign has developed a measure of how riders rate their sub-

way lines. The Straphangers Campaign has also collected data from transit officials

and all data is presented in a clear and accessible format. A panel of thirty-eight tran-

sit experts also completed questionnaires by prioritizing certain aspects of the sub-

way and bus service. This information was compiled for use in two sets of reports: one

based on a review of official transit statistics and the other, based on NYPIRG’s own

field studies.

The first report under this Sloan project was released in 1997, profiling New York

City’s twenty major subway lines on six key official measures of service, including

the amount of scheduled service, the chance of getting a seat during the most con-

gested periods, the cleanliness of the cars and the adequacy of the announcements.

Another twenty-one page report highlighted the state of the bus system. These two

sets of reports represented the most comprehensive review by any non-governmen-

tal organization of the performance of a major public transportation system. They

achieved two goals. First, they provided a solid baseline for comparing subway serv-

243Public Performance

ice in the future. And, second, they gave riders, communities and officials informa-

tion they would need to press the transit authority for better service.

The Straphangers Campaign’s work generated substantial media coverage. In par-

ticular, the comparative value assigned to each of the twenty subway lines evaluated

enabled riders to make decisions about those lines that they frequented, i.e, what

percentage of the full value of a token had been achieved. According to the 1998 re-

port, riders just wanted to know how their lines performed. Do their trains break

down more or less often than the average for New York City subways? Is there a bet-

ter or worse chance of getting a seat? How clean are the subway cars? Do the trains

come more or less often? Do the trains arrive irregularly or with few gaps in service?

How good or bad are the announcements?

Recently, the Straphangers Campaign concluded the following about the subway

system:

• Subway cars grew dirtier and announcements poorer. The findings on

announcements and dirt mirror independent surveys by the

Straphangers Campaign

• There was a slightly greater chance of getting a seat during rush hour.

However, the report probably underestimated the impact of recent in-

creases in ridership.

• Car breakdowns occurred less often. However, on a majority of lines,

car breakdowns increased, although any improvement to the system

was due to large improvements on several lines.

• There were great disparities in how subway lines performed as meas-

ured in response to questions posed by riders.

Overall, the Straphangers Campaign has found that riders simply want short waits,

regular and reliable service, a chance for a seat, a clean subway car and clear an-

nouncements.

Although the Straphangers Campaign encountered a number of obstacles, including

limited access to transit officials, they stepped up efforts to bring “real time” infor-

mation to the public. An interactive website has also been established.

Source: Written by G.L.A. Harris and Marc Holzer. For more information, visit the Straphangers website at www.straphangers.org. Reprinted with permission from the PA TIMES, monthly newspaper of the American Society for Public Administration (ASPA), www.aspanet.org.

244 CHAPTER 7

Step 7. Concluding with Analysis and Action. A well designed system of measuring performance will enable decision makers to identify organizational or program

strengths, weaknesses, opportunities, and threats. An enhanced understanding of

strengths and weaknesses assists managers in diagnosing problems and taking rel-

evant actions to remedy those problems.

Citizen-Driven Performance Measurement The public sector offers an ideal venue for implementing a formal performance

measurement system. Based on the information collected, public managers identify

weak areas within an organization and make corrective changes. A supplementary

approach to performance measurement entails bringing average citizens into the

process. Weeks (2000) maintains that including citizens in the performance meas-

urement process can potentially reduce participatory lethargy, skepticism toward

government, and the rift between the citizenry and public decision makers—and

these important benefits accrue as on outgrowth of reaching the primary goal,

which is enhancing performance measures.

While there are benefits to including citizens in public-sector performance meas-

urement, there are a number of noteworthy challenges, as well. A citizen’s role in

Source: S. Kwak. 2006. School of Public Affairs and Administration, Rutgers University–Newark.

FIGURE 7.6 – CITIZEN INVOLVEMENT: THE CASE OF DES MOINES, IOWA

Supply and Demand Strategy

Supply

Networks Platforms Interfaces

Utilization Infrastructure

Demand

Needs Values

Priorities Digital Surveys

Managerial Values -Congruence between Organizational Goals

and Measurement Schemes -Improvement in Quality of Decision-Making -Problem Identification and Problem Soiving

-Efficiency and Cost Savings

Democratic Values -Effective Communication among Participants

-Civic Engagement and Education -Accountability

Deliberation Process

Designing the Project

Forming a CIPA Team

Identifying Performance Measures

Collecting Performance Data

Analyzing

Reporting Performance Information

245Public Performance

government is typically distant and passive, rarely going beyond writing letters or

signing petitions (King 2002). Many citizens prefer passivity, and many officials

welcome it. Public managers would need additional training to engage citizens in

processes of decision-making, and doing so would require commitments of time

and resources (Roberts 1997; Weeks 2000). Regardless of such challenges, the in-

clusion of citizens in performance measurement has become central to public ad-

ministrators (Nalbandian 1999; Vigoda 2002).

The Balanced Scorecard The balanced scorecard concept as a management tool was first developed in 1992

by David Norton and Robert Kaplan. Adopted in the private sector first, it allowed

for significant improvements in organizational performance. The balanced score-

card (BSC) goes beyond traditional measures—measures that are chiefly financial

in nature—by offering a “balanced” methodology for assessing the effectiveness

with which the organization fulfills its vision and strategy. It aligns performance

measures in four categories: financial management, customer focus, internal busi-

ness processes, and learning and growth. BSC translates strategies into clearly de-

Source: S. Kwak. 2006. School of Public Affairs and Administration, Rutgers University–Newark.

FIGURE 7.7 – PERFORMANCE MANAGEMENT DASHBOARD WITH THE BALANCED SCORECARD OF THE WASHINGTON STATE TRANSPORTATION IMPROVEMENT BOARD

TIB GMAP Performance Management Dashboard

TIB at a Glance

Balanced Scorecard

GMAP Reporting

Selected Projects

Project Information

Time Lapse Data

Output Measures

Outcome Measures

Efficiency Measures

Financial Measures

TIB At A Glance Program Metrics

Statewide Project Inventory Open Application

Design Old

Constraction Closeout

Active Projects 383 Rem. Commitment $354,158,863 Completed (FYTD) 119 Under Constraction 138

Agency Status TIB Balanced Scorecard

Investors & Customers

Business Practices

Project Control

Financial

Financial Health

Fund Balances Open 35.5m

3.0m 35.5m 2.0m 15.5m 1.0m

« TIA UATA SCPP Total

Fund Balances

Project Espendetures Accounts PayableFully Funded & Completed Projects

• Sustanable Fnancial Management

• Strong Project Control

• Exemplary Business Practices

• Informed Investors & Customers

Fund Balances are as of 04/12/2008

246 CHAPTER 7

Citizen-Initiated Performance Assessment: The Case of Iowa In 2001, the Alfred P. Sloan Foundation funded a three-year project in Iowa called

Citizen-Initiated Performance Assessment, which engages citizens, city council mem-

bers, and departmental staff in the development and use of performance measures to

evaluate public services. Thirty-two Iowa cities with populations above 10,000 were

contacted initially. Eventually, the city councils, departmental staff, and citizen rep-

resentatives of nine cities (Burlington, Carroll, Clive, Des Moines, Indianola, John-

ston, Marion, Marshalltown, and Urbandale) made the commitment to the project.

The Iowa CIPA project differs from traditional performance measurement in three

major respects. First, it emphasizes collaboration among citizens, elected officials,

and managers in developing performance measures to ensure political credibility

and receptivity of the measures. Second, it emphasizes the citizen perspective in per-

formance measurement, rather than the managerial perspective that often empha-

sizes input and cost-efficiency. Third, it emphasizes public dissemination of

performance measurement results to hold government accountable.

In the first year of the CIPA project, each participating city formed a “citizen per-

formance team.” Citizens from diverse backgrounds make up the majority of the

team. For example, the city of Des Moines asked representatives from neighborhood

associations to participate. Some cities pursued public recruitment of citizens

through newspaper announcements, city newsletters, and the city cable TV. Many

also recruited members from other citizen committees and community organiza-

tions. In addition to citizens, each performance team had one or two staff represen-

tatives and a city council member.

In the initial meetings, the performance team had a brief review of city government

operations. Some cities also asked citizens to develop strategies to recruit additional

members based on a city’s demography. Then the team selected one or two public

services for performance measurement, usually based on fiscal significance, direct

impact on citizens, and current citizen concerns. The Iowa CIPA project currently

covers police, fire and EMS, library, recreational center, street repair, snow removal,

public transportation, solid waste management, nuisance control, and park and

recreation services.

While each of the nine cities can decide its project progress, all of them generally ad-

here to the following model: In the first stage of the project, the citizen performance

team identifies the “critical elements” of a selected public service. For example, for

nuisance control, some of the critical elements are response time, effectiveness in re-

247Public Performance

solving service requests, and effectiveness in public reporting of departmental ac-

tions. For the police, the critical elements include response time, professionalism in

interaction with citizens, competency and effectiveness in investigation, sufficiency

of patrol, and legal compliance of officers.

Based on the critical elements, the performance team develops measures and evalu-

ates them. Among evaluation criteria, understandability and usefulness to the pub-

lic are the most important measures developed for public reporting.

In the second stage of CIPA, city departments develop necessary instruments, such

as citizen or user surveys, to collect performance data. At the same time, citizens help

collect some performance data, report the project progress to the city council, and de-

velop strategies to better engage the general public in the project.

Finally, the performance measurement results are reported to the performance team,

the city council, and the general public. Public input is solicited to improve per-

formance. City departments then integrate the results in strategic planning, per-

formance-based budgeting, and activity-based management of service operations.

The Iowa CIPA project is currently in its second stage. While it may be premature

to conclude any long-term impact of the project, several lessons have been learned.

First, CIPA helps officials focus on outcome measures and citizen concerns. This

enhances public accountability and the result orientation of public services. Second,

CIPA shows the importance of public communication. For example, a department

should not ignore notification of citizens about the progress or results of depart-

mental actions after a service request is filed. Third, managers should prepare for

comparative performance measurement, as many citizens are interested in knowing

how well their city performs relative to others in the neighboring area. Fourth, many

performance measures should be reported at the neighborhood level to enhance

their relevancy to citizens. Finally, public reporting of performance measurement is

important. Cities should consider the usage of technologies, such as the Internet, to

do this cost-effectively. Many cities have been collecting performance data for

decades. CIPA simply changes the perspective of managers and elected officials by

engaging citizens so that the public can influence the bases on which government

services are evaluated.

Source: National Center for Public Performance. 2004. “Iowa. Citizen Initiated Performance Assess- ment (CIPA).” Teaching Case. Citizen-Driven Government Performance. Written by Paul Coates and Al- fred Tat-Kei Ho. ASPA members Paul Coates and Alfred Ho co-lead the Iowa project. Reprinted with permission from the PA TIMES, monthly newspaper of the American Society for Public Administration (ASPA), www.aspanet.org.

248 CHAPTER 7

fined objectives, measures, performance targets, and initiatives that address

achievement in those four categories.

• Financial: “To succeed financially, how should we appear to our

shareholders?”

• Customer: “To achieve our vision, how should we appear to our

customers?”

• Internal processes: “To satisfy our shareholders and customers, at

what business processes must we excel?”

• Learning: “To achieve our vision, how will we sustain our ability to

change and improve?” (Mathys and Thompson 2005)

The Social Aspects of Performance Bureau-pathology Public organizations are facing increasing pressures to perform at a high level, but

several sources of tension may undermine efforts to improve performance. In par-

ticular, most organizations suffer from bureaucratic stagnation, which can have

unanticipated pathological consequences. Whether justified or not, bureaucracy

carries with it a reputation for mediocrity, which is captured in sayings like “don’t

rock the boat” or “go along to get along.” Other negative consequences of bureau-

cracy include a loss of personal autonomy, directing one’s energies toward resolv-

ing personal problems rather than organizational problems, engaging in office

politics, and abusing fellow employees. Bureaucracies—sometimes too often—trans-

form their workers into impersonal machines, the consequence of which is less pro-

ductive responses to citizen demands and needs.

Management-Workforce Cooperation The contention that too much bureaucracy suppresses public performance has

given rise to alternative theories. Osborne and Gaebler (1992) champion an en-

City of Deficitprone—Improving Public Performance (Simulation) After completing the simulation, students will identify the unrealized opportunities for productivity improvements and the obstacles to them. What are the conflicts and how would you address them?

Canfield, Roger and Marc Holzer. 1977. Management-Labor Productivity Simulation: City of Deficitprone. Public Productivity Review 2 (4) (Fall): 38–47.

EXERCISE 7.1

249Public Performance

trepreneurial approach to public administration as opposed to the traditional bu-

reaucratic approach. Central to overcoming bureaucratic pathologies is manage-

ment-workforce collaboration. Many public administrators agree that cooperation

between rank-and-file workers and upper-level decision makers—that is, labor

and middle management—is essential to improving organizational performance.

However, the notion of cooperation goes well beyond contributions to the office

suggestion box; rather, it involves the formation and use of performance commit-

tees and quality circles. These provide a means of discussing and disseminating in-

novative and productive ideas throughout an organization. The hierarchical and

centralized bureaucratic model is replaced by an egalitarian partnership com-

prised of upper- and lower-level employees, which increases the possibility of in-

novation and risk taking, given that everyone within the organization possesses a

psychological stake in its improvement (Grace and Holzer 1992).

– I’VE BEEN WHATCHING THEM ALL DAY: NOT A SINGLE PERSON IS WORKING… Artist: Z. Yefimovsky; “The Fighting Pencil” group, 1980.

250 CHAPTER 7

Workforce Motivation and Incentives Often overlooked are the social and psychological aspects that affect organizational

performance. Classical performance improvement models were borrowed from the

private sector, an example being Frederick Taylor’s scientific management model.

Rooted in the assumption that workers are motivated primarily by money, Taylorism

provides a limited perspective of productivity and performance. Classical manage-

ment principles maintain that individuals are motivated by fear—the fear of losing

their jobs. As a result of this fear, workers will follow orders. The intricacies of worker

motivation are underscored in the Hawthorne experiments, Maslow’s hierarchy of

needs, and in particular McGregor’s Theory X and Theory Y assumptions about work-

ers (all of which have been discussed in earlier chapters).

At times, the authority vested in supervisory, management, and upper-manage-

ment positions may lead some “higher ups” to make erroneous assumptions about

lower-level workers. Such individuals embrace Theory X

assumptions that:

• Supervisors and managers are given the lead roles.

• Workers are the supporting cast for supervisors and

managers.

• The cast must be micromanaged.

• Employees require comprehensive training because

they inherently resist change.

• Fear is the chief motivator.

Most people in positions of authority are inclined to take the Theory X view of work-

ers, while those in subordinate positions are more likely to view themselves as “Y”

workers. The Y scenario assumes:

• All workers are important.

• Workers are professionals who are willing to learn and prefer being

self-directed.

• There are many sources of motivation that go beyond fear and money,

such as praise and feeling good about one’s work.

The differences between Theories X and Y is the difference between a success and

a flop, between an underachiever and an overachiever, between loss and profit,

between employee conflict and cooperation, between success and organizational

failure. Rigid “X” assumptions can be broken. Transitioning from X to Y is possi-

ble when status, dominance, distance, decision-making power, praise, and infor-

mation are available to employees at all levels in an organization.

“Without a standard there is

no logical basis for making a decision or taking action.”

JOSEPH M. JURAN “Father” of Quality

Management (1904–2008)

251Public Performance

The Role of Privatization in Government Performance Under increasing scrutiny regarding their efficiency and effectiveness, public or-

ganizations risk losing some of their essential functions to the private sector. Pri-

vatization and contracting out are two frequently used and often expensive

alternatives to underachieving public organizations. Even though these terms are

often used interchangeably, privatization and contracting out are slightly different.

Privatization refers to the complete transfer of a government function to the pri- vate sector. It sometimes entails the sale of government enterprises and assets or

the demonopolization of government functions—which will allow private-sector al-

ternatives to emerge (Savas 1992). With privatization, government is removed, and

what remains is a relationship between a private entity and its customers. This re-

lationship is a financial one. With contracting out, a private organization works on behalf of the government. The relationship essentially involves three parties—the

private organization provides the service, the customers receive the service, and

the entire process is overseen by the government. Contracting out differs from pri-

vatization given that government still has some measure of control over the private

organization delivering the services.

Champions of privatization and contracting out argue that the private sector does

things better. Private organizations are more innovative and more fiscally respon-

sible than government. They have greater motivation and fewer impediments to

delivering services. A recurring argument for privatization and contracting out is

that market competition makes all the difference: because private organizations

are competing with each other, they will work to provide the best service at the low-

est cost (Donahue 1989).

252 CHAPTER 7

Behn, R.D. 2003. “Why Measure Performance? Different Purposes Require Dif-

ferent Measures.” Public Administration Review 63, no. 5: 586–606.

Berman and West. 1995. “Municipal Commitment to Total Quality Management:

A Survey of Recent Progress.” Public Administration Review 55, no. 1: 57–66.

Brocker, J and Rubin J.Z. 1985. Entrapment in Escalating Conflicts: A Social Psychological Analysis. New York: Springer-Verlag.

Deming, W.E. 1986. Out of the Crisis. Cambridge, MA: MIT Center for Advanced Engineering Study.

Donahue, J.D. 1989. The Privatization Decision: Public Ends, Private Means. New York: Basic Books.

Attribution

Captive agency

Continuous improvement

Contracting out

Customer focus

Decentralization

Efficiency indicators

Empowerment

Entrapment

External customer

Functional differentiation

Horizontal teamwork

Information distortion

Input indicators

Integration

Internal customer

Interorganizational teamwork

KSAs (knowledge, skills and abilities)

Output indicators

Outcome indicators

Parochialism

Performance measurement

Performance measurement system

Performance targets

Privatization

Productivity improvement

Programs

Public performance

Representativeness

Responsiveness

Teamwork

Total Quality Management (TQM)

Trained incapacity

Vertical teamwork

KEY TERMS

REFERENCES

253Public Performance

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ter for Public Productivity, Rutgers University, Newark, NJ.

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Flynn, B.B., S. Sakakibara, and R.G. Schroeder. 1995. “Relationship Between JIT

and TQM: Practices and Performance.” Academy of Management Journal. 38, no. 5: 1325–60.

General Accounting Office (GAO). 1992. “Program Performance Measures: Fed-

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Gortner, H., J. Mahler, and B.J. Nicholson (eds.). 1987. Organization Theory: A Public Perspective. Pacific Grove, CA: Brooks/Cole.

Government Executive Magazine, January 12, 1995.

Grace, S.L., and M. Holzer. 1992. “Labor-Management Cooperation: An Opportu-

nity for Change.” In Public Productivity Handbook, ed. M. Holzer, 487–98. New York: Marcel Dekker.

Hamilton, Lee V. 1980. “Intuitive Psychologist or Intuitive Lawyer? Alternative

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Hatry, H.P. 1977. How Effective Are Your Community Services? Washington, DC: Urban Institute.

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Hatry, H.P., Fountain, J.R. Jr., Sullivan, J.M., and Kremer, L. 1990. “Service Ef-

forts and Accomplishments Reporting: Its Time Has Come.” Government Ac-

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90–80879.

Heider, F. 1958. The Psychology of Interpersonal Relations. New York: Wiley.

Holt, G.D., P.E.D., Love, and L. Jawahar-Nesan. 2000. “Employee Empower-

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Holzer, M. and S. H. Lee. 1999. “Labor Management Tension and Partnership:

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Kaufman, H. 1987. Administrative Decentralization and Political Power. In Clas- sics of Public Administration, 1969, ed. J.M. Shafritz and A. C. Hyde, pp. 389– 404. 2d.ed. Chicago: Dorsey.

King, C.S. 2002. “Is Performance-oriented Government Democratic?” In Meeting the Challenges of Performance-oriented Government. ed. K. Newcomer, E.T. Jennings, Jr., C. Broom, and A. Lomax. Washington, DC: ASPA.

Klingner, Donald E. . and John Nalbandian. 1998. Public Personnel Manage- ment: Contexts and Strategies. Upper Saddle River, NJ: Prentice Hall/Simon & Schuster.

Lee, S.H. 2000a. “Understanding Productivity Improvement in a Turbulent Envi-

ronment: A Symposium Introduction.” Public Productivity and Management Review 23: 423–27.

Lee, S.H. 2000b. “A Multidimensional View of Public Sector Employee Commit-

ment and Willingness to Support Productivity Improvement Strategies: A

Comparative Study of Public Employees at Managerial Level between the

United States and South Korea.” Unpublished dissertation, Rutgers University,

Newark, NJ.

Lee, S.H. 2001. “Barriers to Active Citizen Participation in the Public Sector: Les-

sons Learned from South Korea.” In Current Topics in Management, ed. M.A. Rahim, R.T. Golembievski, K.D. Mackenzie, vol.6, 309–30. New York: JAI.

Mathys, N.J., and K.R. Thompson. 2005. Using the Balanced Scorecard: Lessons Learned from the U.S. Postal Service and the Defense Finance and Account- ing Service. Washington, DC: IBM Center for the Business in Government.

McGowan, R.P., and Wittmer, D.P. 1997. “Five Great Issues in Decision Making.”

In Handbook of Public Adminsitration, ed. J. Hildreth, W.B. Miller, 2d ed, 293–320. New York: Marcel Dekker.

———. 1998. “Gaining a Competitive Edge: Economic Development Strategies for

State and Local Governments,” Public Administration Quarterly 22, no. 3: 301– 14.

Merton, R. K. 1987. “Bureaucratic Structure and Personality (1940).” In Classics of Public Administration, ed. J.M. Shafritz, A.C. Hyde, 2d ed., 107–16. Chicago: Dorsey.

Milakovich, M. 1992. “Total Quality Management for Public Service Productivity

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Miller, D.T. and Ross, M. 1975. “Self-Serving Biases in the Attribution of Causal-

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Nalbandian, J. 1999. “Facilitating Community, Enabling Democracy: New Roles for

Local Government Managers.” Public Administration Review 59, no. 3: 187–97.

New Jersey Motor Vehicle Commission (NJMVC). 2006. “Toward a Serviced

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Norton, D. and R. Kaplan. 1992. “The Balanced Scorecard—Measures that Drive

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O’Reilly, C. A. 1978. “The Intentional Distortion of Information in Organizational

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Osborne, D., and T. Gaebler. 1992. Reinventing Government: How the Entrepre- neurial Spirit Is Transforming the Public Sector. Reading, MA: Addison-Wesley.

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Rago, W. V. 1994. “Adapting Total Quality Management (TQM) to Government:

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———. 1996. “Struggles in Transformation: A Study in TQM, Leadership Organi-

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Simon, H. A. 1997. Administrative Behavior. A Study of Decision Making Processes in Administrative Organizations. 4th ed. New York: Free Press.

256 CHAPTER 7

Swiss, J. E. 1992. “Adapting Total Quality Management (TQM) to Government.”

Public Administration Review 52: 356–62.

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———1995b. “Part Two: Is This Ice Cream American?” Administration & Society 27, no. 3: 307–21.

Gore, A. 1993. From Red Tape to Results: Creating a Government That Works Better and Costs Less: The Report of the National Performance Review. Washington, DC: U.S. Government Printing Office.

APQC (formerly known as the American Productivity and Quality Center; a non-

profit agency that provides benchmarking and best-practice research to organ-

izations worldwide): http://www.apqc.org

ExpectMore.gov (a site developed by the U.S. Office of Management and Budget

devoted to ranking the performance of federal agencies): www.expectmore.gov

SUPPLEMENTARY READINGS

ELECTRONIC RESOURCES

257Public Performance

Government Accounting Standards Board (GASB), Service Efforts and Accom-

plishments Reporting for Governments: http://www.seagov.org/index.shtml

Government Finance Officer’s Association (GFOA) of the United States and

Canada, Performance Measurement Website:

http://www.gfoa.org/index.php?option=com_content&task=view&id=479&It

emid=250

National Institute of Standards and Technology, Baldrige National Quality Pro-

gram: http://www.quality.nist.gov

Office of Management and Budget: Performance Measurement Challenges and

Strategies http://www.whitehouse.gov/omb/challenges_strategies

Office of Management and Budget: Best Practices for Collecting and Using Cur-

rent and Past Performance Information

http://www.whitehouse.gov/omb/best_practice_re_past_perf

The W. Edwards Deming Institute: www.deming.org

Program Evaluation

CHAPTER 8

In Chapter 8, students are presented with the fundamentals

of program evaluation. Upon reading this chapter, students

will understand what program evaluation is and how one goes

about completing an evaluation. This chapter discusses the

various techniques for collecting information (or data) and the

importance of stakeholders in this process. It also examines

the types of program evaluations and concludes with a

discussion of ethical conduct for program evaluators.

258 CHAPTER 8

259Program Evaluation

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Evaluation is the process of determining the merit, worth, and value of things.”

MICHAEL SCRIVEN Evaluation Theorist

A focus group can provide valuable feedback.

260 CHAPTER 8

Throughout the late 1950s and early 1960s, the policy sciences emerged as a means of studying and addressing some of the most pressing societal problems through the

use of highly quantitative and quasi-scientific approaches to social problem solving. Examples of these approaches include operations research and planning program- ming budgeting systems (PPBS). Operations research entails the use of statistics and mathematical modeling in decision making, while PPBS is the systematic comparison

of different programs with regard to costs and effectiveness. With the advent of the

antipoverty movement during the administrations of President John F. Kennedy and

President Lyndon Baines Johnson, the policy science community saw an opportu-

nity to contribute in the area of policy formulation. Policy science contributions cul-

minated with the Economic Opportunity Act of 1964, which

was the centerpiece of Johnson’s Great Society agenda. In

spite of a comprehensive legislative effort to combat poverty,

there was little improvement in the lives of the nation’s poor.

Johnson’s antipoverty programs were, by and large, unsuc-

cessful, and this consequently altered the focus of the policy

science community, whereby program evaluation research moved to the forefront (deLeon 1988).

Program evaluation is the use of social science research

methods in an effort to determine whether a public program

is worthwhile. Program evaluation is systematic—which is

to say that it is a quasi-scientific process. Unlike more tra-

ditional academic research, program evaluation is more

client-centered. Evaluation research is often referred to as

applied research. There are two schools of thought regarding how program evalua-

tions should be conducted. On the one hand, some would argue that program eval-

uations should follow social science research principles to the letter, whereby very

few, if any, concessions are made regarding the needs of the client. In other words,

program evaluations should differ very little from purely academic research that ap-

pears in scholarly publications. On the other hand, while program evaluations must

be grounded in social science research principles, it is necessary to take into account

the individual needs of the client (Rossi, Lipsey, and Freeman 2004).

There are several reasons why program directors initiate an outside evaluation. For

most program directors, the motivation for an evaluation is to gain knowledge and

improve some aspect of their program. For some others, however, political or pub-

lic relations considerations serve as motivation. At times, program evaluations are

ritualistic endeavors that are meant to appease policymakers and/or advocacy

groups that are pressuring a government department or agency for more account-

ability or better results.

WHAT IS PROGRAM EVALUATION?

“Everything that can be counted

does not necessarily count;

everything that counts cannot necessarily be

counted.”

ALBERT EINSTEIN Physicist;

Nobel Prize Winner (1879–1955)

261Program Evaluation

For an evaluator, it is important to have an understanding as to what is motivating

an evaluation. Evaluations motivated by veiled agendas or politics raise the possi-

bility that a program’s director may apply pressure on an evaluator to conduct an

evaluation that lacks necessary objectivity (that is, the absence of personal bias). If

the motivation of an evaluation is unclear, the evaluator may ask:

• Why is there a need for this program to be evaluated?

• What questions will this evaluation try to answer?

• How will the research results and data be used?

How to Collect Empirical Data Program evaluations are based on the collection of empirical data. Empirical means

observable through one’s senses. In other words, empirical data are seen or heard,

and they are typically collected by surveys, in-depth interviews, focus groups, field observations, experimentation, and existing data (Singleton and Straits 2004). Sur- veys involve asking a significant number of individuals a set of structured questions.

These questions are usually close-ended, which means that the survey respondent is presented with a question and a specific number of corresponding answer choices.

Some surveys use open-ended questions, whereby the respondents provide their own answers. Examples of closed and open-ended survey questions might include:

Close-ended example: How would you rate the quality of the after-school mathematics tutoring program?

A. Excellent

B. Above average

C. Average

D. Below average

E. Poor

F. Unsure

Open-ended example: How would you rate the quality of the after-school mathematics tutoring program?

Close-ended survey questions are preferable for several reasons. First, the data col-

lection process can be completed more quickly and efficiently, as survey respon-

dents are not compelled to search for answers. Second, it is easier for an evaluator

to organize, summarize, and analyze data obtained via close-ended survey ques-

tions. Third, close-ended questions are easier for respondents, which reduces what

is known as survey response fatigue. Completing a survey requires you to think, and as such, you will begin to tire at some point during the survey. Response fatigue

262 CHAPTER 8

The Pros and Cons of Using Surveys to Measure Accurate measurement requires valid data. This requires reliable data collection pro-

cedures. Several methods of data collection are available, including written surveys,

telephone surveys, focus groups, interviews, intercepts, experiments and systematic

observation. Of these, written surveys are probably the most widely used and abused.

Because they can be written fairly easily, printed surveys are often used rather than

more in-depth, difficult and expensive techniques. However, surveys should only be

used when information from other methods is not available or to verify the results of

other methods. If questionnaires are written, tested and administered correctly, the

results can be most informative. If they are not, the results can be misleading and, if

used for policy decisions, potentially disastrous.

When Should I Use a Survey? • Physical Limitations. Sometimes it is physically impossible to inter-

view members of a population. For example, the population of air trav-

elers is large, ill-defined and in constant motion. They are not

predisposed to stop and submit to interviews or intercepts. However,

they might complete a survey after being boarded if one is included

with a boarding pass or with a complimentary beverage after being

seated.

• Cost Limitations. The cost of interviewing a representative sample of a population is often prohibitive. Staff and training costs are major con-

siderations.

• Time Limitations. Even if a large staff of interviewers could be funded, assembled and trained, the time necessary to do this and then to inter-

view a selection of a population is significant. If timeliness is critical,

this can be a determining factor.

• Confirmation. Surveys are well suited to confirm the findings of other types of data collection. They can be used as follow-up inquiries after

interviews and focus groups to concentrate narrowly on specific issues

uncovered by these prior methods.

Advantages of Written Surveys • Inexpensive. They are not as labor-intensive as interviews or focus

groups. A well-designed survey can generate a substantial amount of

data without requiring a significant investment of staff time.

263Program Evaluation

• Easy to Administer. Since the questions are written, staff members do not need to be trained in techniques of interviewing, systematic obser-

vation or focus group facilitation.

• Anonymous. Respondents tend to be more frank and honest if they can be assured that their answers are anonymous. Anonymity is more diffi-

cult to maintain in face-to-face encounters.

• Easy to Process. Survey responses are quantitative and easily analyzed via any number of computer-based statistical analysis packages. Other

forms of data collection tend to use open-ended questions requiring

more complex qualitative analysis procedures.

• Reduced Time Pressure. Respondents can answer questionnaires at their leisure and consider their responses. This is not the case in inter-

view situations.

Disadvantages of Written Surveys • Impersonal and Structured. Written questions generally do not allow

respondents to clarify their answers. This makes data analysis rela-

tively easy, but does not necessarily allow for a full range of responses.

• Over-interpretation. Sometimes, respondents read meaning into a question that is not there. They also occasionally try to guess how the

questioner would like them to answer.

• Time-consuming. This is particularly true if the survey is sent through the mail. Time must be allocated both for delivery and response.

• Low Response Rates. This is common with mail surveys. Many people simply throw away all mail surveys.

• Distortion. Respondents who either strongly agree or strongly disagree tend to respond to surveys in greater numbers than do those who have

moderate feelings.

Overcoming Disadvantages • The impersonal, structured nature of surveys can be tempered by giv-

ing clear oral instructions when possible and by using a friendly con-

versational tone in written instructions. The second person is preferred

in writing (e.g., “If you have any questions, please call me—.”). Over-in-

terpretation can be reduced by instructing respondents to give their (continued)

264 CHAPTER 8

increases the likelihood of satisficing, which occurs when a respondent manages to answer survey questions without expending substantial effort. In other words, re-

spondents that are satisficing do not think very much about the questions—they sim-

ply complete the task quickly and mechanically. In more extreme cases, satisficing

emerges in the form of random guessing and an inordinate number of “I don’t know”

responses. Response fatigue and satisficing can have a significant impact on the

quality of an evaluator’s data. Close-ended questions are much less prone to response

fatigue and satisficing compared to open-ended questions. Close-ended questions,

however, are disadvantageous because they limit the amount of information that

can be collected from the respondent; open-ended questions do not confine the re-

spondent to a few answer choices, which allows an evaluator to collect richer data.

In addition to surveys, in-depth interviews and focus groups are an effective means of

collecting empirical data. In-depth interviews involve asking broad, open-ended ques-

first impressions and not to attempt to analyze the question.

• A lack of timeliness can be addressed by administering the survey to

larger groups of people in one place (auditorium, gymnasium, etc.) and

by budgeting enough time to compensate for possible mail delays.

• Low response rates can be improved by offering respondents a small

token of appreciation for their participation. One must be careful, how-

ever, not to bias the responses by “paying” people to complete the sur-

veys. People who are in financial difficulties tend to be

over-represented in surveys that make this error.

• Distortion can be overcome by conducting follow-up contacts with non-

respondents, thanking them for their participation and encouraging

them to return the survey if they have not yet done so. This may take

the form of postcards or telephone calls.

Conclusion Surveys are “lagging indicators.” They measure what is in the past. Many things can

happen to change situations between the time respondents complete a survey and

the time the survey is fully analyzed and reported. To be truly proactive, we should

use “leading indicators” to measure what is occurring now and how well we are

achieving what we want in the future.

Source: H.L. Merritt. 2001. “On Measurement II.” Impact: The Official Newsletter of the South Carolina State Government Improvement Network 10 (2).

(continued)

265Program Evaluation

tions that elicit lengthy and detailed responses. They differ fundamentally from sur-

veys in that they are less structured, include far fewer respondents, and produce a

tremendous amount of qualitative data. Focus groups are small groups, usually con-

sisting of six to ten participants, the purpose of which is to

establish a dialogue about a specific aspect of a program.

Much like in-depth interviews, focus groups use broad

themes and open-ended questions to drive the dialogue. In-

depth interviews and focus groups often rely on the use of

follow-up (or probing) questions, the purpose of which is to

address inadequate answers, gain additional information, or

clarify statements made by interviewees or focus group par-

ticipants (Camino, Zeldin, and Payne-Jackson 1995). Gen-

eral follow-up questions may include:

• Could you tell me more about that?

• Could you give me some examples?

• I am not quite sure I understand. Could you elab-

orate some more?

• What are some of the reasons you feel that way?

Field observation is another tool of the program evaluator. There are two primary types of field observations: partici- pant observations and nonparticipant observations. With participant observations, evaluators immerse themselves

into the program that is being evaluated, documenting what

they see or hear. Central to this is establishing and main-

taining relationships with program managers and practi-

tioners, as well as participating in some aspect of a

program’s operations. Conversely, nonparticipant observa-

tions assume complete detachment. The evaluator has no

participatory role. For participant observers, the relation-

ships that are cultivated and experiences that occur as an

“insider” serve as sources of intimate knowledge about a

program’s structure and processes. It is possible, however,

for a participant observer to become too close. In other

words, the relationships and experiences cloud the evalua-

tor’s judgment and introduce subjective bias. From an an-

thropological perspective, this is referred to as having gone

native. So, while more intimate data can be collected via

participant observations compared to nonparticipant observations, there is the risk

of biasing one’s research by becoming too immersed in the group. Which, then, is ul-

timately better—participant observations or nonparticipant observations? Unfortu-

“What gets measured gets

done.

If you don’t measure results,

you can’t tell success from

failure.

If you can’t see success, you can’t

reward it.

If you can’t reward success, you’re

probably rewarding failure.

If you can’t see success, you can’t

learn from it.

If you can’t recognize failure,

you can’t correct it.

If you can demonstrate

results, you can win public support.”

DAVID OSBORNE and

TED GAEBLER Architects of Reinventing

Government

266 CHAPTER 8

nately, there is no clear answer here, as this boils down to a judgment call. Partici-

pant observers have the luxury of getting intimately connected with the group, which

may yield a rich amount of data and tremendous insight—although some of this in-

sight may be biased due to personal interactions and actually becoming part of the

group. Nonparticipant observations are safer in terms of limiting bias, but do not

yield as much data as to the personal dynamics of a group.

Social science methods of experimentation are quasi-scientific, as they follow the

logic of natural science experiments. Experimentation (whether scientific or social)

involves manipulation and control in an effort to test causal relationships. In the

medical sciences, the most recognizable example is the drug experiment, whereby

there are two groups: the first group receives the drug (treatment group), while the

second group receives a placebo (control group). The results of the treatment and

control groups are ultimately compared in order to determine the effect of the drug.

In the context of evaluation research, experiments are the primary way of assess-

ing the impact of a program. Consider that we are interested in determining the ef-

fect of a peer-tutoring program on student performance in mathematics. As in the

case of the drug experiment, some students would partake in the peer-tutoring pro-

gram (the treatment group), while other students would not (the control group).

Any differences between the treatment and control groups are considered to be a

function of the peer-tutoring program. A more detailed discussion of experimenta-

tion is forthcoming, when we address program impact assessment.

Often overlooked is the fact that evaluative data may already exist. Existing data in-

cludes any information that the program formally collects, or any information that

can be obtained through internal program documents such as reports or memoranda.

Before collecting any new data via surveys, interviews, focus groups, observations, or

experiments, an evaluator should first determine what data a program already pos-

sesses and review internal documents relevant to the scope of the evaluation.

Conducting Evaluations and the Importance of Stakeholders Key to the entire program evaluation process is the relationship and interactions

that the evaluator (or evaluation team) has with a program’s stakeholders. Stake- holders are individuals or groups that have an interest in how a program is per-

forming. In simplest terms, these are people who, in one way or another, care about

a program. The process of identifying stakeholders is sometimes referred to as an

environmental scan. According to Rossi, Lipsey, and Freeman (2004) there are six

primary stakeholders. They include:

• Policymakers

• Program Sponsors

267

TABLE 8.1 – OVERVIEW OF METHODS TO COLLECT INFORMATION

Program Evaluation

Method Overall purpose Advantages Challenges

Question- naires, surveys, checklists

When need to quickly and/or easily get lots of information from peo- ple in a nonthreatening way

• Can complete anonymously • Inexpensive to administer • Easy to compare and analyze • Administer to many people • Can get lots of data • Many sample questionnaires already exist

• Might not get careful feedback • Wording can bias client’s responses • Are impersonal • In surveys, may need sampling expert • Doesn’t get full story

Interviews When want to fully understand someone’s impressions or experiences, or learn more about their answers to questionnaires

• Get full range and depth of information • Develops relationship with client • Can be flexible with client

• Can take much time • Can be hard to analyze and compare • Can be costly • Interviewer can bias client’s responses

Documentation review (existing data)

When want impression of how program oper- ates without interrupt- ing the program; is from review of applica- tions, finances, memos, minutes, etc.

• Get comprehensive and his- torical information • Doesn’t interrupt program or client’s routine in program • Information already exists • Few biases about informa- tion

• Often takes much time • Info may be incomplete • Need to be quite clear about what is being looked for • Not flexible means to get data; data restricted to what already exists

Observation To gather accurate in- formation about how a program actually oper- ates, particularly about processes

• View operations of a pro- gram as they are actually oc- curring • Can adapt to events as they occur

• Can be difficult to interpret seen behaviors • Can be complex to catego- rize observations • Can influence behaviors of program participants • Can be expensive

Focus groups Explore a topic in depth through group discussion, e.g., about reactions to an experi- ence or suggestion, un- derstanding common complaints, etc.; useful in evaluation and mar- keting

• Quickly and reliably get common impressions • Can be efficient way to get much range and depth of in- formation in short time • Can convey key information about programs

• Can be hard to analyze re- sponses • Need good facilitator for safety and closure • Difficult to schedule 6–8 people together

Case studies To fully understand or depict client’s experi- ences in a program, and conduct compre- hensive examination through cross compari- son of cases

• Fully depicts client’s experi- ence in program input, process and results • Powerful means to portray program to outsiders

• Usually quite time consum- ing to collect, organize and describe • Represents depth of infor- mation, rather than breadth

Source: Carter McNamara, Authenticity Consulting, LLC.

268 CHAPTER 8

• Evaluation Sponsor

• Program Managers and Practitioners

• Program Targets

• Other Related Stakeholders

Policymakers usually represent elected officials or high-level governmental ap-

pointees who determine whether a program is created. Program sponsors are re-

sponsible for a program’s funding. From a public-sector point of view, there is

significant overlap between policymakers and program sponsors. From a nonprofit

point of view, policymakers would represent those who initiate or develop the pro-

gram, while the program sponsors would likely represent a philanthropic founda-

tion (or individual) that financially supports the nonprofit program.

The evaluation sponsor initiates and/or authorizes the

evaluation. The sponsor serves as the conduit between the

evaluator and the program itself. When conducting a pro-

gram evaluation, the evaluator will likely need access to

managers, key personnel, rank-and-file personnel, inter-

nal records and data, and so on. The evaluation sponsor is

responsible for getting the “things” that the evaluator needs

to conduct the evaluation. Therefore, it is important that

the evaluator maintain a good working relationship with

the evaluation sponsor. In some instances, the sponsor

may guide or shape the direction of the evaluation.

Program managers are responsible for directing or super-

vising some aspect of the program’s day-to-day operations,

while practitioners implement policies and administer a

program’s services.

Program targets are the direct recipients of a program’s services. For example, if we were evaluating an after-school

tutoring program for secondary school students failing algebra, then the program

targets would be high school students failing algebra.

Finally, related stakeholders refer to all other stakeholders who have an “interest” in

how well a program performs. Returning to our high school tutoring program, some

related stakeholders may include parents, the board of education, the superintend-

ent of schools, and so on. In terms of identifying related stakeholders, an evaluator

should start by asking the evaluation sponsor, program managers, and practitioners

to identify key outside parties that have an interest in the program’s performance.

This will enable the evaluator to generate a list of related stakeholders. The problem

here, however, is that a list generated solely by individuals within the program is

“However good our futures research may be, we shall never be able to escape from the

ultimate dilemma that all our

knowledge is about the past,

and all our decisions are

about the future.”

IAN WILSON Scenario Planning Expert;

Strategy Consultant

269Program Evaluation

likely to be biased, given the tendency to identify related stakeholders that have a

good working relationship with the program. As a result, the information that these

stakeholders provide may be biased in positive way. The evaluator must minimize

bias by ensuring a wide representation of related stakeholders. This can be accom-

plished through snowball sampling, which is predicated on one stakeholder refer- ring the evaluator to another stakeholder, who, in turn, refers the evaluator to yet

another stakeholder, and so on and so forth. Thus, the original related stakeholder

list “snowballs” into a larger, more representative list.

Obtaining Stakeholder Input Stakeholder input is obtained, by and large, through in-depth interviews or

through focus group sessions. Key to this process is getting stakeholders to talk

candidly about the program. A good starting point is asking stakeholders: Why do you think that program x is conducting an evaluation? Other questions include: What is your perception of program x? What do you feel are the broader goals and objectives of the program? To what extent do you agree or disagree with these goals and objectives?

Another approach is to design open-ended questions around a concept known as

SWOT analysis. SWOT stands for strengths, weaknesses, opportunities, and threats. The evaluator essentially wants to ask: What does the program do well

Source: University of Wisconsin-Extension, Program Development and Evaluation. 2002. http://www.uwex.edu/ces/pdande/evaluation/evallogicmodel.html.

FIGURE 8.1 – GENERAL LOGIC MODEL

Inputs

S I T U A T I O N

P R

O R T I E S

What we invest

Staff

Volunteers

Time

Money

Research base

Materials

Equipment

Technology

Partners

Outputs

Activities Participation

Outcomes - Impact

ShortTerm Medium Term LongTerm

What we do who we reach

Conduct Participants

Deliver Agencies services Decision-

Develop makers products, cuniculum Customers resources

Train Provide

counseling Assess Facilitate Partner Work with

media

What the short term results are

Learning

Awareness

Knowledge

Attitudes

Skills

Opinions

Aspirations

Motivations

What the medium term results are

Action

Behavior

Practice

Decision-

making

Policies

Social action

What the ultimate impact(s) is

Conditions

Social

Economic

Civic

Environmental

Assumptions External Factors

270 CHAPTER 8

(strengths)? What does the program need to improve upon (weaknesses)? Is there

anything that the program does not do that it should (opportunities)? Is there any-

thing that could potentially be damaging to the program’s future (threats)? The idea

with these broad questions is to get the stakeholders thinking and talking about the

program. As the evaluator, your job is to document what is conveyed and try to

“make sense” of the information that you have gathered.

“Making sense” of interview and focus group data can be daunting because of the

large amount of information one can gather through just a few interviews and focus

group sessions. Interview and focus group transcripts can be dozens or even hun-

dreds of pages long. A general rule of thumb is to look for recurring themes and

stories. When similar patterns or stories begin repeating, an evaluator knows that

he or she has uncovered important information.

Types of Program Evaluations There are primarily five distinct but interrelated types of program evaluations

(Rossi, Lipsey, and Freeman 2004; Posavac and Carey 2007). They include:

• Needs Assessment

• Assessment of Program Theory

• Assessment of Program Process

• Program Impact Assessment

• Program Efficiency Assessment

Needs Assessment When conducting a needs assessment, an evaluator tries to determine if, and to what extent, a social condition or problem exists. In other words, is there a “need” for a

program? Conducting a needs assessment is a fundamental step in developing a new

program or restructuring an existing one. A needs assessment consists of four steps:

1. Defining the social condition or problem.

2. Determining the scope of the social condition or problem.

3. Defining the target population.

4. Briefly describing the services that are needed.

When defining the social condition or problem, it is important to be as specific as

possible. For instance, it is not enough to say simply that student underachieve-

ment in mathematics is the problem. It is important to stipulate what is meant by

underachievement. A clearer definition would be: Underachievement in mathe-

matics exists when students receive a grade of “D” or lower on two consecutive quar-

terly grade reports.

271Program Evaluation

Program Evaluation Questions Needs Assessment

• What is the problem?

• What is the scope of the problem?

• Where is the problem localized?

• Who are the targets (those in need)?

• What are the characteristics of the targets?

• What are the target boundaries?

• What services are needed?

Program Theory • What services will be provided?

• What are the program’s goals and objectives?

• How will services be delivered?

• How will the program identify and sustain target participation?

• What resources are needed, and how will they be organized?

• What will the program look like in terms of organizational structure?

Program Process • How well are program services being delivered?

• How many targets have been served in a given time period?

• What proportion of the total number of eligible targets has been served in a given time period?

• Do “enough” targets participate?

• To what extent are the targets satisfied with the program’s services and/or staff?

• How effectively do the program’s personnel work with one another or with inter-related government programs, departments, and/or agencies?

Impact Assessment • Are program goals and objectives being achieved?

• How do the services benefit the targets?

• Are there any adverse or unintended consequences of the program’s services?

• Has the social problem improved?

Efficiency Assessment • Do program benefits outweigh program costs?

• Are the costs to achieve program goals and objectives reasonable compared to similar programs?

272 CHAPTER 8

Shifting gears to a more difficult population to identify, consider that the social con-

dition or problem under investigation is homelessness, which is defined as “indi-

viduals who lack a fixed, regular, and adequate nighttime residence” (42 USC

[United States Code] 119). In trying to determine the scope of homelessness in a

particular neighborhood, an evaluator may: (1) Survey and/or interview neighbor-

hood residents and business owners, asking these individuals their perceptions re-

garding the scope of homelessness; (2) interview key informants, such as social

workers, church leaders, advocacy groups, and law enforcement officers; (3) con-

duct a street-by-street count of homeless individuals throughout a census (or sam-

ple) of neighborhood blocks. There are a couple of ways in

which a street-by-street count can be done: there are sim-

ple street counts and street counts with a short interview

component. The nomadic nature of homeless individuals

increases the likelihood of double counting. In other words,

a homeless person counted on Block A on Monday may be on Block B on Tuesday and thus could be counted twice. This makes the street count with an interview component

the method of choice, assuming the researcher has the re-

sources and time, as this helps guard against double count-

ing. Also, counting estimates are further complicated given

that homeless individuals may not necessarily be easy to

find—or our stereotypical impressions of what a homeless

person “looks like” will cause us to undercount people who

do not fit the “profile.” Determining the scope of a home-

less problem is particularly difficult, and in instances such

as these, it is important to rely on multiple methods to em-

pirically evaluate whether there is need (or how large the

need is).

In determining the scope of a social condition or problem,

we want to understand where the problem is and how large

it is. These determinations can be made by collecting either existing data or by col-

lecting new data through interviews, surveys, and/or focus group sessions that show

that there is “need” for a program to address a specific problem. Consider, for in-

stance, that there are anecdotal reports that the high school students in your local-

ity are “falling behind” their peers at neighboring schools in terms of mathematics

and science achievement. An evaluator conducting a needs assessment would likely

collect data regarding student achievement on state standardized tests, which are

typically administered each academic year, in addition to interviewing and/or sur-

veying key informants. Key informants are individuals who have an intimate knowl- edge regarding the needs of the targets. In this case, the school’s mathematics and

science teachers and students’ parents would serve as key informants—as they could

attest to how students or children are faring in school.

“Evaluation… [is] careful

retrospective assessment of the merit, worth, and

value of administration,

output, and outcome of government

interventions, which is intended to play a role in future, practical

action situations.”

EVERT VEDUNG Author, Public Policy and

Program Evaluation

273Program Evaluation

Which Are Outcomes? Nutrition Education Programs ____ 1. Older adults increased the amount of calcium-rich foods they eat. ____ 2. A series of lessons on healthy eating was taught in collaboration with a

drug treatment program. ____ 3. Participants serve more than one kind of vegetable to their families every

day after participating. ____ 4. Participants report savings as a result of wiser spending at the

grocery store. ____ 5. 75 adults have consistently attended all the nutrition workshops.

Food Safety Programs ____ 1. The ServSafe education program is working with 80 percent of all food

service managers in the state. ____ 2. Food poisonings dropped from 677 incidents in 1996 to 225 in 1997. ____ 3. Food service workers reported increased knowledge of safe handling

practices. ____ 4. Food safety skills were taught to state fair food vendors and

restaurant workers. ____ 5. Food safety information in English and Spanish is available on the

University web site.

Small Business Development Programs ____ 1. The small business development network grew from 10 to 13 offices

in two years. ____ 2. Clients generated nearly $40 million in sales. ____ 3. Clients received 12,138 hours of counseling in 1999. ____ 4. 6,349 participants attended 380 seminars and workshops. ____ 5. Clients created and retained 681 jobs.

Youth Citizenship Programs ____ 1. 4-H groups in 45 counties participated in community service projects. ____ 2. Teens volunteered in community service an average of 10 hours over

the year. ____ 3. Teens reported increased ability to identify and help solve a community

need. ____ 4. Teens feel more engaged in and responsible for their community. ____ 5. A local industry contributed $1,500 to the 4-H community service project.

(continued)

EXERCISE 8.1

274 CHAPTER 8

Defining the target population entails developing criteria that determine who is el-

igible to receive a program’s services. Therefore, if we have determined that there

is an empirically based need for a mathematics and science tutoring program, then

it is important to be clear as to which students will be offered such services. In other

words, benchmarks must be set, which in this context may be based on a student’s

grades, performance on standardized tests, and/or some other criterion.

After clearly defining the problem, determining empirically that there is a need, and

setting target boundaries, the final step of a needs assessment entails describing the

services that are needed; that is, what will the program do to improve the problem?

Assessment of Program Theory Program theory refers to the conceptual design of a program. It centers on the way in which a program is supposed to operate in a perfect world. There are three es-

sential elements that comprise a program theory. They include: the program’s im- pact theory, organizational plan, and service delivery plan. Program impact theory outlines assumptions regarding the impact of program “x” on social condition “y.”

Consider a high school tutoring program for students failing high school mathe-

matics. In simplest terms, the impact theory for this program would be: students

that attend the tutoring program will improve their mathematics skills. An organi-

zational plan involves resources and personnel, while a service delivery plan un-

derscores how a program’s services will be delivered to its targets. A program’s

impact theory and service utilization plan coincide with a number of program goals

and objectives. Goals and objectives differ somewhat, even though the terms tend

to be used interchangeably. Goals signify a general direction. They are broadly

based. Objectives are narrow, specific, and measurable. Again, consider our high

school mathematics tutoring program. The goal of this program may be to improve

(continued)

Quality Assurance ____ 1. Producers decreased their use of medications and made biosecurity im- provements to prevent health problems. ____ 2. 724 adults and 1026 youth participated in training sessions. ____ 3. Producers changed management practices because of what they learned. ____ 4. Veterinarians co-taught the sessions. ____ 5. Overall herd health helped to reduce production costs.

Answer key at the end of chapter. Source: Developing a Logic Model: Teaching and Training Guide, February 29, 2008. Copyright © 2008 by the Board of Regents of the University of Wisconsin System. All rights reserved.

EXERCISE 8.1

275Program Evaluation

the mathematics skills of failing students. Objectives may include: increasing stan-

dardized test scores x percent in y time period; or improving mathematics course

grades so that a student attains a “C” or better. These objectives are specific and can

be measured simply by gathering data that are routinely collected by schools.

In order to effectively assess a program’s theory, the evaluator must have clear un-

derstanding of a program’s impact theory, organizational plan, and service delivery

plan. In terms of theory assessment, an evaluator relies on information provided

from stakeholders, key informants, and research on comparative program theories.

Logic Model A logic model is a conceptual representation of a program’s theory that includes information regarding a program’s resources, the services it provides, and the out-

comes it hopes to produce. A logic model is organized in terms of program inputs,

activities, outputs, and outcomes. Inputs refer to a program’s resources (such as money, staff, supplies, buildings, and the like). Activities refer to the services that a program provides. Outputs refer to the “amount” of services delivered. Outputs are workload measures. Outcomes refer to the anticipated short-term and long- term impacts of a program.

Assessment of Program Process Program process assessment centers on the extent to which a program’s services are reaching its targets. This is typically thought of in terms of coverage and bias. Cover- age refers to the level of participation by eligible targets. Undercoverage is a signifi- cant concern, and it is typically the result of recruitment and retention problems or

inadequate awareness of a program and its services. Bias assumes that certain sub- groups of the target population are participating with either greater or less frequency.

Program process analyses, by and large, focus on the number of targets served during

a specific time period, the proportion of the total number of eligible targets served in

FIGURE 8.2 – LOGIC MODEL FOR A HIGH SCHOOL MATHEMATICS TUTORING PROGRAM

INPUTS

• Money • Teachers • Teaching Aids • Meeting space • Transportation

ACTIVITIES

• Teacher-student group instruction

• Peer instruction

OUTPUTS

• Number of targets served

• Percentage of total eligible targets served

• Number of peer and teacher- student sessions

OUTCOMES

Short-term • Grades improve • Standardized test

scores improve • Enjoyment of

mathematics cultivated

Long-term • Graduate from

high school • Attend college

276 CHAPTER 8

Logic Model Lingo Place the appropriate number or letter code on each line. Be prepared to explain your choices.

____ a. Teens learned leadership skills.

____ b. A new curriculum was developed.

____ c. Students reported increased confidence in negotiation skills.

____ d. Training programs included seminars and workshops.

____ e. Parents from around the state attended.

____ f. Operators applied their new skills on the job.

____ g. Two agencies partnered to design the program.

____ h. Volunteers provided over 300 hours of support to the project.

____ i. 25 teen mentors were trained.

____ j. Owners learned how to develop a woodland management plan.

____ k. Sessions were held in 10 locations.

____ l. Reported cases of abuse declined.

____ m. Food safety skills were taught to food vendors and restaurant workers.

____ n. Books were distributed to children.

____ o. Parents increased their employment skills.

____ p. Increased numbers of high school students graduate.

____ q. We helped the community assess the needs of families.

____ r. Specialists educated owners about effective production methods.

____ s. Youth serving agencies increased their collaboration.

____ t. Teens established a teen court and hear cases monthly.

____ u. 3 two-day workshops were conducted in each region.

____ v. Newsletters are distributed in three languages.

____ w. 30 listeners per week tune into the radio broadcast.

____ x. Teens learned to counsel other teens on tobacco prevention.

____ y. Town enacted a policy for youth curfew.

____ z. More kids walk to school.

Answer key at the end of chapter.

Source: Adapted from Taylor-Powell, Ellen and Ellen Henert. 2008. Developing a Logic Model: Teaching and Training Guide, February 29, Handout no. 22. Copyright © 2008 by the Board of Regents of the Uni- versity of Wisconsin System, http://www.uwex.edu/ces/pdande/evaluation/pdf/lmguidecomplete.pdf.

EXERCISE 8.2

1 – Input 2 – Activity 3 – Output 4 – Outcome

a – Short-Learning b – Medium-Action c – Long-term–Ultimate benefit 0 – Cannot identify

277Program Evaluation

a specific time period, and/or the degree in which the targets are satisfied or dissatis-

fied with the program’s services and/or staff. It is necessary to establish achievement

levels or benchmarks, and in doing so, it is best to examine comparable programs and

use the professional judgment of the program’s personnel and related stakeholders.

Moreover, through the use of management information systems, organizations are collecting program process data at regular intervals, which allows managers and eval-

uators to continuously monitor program service delivery effectiveness.

Program Impact Assessment The first step to assessing a program’s impact is to identify measurable outcomes. An outcome is an observable characteristic relating to the potential benefits of a pro-

gram. In terms of identifying outcomes, examining a program’s logic model will prove

useful. It is important that one not confuse program outcome and program impact.

A program outcome refers to change in a characteristic of the target population, while

impact assumes that a change in a characteristic of the targets is a result of the pro-

gram and its services. Outcomes must be made measurable, either though existing

data or records, or by collecting new data through surveys, interviews, or observa-

tions. If we revisit the logic model presented in Figure 8.1, we see that the short-term

outcomes for a remedial high school mathematics program include improving a stu-

dent’s mathematical skills and course grades. Each of these outcomes is measurable

through quarterly grade reports and standardized proficiency tests.

Source: R. Hendrick. 1994. “An Information Infrastructure for Innovative Management of Government.” Public Administration Review 54 (6): 543–50. Reprinted in Holzer, M., and E. Charbonneau. 2008. Public Manage- ment & Administration Illustrated. Available online at http://unpan1.un.org/intradoc/groups/public/docu- ments/aspa/unpan029896.pdf.

FIGURE 8.3 – PROGRAM EVALUATION (ASSESSMENT AND MONITORING) IN RELATION TO PROGRAM ELEMENTS

Impacts Assessment

Input: Resources

Input: Demands

Implementation

Processes

Monitoring

Outputs Short-run Impacts

Performance Monitoring

Productivity Monitoring

Long-run Impacts

278 CHAPTER 8

The simplicity of the before and after method of impact assessment makes this ap- proach popular among stakeholders. With this method, target outcomes are meas-

ured at two points in time: before and after a program’s delivery of services. Consider,

for example, that there are 100 students who participated in the remedial mathe-

matics program as outlined in Figure 8.1. Of those 100 students, 50 percent showed

improvement in terms of their mathematics course grades, and 35 percent showed

improvement on their standardized tests. The important questions here are whether

these observable outcomes are a result of the program itself, or are they merely the

result of some other external factor. In other words, how does the evaluator know

that the program, and not something else, is producing the desired results? When

using the before and after method, there is no way of really knowing. It is through ex-

perimentation that we are able to better determine a program’s impact.

Experimentation There are two distinct experimentation methods. The first is the randomized field experiment—the gold standard of experimental methods because it follows most closely the classic scientific laboratory experiment featuring two groups: the treat- ment group and the control group. The treatment group, in the context of this dis- cussion, would receive a program’s services, while the control group would not. The

key to this experimental technique is the random assignment of individuals into ei-

ther the treatment or control group. Consider hypothetically that there are 200 stu-

dents in high school x that are, based upon a needs assessment, eligible for remedial

mathematics instruction. Then, if we were going to conduct a randomized field ex-

periment, 100 randomly chosen students would be assigned to the treatment group

and receive tutoring, while the remaining 100 would receive no tutoring.

The idea of random assignment needs clarification. Random does not mean hap-

The Grantmaker: Inner City Youth Organizations Compete for Funds (Simulation) Students will read the case study and assume the role of the foundation program director. As the program director, students will prepare a report for the foundation’s board, recommending the funding allocations to the selected organizations. Stu- dents will compile this board report with concise and specific reasons as to why they are recommending the funding allocation. All students will present their recom- mendations to the class (role-playing the board). The class will determine which rec- ommendation to support.

Wood, Miriam, M. 1996. Nonprofit Boards and Leadership—Cases on Governance, Change, and Board-Staff Dynamics. San Francisco, CA: Jossey-Bass, 62–82.

EXERCISE 8.3

279Program Evaluation

hazard or chaotic. In fact, from a social science perspective, randomness is a math-

ematical distinction whereby each eligible unit has the same mathematical chance

of selection. In other words, we hypothetically have 200

total students eligible to participate, and a truly random as-

signment means that each student has the same 50 percent

chance of being selected into either the treatment or con-

trol group. Why does randomness matter? By randomly as-

signing individuals, the evaluator can be reasonably certain

that individual characteristics, experiences, and biases will

be equally distributed among the two groups. This is re-

ferred to as equivalence.

The second experimental technique is the quasi-experi- ment. The quasi-experiment differs from the randomized field experiment in that the assignment of individuals into

the treatment and control groups is not done randomly, re-

sulting in a lack of mathematical equivalence. In trying to

achieve near equivalence, it is important to minimize the differences between the treatment and control groups. This

is done through matching on either an individual or an ag- gregate basis. Individual matching entails partnering; that

is, two individuals with similar demographic and experi-

ential characteristics (characteristics that are most relevant

to the program’s outcomes) take part in the experiment,

with one participating in the treatment group and the other

in the control group. With aggregate matching, however,

there is no element of partnering. The evaluator tries to en-

sure that the treatment and control groups are aggregately

similar based upon relevant characteristics. Individual

matching is preferable.

After selecting and employing an experimental method, the

evaluator compares the observed outcomes of the treatment group with the ob-

served outcomes of the control group. If there is a statistically significant outcome difference, then the evaluator can be reasonably sure that the program has had

some measure of impact. Statistical significance means that the results (or outcome

differences of the two groups) are not likely to have occurred because of chance

and/or because of some other external factor.

Program Efficiency Assessment The final type of program evaluation, efficiency assessment, centers on whether the money and resources put toward a program are “well spent.” The two primary ap-

proaches to determining whether money and resources are well spent include cost-

benefit analysis and cost-effectiveness analysis. With cost-benefit analysis, program

“Reform is always a work in progress. Since the world is a dynamic place and conditions

within schools and communities

change over time, there is no

guarantee that a strategy that works

today will work equally well tomorrow…

Evaluation can help schools

determine how to adjust the reform process to meet

selected objectives.”

U.S. DEPARTMENT OF EDUCATION

Fitting the Pieces: Education Reform That Works, October 1996

280 CHAPTER 8

costs are compared to tangible and intangible program benefits, which are expressed

in monetary terms. Results are typically expressed in terms of a benefit-cost ratio,

which is equal to the benefits of the program divided by its costs. If the benefit-cost

ratio is greater than one, it can be said that the benefits of a program outweigh its

costs. The challenging and sometimes controversial nature of cost-benefit analysis

stems from trying to place a monetary value on the “intangible” or “public good”

benefits of specific programs. A common way of determining the value of an intan-

gible or public good benefit is through a technique known as contingent valuation.

Contingent valuation entails using surveys to ask people how much they would be

“willing to pay” for an intangible public good (Mitchell and Carson 1989).

From a practical perspective, Small and O’Connor (2006) provide a cogent illus-

tration of a cost-benefit analysis of a Chicago preschool program known as the Child

Parent Center. In determining the costs and benefits of the Child Parent Center,

989 Center participants and 550 nonparticipants were tracked longitudinally from

preschool to the age of 21. Small and O’Connor underscore the outcome differences

of “Johnny” and “Ricky.” Johnny and Ricky are similar in that both come from im-

poverished, single-parent family households where the mother has little education.

There is also a history of neglect and criminal activity. At age three, Johnny is cared

for at home, while Ricky is enrolled at the Child Parent Center. At the Center, Ricky

is nurtured and stimulated educationally, while parental education is provided for

FIGURE 8.4 – PROGRAM EVALUATION LADDER

Efficiency Assessment

Impact Assessment

Process Assessment

More Complex

Theory Assessment

Needs Assessment More Foundational

281Program Evaluation

Ricky’s mother. In addition, the Center provides home visits and other family serv-

ices. Johnny is not afforded these services. The costs and benefits relevant to Ricky’s

participation in the Child Parent Center versus Johnny’s

nonparticipation are summarized below.

• At age three, Ricky is enrolled in the Child Parent

Center for two years at a total cost of $10,728.

• At age nine, Johnny is enrolled in special educa-

tion classes for four years, the cost of which is

$9,497 per year ($37,988 total).

• At age 10, Johnny is abused. The costs of child

protective services filing a report and conducting

an investigation amount to $10,861.

• At age 14, Johnny gets into trouble with the po-

lice. Juvenile justice costs amount to $16,690.

• At age 18, Ricky graduates high school and en-

rolls in Chicago City College, of which the aver-

age taxpayer costs amount to $4,039 per year

($16,156).

• At adulthood, Johnny is consistently in trouble

with the law, the costs of which are $40,195 (the

average criminal justice system costs for career

adult criminals). Ricky graduates from college and gains employ-

ment. Small and O’Connor estimate that a college graduate’s lifetime

earnings exceed a high school graduate by $223,303. This translates

into $73,838 in additional tax revenues.

So, here is the bottom line:

Johnny • Special education costs = $37,988

• Child protective service costs = $10,861

• Juvenile justice costs = $16,690

• Adult criminal justice costs = $40,195

• Public benefits = $0 vs. public costs = $105,734

Ricky • Child Parent Center costs = $10,728

• City College taxpayer costs = $16,156

“What explains this paradox of

successful programs and

failing students?… Despite many

reports of success, we find few objective

evaluations conducted by independent

investigators.”

HERBERT J. WALBERG and

REBECCA C. GREENBERG

“The Diogenes Factor,” Education Week,

April 8, 1998

282 CHAPTER 8

• Tax revenue benefits = $78,838

• Public benefits = $78,838 vs. public costs = $26,488

The difficulty of accurately placing a monetary value on the intangible, public good

benefits of programs is why evaluation studies tend to rely more on cost-effective-

ness rather than on cost-benefit analyses. Cost-effectiveness analysis entails esti-

mating the costs of achieving a specific outcome. Consider, for instance, that three

mathematics teachers are hired to administer an after-school mathematics tutoring

program at your local high school. Let us assume that the per-pupil cost is $100

per tutoring session. Let us also assume that the program has resulted in a 20 per-

cent increase in standardized test scores. Consider, however, that a similar pro-

gram at a neighboring high school achieves the same result at a cost of only $75 per

pupil. This program would be considered more cost-effective because it achieves a

similar result for less money.

Each of the five program evaluations discussed here is interrelated hierarchically

and ordered with regard to complexity. A needs assessment represents the foun-

dation, or the bottom rung of the evaluation ladder. As noted, this is the first step

in either developing a new program or restructuring an existing one. There is no

point in moving forward with a program theory assessment without first establish-

ing that there is a need for a program. Similarly, one would not assess a program’s

processes or service delivery aspects without first establishing that the program’s

theory is sound. Moreover, an impact assessment cannot proceed until we establish

that the program is reaching “enough” targets. Finally, one would not embark on an

efficiency assessment unless it was clear that the program has had some positive im-

pact upon the target population.

Ethical Concerns Primary ethical concerns deal with the treatment of human subjects. First and fore-

most, an evaluator must take all necessary measures to protect his or her subjects

from harm. Second, obtaining informed consent is a way of protecting human sub- jects. When obtaining informed consent, an evaluator must: (1) Explain the nature

of the program evaluation, what it entails, and what the potential implications may

be. (2) Inform human subjects that their participation is completely voluntary. It is

important to stress that human subjects may decline to participate at any time dur-

ing the evaluation. Subjects may decline to answer any questions or refuse to engage

in any activities that they feel may prove harmful either physically or emotionally.

(3) Inform human subjects that ever effort will be made to maintain the confiden-

tiality of all information collected. In maintaining confidentiality, subjects are typ-

ically referred to by number rather than name, and their responses are kept in a

password-protected computer.

In addition to the treatment of human subjects, evaluators must be concerned about

283Program Evaluation

potential bias regarding the presentation of their data and findings. In order to con-

duct an evaluation properly, relationships must be cultivated with a program’s

stakeholders. Given the fact that evaluation research is dependent upon interper-

sonal relationships, there is always the potential for bias. Consider that evaluator

x encounters program managers and practitioners who are approachable, flexible,

and willing to work with the evaluation team. On the other hand, consider that eval-

uator y encounters managers and practitioners who are resistant, inflexible, and

suspicious of the entire process. Is it reasonable to assume the potential for bias

given that evaluator x has good working relationship with program stakeholders

while evaluator y does not? Is it fair to assume that evaluators having good work-

ing relationships with program stakeholders may be influenced to present their

data and findings in, let us say, a more positive light? This possibility alone under-

scores the importance of making every effort to keep personal feelings from cloud-

ing one’s objectivity.

The program evaluation process is client centered. External evaluators are com-

pensated for providing a service to their clients. There is a financial relationship

between the evaluator and the program, which presupposes the potential for bias.

Given that money can be a tremendous source of influence, it is important that an

evaluator have a clear understanding of what is motivating an evaluation. Evalua-

tion projects that are motivated by personal interest or politics, as opposed to more

sincere reasons, increase the likelihood that money could be used either explicitly

or implicitly as a means of pressuring an evaluator.

284 CHAPTER 8

Activities

Before and after method

Bias

Close-ended

Contingent valuation

Control group

Cost-benefit analysis

Cost-effectiveness

Coverage

Efficiency assessment

Empirical

Equivalence

Existing data

Experimentation

Field observation

Focus groups

Impact assessment

Impact theory

In-depth interview

Informed consent

Inputs

Key informants

Logic model

Management information systems

Matching

Near equivalence

Needs assessment

Nonparticipant observations

Open-ended

Operations research

Organizational plan

Outputs

Participant observations

Planning programming budgeting

systems (PPBS)

Program evaluation

Program process assessment

Program targets

Program theory assessment

Quasi-experiment

Quasi-scientific

Random assignment

Randomized field experiment

Satisficing

Service delivery plan

Snowball sampling

Stakeholders

Statistically significant

Survey

Survey response fatigue

SWOT analysis

Treatment group

KEY TERMS

285Program Evaluation

Berk, R.A., and P.H. Rossi. 1998. Thinking About Program Evaluation. Thou- sand Oaks, CA: Sage Publications.

Camino, L., S. Zeldin, and A. Payne-Jackson. 1995. Basics of Qualitative Inter- views and Focus Groups. Washington, DC: Center for Youth Development and Policy Research, Academy for Educational Development.

Chelimsky, E., and W.R. Shadish. 1997. Evaluation for the 21st Century: A Handbook. Thousand Oaks, CA: Sage Publications.

deLeon, P. 1989. Advice and Consent: The Development of the Policy Sciences. Russell Sage Foundation.

Hatry, H.P., R.E. Winnie, and D.M. Fisk. 1973. Practical Program Evaluation for State and Local Government Officials. Washington, DC: The Urban Institute.

Mitchell, R. C. and R. T. Carson 1989. Using Surveys to Value Public Goods. The Contingent Valuation Method. Washington DC: Resources for the Future.

Posavac, E.J. and R.G. Carey. 2007. Program Evaluations: Methods and Case Studies, 7th ed. New Jersey: Prentice Hall.

Preskill, H., and R.T. Torres. 1998. Evaluative Inquiry for Learning in Organiza- tions. Thousand Oaks, CA: Sage Publications.

Rossi, P.H., W.M. Lipsey, and H.E. Freeman. 2004. Evaluation: A Systematic Approach, 7th ed. Thousand Oaks, CA: Sage Publications.

Scriven, M. 1991. Evaluation Thesaurus, 4th ed. Newbury Park, CA: Sage Publi- cations.

Shadish, W.R., T.D. Cook, and L.C. Leviton. 1991. Foundations of Program Eval- uation: Theories of Practice. Newbury Park, CA: Sage Publications.

Singleton, R., and B.C. Straits. 2004. Approaches to Social Research, 4th ed. Ox- ford, UK: Oxford University Press.

Small, S., and C. O’Connor. 2006. “Cost-Benefit Analysis.” University of Wiscon-

sin–Extension EvalEXchange. http://whatworks.uwex.edu/attachment/what-

works_cost_benefit.pdf.

Taylor-Powell, E., and E. Henert. 2008. Developing a Logic Model: Teaching and Training Guide. Madison: University of Wisconsin–Extension.

U.S. Code, Title 42, Chapter 119, Subchapter 1, § 11302. General definition of

homeless individual.

REFERENCES

286 CHAPTER 8

U.S. General Accounting Office (GAO), General Government Division. 1998. Pro- gram Evaluation: Agencies Challenged by New Demand for Information on Program Results. Report to the U.S. Committee on Government Affairs, U.S. Senate. April.

Wholey, J.S., H.A. Hatry, and K.E. Newcomer. 2004. Handbook of Practical Pro- gram Evaluation, 2d ed. Hoboken, NJ: Jossey-Bass.

Taylor-Powell, E., and C. Hermann. 2000. Collecting Evaluation Data: Surveys. University of Wisconsin–Extension Cooperative Extension.

Taylor-Powell, E., and S. Steel. 1996. Collecting Evaluation Data: An Overview of Sources and Methods. University of Wisconsin–Extension Cooperative Ex- tension, Program Development and Evaluation Unit. http://learningstore.

uwex.edu/assets/pdfs/G3658–4.pdf

W.K. Kellogg Foundation. 1998. W.K. Kellogg Foundation Evaluation Hand- book. Battle Creek, MI.

American Evaluation Association: http://www.eval.org/

Australasian Evaluation Society: http://www.aes.asn.au/

Canadian Evaluation Society: http://www.evaluationcanada.ca/

Centers for Disease Control (CDC) Evaluation Working Group:

http://www.cdc.gov/eval/

The Centre for Program Evaluation (CPE) at the University of Melbourne Gradu-

ate School of Education, Melbourne, Australia:

http://www.edfac.unimelb.edu.au/cpe/

The Evaluation Center at Western Michigan University:

http://www.wmich.edu/evalctr/

The Evaluation Exchange at Harvard University: http://www.hfrp.org/evalua-

tion/the-evaluation-exchange

Evaluation Handbook, Evaluation Assistance Center–Western Region, New Mex-

ico Highlands University:

http://www.ncela.gwu.edu/files/rcd/BE020502/Evaluation_Handbook.pdf

Free Management Library, Basic Guide to Program Evaluation:

SUPPLEMENTARY READINGS

ELECTRONIC RESOURCES

287Program Evaluation

Exercise 8.1 Nutrition: 1, 3, 4 Food safety: 2, 3 Small business: 2, 5 Youth Citizenship: 3, 4 Quality Assurance: 1, 3, 5

Exercise 8.2

Note: Several of the above are debatable given the program goal that is assumed. Participants should be able to explain and defend their choices. To test outcomes, ask “so what?”

EXERCISES ANSWER KEY

4a a. 2 b. 4a c. 2 d. 2 e. 4b f. 1 g. 1 h. 3 i.

4a j. 2 k. 4c l. 2 m. 2 n. 4a o. 4c p. 2 q. 2 r.

4b s. 4b t. 3 u. 2 v. 3 w. 4a x. 4b y. 4c z.

http://www.managementhelp.org/evaluatn/fnl_eval.htm

Online Evaluation Resource Library (supported by the National Science Founda-

tion [NSF]): http://oerl.sri.com/

Oregon Program Evaluators Network (OPEN): http://www.oregoneval.org/

Program Development and Evaluation, University of Wisconsin–Extension:

http://www.uwex.edu/ces/pdande/

U.S. Department of Justice, Office of Justice Programs, Bureau of Justice Assis-

tance, Center for Program Evaluation and Performance Measurement:

http://www.ojp.usdoj.gov/BJA/evaluation/

U.S. Environmental Protection Agency, Program Evaluation Glossary:

http://www.epa.gov/evaluate/glossary.htm

The World Wide Evaluation Information Gateway: http://www.policy-evalua-

tion.org/

Public Budgeting

CHAPTER 9

In this chapter, students are acquainted with a most

fundamental yet vital aspect of the public organization: the

budget. Upon reading this chapter, students will understand

the federal budget process and the different types of

budgets—namely, operating, capital, line-item, performance,

and zero-based budgets. The ways in which governments

raise revenues is also discussed. The chapter concludes by

examining competing theories as to how scarce government

resources should be allocated.

288 CHAPTER 9

289Public Budgeting

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“A budget tells us what we can’t afford, but it doesn’t keep us from buying it.”

WILLIAM FEATHER American Publisher; Author

(1889–1981)

New York Mayor Michael Bloomberg presents a Fiscal Year 2011 Executive Budget and an updated four-year financial plan in May 2010. Photo by Edward Reed.

290 CHAPTER 9

The Federal Budget Process The idea of having a government budget is a twentieth-century phenomenon. Prior

to 1921, the federal budget process was fragmented and disorganized. The Ameri-

can budget process was dominated by Congress: If an agency wanted money to do

something, an agency’s leaders were forced to petition Congress directly. The ex-

ecutive branch, more specifically the U.S. president, had no formal role in federal

budgetary decisions until the passage of the Budget and Accounting Act of 1921.

Momentum to alter the federal budget process began to build as the nation moved

into the twentieth century. The United States was growing quite rapidly, and soci-

ety’s problems were becoming increasingly complex. As a result, the Commission

on Economy and Efficiency, chaired by then-President

William Howard Taft (thus referred to as the Taft Com-

mission) made a number of recommendations in 1912 that

would permanently alter the federal budget-making

process. The Taft Commission’s proposals were embodied

in the Budget and Accounting Act, which specifically called

for the creation of the Bureau of the Budget (BOB) and the

Government Accountability Office (GAO). The BOB was

the federal agency through which the president would pre-

pare a formal budget for presentation to Congress; it was

replaced by the Office of Management and Budget (OMB)

in 1970 during the Nixon administration. The GAO still exists in its original form

and is responsible for auditing (or reviewing) the federal budget. The Budget and

Accounting Act created a formal process for shaping a federal budget, and it also

thrust the president into the dominant budgetary role.

Each February, the president presents the U.S. Congress with a budget request,

which details the amounts of money needed by the cabinet-level agencies for the up-

coming fiscal year. The federal government’s fiscal year begins October 1. This

budget request is prepared by the OMB—part of the Executive Office of the Presi-

dent (EOP)—after the OMB receives funding estimates from the federal agencies.

The OMB then dispatches budget examiners to each of the agencies in order to en-

sure that the agency funding estimates are reasonable. Specifically, the budget ex-

aminers for the OMB meet with agency representatives and hold hearings with

agency heads to examine what the agency does and whether the amount of money

requested is necessary. The budget examiners then make their final recommenda-

tions to the OMB.

The OMB provides the following financial information to Congress: (1) how much

money the president is requesting for the various federal agencies; (2) how much

money in taxes the federal government will collect in a fiscal year; (3) whether the

BUDGETING PROCESSES

“A billion here, a billion there,

pretty soon it adds up to real money.”

EVERETT DIRKSEN Congressional

Representative; Illinois Senator (1896–1969)

291Public Budgeting

federal government will have a budget surplus (that is, money left over) or a budget shortfall (that is, a budget deficit); and (4) how much either the budget surplus or shortfall will amount to. The budget crafted by the OMB reflects the spending pri-

orities of the president—priorities that relate to both discretionary and entitlement program spending. Programs that are deemed discretionary must have their fund-

ing approved each year. Defense, education, and housing are examples of discre-

tionary programs. Unlike discretionary programs, the funding for entitlement

programs such as Social Security and Medicare are mandated by law; therefore,

the president does not have to request funds for these programs on an annual basis.

The president can make recommendations for programmatic changes to these pro-

grams—one example being when President George W. Bush used the budget re-

quest to initiate changes to Medicare by introducing prescription drug benefits.

After receiving the president’s budget request, Congress holds meetings to question

EOP officials about their funding requests. Then, both chambers of Congress de-

velop separate versions of a budget resolution. The separate budget resolutions

Function number Budget function 050 National defense

150 International affairs

250 General science, space, and technology

270 Energy

300 Natural resources and environment

350 Agriculture

370 Commerce and housing credit

400 Transportation

450 Community and regional development

500 Education, training, employment, and social services

550 Health

570 Medicare

600 Income security

650 Social Security

700 Veterans benefits and services

750 Administration of justice

800 General government

900 Net interest

920 Allowances

950 Undistributed offsetting receipts

TABLE 9.1 – THE 20 BUDGET FUNCTIONS

Source: House Committee on the Budget, “Basics of the Budget Process: A Briefing Paper,” February 2001.

292 CHAPTER 9

crafted by the House and Senate Budget Committees are sent to the House and Sen-

ate floors for debate, which allows for changes to be made to each version by a ma-

jority vote. At this point, small differences usually exist between the House and

Senate versions of the budget resolutions. These differences are ironed out, so to

speak, in what is called a conference, and a single agreed-upon version of the budget

resolution is produced and then presented to both con-

gressional chambers for passage by a majority vote. This

resolution is not presented to the president for his signa- ture, because it is not a typical bill possessing the effect of

law. What this joint House and Senate budget resolution

does is set forth a blueprint for future appropriations (or spending) legislation. This blueprint highlights spending

totals, which are divided into 20 specific functional spend-

ing categories. The congressional budget resolution typi-

cally is passed on April 15. Within this budget resolution,

“spending” is defined in two ways: (1) as budget authority and (2) as outlays. Budget authority represents the amount

of money that Congress permits the federal government to spend. Outlays refer to

actual amounts that are spent by the federal government each year. For example,

the budget authority may appropriate $100 million for new school construction in

a given year, but that may not necessarily result in $100 million in outlays until the

next fiscal year. Budget authority is typically the spending measure that Congress

uses to make budget decisions.

After the joint House-Senate budget resolution is approved by Congress, it is sent

to both the House and Senate Appropriations Committees, which divide the “dis-

cretionary” spending totals into 13 categories or government functions. These 13

categories represent 13 individual appropriations bills (or spending legislation). The appropriations bills are debated and amended in both the House and Senate,

and as with the original versions of the budget resolution, the differences in the

FIGURE 9.1 – THE SPENDING PIPELINE

Source: CRS Report for Congress. “The Spending Pipeline: Stages of Federal Spending,” June 17, 2008.

“Collecting more taxes than

is absolutely necessary is

legalized robbery.”

CALVIN COOLIDGE 30th President

of the United States (1872–1933)

Budget Authority Obligations

Outlays

293Public Budgeting

House and Senate versions are settled in a conference. Once the differences are

ironed out, the House and Senate vote to approve the 13 agreed-upon appropria-

tions bills, a process that is usually completed by June 30. The appropriations are

finally presented to the president for approval or veto.

The federal budget process includes what is called an audit. The purpose of a budget audit is to certify that the funds appropriated by Congress are spent lawfully, effi- ciently, or in a way that contributes to achieving an agency’s mission and goals. The

GAO—the investigative or watchdog organization within Congress—has primary

budget auditing responsibilities. The GAO is directed by the comptroller general

of the United States, an apolitical, nonpartisan position that is appointed by the

president with the advice and consent of the Senate. The comptroller general of the

United States serves one 15-year term.

Types of Budgets In simplest terms, a budget is a plan regarding how revenues (or, in the case of pub-

lic organizations, tax dollars) will be spent on a year-to-year basis. Each year, the

budget follows a predetermined cycle that includes: (1) the preparation of the

budget—which entails deciding where tax dollars will be spent; (2) budget approval;

FIGURE 9.2 – RELATIONSHIP OF BUDGET AUTHORITY TO OUTLAYS FOR FY2009 (BILLIONS OF DOLLARS)

Source: Office of Management and Budget. “Analytical Perspectives, Budget of the U.S. Government, Fiscal Year 2009,” Washington, DC: GPO, 2008. Chart 26–1, p. 402.

Outlays in 2009

3,107

To be spent in 2009

2,411

New Authority Recommended

for 2009

3,026

Unspent Authority for Outlays in Future Years

1,528

614

696

6 Unspent Authority

Enacted in Prior Years

1,616 To be spent in Future years

914

Authority written off,

expired and adjusted (net)

To be spent in future years

To be

sp en

in 20

294 CHAPTER 9

FIGURE 9.3 – WHO PUTS THE BUDGET TOGETHER AND HOW?

Source: North Carolina Progress Board. Our State, Our Money: A Citizens’ Guide to the North Carolina Budget,

ROADMAP OF THE STATE'S BUDGET PROCESS

BUDGET PREPARATION

• January Governors Office of State Budget and Managment (OSBM) issues instnidions to stats departments setting forth procedures used to prepare the two-year budget to take effect 18 months later.

• August-October Departments submit requests to the OSBM and the governor.

• February: Governor delivers budget message to a joint legislative session and releases a recommended, detailed, balanced budget to legislature and general public.

2 GOVERNOR'S RECOMMENDED BUDGET

• NC constitution requires governor to submit a recommended budget for a 2-year period.

• Governor's recommeded budget is used as a point of departure. General Assembly responds to governor's recommended budget by making increases, decreases, reallocations. and ether amendments.

3 APPROPRIATIONS BILLS

. NC constitution requires General Assembly to pass a telanced budget for a "fiscal period." Constitution does M l require two-year budget-it only speaks of a "fiscal period" which can be one year, two years. or other period.

4 APPROPRIATIONS SUBCOMMITTEES

• Both Senate and House have an appropriations (spending) committee.

• Appropriaas committees in Moose and Senate are further divided into subcommittees to review budget proposals of raiuus department divisions. orareasol Slate government.

• Subcommittees include: education health and human services, justice and pubic safety, general government, natural and economic resources. and transportation. (House has an inlormition technology subcommittee,)

FINANCE COMMITTEES AND FINANCE BILLS

• These the "money-raising" commitlees of both House and Senate.

• Hnanoe commjitees debate, then pass bills that raise money needed to balance "outgo" with "income."

• Once finance bills are passed try committee they may be rolled into the appropriations bill so that the House and Senate may vote on a completely balanced package in one bill.

FULL APPROPRIATIONS COMMITTEE ACTIONS

. Subcommittee chairs report budget actions and special provisions, including money-raising provisions of subcommitlees that may require finace committee action.

• Main appropriations chairs report salaries and benefits recommentations for all state employees and teachers and capital spending (for "brick and mortar" repairs, renovations, or construction of state buidings).

.Amendments and debate.

. Adopt committee substrlute for governor's recommended budget incorporating legislative changes.

295Public Budgeting

(ROADMAP OF NORTH CAROLINA’S STATE BUDGET PROCESS)

September 2003. http://fsv.uncg.edu/budgets/Citizens_Guide.pdf.

8 HOUSE AND SENATE VOTE ON CONFERENCE REPORT

. Conlwence committee report cannot

be amended-must be voted "up" or

"dow" in each house.

. Vote on cornfefence report.

7a HOUSE AND SENATE APPOINT CONFEREES

• Conferets may consider difference between the two

bills. or formulate special conference committee rules

• Conferees negotiate differences.

• Develop conference report based on agreements.

SFNTTO OTHER CHAMBER (i.e.,il begun by

House, I moves on to Senate or vice versa)

> Receiving chamter goes through same

process and steps as in 3.4. 4a. and 5 and

sends a bill back to originating chamber.

• Concurrence by originating chamber voted on.

(If -Yes", go to 10 if "No"-, go to 7a.)

ROUSE OR SENATE FLOOR

• Main appropriations chairs and

subcommittee chairs explain bill.

• Debate and amendments.

• V o t e on second add third readings.

9 CONFEHENCE REPORT ADOPTED

- Note If not adapted, new conferees

may be appointed and the confier-

ence committee process and

negotiation of the diffences is

repeated.

BUDGETBILL ENROLLED.

RATIFIED AND SENTTO THE

GOVERNOR TO BE SIGNED

INTO LAW

• If governor signs the budget bill.

the budget is formally enacted.

Gubematrial veto of bill is "all or"

nothing" Governor veto can be emdden by a 35vote of

those present and voting in both

House and Senate.if veto is over-

ridden.budget formally enacted.

If governor's veto is sustained.

process begins again at Step 4.

296 CHAPTER 9

(3) budget implementation; and finally (4) budget auditing—which is intended to

make sure that tax money allocated to various government organizations is spent

appropriately. An obvious question at this point is, Who actually prepares the

budget? There are essentially two answers. Executive budgets are prepared by chief executives within a government’s executive branch. At the federal level, this would

be the president; at the state level, it would be the governor; at the county level, it

TABLE 9.2 – THE EXECUTIVE BUDGET PROCESS TIMETABLE

Source: Office of Management and Budget, Circular No. A-11 (Washington, DC: July 2007), Section 10.5.

Date Activities

Spring OMB issues planning guidance to executive agencies for the budget beginning October 1 of the following year.

Spring and Summer Agencies begin development of budget requests.

July OMB issues annual update to Circular A-11, providing detailed instructions for submitting budget data and material for agency budget requests.

September Agencies submit initial budget requests to OMB.

October-November OMB Staff review agency budget requests in relation to President’s priorities, program performance, and budget constraints

November-December President, based on recommendations by the OMB director, makes decisions on agency requests. OMB informs agencies of decisions, commonly referred to OMB “passback.”

December Agencies may appeal these decisions to the OMB director and in some cases directly to the President.

By first Monday in February President submits budget to congress.

February-September Congressional phase. Agencies interact with Congress, justifying and explaining President’s budget.

By July 15 President submits mid-session review to Congress.

August 21 (or within 10 days Agencies submit appointment requests to OMB for after approval of a spending bill) each budget account.

September 10 (or within 30 days OMB apportions available funds to agency by time period, after approval of a spending bill) approval period, program, project, or activity.

October 1 Fiscal year begins.

October-September Agencies make allotments, obligate funds, conduct activities, and request supplemental appropriations, if necessary. President may propose supplemental appropriations and impoundments (i.e. deferrals or recissions) to congress.

September 30 Fiscal year ends.

Calendar Year Prior to the Year in Which Fiscal Year Begins

Calendar Year in Which Fiscal Year Begins

Calendar Year in Which Fiscal Year Begins and Ends

297Public Budgeting

would be the county executive; and at the municipal level, it would be the mayor.

With an executive budget, the chief executive (along with budget personnel) devel-

ops a budget after receiving “requests” from various government agencies and de-

partments. The budget is then submitted for approval by a legislative body—which

may be the U.S. Congress, the state legislature, or the city/town council at the mu-

nicipal level. An executive budget is used more widely than the alternative, which is

a legislative budget. A legislative budget is prepared by a body of elected represen- tatives (for example, the state legislature or city council). Executive budgets are more

prevalent simply because they can be developed with far greater efficiency.

Operating Versus Capital Budget There are two types of public budgets—operating budgets and capital budgets. An operating budget is a short-term, year-to-year budget that plans how resources will

be allocated for government agencies and programs. A capital budget is a long-term

plan that deals with the financing of capital projects—long-term investments that

include buildings, bridges, and even quality of life projects such as parks. Capital

budgets are financed through borrowing, usually in the form of bonds. States, coun-

TABLE 9.3 – CONGRESSIONAL BUDGET PROCESS TIMETABLE

Source: Section 300 of the Congressional Budget Act of 1974, as amended (P.L. 93–344, 2 U.S.C. 631).

Date Action

First Monday in February President submits budget to Congress.

February 15 Congressional Budget Office submits economic and budget outlook report to Budget Committees.

Six weeks after President Committees submit views and estimates to submits budget Budget Committees.

April 1 Senate Budget Committee reports budget resolution.

April 15 Congress completes action on budget resolution.

May 15 Annual appropriation bills may be considered in the House, even if action on budget resolution has not been completed.

June 10 House Appropriations Committee reports last annual appropriations bill.

June 15 Congress completes action on reconciliation legislation (if required by budget resolution).

June 30 House completes action on annual appropriations bills.

July 15 President submits mid-season review of budget to Congress.

October 1 Fiscal year begins.

298 CHAPTER 9

ties, or municipalities issue bonds to raise revenue for these capital projects. In-

vestors (which could include you) buy the bonds and earn interest on them. In most

instances, the interest made on government bonds is tax exempt, thus increasing

their appeal from an investment perspective. Note that there is no capital budget at

the federal level.

Line-Item Budget A line-item budget illustrates where public money will be spent item by item. Line-item budgeting is most popular among local governments, given its relative

simplicity. In other words, you do not need to be a financial wizard to create a

line-item budget. Personnel costs, office supplies, and the like are projected each

year and are “lined up,” so to speak, beneath one another.

This type of budget is advantageous from an accountabil-

ity perspective; that is, the amount that will be spent on x,

y, and z is clearly delineated to keep spending under con-

trol. It is a simple tool for keeping tabs on where money

goes, ensuring that funds are spent appropriately. A

major disadvantage of the line-item budget is that it is not

tied to performance. Year-to-year allocations in line-item

budgets differ very little, so there is a degree of sluggish-

ness when it comes to assessing how much “should” be

spent on x, y, and z.

Performance Budget The idea behind performance budgeting is that how much you spend on department x is tied directly to how well de-

partment x is performing. Performance budgeting requires

the establishment of performance levels and the collection

of information (or data) that tells whether those perform-

ance levels have been met. The most common types of per-

formance indicators are outputs and outcomes. Output

indicators report units produced or the quantity of services

provided by a department, an agency, or a program. Out-

come indicators reflect how well a government entity is

meeting its goals and objectives. These indicators are de-

signed to answer questions that deal with the quality and impacts of government

service delivery. Consider outputs and outcomes in the context of the Department

of Public Works and their street-sweeping responsibilities. An output indicator may

be miles of roads swept monthly—which is a clear indicator of the amount of work

that is done. If it is predetermined that 1,000 miles of streets should be swept per

month, but the street sweepers clean only 980 miles in the month of February, then

they have underperformed. On the other hand, if they cleaned 1,200 miles, then

they have overperformed when it comes to this specific output indicator. “Street

“Whatever else they may be, budgets are

manifestly political documents. They

engage the intense concern of

administrators, politicians, leaders of interest groups

and citizens interested in the ‘who gets what and how much’ of governmental

allocations.”

AARON WILDAVSKY and

ARTHUR HAMMOND Authors

299Public Budgeting

TABLE 9.4 – LINE-ITEM BUDGET EXAMPLE: LONGMONT, COLORADO, FIRE DEPARTMENT

Personal Services 2009 Actual 2010 Budget 2011 Budget

111 Salaries and Wages 5,000,842 5,161,371 5,066,131

114 Skill Based Pay 1,124 900 2,700

121 Wages - Overtime 491,006 380,492 390,003

122 Longevity Compensation 33,435 34,080 29,040

123 Leave Expense 142,182 - -

124 Skill Based Overtime Pay 197 - -

126 Retirement Health Savings Plan 39,328 47,521 47,653

127 FPPA Death and Disability 36,126 35,591 32,681

129 Medicare 58,325 58,458 60,383

132 Employee Insurance 671,205 661,358 673,808

134 Police and Fire Retirement 690,678 640,890 641,892

135 Compensation Insurance 90,871 91,193 89,945

136 Unemployment Insurance 4,508 10,114 12,483

137 Staff Training and Conferences 28,446 - -

139 Dental Insurance - - 24,958

141 Uniforms and Protective Clothing 41,664 96,043 95,568

142 Food Allowance 12,872 500 -

Subtotal 7,342,809 7,218,511 7,167,245

Operating and Maintenance

210 Office Supplies 225 - -

216 Reference Books and Materials 3,544 390 390

217 Dues and Subscriptions 658 - -

218 Non-Capital Equipment and Furniture 28,243 30,102 29,102

228 Janitorial Supplies 14,409 10,000 10,000

(continued)

300 CHAPTER 9

cleanliness”—as measured through visual inspections of streets and the degree of

citizen satisfaction or the number of citizen complaints—would serve as an outcome

indicator. A stipulated performance level could be 90 percent of streets are rated as

“clean,” and fewer than 20 complaints for dirty streets are filed per month.

The central points of performance budgeting are: (1) the amount of work that is

done is measured; (2) the quality (or the results) of that work is measured; and (3)

this impacts how much money a department will receive in the future. Departments

that overperform may receive more money, while those that underperform may re-

ceive less. Critics argue that using performance measurement as a basis for deter-

Source: City of Longmont, Colorado. “2009 Operating Budget. Fire Department.”

(continued)

229 Materials and Supplies 25,497 28,000 27,000

232 Building Repair and Maintenance 42,393 39,000 39,000

233 Facility Repair and Maintenance - 2,000 2,000

240 Equipment Repair and Maintenance 22,692 42,000 32,000

241 Grounds Maintenance 1,328 2,000 2,000

243 Non-Capital Computer Equipment

and Supplies

505 392 -

245 Mileage Allowance 485 1,000 1,000

246 Liability Insurance 59,390 65,518 76,372

247 Safety Expenses 6,488 20,000 12,000

250 Professional and Contracted Services 30,398 30,000 -

261 Telephone Charges 655 13,800 13,800

262 Radio Repair and Maintenance 1,652 - -

263 Postage 6 - -

273 Fleet Lease - Operating and Maintenance

4,617 9,000 9,000

274 Fleet Lease - Replacement 263,448 223,262 264,281

Subtotal 348,357 373,014 433,457

Capital Outlay

440 Machinery and Equipment - - 69,000

Subtotal - - 69,000

SERVICE TOTAL $ 8,197,798 $ 8,107,989 $ 8,187,647

301Public Budgeting

mining budgets is counterintuitive, because taking money away from a struggling

department is likely to make matters worse. Also, some might argue that measur-

ing performance is inherently problematic; that is, designing performance indica-

tors is subjective, and collecting data can be time-consuming and expensive.

Zero-Based Budget (ZBB) The key to zero-based budgeting (ZBB) is that all departments must defend their programs and consequently their level of funding each

year. Rather than earmarking additional funds that are

needed annually, the department head must demonstrate

how different levels of funding would impact the delivery of

a given program’s services. In other words, the head of the

Department of Public Works (DPW) would be required to

show what would happen to the department’s street-

sweeping outputs if the amount budgeted for this opera-

tion were maintained at its current level, reduced by a

certain percentage, increased, or even if the funding for the

street-sweeping program were eliminated altogether.

These are referred to as decision packages, and one would

be prepared for each program within the DPW. The de-

partment head is required to rank the importance of each decision package; if

budget cuts become necessary, higher ranked decision packages are spared, while

lower ranked packages are cut.

ZBB is advantageous in that it allows department heads to set priorities, letting

“Never base your budget requests

on realistic assumptions,

as this could lead to a decrease in your funding.”

SCOTT ADAMS Cartoonist,

in his Dilbert comic

TABLE 9.5 – PERFORMANCE BUDGET: MUNICIPAL DEPARTMENT OF HEALTH

Outcome measures

2008 actual

2008 expenditure

2009 estimate

2009 budget

Percent of children (5 years or

younger) vaccinated each year

50% 53,050 60% 65,542

Percent of senior citizens

(65 years and over) vaccinated

each year

70% 71,336 80% 81,995

Goal 1: To control the spread of influenza by increasing vaccination rates among children 5 years and younger and among senior citizens, age 65 and over.

Objective 1.1: Increase yearly influenza vaccination rates from 50 percent in 2008 among children 5 years and younger to 70 percent by 2010.

Objective 1.2: Increase yearly influenza vaccination rates from 70 percent in 2008 among senior citizens age 65 and over to 90 percent by 2010.

302 CHAPTER 9

TABLE 9.6A – ZERO-BASED BUDGETING: MUNICIPAL DEPARTMENT OF PUBLIC WORKS

TABLE 9.6B – HYPOTHETICAL RANKING

FY 2007

2,984,285

FY 2008 = + 3%

3,073,814

Solid Waste 709,626 730,915 1 Minimum 2 Current 3 Enhanced

90% 10% 10%

657,823 73,091 73,091

Recycling 211,665 218,015 1 Minimum 2 Current 3 Enhanced

90% 10% 10%

196,213 21,801 21,801

Street Repair and

Cleaning

1,039,048 1,070,219 1 Minimum 2 Current 3 Enhanced

90% 10% 10%

963,197 107,022 107,022

Snow and Leaf

Removal

694,736 715,578 1 Minimum 2 Current 3 Enhanced

90% 10% 10%

644,020 71,558 71,558

Special

Projects

329,210 339,086 1 Minimum 2 Current 3 Enhanced

90% 10% 10%

305,178 33,909 33,909

Total 3,381,195

The “minimum” package represents a 10 percent cut. The “current” package represents

100 percent funding, and the “enhanced” represents a 10 percent increase. The ranked de-

cision packages in Table 9.6b represent funding priorities. In times of revenue scarcity,

the decision packages ranked toward the bottom will not be funded.

Rank Package Rank Package

1 Solid Waste 1 9 Recycling 2

2 Solid Waste 2 10 Solid Waste 3

3 Street Repair and Cleaning 1 11 Street Repair and Cleaning 3

4 Snow and Leaf Removal 1 12 Snow and Leaf Removal 3

5 Street Repair and Cleaning 2 13 Recycling 3

6 Recycling 1 14 Special Projects 2

7 Special Projects 1 15 Special Projects 3

8 Snow and Leaf Removal 2

303Public Budgeting

the budget makers know where cuts are more acceptable and where increases

would be desirable. It makes sense to allow department heads to set these prior-

ities, given that they are in a position to know how best to

carry out a department’s programs. A disadvantage of

ZBB deals with its labor intensiveness. Preparing and

ranking the decision packages can be overwhelming. Ad-

ditionally, the way in which the decision packages are

ranked can be highly subjective.

PBBS First implemented by the U.S. Department of Defense sec-

retary Robert McNamara during the administration of

President Lyndon B. Johnson, PPBS (or planning program budgeting systems) is based on the principles of rational decision making. Rational decision making mirrors the aim

of cost-benefit principles. When using cost-benefit analy-

sis, program costs are compared to program benefits, both of which are expressed

in monetary terms. Results are presented as a benefit-cost ratio, which equals the

benefits of a program divided by its costs. If the benefit-cost ratio is greater than 1.0,

the benefits of the program are greater than its costs. The difficulty of cost-benefit

analysis stems from trying to place a monetary value on the “intangible” benefits of

specific programs. With PPBS, a particular program’s cost and benefits are weighed

against the potential costs and benefits of possible alternative programs.

“Taxes, after all, are dues that we pay for the privileges of

membership in an organized society.”

FRANKLIN D. ROOSEVELT 32nd President

of the United States (1882–1945)

TABLE 9.7 –TRADITIONAL VS. ZERO-BASED BUDGETING

Traditional budgeting Zero-Based budgeting

Period of expenditure

References are given to previous year estimates. Factors like infla- tion, etc., are adjusted to previous estimates to arrive at the figures of the current year’s budget.

The budgeting process starts from scratch. Previous year prices are not used for calculation.

Overinflation of budget

Managers in traditional method were able to manipulate their budget estimates.

In ZBB, overestimation is not possible, as managers have to jus- tify their budget estimates.

Responsibility Top management decides on the allocation of funds.

Managers of each unit decide on their division’s expenditure.

Orientation Accounting. Decisions.

Approach Routine. Priority based.

304 CHAPTER 9

Budget Auditing The auditing part of the budget process is designed to ensure that public money is

spent appropriately. In short, audits are independent budgetary investigations that

look to see if government agencies, organizations, or programs are spending their

money lawfully and efficiently. As noted previously, the Government Accountability

Office is responsible for audits at the federal level. At the state level, the Office of the

Comptroller is responsible for budget audits. Most local governments rely on private

auditing firms. Larger cities, however, tend to have a comptroller. Common types of

FIGURE 9.4 – COMPARISON OF TWO APPROACHES TO BUDGETING

Traditional Approach

Zero-Based Budgeting

M A N A G E R

Last year expenditure

Current year estimated budget Top

Management

Incremental expenditure due to inflation, etc.

An amount of XXX should be sanctioned to decision unit number YYY

Top Management

This will be the cause of discarding the proposal

M A N A G E R

305Public Budgeting

audits include what are called compliance and performance audits. Compliance au-

dits ensure that a government organization spends its money in accordance with the

law. Performance audits examine organizational effectiveness and efficiency; that is,

a performance audit looks at whether a public organization is accomplishing its

stated goals and objectives, and whether this is being done at a reasonable cost.

Where Do Governments Get This Money? Now that we have a better understanding of what budgets are and how the process

works, a logical question is, How do governments at various levels collect the money

that makes up these budgets? Anthony Downs (1959) argued that the federal budget

is smaller than it ought to be. This coincides with the belief that governmental ben-

Advantages of Zero-Based Budgeting 1. Results in efficient allocation of resources, as it is based on needs and benefits.

2. Drives managers to find out cost effective ways to improve operations.

3. Detects inflated budgets.

4. Useful for service department where the output is difficult to identify.

5. Increases staff motivation by providing greater initiative and responsibility

in decision making.

6. Increases communication and coordination within the organization.

7. Identifies and eliminates wastage and obsolete operations.

Disadvantages of Zero-Based Budgeting 1. Difficult to define decision units and decision packages, as it is very

time-consuming and exhaustive.

2. Forced to justify every detail related to expenditure. The R&D department is

threatened whereas the production department benefits.

3. Necessary to train managers. ZBB should be clearly understood by managers

at various levels, otherwise they cannot be successfully implemented.

Difficult to administer and communicate the budgeting because more man-

agers are involved in the process.

306 CHAPTER 9

efits tend to be remote, while taxes tend to be immediate and evident. In other

words, people notice that income and payroll taxes are taken from their checks bi-

weekly. Seemingly rational voters are ignorant, though, when it comes to assessing

benefits as a function of taxation. In spite of recent tax revolts, if governments at all

levels stopped doing what they do, we would surely notice.

Roads need to be fixed, schools need to be built, fires need

to be put out, health care needs to be provided to the poor

and elderly, food and drugs need to be inspected, and the

list goes on and on. Necessary public services must be de-

livered, and these services are provided and paid for with

tax money.

Governments raise revenues, by and large, through the tax-

ation of income, wealth, and consumption. The federal gov-

ernment’s major source of revenue is the personal income tax, which is a certain

percentage of an individual’s wages or salary. This percentage is based upon the

“It’s clearly a budget. It’s

got a lot of numbers in it.”

GEORGE W. BUSH 43rd President of the

United States

FIGURE 9.5 – GOVERNMENT NET COST, 2007

Source: “The Federal Government’s Financial Health: A Citizen’s Guide to the 2007 Financial Report of the United States Government.” Washington, DC: U.S. Government Accountability Office (GAO). http://www.gao.gov/financial/fy2007financialreport.html.

Department of Defense $665 billion

Other HHS $111 billion

HHS – Medicare and Medicaid $556 billion

Social Security Administration $626 billion

Interest on debt held by the public $239 billion

All other entities $713 billion

22.8%

8.2%

3.8%

24.6%

21.5%

19.1%

307Public Budgeting

amount an individual earns: Those who earn more pay a higher rate than those who

earn less. This is referred to as a progressive tax system. Currently, as of 2010, the

highest personal income tax rate is 35 percent. In addition to personal income, the

federal government relies on corporate income taxes and payroll taxes. Corporate in-

come taxes are similar to personal income taxes, as the revenues generated by for-

profit businesses are taxed at varying rates depending upon the profitability of the

business. Payroll taxes are taxes that both employees and employers pay jointly.

Money withheld from a person’s paycheck for Social Security and Medicare represent

payroll taxes. As of 2010 employers withheld 6.2 percent of an individual’s

wages/salary for Social Security and matched that amount until the employee reached

$106,800 of gross earned income for the year (gross meaning earned income before

taxes are taken out). Beyond the $106,800 mark, the individual and employer were no

longer required to withhold any additional payroll taxes. The withholding rate and

employee match for Medicare is currently 1.45 percent. There is no income ceiling for

FIGURE 9.6 – GOVERNMENT REVENUE, 2003–2007 (IN TRILLIONS OF DOLLARS)

3.0

2.5

2.0

1.5

1.0

0 2003 2004 2005 2006 2007

Total revenue

Social Security and Medicare Tax revenue*

Individual income tax revenue*

Corporate income tax revenue*

* In the Financial Report, Social Security and Medicare tax revenue are combined with individual tax revenue.

308 CHAPTER 9

Medicare withholdings. The federal government also taxes wealth, examples of which

include profits from the sale of stocks, bonds, precious metals, and real estate. This is

referred to as the capital gains tax, and the highest capital gains tax rate sits at 15 per-

cent. Estates that are passed on after an individual’s death may also be subjected to fed-

eral taxation, depending upon the value of the estate.

Like the federal government, state governments typically rely on personal and cor-

porate income taxes—in addition to consumption or sales taxes. With consumption

taxes, x number of cents will be added to every dollar you spend on goods and cer-

tain services. Income, corporate, and sales tax rates differ from state to state. Local

governments principally rely on property taxes to finance government services and

projects. With property taxes, an assessor within a municipality will physically go

to a person’s home or privately owned building and place what is known as an as-

sessed value on it. When the assessed value is multiplied by a set tax rate, the result

is one’s property tax bill for the year. Property tax rates differ from municipality to

municipality. Some municipalities do have income taxes, but these are typically

very large cities—a good example being New York City.

Theories of Budgeting The eminent political scientist V.O. Key (1940, p. 1138) acknowledged a budgeting

quandary when he asked the following: “On what basis shall it be decided to allo-

cate x dollars to activity A instead of activity B?” Given the scarcity of public re-

sources, budget makers must determine how such resources are used, and there

are various schools of thought or theories that dictate how public resources should

be allocated. Miller (1976) offers three philosophical viewpoints regarding resource

allocation: rights, deserts, and needs. The notion of rights assumes a legal or con-

tractual obligation; deserts is synonymous with merit and utilitarianism, as cham-

pioned by the British philosophers John Stuart Mill and Jeremy Bentham; the

needs philosophy is redistributive in nature, meaning public money taken from the

wealthier segments of society are used to support the less fortunate. These indi-

TABLE 9.8 – FEDERAL PERSONAL INCOME TAX RATES (2008)

Source: Congressional Budget Office.

Married F i r s Jointly

Marginal

Tax Rate

10.0%

15.0%

25.0%

38 0%

33.0%

35.0%

Tax Brackets

Ovei ButNotCve

$0 $16,050

$65,100

5131,450

5200,300

5357,700

$16,050

165,100

$131.450

5200,300

5357,700

Ma'red Filhq Separately

Marginal

Tax Rate

10.0%

15.0%

25.0%

28. 0%

33.0%

35.0%

Tax Brackets

Over But Not Over

SO $8,025

16,025 532,550

$32,550 $65,725

$65,725 S1O0.150

510D.150 S178.850

$178,950

Marginal

Tax Rate

10.0%

15.0%

25.0%

28.0%

33.0%

35.0%

Single

Tax Brackets

Over But Not Over

$0 $8,025

$3,025 $32,550

$32,550 578,850

$78,850 $164,550

$164,550 $357,700

5357,700

Head of Household

Marginal

Tax Rale

10:%

15.0%

25.0%

28 0%

33.0%

35.0%

Tan Brackets

Over But Nol Over

$0 $11,450

$11,450 $43.650

$43,650 $112,650

S112.65D $182,400

5182,400 $357,700

S357.700

309Public Budgeting

vidual-centered philosophies represent three ways of dealing with equity, which

Frederickson (1990) envisions as the third pillar of public administration (econ-

omy and efficiency being the initial two pillars). And so the question remains,

Should government allocate resources based upon need, which is the case with

means-tested programs such as Temporary Assistance for Needy Families (TANF)?

Or, should entitlement or contract be the basis of budgetary theory, which is the ra-

tionale for social insurance programs like Social Security and Medicare? The an-

swers reflect different social philosophies and have a profound impact on how

public resources are budgeted.

When assessing V.O. Key’s question, one must consider budgetary theory from the

perspective of the economist, the political scientist, and the public administrator.

The economic perspective is best captured by V. Lewis (1952), who adds a measure

of rationality with regard to cultivating a normative theory of budgeting. According

to Lewis, philosophy should determine organizational goals, but economy and ef-

ficiency in terms of relative value, effectiveness, and incremental comparisons

should serve as the means of goal attainment. Relative value refers to the opportu-

nity cost of a particular policy decision, and it reflects the real consequences one ex-

pects will follow from making a particular decision. This cost is typically the

difference between one’s first and second choices. Relative effectiveness refers to

evaluating a policy or budgetary preference in terms of achieving a common pur-

pose. The notion of incremental comparisons refers to comparing value or cost at

the margin, assuming that value diminishes with quantity (that is, as we acquire ad-

ditional units of anything, an added unit has decreasing value). Regardless of indi-

vidual policy preferences as dictated by philosophy, economic principles must

remain paramount, and the closest application of this concept is zero-based budg-

eting (ZBB). Much like Lewis, Mikesell (1978) argues that the objective of the

TABLE 9.9 – WHICH TAX SYSTEM IS MOST FAIR?

Ability to pay dictates the type of tax system governments impose. Income taxes are pro-

gressive, in that those who make more pay a higher rate. Consumption taxes are propor-

tional, as everyone pays the same rate on the sale of goods and services. Billionaire and

former Republican presidential candidate Steve Forbes is a proponent of changing the in-

come tax to reflect a proportional system, whereby everyone would pay the same rate—this

is the so-called flat tax.

Taxpaye income $ 20,000 40,000 60,000

r Regressive system Tax rate % Tax paid $

15.0% 3,000 7.5% 3,000 5.0% 3,000

Proportional system Tax rate % Tax paid $

10.0% 2,000 10.0% 4,000 10.0% 6,000

Progressive system Tax rate % Tax paid $

5.0% 1,000 7.5% 3,000

15.0% 9,000

310 CHAPTER 9

budget process is to support public policies and projects where the value exceeds the

costs. The budget process should strive to identify and sustain worthwhile govern-

ment activities, while minimizing the wasteful misallocation of scarce resources.

According to Brubaker (1997), the budgetary process engenders a “common pool”

of resources. Private income becomes common property, and this consequently fos-

ters what Brubaker terms the “tragedy of the budgetary commons,” whereby the

transfer of private income into a finite common pool creates incentives for ex-

ploitation. While the common pool should be used for purely public goods and serv-

ices, this pool represents a depletable pie that is “up for grabs” among competing

interests. As such, incentives are created to avoid contributing to the common pool,

but a simultaneous struggle to obtain a share of it (i.e. budgetary rent seeking) ex-

ists as well. The struggle to obtain appropriations from the common pool creates

tension and conflicting priorities, and such conditions prove counterproductive in

terms of fostering careful and detached budgetary decisions. Brubaker (1997) em-

braces a budgetary process that provides a clear expression of public preference,

produces net benefits for all, decreases opportunities for rent seeking, and allows

people to participate directly. Brubaker advocates public choice measures that

would reduce the magnitude of the budgetary commons. For instance,

• Tax credits could be offered for contributions made to providers of

quasi-public services.

• Taxpayers could choose to no longer participate in programs that pro-

vide dividable goods or services.

• Citizens could participate in determining their tax share; however,

this idea is prone to so-called free rider problems and lack of knowl-

edge. (Brubaker 1997)

Urban Institute—Catastrophic Budget Failure November 25, 2009 (Video) Len Burman, former director of the Urban-Brookings Tax Policy Center, explains why our spending and borrowing policies are leading the country toward catastrophic budget failure. Burman argues that the Congressional Budget Office’s bleak eco- nomic forecasts are too optimistic, so we must act quickly to reduce our deficits. After viewing this video, students will critique the Burman plan, identifying strengths, weakness, and omissions. An alternative plan will be created based upon this analysis.

http://www.urban.org/publications/500137.html

EXERCISE 9.1

311Public Budgeting

Political scientists maintain that the budget is an interest-oriented process in which

decisions are made in the context of who pays and who receives. The budget rep-

resents individual preferences and conflicts over whose preferences should prevail.

As such, the process for dealing with differing budgetary preferences is not eco-

nomic but political, according to Wildavsky (1992). Wildavsky underscores the in-

evitability of budgetary incrementalism as a function of politics (1961; 1992),

suggesting that only a small number of politically feasible alternatives are consid-

ered at any one time, and in a democracy, these policies typically differ only in small

increments from previous policies.

Whicker (1992) offers a “grander budget theory” that has a redistributive aspect—

that is, tax dollars collected from wealthier individuals are spent on agencies and

programs that provide services to the less fortunate. According to Whicker, ideol-

ogy filtered through political parties controls politics and the budget. A grander

budget theory would therefore pay greater attention to the redistributive compo-

nents of the prevailing political ideologies, which would serve as a basis for deter-

mining that x ideology equals a y distribution of resources. Whicker’s grander

budget theory takes into account economic variables and budget actors’ percep-

tions of economic conditions, thereby accounting for the ideological disparities that

are manifest in times when government resources are less abundant.

Individuals like B. Swedlow (2002) would argue that cultural theory serves as a

basis for understanding budgetary decisions. Culture embodies ideology, philoso-

phies regarding human nature, the economy, and the impact of redistributive poli-

cies on individual autonomy and collective relationships. Cultural theory is a basis

for predicting which political actors will form coalitions and which budgetary out-

comes they will prefer. Swedlow characterizes budgeting as inherently normative

insofar as it promotes some values over others. Norms and values permeate the

budget process: the question of who gets what is value-laden. A normative theory

of budgeting is one that reflects preferences of ways of life proportional to political

representation. For example, if an egalitarian culture dominates, then budgeting

may be done via referendum. If an individualistic culture dominates, then budget-

ing may be decentralized and fragmented.

The public administration perspective has, to some extent, evolved from economic

and political science logic. Public administration’s emphasis on efficiency and ef-

fectiveness is analogous to the economic principles set forth by Lewis (1952), Mike-

sell (1978) and others. Further, Holzer and Gabrielian (1998) stress that budgetary

decisions, even from the perspective of public administrators, tend to be political

in nature. Public administration has gone further, interjecting the notion of equity

into the budgetary decision-making process. Frederickson (1990) embraces social

equity as a standard for budgetary preferences and government action in general.

Social equity is envisioned as the third pillar of public administration (after econ-

omy and efficiency), and it encompasses notions such as equality in governmental

312 CHAPTER 9

services, responsiveness to the needs of the citizenry, and an approach to public

administration that has practical applications, is problem oriented, and theoreti-

cally sound. Public administrators, according to Frederickson, require a better un-

derstanding of fairness and equality in order to balance the needs for economy,

efficiency, and social equity. Moreover, Frederickson (1994) advocates policies or

budgetary preferences that have intergenerational social equity—policies that do

not shift costs or benefits from one generation to another.

V.O. Key questioned the rationale by which x dollars are allocated to one activity at

the expense of another. While budgetary preferences are largely a function of phi-

losophy and values, efficiency and cost-benefit principles must guide the budget

process. From a political science perspective, bargaining and incrementalism prove

central to the budgetary process, which is consistent with pluralist notions. Finally,

the notion of social equity is essential to the public administration logic regarding

resource allocation. Key (1940) suggests that solving this budgetary dilemma does

not entail the establishment of a single paradigm or criteria by which budgetary de-

cisions should be made. Specifically, Key notes: “It is not to be concluded that by ex-

cogitation a set of principles may be formulated on the basis of which the harassed

budget official may devise an automatic technique for the allocation of financial re-

sources. Yet the problem needs study in several directions” (1940, p. 1140).

American Public Media—Engage 08: Budget Hero (Simulation) Take the budgeting process for the U.S. government into your own hands and feel the impact of your distribution and taxation decisions in real time. Set tax rates and spending rates to determine the equitable distribution of public services. Experi- ence the impact of balancing policy priorities of security and health care with educa- tion and insurance benefits, while maintaining the safety net that government is expected to provide. After completing the simulation, students will summarize the actions they took and the results of those actions.

http://americanpublicmedia.publicradio.org/engage08/budgethero/

EXERCISE 9.2

313Public Budgeting

Brubaker, E. 1997. “The Tragedy of the Public Budgetary Commons.” The Inde- pendent Review 1, no. 3: 353–70.

Downs, A. 1959. An Economic Theory of Democracy. New York: Harper & Row.

Frederickson, H.G. 1990. “Public Administration and Social Equity.” Public Ad- ministration Review 50, no. 2: 228–37.

———. 1994. “Can Public Officials Correctly Be Said to Have Obligations to

Future Generations?” Public Administration Review 54, no. 5: 457–64.

Government Accountability Office (GAO). “The Federal Government’s Financial

Health: A Citizen’s Guide to the 2007 Financial Report of the United States

Government.” Washington, DC: U.S. GAO.

Appropriations

Appropriations bill

Budget and Accounting Act of 1921

Budget audit

Budget authority

Budget deficit (or shortfall)

Budget resolution

Budget surplus

Capital budget

Discretionary spending

Entitlement spending

Executive budget

Executive Office of the President

(EOP)

Fiscal year

Government Accountability Office

(GAO)

House Appropriations Committee

House Budget Committee

Legislative budget

Line-item budget

Office of Management and Budget

(OMB; formerly Bureau of

the Budget [BOB])

Operating budget

Outlays

Performance budgeting

Planning program budgeting

systems (PPBS)

President’s budget

Senate Appropriations Committee

Senate Budget Committee

U.S. Comptroller General

Zero-based budgeting (ZBB)

KEY TERMS

REFERENCES

314 CHAPTER 9

http://www.gao.gov/financial/fy2007financialreport.html.

Heniff, Bill, Jr. 2008. “The Spending Pipeline: Stages of Federal Spending,” CRS

Report for Congress, Order Code 98–405 GOV, June 17.

Holzer, M., and V. Gabrielian. 1998. “Five Great Ideas in American Public Ad-

ministration.” In Handbook of Public Administration, ed. J. Rabin, W.B. Hil- dreth, and G.J. Miller. New York: Marcel Dekker.

Key, V.O. 1940. “The Lack of a Budgetary Theory.” American Political Science Review 34 (December): 1137-1144.

Lewis, V. 1952. “Toward a Theory of Budgeting.” Public Administration Review 12 (Winter): 42–54.

Mikesell, J.L. 1978. “Government Decisions in Budgeting and Taxing: The Eco-

nomic Logic.” Public Administration Review (November/December): 511–13.

Miller, D. 1976. Social Justice. Oxford: Clarendon Press.

North Carolina Progress Board. 2003. Our State, Our Money: A Citizens’ Guide to the North Carolina Budget, September. http://fsv.uncg.edu/budgets/Citi- zens_Guide.pdf.

Office of Management and Budget. 2002. A Citizen’s Guide to the Federal Budget. http://www.gpoaccess.gov/usbudget/fy02/pdf/guide.pdf.

Ramkumar, V. Our Money, Our Responsibility: A Citizen’s Guide to Monitoring Government Expenditures. http://www.internationalbudget.org/resources/expenditure/

Swedlow, B. 2002. “Toward Cultural Analysis in Policy Analysis: Picking Up

Where Aaron Wildavsky Left Off.” Journal of Comparative Policy Analysis: Research and Practice 4: 267–85.

Whicker, M.L. 1992. “An Academician’s Response: Toward A Grander Budget

Theory.” Public Administration Review 52 (November/December): 601–03.

Wildavsky, A. 1961. “Political Implications of Budget Reform.” Public Adminis- tration Review 21 (January): 183–90.

———. 1992. “Political Implications of Budget Reform: A Retrospective.” Public Administration Review 52 (November): 594–99.

California Senate Publications. 2000. The Budget Process: A Citizen’s Guide to Participation. Sacramento, CA: Senate Publications.

SUPPLEMENTARY READINGS

315Public Budgeting

Heniff, Bill, Jr. 2007. “Formulation and Content of the Budget Resolution,” CRS

Report for Congress, Order Code 98–512 GOV, May 1.

Schick, A. 2000. The Federal Budget: Politics, Policy, Process. Washington, DC: Brookings Institution Press.

An Example of a City Budget—”The City of San Diego: A Citizen’s Guide to the

City’s Budget Process,” Independent Budget Analyst (IBA), 2008:

http://www.sandiego.gov/iba/pdf/bpguide.pdf

An Example of a County Budget—“A Citizen’s Guide to the Clallam County

Budget,” Port Angeles, Washington, 2004: http://www.clallam.net/Board/as-

sets/applets/Citizen_s_Guide1.pdf

An Example of a Municipal Budget—”Citizen’s Guide to the Budget,” Town of

Hamden, Connecticut, 2007: http://www.hamden.com/filestorage/43/79/Cit-

izen’s_Guide_to_the_Budget.pdf

An Example of a State Budget—”Our State, Our Money: A Citizens’ Guide to the

North Carolina Budget,” North Carolina Progress Board, 2003:

http://fsv.uncg.edu/budgets/Citizens_Guide.pdf

National Budget Simulation: http://www.nathannewman.org/nbs/

Uncle Sam’s Budget Balancer: http://www.klhess.com/unclesam/

U.S. Department of the Treasury’s Financial Management Service:

http://www.fms.treas.gov

U.S. Government Accountability Office: http://www.gao.gov

The White House Office of Management and Budget:

http://www.whitehouse.gov/omb

The World Bank Website on Financial Management Budget Preparation: Policy-

Based Budgeting (includes international best practices): http://web.world-

bank.org/WBSITE/EXTERNAL/PROJECTS/EXTFINANCIALMGMT/0,,cont

entMDK:21462122~isCURL:Y~menuPK:3914586~pagePK:210058~piPK:210

062~theSitePK:313218,00.html

ELECTRONIC RESOURCES

Public-Sector Leadership

CHAPTER 10

Chapter 10 examines leadership within the public

organization. In this chapter, students are provided practical

leadership examples, with an emphasis on the managerial

responsibilities of the leader. The discussion then turns to

various and competing theories of “good” leadership. To

conclude, students look at leadership and power, as well as

the importance of effective communication in coordinating

the human elements of the organization.

316 CHAPTER 10

317Public-Sector Leadership

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“You can only govern men by serving them.”

VICTOR COUSIN French Philosopher

(1792–1867)

Ineffective conducting. Source: www.cartoonstock.com

318 CHAPTER 10

Management Functions On cable and network television, shows offer prime-time stereotypes of people in

command almost hourly—authoritative police commanders on Law and Order, a decisive doctor on House, and a confident President on the West Wing. Commer- cials on both TV and radio almost invariably present the boss as a figure to be both

feared and pleased. The executive’s voice is loud and strong, his or her manner is

forceful, and subordinates are relegated to inferior positions. In bestselling fiction,

the genre of Michael Crichton and colleagues deals primarily in stereotypes of pow-

erful figures. Novels of politics or crime seem to trade in

images of strong presidents, CIA directors, admirals and

generals, commissioners and commanders. The language

is idiomatic; the characterizations are two-dimensional. In

sports, the image of the lone, aggressive decision maker is

reinforced daily, and especially on the weekends, by stern-

faced coaches and managers pacing the sidelines or sitting

on the bench: They play the role of chess master, while the

players are simply pieces on the game board. In comics, the

boss often is portrayed as insensitive, and the power rela-

tionship is lopsided. Take Dilbert, for example—the staff in this cartoon typically suffers from the wrong-headed be-

havior of management, but those same incumbent, incompetent managers seem to

survive. In Blondie, the boss is the productivity figure, while Dagwood is the buf- foon. This chapter takes a closer look at the notions of leadership. Students will be

presented with theories of leadership and real-world leadership examples, which

are tied to a broader discussion of public-sector management.

Organizational leaders must carry out specific managerial functions. These func-

tions include planning, organizing, directing, coordinating, controlling, and imple-

menting.

• Planning: Determining what is to be done to accomplish a specific purpose, objective, or the mission of the department, section, or unit.

• Organizing: The formal arranging and balancing of activities, the de- termination of who will do what, the assigning of authority and re-

sponsibility so that that which is being planned will be accomplished.

• Directing: Assigning tasks, ordering, instructing, telling subordinates what to do in order to accomplish the objective.

• Coordinating: Integrating a schedule of activities so that the plans will be carried out on time.

LEADING PEOPLE

“A good leader is a person who takes a little more than his share of the

blame and a little less than his share

of the credit.”

JOHN C. MAXWELL Pastor; Author;

Leadership Expert

319Public-Sector Leadership

• Controlling: Checking the progress of work against plans or stan- dards to determine if activities are under way and progressing satis-

factorily; making corrections and adjustments or even new plans in

the light of new developments or unforeseen circumstances.

• Implementing: Accomplishing or fulfilling the purposes or ends of the work plan.

According to Leonard Sayles (quoted in Rao, 1999), managers are people who:

1. Work to implement their personal career plans, using the firm as a vehicle

for so doing while seeking to meet its requirements.

2. Work to be sensitive to the expressed or more often implied expectations

of their immediate superiors. They seek to tune in on new pressures, new

developments, and new requirements that may subtly or sharply alter how

they go about their work.

Eleanor Roosevelt and Fala, the Roosevelts' dog during the White House years.

320 CHAPTER 10

3. Negotiate continuously with their peers in other departments on whom

they depend and who depend upon them and their work group to get the

total job done effectively.

4. Cultivate good relations with staff and service groups whose attitudes and

actions can make their jobs easier or harder, for they realize that at times

support groups have the ear of the throne.

5. Respond to the requests, demands, and requirements of significant indi-

viduals and groups in their occupational life spans to retain their goodwill

or at least not alienate them. They must be flexible in adjusting to an as-

tounding variety of personalities, cliques, in-groups, parochial loyalties, ex-

pertise, and eccentricities.

6. Oversee the flow of work into, within, and out of their departments to as-

sure that it proceeds with a minimum of interruption or static that may

draw unwanted attention from superiors.

7. Are alert to the work output, needs, desires, and morale of their subordi-

nates, interacting with them, yet maintaining their own managerial position.

8. Represent their people and their views in dealings with their superiors and

other departments.

9. Try to remain their own person while accommodating themselves to the

legitimate demands of the organization. They must establish a valid order

of priorities balancing out what is rightly due the firm, their families, and

themselves.

10. Attempt to cope adequately with their own tensions to receive a fair share

of psychic as well as economic income from their work. (Rao, 1999)

The successful accomplishment of these managerial functions stems from the man-

agement of interpersonal relationships—in other words, leadership. Leadership is

present at all levels in an organization, whether private or public. A leader must be

decisive, yet listen to others. He or she must be firm, yet

know when to retreat. He or she must exercise authority,

but in a restricted way. In brief, a leader must know when

to “zig” and when to “zag.” Effective leadership assures suc-

cess in planning, organizing, and controlling staff.

• The essence of leadership is followship—people’s

willingness to follow makes for leadership.

• Leadership is generally defined simply as influence—the art of influenc-

ing people to work freely toward the achievement of collective goals.

Traditional, simplistic models of leadership pervade our society and condition our

“To lead people, walk beside them.”

LAO-TSU Philosopher

(c. Fourth–Sixth Century B.C.E.)

321Public-Sector Leadership

public managers from a very early age. Those ingrained top-down models frustrate

policy implementers—or public servants—by making the least, rather than the most,

of our critical human resources. Models of excellent leadership, on the other hand,

can be especially powerful in informing the study and implementation of public ad-

ministration, offering salient models that can gain and maintain the attention of busy

policy implementers. If better leadership “prescriptions” are to be constructed, they

will have to rely on lessons of successful leadership as viewed through new lenses. The

literature of leadership focuses on partnerships as a means to attain the stated goals

of a particular public policy. Programs in public administration and public affairs, as

well as in business and management, are expending much

effort in undoing the assumptions that students bring to the

classroom; as a consequence, they are ignoring the problems

and constraints of such deep-seated, albeit simplistic, views.

Those simplistic assumptions essentially follow an authori-

tarian, or Theory X, model.

• Leaders must be strong and decisive; under con-

tinuous pressure, they must act on the spot,

reaching decisions without taking much time to

consider the subtleties and implications of their

choices.

• Leaders are expected to act as authoritarian, lone

decision makers; they may solicit advice, but

their operative paradigm is “the buck stops

here”—the adage that the decision is on their desk, on their watch.

They are expected to act, and they do so as much to serve their egos

as to respond to the expectations of their colleagues, superiors, and

board members that they present a strong and decisive persona.

• The “team” must back up the leader, right or wrong. Team members

do not argue; soldiers carry out their orders, athletes execute their

plays, and subordinates follow directions.

• Authority emanates from the top and is to be automatically accepted.

Members of an organization, paid or volunteer, rarely talk back or

challenge top-down directives. And they are just as rarely ignored in

the formulation of decisions and strategies.

• Leaders know best and the workforce must therefore follow. Generals

and secretaries of defense view wars as too complex for the average

soldier or citizen to understand. Principals view education as too

complex for students, parents, and even teachers to comprehend.

Thus, public management is driven by assumptions of leadership that are widely ac-

“Leaders are visionaries with a poorly developed sense of fear and no concept of the

odds against them. They make

the impossible happen.”

ROBERT JARVIK Twentieth-century

Heart Surgeon

322 CHAPTER 10

corded legitimacy by the workforce exposed to Theory X-type role models from birth.

• Young children are socialized to follow the authoritative directions of

their parents. This is a necessary pattern of survival and cultural

transference that often continues throughout the life cycle of parents’

relationships with their children.

• Other authority-oriented role models insert themselves into the lives

of children as they grow and gain independence.

• Students are expected to follow the lead of their teachers and later,

their professors, who are given immense authority to direct, judge,

punish, and reward.

• Student-actors must follow the directions of the drama coach or di-

rector of the school play.

• Student-athletes are acculturated never to question the edicts from

their coaches.

The aforementioned role models are reinforced throughout adulthood, and the pre-

vailing stereotype of the authoritative leader appears in multiple venues. For in-

stance, in the 1970 award-winning film Patton, George C. Scott portrays the revered U.S. army general as a larger-than-life figure, intimidating his troops into coura-

geous actions, accusing slackers of cowardice, and exposing himself to enemy fire

as an example to the soldiers under his command. That image, as portrayed by other

actors who represent real and fictional characters, is a

thread that is woven through movies of wartime action and

Cold War deception, of the Wild West, and of police and

firefighting heroics.

Although simplistic assumptions are widely discredited in

the research-based literature, few people are exposed to

such studies or taught about those research findings. In the

United States, tens of millions of people staff public and

quasi-public organizations (nonprofits, private-sector con-

tractors, and the like). Only a very small percentage (in the

range of tens of thousands) are educated in public man-

agement at the graduate level, having obtained a master’s

degree in public administration or public policy, and many of those graduates lack

formal leadership training. Most people in positions of public-sector leadership

come from fields such as law, medicine, engineering, social work, or education,

where little but the stereotypes inform their expectations.

A thorough examination and analysis of case studies in leadership could help re-

verse the erroneous notions of authority that our society communicates so perva-

“There are always a lot of people so afraid of rocking

the boat that they stop rowing. We can never get

ahead that way.”

HARRY S. TRUMAN 33rd President of the

United States

323Public-Sector Leadership

The Case of Nancy Hanks According to Richard Loverd (1997), Nancy Hanks (1927–1983), as the second chair-

person of the NEA, is regarded as an especially successful policy implementer. Bring-

ing unusually deep and broad leadership skills to the NEA, she executed a strategy for

advancing and adapting the agency to a changing policy environment. During

Hanks’s tenure from 1969 to 1977, the agency budget increased twelvefold. Its staff

increased sixfold. The number of applications for funding increased ten times. The

number of grant awards rose by a factor of seven. Overall, Hanks nurtured an arts

boom throughout the country. Theater audiences more than tripled. Dance audiences

increased by a factor of ten. Other measures of the arts showed similar growth. Just

as important, artists and government officials came to feel they were full partners in

a set of long-term endeavors. Loverd (1997) characterized the ingredients of Hanks’s

leadership—the “recipe” for implementation—as a winning combination of environ-

mental context, bureaucratic resources, political tactics, and personal style.

In terms of the context, Hanks was relatively nonpartisan. Although a Republican

like Richard Nixon, the U.S. president at the time of her appointment, Hanks came

across as a neutral figure—neither a politician nor an artist. She was able to build

partnerships (that is, political coalitions) by avoiding any political or artistic labels.

She described herself modestly as a budgeting specialist—an arts administrator who

could creatively put a program into a political context. Hanks was adept at partner-

ing: building networks, convening panels of experts, coordinating advisory commit-

tee decisions, integrating diverse viewpoints, and reformulating information and

opinion into an acceptable, practical product. She was also known for her meticu-

lous preparation skills and her keen attention to detail.

Hanks successfully defined a long-term financial growth strategy for the NEA. Her

three goals were:

1. Developing cultural resources, targeting nonprofit arts agencies for compet-

itive grants,

2. Making artistic resources available to a much wider audience, and

3. Advancing our cultural legacy by funding new creative opportunities for

artists and new artistic experiences for audiences.

Each of these three goals formed the basis for a new coalition of partners: arts agen-

cies, audiences, and artists.

To fund her initiatives, Hanks took advantage of the newly passed Budget and Im- (continued)

324 CHAPTER 10

poundment Control Act of 1974 to secure more than $10 million in transitional fund-

ing. In addition, by developing a new category of funding known as “challenge

grants,” which required a three-to-one match of private-to-federal dollars, she ef-

fectively stretched the NEA’s budget. Both actions required substantial coalition

building in the arts and political communities, as well as alliance building with other

federal agencies such as the U.S. Information Agency and the General Services Ad-

ministration. To staff the NEA’s initiatives, she built a capable, loyal staff, in large

part by drawing on her wide networking skills. That staff underscored and reinforced

her own capabilities and acted very much as a fourth partner in building momentum

for the arts.

Finally, Hanks became known for results-oriented programs. She relied on ideas that

had been piloted successfully elsewhere, often at the state level. By paying attention

to such innovations, she was able to adapt workable ideas rather than risk imple-

menting something entirely new. Compared to her successors, who were notably less

successful, Hanks is viewed as a person with the right qualities and the necessary

skills to take advantage of an environment that presented opportunities for the im-

plementation of public policy. She is remembered as a leader who worked effectively

with a broad range of allies, including bureaucrats in her own agency and in other

federal venues, and politicians in the White House and U.S. Congress.

Overall, then, we can extract the following guidelines from Hanks’s case.

1. Build networks resulting in partnerships.

2. Bring technical expertise to the position.

3. Increase resources and disburse them to partners.

4. Integrate diverse viewpoints.

5. Adapt proven ideas.

6. Demonstrate results.

7. Build a capable, loyal staff as internal partners.

8. Take advantage of opportunities in the policy environment.

Source: Loverd, R.A., ed. 1997. Leadership for the Public Service. Upper Saddle River, NJ: Prentice Hall.

(continued)

325Public-Sector Leadership

sively. Developing alternative models of leadership behavior would likely make

much better use of our human resources in the quest for more effective public or-

ganizations and programs. We cannot govern in the twenty-first century from first-

century models such as the Caesars. As examples of efficiency and power, we

examine the leadership style of two federal administrators: Nancy Hanks of the Na-

tional Endowment for the Arts (NEA) and Colin Powell of the U.S. Department of

Defense (DoD). Both offer practical models for leadership, as well as insights on

building and maintaining sometimes fragile partnerships.

Prevailing Leadership Theories Trait Theory Trait theory embraces the idea that leaders are born; therefore, they must possess

certain innate characteristics that make them well suited for leadership. Height—

justifiably or not—is thought to be a leadership trait; that is, there is the perception

that taller individuals are better leaders. Height is often associated with dominance

and power. Other leadership traits include intelligence, self-confidence, sociability,

integrity, and diligence. Good reasoning skills and the ability to use language per-

suasively are positive leadership traits, but there is such a thing as being too smart

for one’s own good. Off-the-charts intelligence can sometimes be misinterpreted

and can actually hinder a leader’s ability to connect with his or her subordinates.

The essence of leadership is getting people to follow. People are more inclined to

follow someone who exudes confidence. Having confidence in your abilities and

conveying this confidence ultimately make people feel that your decisions are the

correct ones, and thus following is the “smart” or “right” thing to do. There is, how-

What Are the Qualities of a Poor Leader Versus an Excellent Leader? Think for a moment of a manager you have worked for that you considered to be an excellent leader. List the qualities that made you feel that he or she was an excel- lent leader.

1. Observed qualities? 2. How did you feel working for this manager? 3. What was your reaction on the job to this treatment?

Now, think of a manager you have worked for who was simply awful. List the quali- ties that made you feel he or she was a poor leader.

1. Observed qualities? 2. How did you feel working for this manager? 3. What was your reaction on the job to this treatment?

EXERCISE 10.1

326 CHAPTER 10

The Case of Colin Powell Nancy Hanks had a clear mission, one in which she ardently believed: the growth of the

arts. U.S. Army General Colin Powell was given the task of implementing an even clearer

mission, but one that he may not have championed initially: gaining support for the

Persian Gulf War (also known as the First Gulf War, the Iraq War, and Operation Desert

Storm, 1990–1991). By all accounts, however, he did so quite effectively. According to

Jon Meacham (1997), Powell reportedly had reservations about going to war against

Iraq. As an alternative, he favored a strategy of containment. But Powell’s responsibil-

ity as chairman of the Joint Chiefs of Staff was to implement President George H.W.

Bush’s decision to go to war. By all accounts, Powell was adroit in his support of the

President (Bush the elder), partnering with different players to build a supportive con-

stituency. Meacham characterizes Powell’s skills as more than just technical. He was

viewed by White House staffers as a politically adept player who knew how to work the

levers of power at the departmental and interagency levels. Among members of the

press, he was seen as especially cooperative in helping to develop stories—a clear indi-

cation of his subtle skillfulness in enlisting the press as a policy implementation partner.

Like Hanks, Powell’s attributes include an efficient manner and an ability to get

things done. Firmly committed to the principles of merit, he attributes his success to

the army’s objectivity in assessing the skills and accomplishments of its members.

This belief underscores his awareness of the need to build and maintain support

within the military bureaucracy over the long haul (i.e., the course of his career).

In terms of policy implementation, Powell has a reputation as a conservative man-

ager. He is described by Meacham (1997) and others as someone who knows how far

to take an argument, and was understandably reluctant to antagonize other decision

makers who did not share his understanding of facts, strategies, or tactics. But his

persuasive abilities and negotiating skills enabled him to fight for federal funds for

defense and to prevail. In 1990 he took the initiative, convincing then-President Bush

(the elder) and Defense Secretary Dick Cheney to maintain a “base force” of 1.6 mil-

lion troops and an overall defense spending budget of $290 million. In arguing for

those numbers, he used his ties with the press to “float” his own position in advance

of that of the White House. Powell preserved Cold War levels of funding without a

Cold War enemy. He did this in part by building a coalition of interests within the

DoD, a mutually advantageous strategy of multiple, overlapping forces, thus begging

the questions of efficiency and redundancy and minimizing opportunities for dras-

tic budget cuts. During the Gulf War, Powell was as adept at being a politician as he

was at being a military strategist. According to General Norman Schwarzkopf, he was

never sure whether Powell was representing his own views or those of others.

327Public-Sector Leadership

Overall, Powell emerged from the Persian Gulf War as a hero—highly respected and po-

sitioned for future leadership. He was perceived as an effective leader by his troops and

the public, and as an effective soldier by his civilian superiors. Powell had managed to

implement national policy largely by recruiting organizational allies and maintaining

coalitions, much as he had done in earlier budgetary and intradepartmental “wars.”

We can also extract guidelines for successful policy implementation from the Powell

case, according to Meacham (1997).

1. Know how to “partner” in the process of implementing desired policy.

2. Become a reliable source for potential press partners.

3. Project an image of efficiency.

4. Advocate principles of merit, thereby building a positive image for

the organization.

5. Build both internal and external coalitions.

6. Be able to represent the views of other partners.

7. Argue preemptively, thereby facilitating partnership opportunities.

8. Be willing to implement orders to be an “inside” partner.

Source: The Washington Monthly, December 1994. Copyright by the Washington Monthly Company, 1611 Connecticut Ave., N.W., Washington, D.C. 2009.

Colin Powell, center, former Chairman of the Joint Chiefs of Staff and Secretary of State. White House photo by Paul Morse.

328 CHAPTER 10

ever, a thin line between confidence and arrogance—the latter of which may alien-

ate people. Michael Bloomberg, the mayor of New York City, attributes his success

in life to interpersonal skills and determination (Bloomberg 1997). A leader must

be able to work with people. A leader must be sociable, which is synonymous with

being courteous, sympathetic, and cooperative. Trait theory assumes that the best

leaders are proactive, persistent, and show a willingness to accomplish the task at

hand. Finally, integrity assumes a certain measure of ethical clarity. Leaders with

integrity can be counted on to do what they say they will do. Having integrity means

being dependable and loyal. It also means that a leader is

willing to accept responsibility for his or her actions. Aside

from being highly subjective, the main criticism of trait the-

ory is the implication that leadership cannot be learned.

Skills Theory While trait theory emphasizes personal characteristics, the

skills approach to leadership is centered on human capital.

In other words, an individual’s skills and abilities deter-

mine the extent to which he or she is fit for leadership.

There are three distinct types of skills: technical, human,

and conceptual. Technical skill refers to the abilities and

knowledge necessary to complete a particular task. Human

skill is analogous to having interpersonal skill or simply

being good with people. A leader with interpersonal skills

is aware of individuals’ needs and tries to motivate subordinates by fulfilling those

needs. Conceptual skill refers to the ability to think critically and work with ideas.

Long-term visioning, strategic planning, and analyzing hypothetical scenarios are

conceptual skill sets. Conceptual skills are thought to be most important among top

management, while human and technical skills are most important among middle

and line managers.

Style Theory The style theory of leadership is framed in terms of task-oriented behavior and re-

lationship-oriented behavior. Task behaviors deal exclusively with organizational

goal attainment, while relationship behaviors deal with the sociopsychological as-

pects of managing employees—creating a harmonious and cooperative work envi-

ronment and making sure that employees get along with each other and their

supervisors. Style theorists examine how well leaders balance the need to achieve

results (task behavior) versus the needs of the people within the organization (re-

lationship behavior). Leaders who place a high priority on relationships as opposed

to tasks are often described as “country club” managers: they do a good job of cre-

ating a pleasant work environment and satisfying the needs of their subordinates.

Leaders who place a high priority on tasks as opposed to relationships are said to

be “authority-compliance” managers: they are good at achieving organizational

“Leadership: The art of getting

someone else to do something you want done

because he wants to do it.”

DWIGHT D. EISENHOWER

34th President of the United States (1890–1969)

329Public-Sector Leadership

Skills Inventory Read each item carefully and decide whether the item describes you as a person. Indicate your response to each item by circling one of the five numbers to the right of each item. Key: 1 = Not true; 2 = Seldom true; 3 = Occasionally true; 4 = Somewhat true; 5 = Very true

1. I enjoy getting into the details of how things work. 1 2 3 4 5 2. As a rule, adapting ideas to people’s needs is

relatively easy for me. 1 2 3 4 5 3. I enjoy working with abstract ideas. 1 2 3 4 5 4. Technical things fascinate me. 1 2 3 4 5 5. Being able to understand others is the most important

part of my work. 1 2 3 4 5 6. Seeing the “big picture” comes easy for me. 1 2 3 4 5 7. One of my skills is being good at making things work. 1 2 3 4 5 8. My main concern is to have a supportive

communication climate. 1 2 3 4 5 9. I am intrigued by complex organizational problems. 1 2 3 4 5 10. Following directions and filling out forms comes easily for me. 1 2 3 4 5 11. Understanding the social fabric of the organization is

important to me. 1 2 3 4 5 12. I would enjoy working out strategies for my

organization’s growth. 1 2 3 4 5 13. I am good at completing the things I’ve been assigned to do. 1 2 3 4 5 14. Getting all parties to work together is a challenge I enjoy. 1 2 3 4 5 15. Creating a mission statement is rewarding work. 1 2 3 4 5 16. I understand how to do the basic things required of me. 1 2 3 4 5 17. Thinking about organizational values and philosophy appeals

to me. 1 2 3 4 5

Scoring: The skills inventory is designed to measure three broad types of leadership skills: technical, human, and conceptual. Score the questionnaire as follows:

Technical skill score: Sum the responses on items 1, 4, 7, 10, 13, and 16. Human skill score: Sum the responses on items 2, 5, 8, 11, 14, and 17. Conceptual skill score: Sum the responses on items 3, 6, 9, 12, 15, and 18.

Scoring Interpretation: The scores you received on the skills inventory provide infor- mation about your leadership skills in three areas. By comparing the differences be- tween your scores, you can determine where you have leadership strengths and where you have leadership weaknesses. Your scores also point toward the level of management for which you might be suited.

Source: Northouse, P.G. 2004. Leadership: Theory and Practice, 3d ed. Thousand Oaks, CA: Sage Publications.

EXERCISE 10.2

330 CHAPTER 10

goals in an efficient manner. The needs of the employees are often disregarded, as

workers are thought to be cogs within a machinelike operation. This type of leader

is overly controlling. Leaders who place a high priority on both tasks and relation-

ships are described as “team” managers: they emphasize results and employee

needs by incorporating participatory management. The concept of the quality cir-

cle serves as an example. A quality circle consists of a small group of workers that

perform similar tasks who meet frequently and willingly to pinpoint, examine, and

solve work-related problems. The overriding purpose is to improve the quality of an

organization’s services or products by systematically involving employees in the de-

cision-making process. This, in turn, creates a team envi-

ronment. Leaders placing a low priority on both tasks and

relationships can be described as “impoverished” man-

agers: they do only the bare minimum. This type of leader

simply “goes through motions” (Blake and McCanse 1991,

as cited in Northouse 2004).

Situational Leadership The idea behind situational leadership is that the leader

must alter his or her leadership approaches based upon the

circumstances (or the situation, hence the name). Observa-

tion of leaders’ behaviors in a wide range of situations has revealed that leaders often

exhibit one or a combination of these behaviors. Relationship or consideration

behavior deals with the extent to which a leader is likely to maintain personal rela-

tionships with supervisees through communication, delegation, and offering oppor-

tunities for growth and potential. This is characterized by trust and respect, in

addition to concern for their feelings. The leader spends time directing group activi-

ties: identifying tasks and how they should be accomplished, as well as defining pat-

terns of organization, communication channels, and schedules. Most managers

exhibit both styles in combination, to a greater or lesser degree, depending upon the

situation. Knowing this, what determines which style a leader uses? The development

level of the employee determines whether a leader should be more “relationship”-

oriented or “task”-oriented. Development level refers to how competent and dedi-

cated an employee is toward accomplishing an organization’s goals. In other words,

highly developed employees would be very good at their jobs and show a high degree

of interest in what they are doing. Lower developed employees are not very compe-

tent and exhibit a low level of job interest. Moderately developed employees fall some-

where in between—either they are more competent and less motivated or vice versa.

A motivated but less competent employee would benefit from having a more “task”-

oriented leader—while a competent but unmotivated employee would benefit more

from a more “relationship”-oriented leader.

Contingency Theory Some leaders are better suited for certain situations. The idea behind contingency

“The art of leadership is

saying no, not yes. It is very easy to

say yes.”

TONY BLAIR Former Prime Minister

of Great Britain

331Public-Sector Leadership

theory is fitting leadership style to a particular situation (Fiedler 1964; 1967). The

first step is to determine one’s leadership style. Fiedler constructed a survey known

as the Least Preferred Coworker (LPC) scale, the purpose

of which is to determine whether a leader is more relation-

ship oriented or task orientated. After assessing a leader’s

orientation type, the next step is to examine the leadership

situation from three different vantage points: (1) leader-

member relations, (2) task structure, and (3) position power

(Northouse 2004). Leader-member relations centers on whether the work environment is positive or negative. In

other words, are the relationships between the leader and

his or her subordinates friendly, or are they confrontational? Do the subordinates

trust and exhibit loyalty to their leader, or is the opposite true? Task structure deals

FIGURE 10.1 – SITUATIONAL LEADERSHIP

High Supportive and Low Directive Behavior

Low Supportive and Low Directive Behavior

SUPPORTING

DELEGATING DIRECTING

COACHING

High Directive and

High Supportive Behavior

High Directive and

Low Supportive Behavior

S U

P P

O R

TI VE

B EH

AV IO

DIRECTIVE BEHAVIOR(Low) (High)

Developed Developing

High Competence

and High

Commitment

Moderate To High

Competence and

Variable Commitment

Low To Some

Competence and Low

Commitment

Low Competence

and High

Commitment

“The manager accepts the status

quo; the leader challenges it.”

WARREN BENNIS Leadership Studies

Trailblazer

332 CHAPTER 10

with whether employee tasks and responsibilities are clearly defined. An example

of clearly defined tasks might include the assembly-line production of an automobile.

These tasks are clearly defined in that there is “standard” way of assembling an au-

tomobile, which is taught to assembly-line workers. A loosely defined task might in-

clude developing an advertising strategy to sell the car that comes off the assembly

line. This task is considered loose because there are many different ways of accom-

Least Preferred Coworker Scale (LPC) Think of a person with whom you have difficulties working. He or she may be some- one you work with now or someone you knew in the past. The person need not be someone you like the least but should be someone with whom you had the most dif- ficulty in getting a job done. Describe this person as he or she appears to you.

1. Pleasant 8 7 6 5 4 3 2 1 Unpleasant 2. Friendly 8 7 6 5 4 3 2 1 Unfriendly 3. Rejecting 1 2 3 4 5 6 7 8 Accepting 4. Tense 1 2 3 4 5 6 7 8 Relaxed 5. Distant 1 2 3 4 5 6 7 8 Close 6. Cold 1 2 3 4 5 6 7 8 Warm 7. Supportive 8 7 6 5 4 3 2 1 Hostile 8. Boring 1 2 3 4 5 6 7 8 Interesting 9. Quarrelsome 1 2 3 4 5 6 7 8 Harmonious 10. Gloomy 1 2 3 4 5 6 7 8 Cheerful 11. Open 8 7 6 5 4 3 2 1 Guarded 12. Backbiting 1 2 3 4 5 6 7 8 Loyal 13. Untrustworthy 1 2 3 4 5 6 7 8 Trustworthy 14. Considerate 8 7 6 5 4 3 2 1 Inconsiderate 15. Nasty 1 2 3 4 5 6 7 8 N ice 16. Agreeable 8 7 6 5 4 3 2 1 Disagreeable 17. Insincere 1 2 3 4 5 6 7 8 Sincere 18. Kind 8 7 6 5 4 3 2 1 Unkind

Scoring Interpretation: Your final LPC score is determined by adding up the num- bers you circled on all of the 18 scales. If your score is 57 or below, you are a low LPC, which suggests that you are task motivated. If your score is within the range of 58 to 63, you are a middle LPC, which means you are independent. Individuals who score 64 or above are called high LPCs, and they are thought to be more relation- ship motivated. Because the LPC is a personality measure, the score you get on the LPC scale is believed to be quite stable over time and not easily changed. Low LPCs tend to remain low, moderate LPCs tend to remain moderate, and high LPCs tend to remain high.

Source: Northouse, P.G. 2004. Leadership: Theory and Practice, 3d ed. Thousand Oaks, CA: Sage Publications.

EXERCISE 10.3

333Public-Sector Leadership

Innovation in Management and Leadership: “Working in the Triangle” The South Carolina State Park Service has embarked on a journey that will secure that

vision while using the very approaches that too often strike fear into an organization.

The State Park Service has laid the foundation to build on “results—not just effort.”

The State Park Service has implemented an innovative approach to managing parks.

The “Management Triangle” provides Park Managers with the necessary parameters

and tools to manage their parks. Moreover the Triangle allows for creativity, innova-

tion and the ability for field staff to “make decisions.” The triangle is simple:

The triangle does not close at the bottom for a reason. It's open for staff to create op-

portunities and procedures at the park level and on the front lines that produce re-

sults without bogging down in unnecessary levels of authorization or approval. Park

Managers, Park Rangers and State Park “stakeholders” have developed the compo-

nents of the Triangle. Each level is detailed to provide direction and the necessary pa-

rameters to achieve the “long-term desired results” of the Park Service and each

particular State Park or Historic Site. The key is for the Park Staff to “work in the

Triangle” to achieve those desired results.

Real change and results take place at the park, on the front lines. There must be a

mechanism to make this happen while satisfying the realities of government. With

this approach, managers manage, and have the freedom to make decisions. The Tri-

angle utilizes many approaches including the principles of Baldrige. More impor-

(continued)

Stewardship and Service SC State Park Service Mission The Vision for the 21st Century

SC State Park Service Goals

Management Classifications Individual Park Mission General Management Plan

Specific Management Plan

Standard Operating Procedures

The Management Triangle

334 CHAPTER 10

tantly it produces results—not just effort. Managers are working in the triangle and

focusing on accomplishing the goals of the Park Service.

The five goals are in fact linked to the seven principles of Baldrige. One of the philoso-

phies of Baldrige is the involvement and buy-in from the entire organization top to

bottom, bottom to top, involvement from all levels of the organization. In order to

achieve this, a new approach was developed – the Annual Park Planning (APP)

process was implemented this past year. The APP enables managers to bring not only

budget requests, but also issues and opportunities to “the table.” Every spring, each

park manager meets with decision makers and support personnel for answers and di-

rection for the following fiscal year. The manager and whomever they deem neces-

sary to bring with them state their case, from budget requests to innovative new

initiatives and from opportunities to answers for pressing issues. The meeting allows

information to flow from the top management of the Park Service but more impor-

tantly the field and front line employees now have a forum to express views and ini-

tiate new ideas and programs. Did it happen overnight? Absolutely not. Was it

difficult? You bet! Are we there yet? No way! We are just now feeling comfortable in

the process. We have, however, discovered a few things:

1. First you must determine your mission and vision (get back to basics).

2. You must provide the necessary tools for employees to “make things happen.”

3. Remember—results are in the small stuff.

4. Leadership is more important than ever.

The process continues. We can no longer expect the General Assembly or our cus-

tomers to let us work under the premise of give us funding and revenues, and we will

do good stuff. There must be a strategic approach, one that produces results, one that

measures performance, and one that gets us closer to the “desired results.” Not be-

cause it’s required or fashionable, but because it’s necessary. Not only for this gen-

eration but also for the generations to come. What's a Park Ranger to do? Get back

to basics, Stewardship and Service, use these new tools that are available, be creative

and innovative and remember that the next generation is depending on us.

Source: Gaines, P. 2001. “Working within the Triangle,” IMPACT, The Official Newsletter of the South Carolina State Government Improvement Network, volume X, issue III.

(continued)

335Public-Sector Leadership

plishing it. Tasks that are clearly defined offer a leader more control, while more

loosely defined tasks afford the employees more control. Position power simply refers to the amount of authority a leader has to either reward or punish. A leader

who can hire, fire, give raises, or reprimand can be said to have high position power.

Taken together, “very favorable” work situations exist when leader-member rela-

tions are positive, tasks are defined, and the leader has a high degree of position

power. “Very unfavorable” situations are those in which leader-member relations

are negative, tasks are loosely defined, and the leader’s position power is low. Con-

tingency theory suggests that task-oriented leaders (low LPC score) are more likely

to thrive in both very favorable and very unfavorable situations. Relationship-ori- ented leaders (high LPC score) tend to thrive in moderately favorable situations.

Path-Goal Theory Employee motivation is central to the path-goal theory of leadership. Leaders must

embrace behaviors that deal with the motivational needs of their employees. In the

context of path-goal theory, four types of leadership behaviors have been identified:

• Directive leadership: deals with clearly informing subordinates what

needs to be accomplished, how it should be accomplished, and what

the expected results should be.

• Supportive leadership: deals with “human” needs

(e.g., being friendly and approachable).

• Achievement-oriented leadership: deals with

challenging subordinates to do their very best.

• Participative leadership: deals with including

subordinates in decision making.

Based on an employee’s personality and task, a leader would

use one of these approaches. Directive leadership would work

well with a more authoritarian worker whose is responsible

for overly complex or unclear tasks. Supportive leadership

would motivate workers who express dissatisfaction stemming from mundane and

repetitive tasks. Achievement-oriented leadership would be appropriate for workers

who exhibit a desire to excel and who perform complex tasks. Finally, participative

leadership would serve to motivate individuals who have desire for control and are

responsible for unclear and loosely structured tasks (Northouse 2004, p. 130).

Transformational Leadership Like path-goal theory, transformational leadership deals with subordinate moti-

vation. Transformational leadership, however, goes a step further by focusing on

the subordinate’s values, ethics, long-term aspirations, and general workplace

needs. Transformational leaders are charismatic and serve as role models for their

“Leadership is a combination of

strategy and character. If you must be without one, be without the strategy.”

H. NORMAN SCHWARZKOPF U.S. Army General

336 CHAPTER 10

Path-Goal Questionnaire Indicate how often each statement is true of your own behavior using the following

key: 1 = Never; 2 = Hardly ever; 3 = Seldom; 4 = Occasionally; 5 = Often;

6 = Usually; 7 = Always

1. I let subordinates know what is expected of them. 2. I maintain a friendly working relationship with subordinates. 3. I consult with subordinates when facing a problem. 4. I listen receptively to subordinates’ ideas and suggestions. 5. I inform subordinates about what needs to be done and how it needs

to be done. 6. I let subordinates know that I expect them to perform at their highest level. 7. I act without consulting my subordinates. 8. I do little things to make it pleasant to be a member of the group. 9. I ask subordinates to follow standard rules and regulations. 10. I set goals for subordinates’ performance that are quite challenging. 11. I say things that hurt subordinates’ personal feelings. 12. I ask for suggestions from subordinates concerning how to carry

out assignments. 13. I encourage continual improvement in subordinates’ performance. 14. I explain the level of performance that is expected of subordinates. 15. I help subordinates overcome problems that stop them from carrying

out their tasks. 16. I show that I have doubts about subordinates’ ability to meet most objectives. 17. I ask subordinates for suggestions on what assignments should be made. 18. I give vague explanations of what is expected of subordinates on the job. 19. I consistently set challenging goals for subordinates to attain. 20. I behave in a manner that is thoughtful of subordinates’ personal needs.

Scoring: Reverse the scores for items 7, 11, 16, and 18. Directive style: Sum of scores on items 1, 5, 9, 14, and 18. Supportive style: Sum of scores on items 2, 8, 11, 15, and 20. Participative style: Sum of scores on items 3, 4, 7, 12, and 17. Achievement-oriented style: Sum of scores on items 6, 10, 13, 16, and 19.

Scoring Interpretation: Directive style: A common score is 23; scores above 28 are considered high; scores below 18 are considered low. Supportive style: A common score is 28; scores above 33 are considered high; scores below 23 are considered low. Participative style: A common score is 21; scores above 26 are considered high; scores below 16 are considered low. Achievement-oriented style: A common score is 19; scores above 24 are considered high; scores below 14 are considered low. The scores you received on the path-goal questionnaire provide information about which style of leadership you use most often and which you use less frequently.

Source: Northouse, P.G. 2004. Leadership: Theory and Practice, 3d ed. Thousand Oaks, CA: Sage Publications.

EXERCISE 10.4

337Public-Sector Leadership

subordinates. They inspire by conveying high expectations. The transformational

leader inspires intellectually by being creative and innovative and also by encour-

aging their subordinates to be the same way. This type of

leader further emphasizes the importance of communica-

tion and listening, which aids in cultivating a workplace en-

vironment that addresses one’s job-related and personal

needs. There is a true sense of employee nurturing among

transformational leaders.

Theory of Life Cycle Leadership This theory deals with the levels of direction (task behav-

ior) and emotional support (relationship behavior) a leader

provides, while taking into consideration the subordinate’s

maturity level.

In the context of life cycle theory, maturity encompasses the following:

• Motivation to achieve

• Degree to which a subordinate desires and has ability to handle re-

sponsibility

Smith, J. 2000. School of Public Affairs and Administration, Rutgers University–Newark.

FIGURE 10.2 – GAINING THE POWER TO LEAD

“A good leader inspires others

with confidence; a great leader

inspires them with confidence in themselves.”

UNKNOWN

Expert Power (Formal Positions)

Sources of Power

Hierarchy (Formal Positions)

Referent Power (Individual or groups as

points of reference)

Informational Power (Being in the know having

access to info)

Developing Power sources to the Best Advantage

Ability Credibility Goal Setting Buffering Coalition-Building Strategies

Gaining t h e Power t o Lead

Coalition-Building Strategies

338 CHAPTER 10

Your Professional Power 1. In your job, how much control do you usually have over when and how you carry out your tasks?

a. Just about no control—I do what everybody else wants, and when they want it.

b. Most of my work is under my control.

c. Most of my work is not under my control.

d. Just about 100 percent control—I do what I want, when I want to.

2. If you have ever had to fire an incompetent person who worked for you— employee, housekeeper, tutor, and so forth—which of the following statements is most true?

a. I’ve never needed to fire someone, but never had the nerve.

b. I’ve wanted to fire someone, but never had the nerve.

c. I have fired someone, but it took me weeks or months to drum up enough nerve, and then I felt awful.

d. I have (or would have) no trouble firing incompetents.

3. When you have to tell an employee or coworker to do something she or he doesn’t want to do, which of the following are you most likely to say?

a. “I’ll do it myself.”

b. “I feel awful having to impose on you, but would you consider writing this report in the next few days?”

c. “I hope this is okay with you, but I’d sure like to have this report ready by tomorrow at five o’clock.”

d. “Please have this report ready by tomorrow at five o’clock.”

4. To what extent do other people at your place of work depend on your decisions?

a. No at all; I’m a cog in a big machine.

b. Rarely.

c. Occasionally.

d. All the time; I am the machine.

5. If you had to single out one factor, what do you like most about your work?

a. The social life; the friends I work with.

b. The steady income.

c. The intellectual challenge.

d. Having the power to make decisions that affect others.

EXERCISE 10.5

339Public-Sector Leadership

6. How often have you sabotaged your employer’s requests or needs, by purposely “forgetting” to do them, or delaying, or carrying out your assignments badly?

a. All the time; it’s a way of life.

b. Occasionally; it’s the only way I can question my employer’s judgment.

c. Rarely; only when I’m angry with her or him.

d. Never; I’m my own boss.

7. Suppose you were offered a promotion to a position of greater authority and re- sponsibility than you have now. How would you feel and what would you do?

a. Scared to death; I’d turn it down because I’m not confident of my abilities.

b. Nervous and worried, but I’d take it.

c. I’d be flattered, but I’d say no; I have as much responsibility as I want.

d. I’d be delighted—I’d jump at the chance.

8. How important is it to your career plans to have a powerful job—one in which you have authority to make decisions and to control the activities of others?

a. Totally unimportant—I’d never want any such authority.

b. I want only enough power to do my present job as well as I can.

c. Very important

d. Essential—I’m going for it.

Scoring: Give yourself three points for every d, down to no points for every a. Ques- tions 1 and 4 tap the literal amount of power you have over the work you do and the people with whom you work. The others measure your feelings about having power. Power and feelings of power may be quite different; that is, power is an action, and powerful people may or may not feel guilty or ambivalent about what they do, but they do it. But powerless people often worry so much about making decisions that they do nothing at all. Denied real authority, they may take it out on the employer, sabotaging the employer’s needs (question 6) or sabotaging their chances for ad- vancement in fears and low self-confidence (question 7), or by playing up the social aspects of the job over the issues of advancement. As sociologist Rosabeth Moss Kanter (1977) showed, men and women who are denied real channels of power tend to deemphasize goals of achievement and emphasize the aspects of the job that are within their reach—such as friends. In fact, as Kanter’s work demonstrates, supposed motives of “fear of power” tend to vanish pretty quickly when women, and men, are actually freed to exercise power.

Source: Management Skills. 1980. New York: National Center for Public Productivity, John Jay College.

EXERCISE 10.5

340 CHAPTER 10

• Education or formal training related to tasks

• Experience

While age may affect maturity level, it is not directly related to this type of maturity.

As a subordinate’s maturity increases, a leader’s task behaviors should decrease

and their relationship behaviors should increase to the

point where the individual is sufficiently mature that the

leader can decrease relationship behavior (emotional sup-

port) as well.

Life cycle theory deals with the application of certain lead-

ership styles in the context of an individual’s (or group’s)

maturity level.

Style Adaptability Style adaptability is the degree to which leader behavior is

appropriate to the demands of their situations and follow-

ers. A person with a narrow style range can be effective over

a long period of time if the leader remains in situations in

which his or her style has a high probability of success.

Types of Leadership Power Many managers believe that their effectiveness as a leader is determined by how

much and what kind of power they have. The five types of power are discussed below.

1. Reward power: The ability to meet the needs of another, or control him or

her, by giving rewards for desired behavior. Pay, promotions, or bonuses

may be ways that organizations exert reward power over their employees.

2. Punishment power: Coercive power, or the ability to deliver a painful or

punishing outcome to another, and hence control him by his desire to es-

cape the punishment. Firing, ridiculing, or disciplining an individual are

common techniques of coercive power.

Small Group Discussion Questions to be discussed, then shared with entire group:

1. Are you comfortable with power (your own and others)? Why or why not? 2. What use of power would you expect from an effective worker? Does it dif-

fer from your own use? How? 3. How might you be sabotaging your goals by the ineffective/inappropriate

use of power?

EXERCISE 10.6

“If your actions inspire others to

dream more, learn more, do more and become more, you

are a leader.”

JOHN QUINCY ADAMS Sixth President of the

United States (1767–1848)

341Public-Sector Leadership

3. Expert power: Power based on the ability to understand, use, and deliver

information that others need.

4. Legitimate power: Control or influence that is exerted by virtue of the per-

son’s holding a particular position in the organizational structure. The

power is vested in the rights and responsibilities of the position, not the

person. Compliance with that power occurs because other individuals in

the organization respect the organizational structure and the rights and re-

sponsibilities that accompany particular positions.

5. Referent power: Having the desire to comply with a leader’s wishes be-

cause of your attraction to him/her describes referent power (French and

Raven, 1959). Control based on referent power will be dependent upon the

leader’s ability to persuade others to follow based on attraction or

charisma.

Leader as Communicator When you take a moment and think about what managers and leaders do, you will

inevitably come to the conclusion that the vast majority of their time is spent com-

municating—communicating in an effort to coordinate the human elements of the

organization. Thus, when communication is broken, the organization is usually

broken as well. There are several human barriers to communication, which are

often referred to collectively as “noise.” Noise can be external or internal, and it in-

cludes:

• Attitudes and values;

• Lack of listening and attention;

• Sound level and environment;

• Poor message construction and semantics;

• Perception difficulty;

• Faulty transmission;

• Unclarified assumptions;

• Absence of feedback.

Effective communication involves a two-way flow of information. As managers, we

must know whether our intended messages are the ones our coworkers and super-

visees receive. We learn this through feedback—verbal and nonverbal cues that tell

us how others interpret our messages. We should be open and alert to these cues.

Feedback permits us to adjust our message as needed. It also reinforces us by in-

dicating whether we are being clear, accepted, or understood. We need to give as

well as get feedback. By requesting clarification, we understand other people bet-

342 CHAPTER 10

“An effective public works leader…” Possesses Integrity—acts forthrightly and honestly, demonstrating through his or her actions how high moral character may be reflected in both the delivery of public

works services and the operations of the public works organization.

Is Accountable—takes responsibility for his or her individual actions as well as those of the organization and its members, using explicit explanations of expectations and ob-

jective measures to monitor progress.

Is Decisive—draws conclusions, resolves disputes, and exercises judgment forth- rightly, unambiguously, and with firmness.

Is Public Service Oriented—acts in the public interest and demonstrates through his or her actions belief in the value of public service.

Empowers Others—grants authority and acts to allow subordinates to make deci- sions and act independently, providing support as necessary to encourage responsible

independent action.

Is Deliberate—makes decisions with careful consideration of the merits of alterna- tive choices or courses of action available in a situation.

Is a Communicator—listens to what others have to say about a situation and ex- plains forthrightly his or her own views.

Shows Respect for Others—demonstrates through his or her actions considera- tion for colleagues, subordinates, and members of the public, and an appreciation of

concerns and contributions of each.

Is Technically Knowledgeable—understands how the operations and facilities for which he or she is responsible work and maintains that understanding as these oper-

ations and facilities evolve.

Manages Resources—recognizes the value of the organization’s personnel, equip- ment, materials, facilities, funds, and reputation and allocates these to accomplish the

organization’s objectives.

Is Resilient—is able to recover and bounce back from frustrations, disappointments, and setback without undue loss of confidence in his or her own capabilities or those of

associates or the organization.

Delegates—willingly assigns responsibility and authority to others capable of acting in his or her place to enhance the quality of the organization.

Maintains Balance—recognizes that an individual’s work is only a part of life and demonstrates through his or her actions all aspects of one’s life merit time and energy.

Source: Public Works Leaders – Core Competencies. Brochure developed by American Public Works Association – Leadership and Management Committee. http://www.apwa.net/Documents/About/TechSvcs/Leadership/CoreCompBrochure.pdf

343Public-Sector Leadership

ter. Giving feedback is a form of active listening. It not only makes people feel

unique and worthwhile but heightens their sense of well being. In terms of feedback

skills, some specific recommendations include the following:

1. Be prepared to give feedback, verbally and nonverbally.

2. Make feedback prompt. The longer the delay between message and feed-

back, the more likely we are to confuse the other

person.

3. Feedback should be specific and not general:

• Wrong: “Your description of the place just

didn’t sound right.”

• Right: “It was not complete enough, not

enough description.”

4. Feedback should be given in a way that is descriptive and not evaluating or

judgmental.

• Wrong: “Joe, you talk too fast.”

• Right: “Joe, when you get into a group meeting, you speak so

quickly that I have a hard time understanding you.”

5. Monitor your own feedback. If your feedback is not interpreted by the other

person as you meant it, it serves no purpose.

When we think of ourselves in communication situations, we usually think more

about getting our ideas across to someone else than about receiving ideas from

them. This is normal. We have come to think the word “communication” means a

process that flows out from us rather than one in which we are the receiver. But

communicating orally involves far more than just speaking to a person: It involves

“Management is doing things right; leadership is doing the right things.”

PETER DRUCKER Economist; Author

Cyber Nations (Simulation) Individually or as a class, students create an ideal nation. Select the governing structure, services, and income generation/cost-sharing policies which you and/or your class determine together. Create a summary of the new government. Include in this summary the public service principles discussed in all of the earlier chapters and how they are represented in the new nation. Specifically address the transfor- mational leadership and the distribution of power strategies utilized in creating this new nation.

http://www.cybernations.net/default.asp

EXERCISE 10.7

344 CHAPTER 10

sharing ideas and trying to exchange meaning with each other as perfectly as pos-

sible. In most interpersonal and group situations, including supervisory commu-

nication, we spend nearly the same amount of time listening and responding to the

other people as we do speaking. During a typical day, a manager likely spends more

time listening, on average, than speaking, reading, or writing.

Do I listen well? Chances are this is a question you have never answered. After all,

listening is something we have done all our lives with no special training. We take

it for granted. Listening is an essential part of the circular give-and-take commu-

nication process. But true listening involves more than just putting on our “listen-

ing” expression and nodding in agreement now and then while mentally planning

our evening; it involves listening with our full and active attention—listening em-

pathically, as though we are in the other person’s place. We can never take this kind

of listening for granted. It takes skill and constant practice. The rewards, however,

are improved communication and a more productive work climate. Listening is a

skill, like any other, and it needs to be cultivated. Active listening skills include:

1. Encouraging nonverbal signals: Good eye contact; supportive, interested

facial expression; nods.

2. Encouraging verbal signals: For example, “Tell me more”; and “Then what

happened?”

3. Restatement or paraphrasing: Repeating the idea or content serves as an

understanding and accuracy check. It lets the speaker know that you un-

derstand what he or she is saying and, consequently, elicits more from

speaker.

4. Silence: This lets the speaker know that you are interested in what he or

she is saying. Silence can be used to organize one’s thoughts.

(Source: Management Skills. 1980. New York: National Center for Public Pro- ductivity, John Jay College.)

345Public-Sector Leadership

Text for this chapter is based in part by M. Holzer, School of Public Affairs and

Administration, Rutgers University, Newark Campus, Newark, NJ. “Culture

and Leadership.” Paper presented at “Workshop 1: Leading for the Future,”

Leading the Future of the Public Sector: The Third Transatlantic Dialogue.

University of Delaware, Newark, Delaware, USA. May 31–June 2, 2007.

Blake, R.R., and McCanse, D. 1991. Leadership and Dilemmas—Grid Solutions. Houston: Gulf Publishing Company.

Bloomberg, M.R. 1997. Bloomberg by Bloomberg. New York: John Wiley and Sons.

Fiedler, F.E. 1964. “A Contingency Model of Leadership Effectiveness.” In Ad- vances in Experimental Social Psychology. Vol 1, ed. L. Berkowitz, 149–190. New York: Academic Press.

Fiedler, F.E. 1967. A Theory of Leadership Effectiveness. New York: Mc- Graw-Hill.

Achievement-oriented leadership

Contingency theory

Development level

Directive leadership

Expert power

Feedback

Leader-member relations

Leadership trait

Legitimate power

Life cycle theory

Maturity

Noise

Participative leadership

Participatory management

Path-goal theory

Position power

Punishment power

Quality circle

Referent power

Relationship-oriented behavior

Reward power

Servant leadership

Situational leadership

Style adaptability

Supportive leadership

Task-oriented behavior

Task structure

Transformational leadership

KEY TERMS

REFERENCES

346 CHAPTER 10

French, J.R.P., and B.H. Raven. 1959. “The Bases of Social Power” In Studies in Social Power, ed. D. Cartwright. Ann Arbor, MI: Institute for Social Re- search.

Kanter, R. M. 1977. Men and Women of the Corporation. New York: Basic Books.

Loverd, R.A., ed. 1997. Leadership for the Public Service. Upper Saddle River, NJ: Prentice Hall.

Management Skills. 1980. New York: National Center for Public Productivity, John Jay College.

Meacham, J. 1997. “Colin Powell: How Colin Powell Plays the Game.” In Lead- ership for the Public Service, ed. R.A. Loverd, 159–70. Upper Saddle River, NJ: Prentice Hall.

Northouse, P.G. 2004. Leadership: Theory and Practice. 3d ed. Thousand Oaks, CA: Sage Publications.

Rao, V.S.P. 1999. Bank Management. New Delhi: Discovery Publishing House Pvt Ltd.

Van Wart, M. 2005. Dynamics of Leadership in Public Service: Theory and Practice. Armonk, NY: M.E. Sharpe.

Public Voices Symposium: Servant Leadership. 2002. Vol. 5 (1–2), pp. 1–76.

http://andromeda.rutgers.edu/~ncpp/pv/issues/5–1&2.pdf

U.S. Government Simulation: http://www.usgovsim.net/USG/index.php

Virtual U is designed to foster better understanding of management practices

in American colleges and universities. It provides students, teachers, and

parents the unique opportunity to step into the decision-making shoes of a

university president. Players are responsible for establishing and monitor-

ing all the major components of an institution, including everything from

faculty salaries to campus parking. As players move around the Virtual U

campus, they gather information needed to make decisions such as decreas-

ing faculty teaching time or increasing athletic scholarships. However, as in

SUPPLEMENTARY READINGS

ELECTRONIC RESOURCES

347Public-Sector Leadership

a real college or university, the complexity and potential effects of each deci-

sion must be carefully considered. And the Virtual U Board of Trustees is

monitoring every move. New Virtual U homepage: http://www.virtual-

u.org/index.asp

Ethics and Public Administration

CHAPTER 11

In Chapter 11, students are introduced to ethics in public

administration. The chapter begins with a theoretical

discussion of administrative ethics, transitioning into a more

practical and real-world discussion of bureaucratic discretion

and the formal rules guiding such discretion. This chapter

also covers codes of ethics; the ways in which public

administrators can combat corruption and unethical

practices; and various self-correcting mechanisms for

shady tactics, including whistleblowing.

348 CHAPTER 11

349Ethics and Public Administration

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Always do right. This will gratify some people and astonish the rest.”

MARK TWAIN Author; Satirist (1835–1910)

– YOUNG MAN, WHY DID YOU CHOOSE THIS PARTICULAR COLLEGE? – DAD, DON’T ASK STUPID QUESTIONS! Artist: Y. Shcheglov; Cover of Krokodil [Crocodile] satirical magazine, 1983, No. 19.

350 CHAPTER 11

What Are Ethics? Ethics are grounded in Greek tradition, represented by teleological and deontolog- ical theories. According to teleological theories, the consequences of actions are the most critical factor in determining whether an action should be pursued. Derived

from the Greek telos, meaning “result,” teleological theories stress the importance of maximizing what is “good.” Deontological theories—derived from the Greek deon, meaning “that which is binding”—stress motives and intentions, as opposed to the

consequences, as the critical factor in making decisions.

Frederickson and Walling (1999, p. 501) note that distinc-

tions “between teleological and deontological ethics might

be dismissed as useless academic differentiation. But, it

matters a great deal whether a human resources manager

bases actions on teleological reasoning, in which the ends

justify the means, as opposed to deontological reasoning, in

which decisions are based upon principle.”

Ethics, according to French and Granrose (1995), “is a set

of normative guidelines directed at resolving conflicts of

interest so as to enhance societal well-being” (cited in

Zinkhan et al. 2007, p. 363). Thompson (1985) provides a

good definition of what constitutes administrative ethics. Administrative ethics emphasize “(a) the rights and duties

that individuals should respect when they act in ways that seriously affect the well-

being of other individuals and society; and (b) the conditions that collective prac-

tices and policies should satisfy when they similarly affect the well-being of

individuals and society.” Pinpointing all the factors that bring about and reinforce

unethical conduct at the individual and organizational levels is inherently difficult.

Understanding the theoretical and social bases of ethics may shed light on what

motivates unethical behavior. Bottorff (1997) describes ethics as “a body of princi-

ples or standards of human conduct that govern the behavior of individuals and

groups. Ethics is a branch of philosophy and is considered a normative science be-

cause it is concerned with the norms of human conduct, as distinguished from for-

mal sciences (such as mathematics and logic) and empirical sciences (such as

chemistry and physics). The study of ethics has been at the heart of intellectual

thought since the earliest writings by the ancient Greeks, and its ongoing contri-

bution to the advancement of knowledge and science continues to make ethics a

relevant, if not vital, aspect of management theory” (p. 57).

Unethical behaviors may result from individual and organizational factors. That is,

unethical behavior may be the result of personal values or personality traits. Orga-

ADMINISTRATIVE ETHICS

“[Because power corrupts,] society’s demands for moral

authority and character increase as the importance

of the position increases.”

JOHN ADAMS 2nd President of the

United States (1735–1826)

351Ethics and Public Administration

nizational characteristics may be contributing factors as well. Some organizational

cultures place no importance on whether goals and objectives are accomplished

ethically. Without clear ethical standards within an organizational structure, un-

ethical conduct may actually be encouraged. The “end justifies the means” philos-

ophy—one that rewards “getting the job done” regardless of the potential

– A BRIBE?!.. NEVER!.. – A PRESENT? QUITE ANOTHER MATTER… Artist: V. Travin; “The Fighting Pencil” group, 1969.

352 CHAPTER 11

consequences—is often referred to as Machiavellianism. The Machiavellian philos-

ophy was set forth by the Italian diplomat Niccolo Machiavelli in his treatise The Prince, which was written around 1513 and published posthumously in 1532. The Prince provides recommendations on how rulers can gain and maintain power. The

following excerpt centers on Machiavelli’s “means to ends” philosophy:

Upon this a question arises: whether it be better to be loved than feared or

feared than loved? It may be answered that one should wish to be both, but,

because it is difficult to unite them in one person, it is much safer to be feared

than loved, when, of the two, either must be dispensed with. Because this is

to be asserted in general of men, that they are ungrate-

ful, fickle, false, cowardly, covetous, and as long as you

succeed they are yours entirely; they will offer you their

blood, property, life and children . . . when the need is

far distant; but when it approaches they turn against

you. And that prince who, relying entirely on their prom-

ises, has neglected other precautions, is ruined; because

friendships that are obtained by payments, and not by

greatness or nobility of mind, may indeed be earned, but

they are not secured, and in time of need cannot be relied upon; and men

have less scruple in offending one who is beloved than one who is feared, for

love is preserved by the link of obligation which, owing to the baseness of

men, is broken at every opportunity for their advantage; but fear preserves

you by a dread of punishment which never fails.

Nevertheless a prince ought to inspire fear in such a way that, if he does not

win love, he avoids hatred; because he can endure very well being feared

whilst he is not hated, which will always be as long as he abstains from the

property of his citizens and subjects and from their women. But when it is

necessary for him to proceed against the life of someone, he must do it on

proper justification and for manifest cause, but above all things he must

keep his hands off the property of others, because men more quickly for-

get the death of their father than the loss of their patrimony. Besides, pre-

texts for taking away the property are never wanting; for he who has once

begun to live by robbery will always find pretexts for seizing what belongs

to others; but reasons for taking life, on the contrary, are more difficult to

find and sooner lapse. But when a prince is with his army, and has under

control a multitude of soldiers, then it is quite necessary for him to disre-

gard the reputation of cruelty, for without it he would never hold his army

united or disposed to its duties. (Machiavelli 1532/1984)

Machiavelli’s recommendations from nearly five centuries ago reinforce what we

observe all too often—instances of corruption and misdeeds in government. There

are countless examples of unethical behaviors perpetuated by agents of govern-

“The time is always right to do

what is right.”

MARTIN LUTHER KING, JR.

Civil Rights Leader (1929–1968)

353Ethics and Public Administration

mental and nongovernmental organizations. The list of unethical conduct by pub-

lic administrators and officials is too long—the 1972 Watergate Hotel break-in and

burglary of the offices of the Democratic National Committee, which led to the

eventual resignation of President Richard M. Nixon; racial profiling within the

ranks of the New Jersey State Police; incidents of detainee abuse and torture at the

Abu Ghraib Prison in Baghdad, Iraq; South Carolina governor Mark Sanford’s per-

sonal transgressions; the “CIA leak” that brought about Lewis “Scooter” Libby’s ob-

struction of justice and perjury convictions; claims that former Illinois governor

Rod Blagojevich peddled Barack Obama’s U.S. Senate seat after Obama was elected

president, and list goes on.

One particular “official act of misconduct” deals with a notorious clinical study

known as the Tuskegee Experiment. In this 40-year-long experiment, medical

treatment was deliberately withheld from 399 poor, African American sharecrop-

pers from Alabama who had tested positive for syphilis, a highly contagious bacte-

rial STD. Deceived by doctors from 1932 to 1972, the patients were never told that

they suffered from syphilis. Officials from the U.S. Public Health Service went “to

extreme lengths to insure that they received no therapy from any source,” making

this “the longest non-therapeutic experiment on human beings in medical history,”

Tuskegee Study Images from the Records of the Centers for Disease Control and Prevention. Source: Inside the National Archives Southeast Region. “6. The Tuskegee Study (1930s-1972)” http://www.archives.gov/southeast/exhibit/6.php.

354 CHAPTER 11

according to an article in the New York Times (Heller 1972). In 1997 President Bill Clinton offered a formal apology to the eight living survivors for what its govern-

ment had done.

The United States government did something that was wrong—deeply,

profoundly, morally wrong. It was an outrage to our commitment to in-

tegrity and equality for all our citizens. To our African American citizens,

I am sorry that your federal government orchestrated a study so clearly

racist. That can never be allowed to happen again. It is against everything

our country stands for and what we must stand against is what it was. The

people who ran the study at Tuskegee diminished the stature of man by

abandoning the most basic ethical precepts. (Clinton 1997)

Bureaucracy and Ethics The mere mention of “bureaucracy” invokes images ranging from gross ineptitude

and the inability to complete simple tasks to elitist public officials abusing their

power. Even though bureaucracy is an essential part of any organization, none

wants to be thought of as bureaucratic (Healy 1996). Conversations about bureau-

cracy often begin and end with comments from the writings of the eminent sociol-

ogist Max Weber. Weber created the bureaucratic model, a model characterized by

formal rules and regulations, specialized roles, a hierarchical structure, and a clear

chain of command. Central to bureaucracy is consistency in terms of actions and be-

haviors. According to Eugene Litwak (1961), within a bureaucracy an individual’s

job position is based on merit (as opposed to nepotism); individual authority and

responsibility is dictated by an individual’s job description;

and there is clear separation between one’s personal life

and one’s work life.

Weber failed to realize that the dynamics of bureaucracy

itself brought about unintended consequences resulting

from personal interests. There are countless examples of

bureaucracies acting without regard for human costs. Ac-

cording to J. Krohe, “The fit between business bureaucra-

cies and conscience is particularly poor. Bureaucracies

insulate individuals from the ultimate victims of miscon-

duct, be they babies drinking doctored apple juice, drivers

in unsafe cars, or little old ladies who lose their savings;

people are thus also insulated from the empathetic impulse that so often sparks

conscience” (1997, p. 17). Ferrell and Skinner (1988) argue that bureaucracy’s cen-

tralized and hierarchical power base actually helps create opportunities for uneth-

ical behavior. That is, with power held in the hands of so few, the discretion of

rank-and-file and middle-level bureaucrats is severely limited. The result is that

these bureaucrats tend to follow authority blindly, regardless of any ethical dilem-

“Nothing is so contagious as

example; and we never do any

great good or evil which does not

produce its like.”

FRANCOIS DE LA ROCHEFOUCAULD

Writer

355Ethics and Public Administration

“No Surrender” With the expansion of the federal government

during the Civil War, and the postwar strug-

gle between Democratic President Andrew

Johnson and Congressional Republicans over

control of Reconstruction, the civil service re-

form movement began in earnest in the late

1860s. Reformers, such as cartoonist Thomas

Nast, considered the patronage system of

government appointments based on partisan

loyalty to be corrupt and inefficient. They

wanted to replace it with a system of govern-

ment service based on merit appointments

(through standardized examinations), pro-

motion, and tenure. In 1867, the U.S. House

of Representatives narrowly voted to table a

civil service reform bill, and with the election

of Republican Ulysses S. Grant as president

in 1868, some Republican supporters of the

reform during the Johnson years suddenly decided that the patronage system worked

quite well. In 1871, however, President Grant created the nation’s first Civil Service Com-

mission, naming as its chairman George William Curtis, the editor of Harper’s Weekly and president of the National Civil Service Reform Association.

The cartoon presents a scene following Grant’s reelection in November 1872. In the glow

of Republican victory, Senator Simon Cameron and Governor John Hartranft, both of

Pennsylvania, pressured the president to suspend the civil service rules for the Philadel-

phia post office, an important source of patronage for the Republican Party in that state.

Grant steadfastly refused, reaffirming his commitment to civil service reform. Here,

Cameron (left) and Hartranft (right) are dressed as Italian bandits, while their sup-

porters in the background carry aloft a banner inscribed with the battle cry of the pa-

tronage (“spoils”) system: “To the Victors, Belong the Spoils.” Grant expresses his

determination to implement the new civil service regulations, which are held by Co-

lumbia, and Uncle Sam appears (behind the door) as a policeman ready to enforce the

law. The cartoon’s title—“No Surrender”—alludes to Grant’s commitment as Union com-

mander during the Civil War to full Union victory and the “Unconditional Surrender”

(his nickname) of the Confederacy.

Source: Thomas Nast, Harper’s Weekly, December 7, 1872. http://www.harpweek.com.

U.S.G. (Ulysses Grant): “I am deter- mined to enforce those regulations.”

356 CHAPTER 11

mas. This tendency clearly underscores the importance of establishing and adher-

ing to administrative ethical standards.

The Need for Administrative Ethics Decisions based on convenience and efficiency—”means to ends”—or on the basis

of economics may be at the heart of unethical behavior.

One of the most commonly agreed-upon notions in the field of public ad-

ministration is that administrators have numerous roles, or value sets,

which are sources for the decisions they make. For example, an adminis-

trator may concentrate quite appropriately on legal issues at one point, or-

ganizational issues at another, and personal interests at still another.

Although there is widespread agreement that these roles and their con-

comitant value sets exist, that agreement quickly dissipates when one tries

to identify and name which roles or value sets are crucial for public ad-

ministrators. (Van Wart 1996, p. 526)

An inherent challenge for public employees is balancing diverse and competing de-

mands. P.B. Strait (1998, p. 12) contends that public employees “must be able to

work within the framework of three goals: loyalty to the organization, responsive-

ness to the needs of the public, and consideration for the employees’ own objec-

tives and desires. These goals provide an environment that is rich in ethical

dilemmas.” The organizational structure in which public

employees currently operate engenders ethical dilemmas.

Public employees are often forced to choose between

obeying policy and serving the needs of clients. For ex-

ample, public health clinics exist to serve those who can-

not otherwise afford care. Patients pay according to

their income. The working poor are caught in between:

not qualifying for assistance and not able to afford to

purchase health care. This same irony also exists in

higher education for students who come from working

families who cannot afford the steep tuition prices and yet do not qualify for

tuition aid. Law enforcement officers face a similar dilemma when they are

required to spend half of their shifts doing paperwork at the expense of pro-

viding a rapid response to citizens. Employees who work for agencies with

such incongruent policies are often placed in the uncomfortable position of

trying to uphold policy to the detriment of the very people the agencies are

attempting to serve. In choosing to serve the needs of their clients, employ-

ees violate organizational policies and put themselves at risk. Policies of this

nature need to be reviewed to eliminate this unnecessary ethical dilemma.

Until then, choosing the client’s interests over the interests of oneself or the

organization may be the most ethical action of all. (Strait 1998, p. 18)

“Glass, china, and reputation

are easily cracked, and never well

mended.”

BENJAMIN FRANKLIN American Statesman; Ambassador; Patriot

357Ethics and Public Administration

There are several examples where the actions (or inactions) of bureaucrats, who by

virtue of their position are trusted with upholding the public interest, have dis-

honored this responsibility. A potential cure for corruption may lie in organiza-

tional codes of ethics.

“Every Public Question with an Eye Only to the Public Good” “Well, the wickedness of all of it is, not that these men were bribed or corruptly in-

fluenced, but that they betrayed the trust of the people, deceived their constituents,

and by their evasions and falsehoods confessed the transaction to be disgraceful.”

—New York Tribune, February 19, 1873.

Justice (to the Saints of the Press):

“Let him that has not betrayed the trust of the People, and is without stain, cast the

first stone.”

This Harper’s Weekly cartoon by Thomas Nast indicts the congressmen involved in the

Credit Mobilier scandal as well as an irresponsible press corps for violating the public

trust. Credit Mobilier was the holding and construction company of the federally sub-

sidized Union Pacific Railroad. Its managers were accused of siphoning off huge

amounts of public money for personal gain, and of attempting to cover up their mis-

deeds by bribing congressmen with discounted stock and bonds.

Source: Thomas Nast, Harper’s Weekly, March 15, 1873. http://www.harpweek.com.

358 CHAPTER 11

Misuse of Position Employee Crossword Puzzle

Answer key at the end of chapter. Source: U.S. Office of Government Ethics, “Crossword Puzzles,” 2007. www.oge.gov/training/cross- word_puzzles.aspx.

EXERCISE 11.1

2. You can’t use ___ information to further your own private interest or that of another. 5. Generally, you can’t use your gov- ernment title or position to ___ any product, enter- prise, or service. 7. Generally, you can’t use your position, title, or ___ associated with your public office to imply that your agency sanc- tions your outside activities.

9. You can’t use government prop- erty, including the services of ___, for unauthorized purposes. 11. Unless author- ized, playing games on your of- fice computer is a misuse of official ___ and govern- ment property. 12. Widely used and misused piece of govern- ment equipment.

1. You are to pro- tect and ___ gov- ernment property. 3. Your ___ can’t ask you to shop for his wife’s birth- day present during duty hours. 4. Recommending your neighbor for a federal job on agency ___ is ok if you have per- sonal knowledge of his abilities or character. 6. You can’t use your public office for private ___.

8. Don’t use your public office to ___ yourself or others. 10. You learn on the job that Com- pany X found the cure for a major disease. You may not buy ___ in Company X before your agency announces the company found the cure.

Across Down

359Ethics and Public Administration

Countless oaths, pledges, and codes champion the tenets of ethical conduct. They

typically underscore the importance of duty, service, honor, and fairness. One such

noteworthy call for ethical behavior is embodied in Greek tradition—that being the

Athenian Oath:

We will never bring disgrace on this our City by an act of dishonesty or

cowardice. We will fight for the ideals and Sacred Things of the City both

alone and with many. We will revere and obey the City’s laws, and will do

our best to incite a like reverence and respect in those above us who are

prone to annul them or set them at naught. We will strive increasingly to

quicken the public’s sense of civic duty. Thus in all these ways we will

transmit this City, not only not less, but greater and more beautiful than

it was transmitted to us.

Declarations of loyalty and commitment to ethical conduct are common through-

out several occupational fields and disciplines. Almost routinely, elected and pub-

lic officials are sworn into service by taking an oath. Physicians must take an oath

to “do no harm,” while attorneys must swear to uphold the U.S. Constitution and

the constitution of the state in which they are admitted to the bar. Like an oath of

office, organizational codes of ethics affirm the importance of ethical standards of conduct. The American Society for Public Administration’s

(ASPA) Code of Ethics includes five principles that public

administration should champion.

Unethical behavior will occur despite clearly defined codes

of ethics. A multitude of factors influence unethical deci-

sion making and behaviors. In some cases, employment

conditions, such as dissatisfaction with wages and benefits,

may influence individuals to take what they feel is owed to

them. Other factors may concern organizational culture,

whereby a culture of “getting the job done at any cost” encourages disregard for

ethical considerations in the interest of achieving outcomes. Nevertheless, codes

of conduct are a necessary first step toward ensuring ethical conduct.

Condoning Corruption Citizens frustrated with public bureaucracies are inclined, at times, to take out these

frustrations by using subtle, but nevertheless illicit, strategies. As customers of gov-

ernment, citizens often savor mistakes in their favor, such as a failure to bill for

goods or to stop checks to deceased relatives. Some citizens try to punish public

bureaucracies—which they feel punish them by misrepresenting their eligibility for

assistance when they cannot find a decent job, their personal tax liability when

rates go up, or their own negligence in a product’s failure. Even those bureaucrats

who anger clients can become so turned off that they rip-off their own organiza-

tions. As so-called “time bandits,” they arrive late to work, leave early, take long

“Relativity applies to physics, not ethics.”

ALBERT EINSTEIN Physicist;

Nobel Prize Winner (1879–1955)

360 CHAPTER 11

Employee Conduct: Ethical or Unethical? Scenario: Catherine is an official at the Small Business Administration. From time to time, she looks in on an elderly neighbor to see if she needs anything. On a recent visit, Catherine learned that her neighbor was upset over the Internal Revenue Service’s as- sessment of a penalty against her because of a claimed overdue payment. The neigh- bor is apprehensive about calling the IRS to explain the error, so Catherine would like to call for her. She does not intend to take any compensation. Is the representational service Catherine proposes to provide permissible? Answer: No. Explanation: Two overlapping federal statutes, 18 U.S.C. §§ 203 and 205, prohibit an employee from making representations—whether for compensation or not—before any department, agency, or court if the matter is one in which the United States has a sub- stantial interest. The statutes also prohibit an employee from—

• Taking compensation for such representational services provided by another; and

• Receiving consideration for assisting in the prosecution of a claim against the United States.

There are a number of exceptions to sections 203 and 205. An important one allows an employee, under certain circumstances, to represent himself, his parents, his spouse, his children, and certain others for whom the employee serves in a specific fi- duciary capacity such as a guardian.

Scenario: Paula works in the public information office of the Internal Revenue Service. A private trade association offers to pay her to teach a short course on a new taxpayer assistance program being implemented by the IRS. May Paula accept the offer? Answer: No. Explanation: An employee may not receive compensation—including travel expenses for transportation and lodging—from any source other than the government for teach- ing, speaking, or writing that relates to the employee’s official duties. For most employ- ees, teaching, speaking, or writing is considered “related to official duties” if—

• The activity is part of the employee’s official duties; • The invitation to teach, speak, or write is extended primarily because of

the employee’s official position; • The invitation or the offer of compensation is extended by a person

whose interests may be affected substantially by the employee’s performance of his official duties;

• The activity draws substantially on nonpublic information; or • The subject of the activity deals in significant part with agency programs,

operations, or policies or with the employee’s current or recent assignments.

Scenario: Sylvia, an employee of the Securities and Exchange Commission, offers to help a friend with a consumer complaint by calling the manufacturer of a household appliance. In the course of the conversation with the manufacturer, Sylvia states that she works for the SEC and is responsible for reviewing the manufacturer’s SEC filings.

EXERCISE 11.2

361Ethics and Public Administration

Has Sylvia misused her public office? Answer: Yes. Explanation: Employees may not use their public offices for private gain, either their own gain or that of others. Sylvia used her office to induce a benefit for private pur- poses.

Scenario: Joe is delighted with his new boss, Dan. In a few short months, Dan has brought about creative changes in the division’s work product while, at the same time, improving efficiency and boosting office morale. The two workers have also developed a friendship based on mutual respect and shared outside interests. Because of a con- flicting family commitment, Joe and his daughter will be unable to use their season tickets for the next Orioles home game, so Joe thinks he’d like to give them to Dan. May he do so? Answer: No. Explanation: And it would be impermissible for Dan to accept the tickets if offered. An employee may not—

• Give or solicit for a gift to an official superior; or • Accept a gift from a lower-paid employee, unless the two employees are

personal friends who are not in a superior-subordinate relationship. In this context, the words “superior” and “subordinate” refer to people in the em- ployee’s chain of command.

Scenario: Jenny is employed as a researcher by the Veterans Administration. Her cousin and close friend, Zach, works for a pharmaceutical company that does business with the VA. Jenny’s 40th birthday is approaching, and Zach and his wife have invited Jenny and her husband out to dinner to celebrate the occasion. May Jenny accept? Answer: Yes. Explanation: Gifts are permitted where the circumstances make it clear that the gift is motivated by a family relationship or personal friendship rather than the position of the employee. It would be improper, however, for Jenny to accept the dinner if Zach charged the meal to his employer because then it would no longer be a gift from Zach. Exceptions to the rule against acceptance of gifts allow employees to accept—

• Unsolicited gifts with a value of $20 or less; • Gifts clearly given because of a family relationship or personal friendship; • Free attendance at an event on the day an employee is speaking or

presenting information on behalf of the agency; • Free attendance at certain widely attended gatherings; • Certain discounts and similar opportunities and benefits; • Certain awards and honorary degrees; and • Certain gifts based on outside business or employment relationships.

Source: U.S. Office of Government Ethics. Do It Right: An Ethics Handbook for Executive Branch Employees. Washington, DC: OGE, January 2005. http://www.usoge.gov/training/training_materials/booklets/bkdoitright_95.pdf.

EXERCISE 11.2

362 CHAPTER 11

lunch breaks, and manipulate leave records. When they are at work, it is often with

a smirk: photocopying personal papers, pilfering office supplies, making personal

or long-distance calls, shopping on the Internet, stealing computer supplies, using

office postage, or perhaps even abusing expense accounts. A particularly blatant

form of such thievery is running a small personal business from a bureaucracy’s big

base: law or accounting, repairs or typing, sales or printing. As Roberts (2007) in-

dicates, condoning corruption is the result of lowering ethical expectations. As a

consequence of lowered ethical expectations, many ethical misdeeds are viewed as

acceptable, as long as they are not egregious or newsworthy.

Combating Corruption Petty theft is a by-product of petty bureaucrats. Almost everyone is “guilty” of tak-

ing home a few folders or making a few personal calls. Public bureaucracies would

be depopulated if that were cause for dismissal. Some might argue that corruption

worth countering is corruption worth counting. By regularly take petty cash and of-

fice stamps, for instance, petty thieves provide a foundation for building criminal

momentum—in other words, they create a slippery slope.

Falsifying expense vouchers can amount to thousands.

Rocketing payments to fictitious vendors or clients is an

example of white-collar crime. Clerks are often in the un-

comfortable position of observing such corruption but have

no apparent means to stop it.

Although petty corruption is too widely tolerated, it can be

toned down if logged in. Logs are like God, country, and

apple pie—few people object to them openly. For those in-

dividuals in charge of a public organization, logging (or list-

ing) is a psychological deterrent for long-distance calls or

personal Internet surfing, for making non-work-related

copies and taking supplies—even if the logs are never

checked against the meters, the bills, or the inventories.

While organizations are reluctant to act on seemingly mod-

est (but ultimately expensive) abuses of expense accounts, conveying that “we have

heard” the business office is cracking down on undocumented expenses, or that the

auditors are stepping up their scrutiny of certain vouchers, may indeed deter temp-

tation. Of course, those white lies must be carefully timed to precede, rather than

coincide with, submission of forms an individual may be asked to type, photocopy,

or initial.

Countering large-scale corruption is difficult, to say the least. If it continues, rather

than quietly ignoring it, public servants can try quietly deploring it. Public servants

can help to establish an anticorruption culture by expressing disgust with a rip-off

that one has heard about in another department or requesting an explanation of

questionable financial decisions. As diplomats daily demonstrate, tactfully pointing

“It is naïve to believe that ethic rules will prevent an administration

from using its bureaucratic

power to favor special interests that support its

public policy and political agendas.”

ROBERT ROBERTS Professor; Author

363Ethics and Public Administration

out an uncorrected wrong or broken rule gives a superior or colleague a chance to

correct it without consequence—to stop taking bribes, passing faulty parts, per-

mitting physically unsafe procedures, and so on. Since they have signaled that

someone is now noticing the situation—and might well bring it to the attention of

higher-ups—there is a good chance that the improprieties will end without the need

for further action.

Formal Rules and Bureaucratic Discretion An understanding among public employees is that the so-called “inner face” (or the

informal rules) supports the “outer face” (which represents the bureaucratic rules,

or the “rulebook”). Productive executives understand that

organizations operating completely by the “rulebook” will

have difficulty serving the public interest precisely because

rules are not always realistic. The inner face helps deter-

mine when it is acceptable to take shortcuts in the inter-

ests of both the organization and client. At times, however,

a bureaucrat with a pet project or pet position inflexibly

places paper over products, procedures over profits, or pet-

tiness over people. Some bureaucrats agree informally to

be formal. Initiative becomes a dirty word. All orders are

followed explicitly, without any shortcuts. All procedures

are carried out meticulously, no matter how ridiculously.

Without the informal rules to “grease the wheels,” the or-

ganizational gears lock. Traffic backs up, orders back up, and lines back up. The

output of public organizations drops and clients naturally become irate, but the un-

trustworthy bureaucrat capitulates and goes along.

Bureaucrats determined to serve the public good will disregard orders that are

likely to result in their customers and citizens being taken down the paths of dan-

ger. Many unethical orders—to pass diseased food, to approve faulty products, or

to certify dangerous drugs—are verbal commands without a prosecutable paper

trail. Therefore, unethical bureaucrats typically will not be able to make an issue of

ethical public servants who choose to blatantly disregard such orders. However, if

unethical bureaucrats persist in their demands, it may be possible to stop them by

insisting that they put their orders in writing. If not, then probably the best defense

is reference to the agency-specific “rulebook,” as well as the broader rules covered

by codes of ethics, the protocols of the Geneva Conventions, government regula-

tions, and industry standards.

Using good judgment and discretion is probably the most effective means for

changing organizational behavior. By working through established channels, an in-

dividual can make good use of a largely underutilized asset—discretion. Discretion

“To educate a person in mind

and not in morals is to educate a menace to

society.”

THEODORE ROOSEVELT

26th President of the United States (1858–1919)

364 CHAPTER 11

Fourteen Principles of Ethical Conduct for Federal Employees (1) Public service is a public trust, requiring employees to place loyalty to the Con-

stitution, the laws and ethical principles above private gain.

(2) Employees shall not hold financial interests that conflict with the conscientious

performance of duty.

(3) Employees shall not engage in financial transactions using nonpublic Govern-

ment information or allow the improper use of such information to further any pri-

vate interest.

(4) An employee shall not, except as permitted by the Standards of Ethical Conduct,

solicit or accept any gift or other item of monetary value from any person or entity

seeking official action from, doing business with, or conducting activities regulated

by the employee’s agency, or whose interests may be substantially affected by the

performance or nonperformance of the employee’s duties.

(5) Employees shall put forth honest effort in the performance of their duties.

(6) Employees shall not knowingly make unauthorized commitments or promises of

any kind purporting to bind the Government.

(7) Employees shall not use public office for private gain.

(8) Employees shall act impartially and not give preferential treatment to any private

organization or individual.

(9) Employees shall protect and conserve Federal property and shall not use it for

other than authorized activities.

(10) Employees shall not engage in outside employment or activities, including seek-

ing or negotiating for employment, that conflict with official Government duties and

responsibilities.

(11) Employees shall disclose waste, fraud, abuse, and corruption to appropriate au-

thorities.

(12) Employees shall satisfy in good faith their obligations as citizens, including all

financial obligations, especially those—such as Federal, State, or local taxes—that are

imposed by law.

(13) Employees shall adhere to all laws and regulations that provide equal opportu-

365Ethics and Public Administration

is a powerful but silent tool for righting organizational wrongs. Because orders from

generals high above must be carried out by troops far below, almost every bureau-

crat has a little leeway in making some decisions. No rulebook can anticipate every

possible scenario, so bureaucrats must develop substantial decision-making skills.

Often their most effective tactics is not to act: They can pretend they never received

a change in orders and wait to see if anyone notices their inaction, or they can sim-

ply delay, holding up a policy change on technical grounds until the current poli-

cymaker is changed. In one such instance of good judgment dating back to the

Watergate era, the U.S. Department of Labor secretary George Shultz ordered the

Internal Revenue Service to “do nothing” in response to Nixon counsel John Dean’s

illegitimate order to investigate the president’s “enemies list.”

Those who feel that their colleagues, clients, or checkbooks are being exploited have

a variety of remedial tactics at their disposal. The dated receipt for a warranty a

day or two past expiration can accidentally be misread to the client’s benefit—and

to the bureaucrat’s gratification in terms of a warm “thank you.” However, accept-

ing a gratuity or gift in return moves the action from compassionate to corrupt. A

working welfare mother who is no longer permitted funds for transportation to a

job under new legislation might instead be granted a greater allowance in another

category in order to keep her employed instead of seeing her incentive to work de-

stroyed. A job applicant might be given hints about completing an application

rather than having it rejected for insufficient information. A maintenance supervi-

sor might quietly fix a customer’s small problem (no charge, no paper trail), al-

though the request was rejected in short order by the short-tempered general

manager. In every such case, flexible common sense triumphs over bureaucratic

rigidity.

If the top brass have not listened privately to reason, chances are they will have to

nity for all Americans regardless of race, color, religion, sex, national origin, age, or

handicap.

(14) Employees shall endeavor to avoid any actions creating the appearance that they

are violating the law or the ethical standards set forth in the Standards of Ethical

Conduct. Whether particular circumstances create an appearance that the law or

these standards have been violated shall be determined from the perspective of a rea-

sonable person with knowledge of the relevant facts.

Source: U.S. Office of Government Ethics. Do It Right: An Ethics Handbook for Executive Branch Employees. Washington, DC, January 2005. www.usoge.gov/training/training_materials/booklets/bkdoitright_95.pdf.

366 CHAPTER 11

hear public objections to their organization’s unreasonable actions. Policies are

rarely written in full enough detail to fully paralyze policy implementers. A popu-

lar saying among bureaucrats in the nation’s capital is that the “D.C.” after “Wash-

ington” stands for “Discretion Central.” When Washington (under the

administration of Republican president Ronald Reagan) ordered a cut in the size of

school lunches, an “objective” bureaucratic decision to count ketchup as a vegetable

lit a destructive fire under the entire school lunch cutback effort. Likewise, when

Washington ordered schools not to feed students who had failed to file new re-eli-

gibility forms, a decision by one school administrator to feed leftovers to hungry

students attracted Page One attention, embarrassing the order-givers into becom-

ing order-rescinders.

Channeling Complaints to Conscience: Sore Throat, Deep Throat, Cutthroat It is a healthy sign that more organizations have created self-correcting mecha-

nisms for possible mistakes and abuses. Such mechanisms do not include sugges-

tion boxes, which we suspect are linked to wastebaskets. Rather, they are home

remedies for bureaucratic sore throats, remedies that should always be tried before

going public. They are the embodiment of the organizational conscience through

which we can “blow the whistle,” bringing to the surface urgent questions that reg-

ular channels have ignored: “Why were bids for project A solicited only from bid-

ders B and C?” “Is official X being transferred in retaliation

for speaking out?” “Does the organization secretly dis-

criminate against females or older males?” “Are minorities

blacklisted on promotion lists?” Even when promised

anonymity or protection, public servants who speak up

against such wrongs and abuses are likely to be identified

and may even earn the label of “troublemaker” or “pest” as

stories travel through the grapevine.

If home remedies do not work, public servants can try

“whistling” from home or a pay phone—playing the anony-

mous role of “Deep Throat” for surrogates ranging from re-

porters to legislators to crusaders. As the administration of

President Richard Nixon learned in the Watergate scandal, a very effective way of

blowing the whistle is to blow it anonymously. For decades, many observers spec-

ulated as to the identity of the Deep Throat source that blew the Republican break-

in of Democratic headquarters wide open and supplied so much damaging evidence

against Nixon. In May 2005, the former deputy director of the Federal Bureau of In-

vestigation William Mark Felt revealed himself as the real “Deep Throat.”

If an ethically conscience bureaucrat’s story is not as spectacular as presidential

guilt or public danger, the press may not be interested in it. Most cases of ques-

“If ethics are poor at the top, that

behavior is copied down through the

organization.”

ROBERT NOYCE Co-inventor, Microchip;

Co-founder, Intel Corporation

(1927–1990)

367Ethics and Public Administration

tionable ethics in the field of public administration are far more mundane, involv-

ing, for instance, evidence that indicts a controller for charging his beach house to

the entertainment fund, or questions an illegal campaign contribution, or produces

examples of blatant nepotism.

Whistleblowing Although bureaucratic lore commonly holds that uncovering unlawful waste, fraud,

or abuse will result in chilling isolation, impossible job transfers, or other cruel and

unusual forms of recrimination, there are still ways to fight back. There are means

with which public servants can force a change in an orga-

nization’s course without being forced out of a job. Not all

government workers with information that threatens the

status quo are in danger of losing their jobs; occasionally,

they may even be rewarded for speaking up. But too often

they may be warned in subtle ways that such behavior is

not a “team” strategy, not an “acceptable” avenue to prob-

lem solving. Superiors and even coworkers may go so far

as to imply that whistleblowers are “letting their friends

down,” that they are “disloyal,” that they are “squealing.”

Such suggestions are powerful squelchers. Government

workers who are truth-pushers may be warned by being

cold-shouldered, overloaded, or having their work sabo-

taged. Unfortunately, many accede to the pressure and

quickly adopt the self-serving norm: They “go along to get

along.” Tangible cooperation, friendship, and promotions

loom larger than what they rationalize as far more distant

organizational or public interests. However, more and more public servants are

stepping out of the bureaucratic shadows and acting in the interest of ethics. Daniel

Ellsberg, who released the top secret “Pentagon Papers” to the New York Times during the Vietnam War may be the most well-known bureaucrat to have put his

ethics over his self interest, inspiring untold numbers of public servants to do so

over the intervening decades.

Sometimes, whistleblowers recruit allies in the form of the press, politicians, pro-

fessional organizations, private lawyers, or public prosecutors. After the whistle is

blown, the bureaucracy oftentimes buries the charger and charges. It politely pre-

tends to listen, to follow-up, consider, and take corrective action. But complaints,

at times, are buried in bureaucratic backwaters in the expectation that they will be

forgotten. If they resist fading away, most bureaucracies are large enough to trans-

fer them away. Ironically, those bureaucrats who are most adept at such discreet

burials are sometimes rewarded by discreet promotions. In contrast, whistleblow-

ers are disdainfully rewarded by becoming the butt of bureaucratic humor; by

being assigned to “make work” or “no work” jobs; by being shunned, transferred or

“In practice, whistleblowing can

be a solution to some of our problems.

We should be permitted to tell the truth without

fearing that it is something dangerous.”

BILL BUSH NASA Aerospace

Engineer; Whistleblower

368 CHAPTER 11

ignored; by being frozen out of anything sensitive. The organization reasons that we

will become discouraged, that we will lose the interest of fickle allies, that we will

be reduced to insignificant blemishes on the bureaucratic body.

Although the heat of whistleblowing can be intense, the rewards of going public in-

clude the highs of:

1. Enhancing our self-respect;

2. Gaining and maintaining the esteem of our family and friends;

3. The chance of vindication by forcing responsible actions.

Resignation as a Test and Protest In the game of organizational power, an effective hand for forcing change may be

to threaten a parting of the ways. Drawing up a letter of resignation may compel

higher-ups to pay attention. The bureaucracy’s desire to deal with complaints fre-

quently hinges on the importance of the complainant to the overall organization.

For example, one individual with specialized knowledge of an organization’s books,

files, or procedures possesses tremendous leverage. In contrast, an individual who

is one of ten specialists serving under a grossly unethical and incompetent admin-

istrator has significantly less leverage. If the organization calls a public servant’s

bluff and accepts his or her resignation, often an effective way to protest is to sound

off while taking off. If their subordinates care about the issue, they may join in res-

ignation. (But, applying pressure to do so is, of course, unethical.)

Unfortunately and traditionally, though, most bureaucrats who resign because they

are at odds with the organization never say so publicly. That is, most resignations

are “discreet.” If, however, a bureaucrat views his or her resignation as a matter of

conscience, then that individual can draft a statement underscoring the basis for his

or her disillusion, distrust, or dismay, distributing it widely with the introduction

“I am resigning effective immediately because. . . .” Bureaucrats who have faith in

their eventual resurrection can “destroy and search,” resigning and then looking

elsewhere for employment, perhaps even in another field. If they consider their

Your Values and Ethics—A BBC Tool (Simulation) Students will take this test and identify where they fall on the values/ethics contin- uum. After completing this inventory, students will summarize their results and ex- plain whether or not they believe this tool should be used in the workplace and, if so, how.

www.thinkingethics.typepad.com/thinkingethics/games

EXERCISE 11.3

369Ethics and Public Administration

present environment unhealthy, chances are that forcing a job search will land them

a better position—one more in keeping with their commitment to public service.

Having something to say is not necessarily sufficient reason to say it—until one has

the right platform, the right position, and the right placement. A public servant

may attract more attention for change as the new commissioner of Agency X than

the ex-commissioner of Agency Y. In other words, patience may prove useful for

those looking to evoke positive changes ethically. The press regularly reports cri-

tiques and exposés by bureaucrats who left politely and quietly, but who had sec-

ond thoughts about the knowledge they harbored. Those without access to the press

could write letters to the editor, inspectors general, ombudsmen, and regulators.

Admittedly, some post-resignation complaints may be cases of sour grapes, some

may be self-serving, but many are legitimate attempts to right what is still wrong.

Resigned, Retired, or Fired Most bureaucrats are turned out to pasture when they are too “old,” but some of them

are forced to depart because they are too bold. They understand the fatal flaws in de-

cisions everyone else has rubber-stamped, and they say so.

That verbal action, no matter how politely put, is often suf-

ficient reason to cut them from the team. They become ex-

pendable, and neat methods of disposal are used to force

their “voluntary” resignation or retirement. The implicit deal

is that their professional reputation and pension will be pro-

tected if their silence and acquiescence protect the team.

There are many examples of whistleblowing success stories,

though some are bittersweet. For instance, it took Ernie

Fitzgerald, a Nixon-era government budget analyst who blew the whistle on Penta-

gon cost overruns, a decade of grief, but with the help of an organized committee,

members of Congress, the press, and the courts he regained his position plus pro-

motion, his reputation, and even civil damages from the government. Hugh Kauf-

man, who was harassed and rated unfavorably by the Environmental Protection

Agency after blowing the whistle on mismanagement of toxic waste programs, suc-

cessfully sued to right his record and land a suitable reassignment. Cyril Lang suc-

cessfully reversed his suspension for teaching the unauthorized classics of Machiavelli

and Aristotle from Charles W. Woodward High School, in Rockville, MD (TIME mag- azine, 1980). Another strategy for fighting back is to do something on the way out. If

organizational life is limited, one may still be able to breathe new life into the organ-

ization or issue by doing the unexpected. Shortly before ending his career in govern-

ment as special counsel to the Department of Energy, Paul Bloom (1939–2009)

arranged to donate $4 million to pay the heating bills of low-income families out of

$2 billion he and his colleagues had recovered from oil company overcharges.

“In a civilized life, law floats in a sea

of ethics.”

EARL WARREN Chief Justice of the U.S. Supreme Court

(1891–1974)

370 CHAPTER 11

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Administrative ethics

Athenian oath

Deontological theories

Ethics

Machiavellianism

Teleological theories

Tuskegee Experiment

Whistleblowing

KEY TERMS

REFERENCES

371Ethics and Public Administration

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SUPPLEMENTARY READINGS

372 CHAPTER 11

Gawthrop, L.C. 1993. “The Ethical Foundations of American Public Administra-

tion.” International Journal of Public Administration 16, no. 2: 139–63.

Lewis, C.W., and S.C. Gilman. 2005. The Ethics Challenge in Public Service: A Problem-Solving Guide. San Francisco: Jossey-Bass.

Madsen, P., and J.M. Shafritz, eds. 1992. Essentials of Government Ethics. New York: New American Library.

Roberts, R.N. 2001. Ethics in U.S. Government: An Encyclopedia of Investiga- tions, Scandals, Reforms, and Legislation. Westport, CT: Greenwood Press.

Rohr, J. 1989. Ethics for Bureaucrats: An Essay on Law and Values. 2d ed. New York: Marcel Dekker.

Centre for Applied Ethics—applied ethics resources on the web, including public

sector and government ethics, environmental ethics, and ethical decision mak-

ing: http://www.ethicsweb.ca/resources/

Citizens’ Circle for Accountability—a Canadian website that provides an interna-

tional forum on strategies to help citizens hold their government officials fully

accountable for their actions: http://accountabilitycircle.org/index.html

Government Accountability Project—a nonprofit public interest group that pro-

motes government and corporate accountability and advocates greater protec-

tion of whistleblowers: http://www.whistleblower.org

National Institutes of Health Ethics Program—focuses on standards of ethical

conduct for federal employees: http://ethics.od.nih.gov/default.htm

Organisation for Economic Co-operation and Development (OECD)’s Fighting

Corruption webpage:

http://www.oecd.org/about/0,3347,en_2649_34135_1_1_1_1_37447,00.html

Transparency International—the global coalition against corruption:

http://www.transparency.org/

U.S. Department of Defense Standards of Conduct Office (SOCO)—Ethics Re-

source Library that also contains Ethics Resources on the Web, an electronic li-

brary of federal and nonfederal websites devoted to ethics; statutes,

regulations, and executive orders; and a plethora of other materials on the

topic: http://www.dod.mil/dodgc/defense_ethics/

U.S. Department of the Interior Ethics Office: http://www.doi.gov/ethics/

U.S. Department of the Navy—The Ethics Compass: http://www.ethics.navy.mil

ELECTRONIC RESOURCES

373Ethics and Public Administration

U.S. House of Representatives, Committee on Standards of Official Conduct:

http://www.house.gov/ethics

U.S. Office of Government Ethics (OGE): http://www.usoge.gov/

U.S. Office of Government Ethics—Standards of Ethical Conduct for Employees

of the Executive Branch: http://www.usoge.gov/ethics_docs/publications/ref-

erence_publications/rfsoc_02.pdf

U.S. Senate Select Committee on Ethics: http://ethics.senate.gov

374 CHAPTER 11

Exercise 11.1 Across 2. You can’t use __________ information to further your own private interest or that of another. You cannot use nonpublic information to further your own private interest or that of another. For example, if you learn on the job that a company will be awarded a gov- ernment contract, you may not take any action to purchase stock in the company or its suppliers and you may not advise friends or relatives to do so until after public announcement of the award. It makes no difference whether you heard about the contract award as a result of your official duties or at the lunch table. 5 C.F.R. § 2635.703(a) states:

Prohibition. An employee shall not engage in a financial transaction using nonpublic information, nor allow the improper use of nonpublic information to further his own private interest or that of another, whether through ad- vice or recommendation, or by knowing unauthorized disclosure.

5. Generally, you can’t use your government title or position to __________ any product, enterprise, or service. Generally, you cannot use your government title or position to endorse any product, enterprise, or service. That could imply that your agency or the government sanc- tions or endorses your personal opinion. Of course, if it is part of your agency’s mis- sion to promote products or document compliance, that would be permitted. 5 C.F.R. § 2635.702(c) states:

Endorsements. An employee shall not use or permit the use of his Govern- ment position or title or any authority associated with his public office to endorse any product, service or enterprise except: (1) In furtherance of statutory authority to promote products, services or enter-

prises; or (2) As a result of documentation of compliance with agency requirements or

standards or as the result of recognition for achievement given under an agency program of recognition for accomplishment in support of the agency’s mission.

7. Generally, you can’t use your position, title, or __________ associated with your public office to imply that your agency sanctions your outside activities. You generally cannot use your government position, title, or authority associated with your job to imply that your agency or the government sanctions or endorses your outside activities. Even though your government authority may give you clout within the community, you are not to use this to your own personal benefit. An excerpt from 5 C.F.R. § 2635.702(b) states:

An employee shall not use or permit the use of his Government position or

EXERCISE ANSWER KEY

375Ethics and Public Administration

title or any authority associated with his public office in a manner that could reasonably be construed to imply that his agency or the Government sanctions or endorses his personal activities or those of another.

9. You can’t use government property, including the services of __________, for unauthorized purposes. You may not use any government property, including the services of contractors, supplies, photocopying equipment, computers, telephones, mail, records, or govern- ment vehicles for purposes other than doing your job (unless your agency has rules permitting some types of incidental use). 5 C.F.R. § 2635.704(b)(1) states:

Government property includes any form of real or personal property in which the Government has an ownership, leasehold, or other property in- terest as well as any right or other intangible interest that is purchased with Government funds, including the services of contractor personnel. The term includes office supplies, telephone and other telecommunications equipment and services, the Government mails, automated data process- ing capabilities, printing and reproduction facilities, Government records, and Government vehicles.

11. Unless authorized, playing games on your office computer is a misuse of official __________ and government property. It is misuse of your official time and government property to play games on your of- fice computer. If you do not have any work to do, ask your supervisor for something to work on. You are expected to put in a full day’s work and use government prop- erty for authorized purposes only. Some agencies may permit you to use your office computer for nonofficial purposes for a limited amount of time, such as during lunch or after work. Check with your ethics official to see if your agency has a lim- ited use policy. An excerpt from 2635.705(a) states:

Use of an employee’s own time. Unless authorized in accordance with law or regulations to use such time for other purposes, an employee shall use official time in an honest effort to perform official duties.

12. Widely used and misused piece of government equipment. The copier is a widely used and misused piece of government equipment. You must conserve and protect Government property. You cannot use Government property or allow its use, other than for authorized purposes. You may not use the photocopying machine, or any other Government property, including supplies, computers, tele- phones, mail, records or Government vehicles for purposes other than doing your job (unless your agency has rules permitting incidental use). 5 C.F.R. § 2635.704(b)(1) states:

EXERCISE ANSWER KEY

376 CHAPTER 11

Down 1. You are to protect and __________ government property. You are to protect and conserve government property and use it properly. Remem- ber that all government property is paid for by the public. The public expects you to use their resources wisely. 5 C.F.R. § 2635.704(a) states:

Standard. An employee has a duty to protect and conserve Government property and shall not use such property, or allow its use, for other than au- thorized purposes.

3. Your __________ can’t ask you to shop for his wife’s birthday present during duty hours. Your supervisor cannot ask you to shop for his wife’s birthday present during work hours. Official time is to be used for the performance of official duties. You can only use your work hours to perform your job. Shopping for the present would be misuse of your official time. 5 C.F.R. § 2635.705(b) states:

Use of a subordinate’s time. An employee shall not encourage, direct, co- erce, or request a subordinate to use official time to perform activities other than those required in the performance of official duties or author- ized in accordance with law or regulation.

4. Recommending your neighbor for a federal job on agency __________ is ok if you have personal knowledge of his abilities or character. You may use agency letterhead to write a letter of recommendation for your neigh- bor if you have personal knowledge of his abilities or character. You may also use your official title. This also applies to letters of recommendation for a person you’ve dealt with in your federal job as long as you have personal knowledge of that per- son’s ability or character. An excerpt from 5 C.F.R. § 2635.702(b) states:

[An employee] may sign a letter of recommendation using his official title only in response to a request for an employment recommendation or char-

EXERCISE ANSWER KEY

377Ethics and Public Administration

acter reference based upon personal knowledge of the ability or character of an individual with whom he has dealt in the course of Federal employ- ment or whom he is recommending for Federal employment.

6. You can’t use your public office for private __________. You cannot use your position with the Government for your own personal gain or for the benefit of others. This includes family, friends, neighbors, and persons or organ- izations that you are affiliated with outside the government. Your job is not an op- portunity to obtain special treatment for yourself and others, but to serve the public. An excerpt from 5 C.F.R. § 2635.702 states:

An employee shall not use his public office for his own private gain, for the endorsement of any product, service or enterprise, or for the private gain of friends, relatives, or persons with whom the employee is affiliated in a non- governmental capacity, including nonprofit organizations of which the em- ployee is an officer or member, and persons with whom the employee has or seeks employment or business relations.

8. Don’t use your public office to __________ yourself or others. You are not to use your public office to benefit yourself or others. That includes your friends, relatives, or people you are associated with outside the government. You are serving the public, not yourself and people you know. 5 C.F.R. § 2635.702(a) states:

Inducement or coercion of benefits. An employee shall not use or permit the use of his Government position or title or any authority associated with his public office in a manner that is intended to coerce or induce another person, including a subordinate, to provide any benefit, financial or other- wise, to himself or to friends, relatives, or persons with whom the employee is affiliated in a nongovernmental capacity.

10. You learn on the job that Company X found the cure for a major disease. You may not buy __________ in Company X before your agency announces the company found the cure. You are never permitted to use nonpublic information to get a jump on purchasing stock for yourself, family members, friends, or anyone else. That would be taking advantage of your government position for your own gain or the gain of others. Non- public information remains nonpublic until that announcement is made. 5 C.F.R. § 2635.703(a) states:

EXERCISE ANSWER KEY

Technology and Public Administration

CHAPTER 12

Chapter 12 examines the growing use of technology in

public organizations. After reading this chapter, students

will understand the evolution of the technology organization,

knowledge and database management, the use of geospatial

information systems, and broadband deployment. Of

particular emphasis are the use of Internet applications in

the context of citizen participation in governance and the

delivery of public services. This chapter further discusses

the widespread integration of 311 hotlines and concludes

by examining Baltimore’s and New York City’s computer pin

mapping systems.

378 CHAPTER 12

This chapter co-authored by Alan R. Shark, D.P.A.

379Technology and Public Administration

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“The new information technology—Internet and e-mail—have practically eliminated the physical costs of communications.”

PETER DRUCKER Economist; Management Guru; Author

(1909–2005)

A CitiStat session with then Baltimore Mayor Martin O’Malley Source: Perez, Teresita and Reese Rushing. 2007. “The CitiStat Model: How Data-Driven Government Can Increase Efficiency and Effectiveness.” Center for American Progress. http://www.americanprogress.org/issues/2007/04/pdf/citistat_report.pdf.

380 CHAPTER 12

Today more than ever, federal, state, and local governments depend on technology

to provide greater efficiencies in collecting, validating, processing, analyzing, re-

porting, protecting, and storing data. As of late 2010, over $71 billion was being

spent per year in the United States by civilian federal agencies, as coordinated by

the nation’s first formally appointed chief information officer (CIO). When you add

defense and national security spending, the federal government spends well over

$200 billion on technology each year. Military and national defense agencies spend

billions more dealing with national security issues at the highest levels. The Penta-

gon has reported that it receives thousands of security probes and intrusions into

its many data networks every single day; if left unprotected,

these breaches could lead to serious violations of national

security. It is no small wonder that the U.S. Air Force mod-

ified its mission several years ago to read “ . . . to fly and

win in the air, space and cyberspace” (emphasis added).

At the state and local levels of government, according to

Washington Technology, $52.8 billion was spent on tech-

nology in 2010 (Lipowicz, 2010). Research groups like

Input, Inc., had predicted a 45 percent increase in tech-

nology spending for state and local governments within the

next five years over and above the $50 billion figure—de-

pending on economic conditions (Dixon 2009). Whether

or not those lofty spending numbers are reached, they are

indeed illustrative of the demand for greater technology ap-

plications and solutions.

The need to embrace and better understand technology

and the solutions it can provide has never been more im-

portant to the public administration practitioner. When

used properly, technology applications can dramatically

save time and money; in addition, technology can improve

the decision-making process, as well as the speed of col-

lecting, analyzing, and processing data, with advanced analytical tools. When not

used properly, however, sensitive data can be compromised with ease, leading to

identity theft, fraud, and the disruption of vital services.

Understanding how technology is organized within government is important be-

cause what were once considered stand-alone systems are converging or being con-

solidated into shared databases and support systems. Every new and legacy

government program or system entails some form of technology infrastructure and

support. In the past, public managers were mostly beholden to technology support

managers and did not need to know much more than how to operate their own desk-

HIGH TECH GOVERNMENT

“The number one benefit of

information technology is that

it empowers people to do what they want to do. It

lets people be creative. It

lets people be productive. It lets

people learn things they didn’t think they could learn

before, and so in a sense it is all

about potential.”

STEVE BALLMER CEO, Microsoft

337Public-Sector Leadership

subordinates. They inspire by conveying high expectations. The transformational

leader inspires intellectually by being creative and innovative and also by encour-

aging their subordinates to be the same way. This type of

leader further emphasizes the importance of communica-

tion and listening, which aids in cultivating a workplace en-

vironment that addresses one’s job-related and personal

needs. There is a true sense of employee nurturing among

transformational leaders.

Theory of Life Cycle Leadership This theory deals with the levels of direction (task behav-

ior) and emotional support (relationship behavior) a leader

provides, while taking into consideration the subordinate’s

maturity level.

In the context of life cycle theory, maturity encompasses the following:

• Motivation to achieve

• Degree to which a subordinate desires and has ability to handle re-

sponsibility

Smith, J. 2000. School of Public Affairs and Administration, Rutgers University–Newark.

FIGURE 10.2 – GAINING THE POWER TO LEAD

“A good leader inspires others

with confidence; a great leader

inspires them with confidence in themselves.”

UNKNOWN

Expert Power (Formal Positions)

Sources of Power

Hierarchy (Formal Positions)

Referent Power (Individual or groups as

points of reference)

Informational Power (Being in the know having

access to info)

Developing Power sources to the Best Advantage

Ability Credibility Goal Setting Buffering Coalition-Building Strategies

Gaining t h e Power t o Lead

Coalition-Building Strategies

382 CHAPTER 12

Source: The American National Election Studies (www.electionstudies.org). 2010. “Trust in the Federal Gov- ernment, 1958-2008.” In The ANES Guide to Public Opinion and Electoral Behavior. Ann Arbor, MI: University of Michigan, Center for Political Studies. http://www.electionstudies.org/nesguide/toptable/tab5a_1.htm

FIGURE 12.1 – A PERILOUS TREND: THE EROSION OF TRUST IN GOVERNMENT

Trust the Federal Government 1958-2008

RESPONSE MOST OF THETIM3 JUST ABOUT ALWAYS

1958 1962 19E6 1970 1974 1978 1982 1986 1990 1994 1998 2002 2008

Graph5A.1.2 Source: The American National Election Studies Aug-23-2010

3 0

1958 1962 1966 1970 1974 1978 1982 1966 1990 1994 1998 2002 2008

Graph 5A 1.1 Source: The American National Election Studies Aug-23-2010

Trustthe Federal Government1958-2008

RESPONSE SOIME OF THE TIME/ NONE OF THE TIME

383Technology and Public Administration

cover the growth of the database and its evolving applications—including visuali-

zation—and proceed to a discussion of how convergence and innovation benefits

public managers in their quest to provide more effective and efficient services to

their citizens. Finally, we focus on the technological advances that are allowing cit-

izens to participate in government in ways never before possible.

Technology Organization Every federal agency has a chief information officer (CIO) and often a chief tech-

nology officer (CTO) responsible for coordinating secure and uniform technology

systems. To help coordinate the technology applications across federal agencies

and departments, the Chief Information Officers Council was established. The CIO

Council was created by Congress via the E-Government Act of 2002, and it is the

chief interagency vehicle for enhancing practices in the development, improve-

ment, utilization, sharing, and performance of federal information resources. The

CIO Council recommends IT management policies; identifies opportunities for in-

formation sharing; and evaluates the government’s IT workforce needs. The coun-

cil is now headed by the CIO for the federal government—a position that resides in

the administration’s Office of Management and Budget (OMB).

The federal government collects trillions of megabits of data every year. Some of the

information gathering is mandated by agencies’ missions or charters, and some is

the result of administration initiatives or congressional mandates. For example,

every ten years, the U.S. Department of Commerce provides the apparatus for the

U.S. Census. The Department of Education tracks trends in schools and universi-

ties—including standardized test results—and student placement and enrollment

statistics. The U.S. Department of Labor tracks unemployment figures and jobless

benefits as well as the number of new jobs created or lost. The U.S. Department of

Agriculture tracks food supplies and crop yields, imports and exports, and much

more. For every agency and commission, there is an intense data-gathering sys-

tem, as well as a data analyzing and reporting responsibility.

Until recently, most of the raw data collected by the government has been consid-

ered confidential, leaving citizens unable to conduct critical reviews of summaries

and reports. As you will see later in this chapter, all that is changing.

At the state level, nearly every state has a CIO reporting to the governor. Like the fed-

eral government, states collect and analyze a lot of information and administer many

critical programs. A sampling of state agency functions appears in Figure 12.2. Each of

these agencies utilizes a high degree of technology to carry out its mandated services.

Technology-related roles and responsibilities for cities and counties is an evolving

responsibility. Local governments only recently began to consider such titles as CIO

or CTO. Traditionally, the person mainly responsibility for technology might be called

director of technology, or director of the office of information and technology.

384 CHAPTER 12

Typically, a CIO leads, manages, coordinates, and integrates all applications related

to communication and information technology. The CIO is responsible for the en-

tire enterprise. The CTO position, by contrast, is more concerned with technology

solutions, and is less concerned about dealing with the political and administrative

arenas. In practice, though, these titles have been used with little distinction be-

tween them. Knowing this, do titles matter? While the answer is yes and no, ques-

tions surrounding the duties and expectations of the senior technology staff person

are ultimately more important. Important questions include: How many people

does this person manage? What is the size of the budget? Does the department or

agency operate as a stand-alone unit or as part of a federated structure? Who makes

decisions and at what levels are given decisions made?

The stature of the CIO and/or CTO within city and county governments has grown

with the ever-increasing sophistication of managing communications and infor-

mation technology. As of 2010, there were over 3,000 counties and 36,000 cities

and townships in the United States. The CIO and/or CTO are believed to be the

most essential “new” positions in local government, and there is every reason to

believe that the importance of this positions will continue to grow.

The Network and Its Security The network is the core for all data transactions, storing all vital data, including e-

mails, website information, and more. Networks are systems that allow groups of

interconnected computers (or workstations) to work together. These computers can

access the network in several ways: directly through cables, remotely, or wirelessly.

The network hub usually resides in a data center where security is often very tight

and the temperature and humidity are carefully regulated. Some data centers sup-

port remote data storage facilities and are linked to other data centers. A more com-

plex type of network is known as the “cloud” (or “cloud computing”). In the cloud,

computing functions—including storage, processing, and software applications—

FIGURE 12.2 – SAMPLE OF STATE GOVERNMENT FUNCTIONS

• Budget and Administration • Community Affairs • Corrections (prisons) • Education (state systems) • Environmental Protection • Employment Services • Health Systems and Human Services • Highways and Maintenance • Insurance Administration •Licensing (vehicles, registration, titles) •Justice and Courts Systems

•Lottery •Parks and Recreation •Pension Systems •Prisons •Public Safety (police and emergency) •State Judicial Systems •Social Services •Transportation •Taxation •Vital Health Records •Voter Registration

385 Technology and Public Administration

run on the Internet instead of being housed in any one particular data center owned

and operated by a company or government. Questions regarding network security,

redundancy, and access are legitimate concerns of cloud computing. However, com-

panies such as Amazon, Google, Microsoft, IBM, and many

more are making the move to the cloud very compelling—

especially for local governments. This is because up-front

and ongoing costs to build and maintain network systems

are usually dramatically lower in a cloud environment. It

also means that wherever you have access to the Internet,

you have access to your applications as well. As a result,

governments may no longer need to own and operate their

own equipment and storage facilities, as more companies

are offering cloud computing as an alternative.

Whether networks are in a building or in a cloud, all fed-

eral, state, and local government employees have a re-

sponsibility to ensure the integrity of data that is collected

and stored by their agency. There are numerous examples

of security breaches—most of them unintentional. For ex-

ample, a town in Michigan inadvertently printed the so-

cial security numbers of more than 70,000 residents on

mailing labels. This was not a breach in technology; it was

human error. Unfortunately, there was no senior policy

overseer to check what was actually being printed on the

labels. Inevitably, personal records stored online may be

made visible inadvertently, showing records containing

social security numbers, a mother’s maiden name, and

other information that could expose someone to identity

theft. Other examples include people losing laptops or

USB storage drives containing sensitive data in unen-

crypted files. Again, this is not a technology issue as much

as a public management issue.

Network security is every public administration employee’s responsibility,

whether one works from the field, at home, or in the office. According to the Fed-

eral Trade Commission (FTC), in 2007 they received over 800,000 complaints of

consumer fraud and identity theft, which cost consumers roughly $1.2 billion in

losses. Today’s networks are constantly under attack, and some local governments

report receiving 20,000 or more serious threats a day on average—with well over

50 percent of them coming from foreign nations. As security threats from the

“outside” increase in frequency and sophistication, there is also an alarming trend

of even greater threats coming from “within”—some of it knowingly and some of

it unknowingly.

“Speech has allowed the

communication of ideas, enabling human beings

to work together to build the impossible. Mankind’s greatest

achievements have come about by talking, and its

greatest failures by not talking… With the technology at our disposal, the possibilities are unbounded. All

we need to do is make sure we keep talking.”

STEPHEN HAWKING Theoretical Physicist;

Author, “A Brief History of Time”

386 CHAPTER 12

Four interrelated areas are vulnerable to network threats, but separate strategies are

necessary to protect each one. The areas are (1) network security, (2) web security,

(3) e-mail security, and (4) mobile workforce security. The network is the informa-

tion hub of all computer activities. Therefore, protecting the hub requires a multi-

layered approach that includes smart firewalls, intrusion protection systems, secure

and encrypted virtual private networks (VPN), and updated and secure user vali-

dation. The Internet has become the dominant source of two-way communication

between all levels of government, as well as the various publics they serve. Web se-

curity includes virus protection, content filtering, and spyware protection. E-mail

security measures include virus protection, phishing protection, and spam protec-

tion. The mobile environment encompasses remote systems such as satellite offices

and employees working from their home offices or offsite in the field. Wireless com-

munications would also be included where workers have laptops, portable storage

devices, and personal digital assistants (PDAs)—also referred to as smart phones.

The mobile environment requires the same protections as the other forms of com-

puter technology, except that in the mobile environment there is less control over

the devices themselves. Additionally, in the wireless arena, special precautions are

needed to address encryption and remote monitoring.

Twenty-first-century security systems employ sophisticated network and traffic

monitoring devices that help data managers see exactly how the network is func-

tioning at any given point in time. Ongoing vulnerability scanner or penetration

tests are also used. Policies must be updated continually, and well-trained employ-

ees are vital to any sound security plan.

When public administration employees access government systems, most adhere to

what is referred to as the triple As—Access, Authentication, and Authorization.

Some favor the three “Ds”—Deter, Detect, and Defend. Regardless of preference,

FIGURE 12.3 – NETWORK SECURITY: EXAMPLES OF USER TRAINING AND EDUCATION

•Data classification—public and nonpublic data

•Rules for adding “unauthorized” content or programs

•Rules for file sharing •Rules for social networking websites—

dos and don’ts •Files, backups and storage of data and

how to ensure copies of your data •Ethics and computer misuse •Wireless communications technologies

and security •Rules for creation of passwords and

changing passwords regularly •Using the Internet—explanations of

“Phishing,” “Spyware” and other vulnerabilities

•Uses of e-mail, when to avoid e-mail and the use of attachments

•Physical security •Rules governing use of peripherals such

as USB drives, etc. •Rules for laptop data protection and

encryption •Providing users with lists of the most

frequently asked questions

387Technology and Public Administration

the rules are quite similar. Some localities issue physical devices that help in user

authentication. Here the emphasis is on controlling who has permission to enter a

network and verifying the identity of whomever tries to access files. Keeping em-

ployees up-to-date with the latest information on security developments is also tan-

tamount to the success of any written policy. Ongoing training and education is a

continuous process that requires written guidelines, updates, and hands-on demon-

strations. Some will argue there is simply no time—experts will argue that it is nec-

essary and time well spent.

Not too long ago, most networks were relatively insulated from the outside envi-

ronment and operated as closed systems. In the current environment—with so

many employees having network access and with a mounting number of public in-

terfaces due to enhanced e-government services—networks face a heightened threat

due to unprecedented exposure risks. The growing use of videos and other forms

of social media have introduced new security issues concerning network capacity

and bandwidth. How can today’s networks manage the predicted and dramatic in-

crease in the need for more network bandwidth? By all accounts, network use and

storage capacity will grow exponentially as new technologies require. Early in the

administration of President Barack Obama, the president and his staff learned first-

hand what happens when a huge group of citizens tries to visit the White House

website at the same time. Obama had asked Americans to offer input on his pro-

posed policies via the web, and the overwhelming response resulted in the crash of

the White House e-mail system. It took several days to repair. The White House

system was simply unprepared for the enormous amount of traffic—both legitimate

and illegitimate.

Network threats begin with people. The best lines of defense involve having sound

policies in place, a well-trained staff, and state-of-the-art detection and prevention

systems. The mobile workforce is growing in complexity and number. A police chief

in a mid-sized western city, with the best of intentions, purchased new PDAs for his

entire force without getting input from the technology manager or anyone outside

of the police department. The concern here was that the new devices lacked suffi-

cient security features and were not supported by the city’s network or IT staff; a

time-consuming workaround for security and back-ups was needed to remedy the

situation. Unfortunately, situations like this happen all too often when departments

make computer equipment or software purchases without the knowledge or con-

sent of IT security officials. Only after seeking post-purchase support do buyers re-

alize the need for better purchasing policies, greater security integration, and

guaranteed oversight. As more local government employees access applications

from their homes or on the road, the level of security on any employee’s wireless

communications becomes key. Additionally, the increasing popularity of peer-to-

peer networking calls for greater scrutiny of authentication protocols and encryp-

tion systems to protect both the data communications and entry into the network

388 CHAPTER 12

itself. Network security affects everybody and is therefore everyone’s responsibility

as a user, a manager, or a supervisor.

Knowledge Management One area that is gaining attention in the information technology arena is knowl-

edge management. Knowledge management involves either basic internal admin-

istrative procedures or more comprehensive, enterprise-wide policies and

procedures. Internal procedures focus mainly on factors such as what happens

when an employee is terminated or goes on leave for a long period of time. Job

turnover has become more common than ever before—and so too has the need to

safeguard critical documents, contacts, and records. What happens to a departing

employee’s voice mail account, e-mail records, personal office files, shared files, re-

ports, spreadsheets, and other forms of data? Does the public manager/supervisor

have an up-to-date record of every employee password for voice mail, network, and

computer workstations in his or her group? How are files moved to new folders and

over to a new or replacement employee? Are critical reports

and documents stored in a familiar central area?

The aforementioned questions are best answered by enter-

prise policies regarding knowledge management. These

policies dictate how major pieces of critical information are

stored and indexed so that they can be found easily when

needed. This is especially important in light of recent Free-

dom of Information Act and E-Discovery requirements.

The length of time that certain files must be kept is feder-

ally mandated and, in many cases, subject to additional

local or state laws. Because storing and preserving records

are viewed as central IT functions, knowledge management

is often overlooked, as the IT staff must rely on program

staff to manage content. Ideally, institutional records and

legal documents should be indexed and stored by those

closest to the substance and origin of the data. Knowledge

management also involves creating and maintaining a sharing and learning envi-

ronment.

The Basics: Database Evolution While the network is the core of most technological activity, the database is how

things are logically stored and retrieved. Every work procedure involves some form

of database interaction. Every time you search for a word, article, e-mail, or web-

site, your request is being sent instantly and electronically to a database.

Computing emerged from the laboratory and entered government as a tool in the

early 1970s. It began with what amounted to advanced electric typewriters, then

“There are managers so

preoccupied with their e-mail

messages that they never look up from their screens

to see what’s happening in the nondigital world.”

MIHALY CSIKSZENTMIHALYI Psychology Professor

389Technology and Public Administration

grew into stand-alone systems called word processors. For the first time, written

documents could be typed and saved to a disk. Technology was also making its

debut in government accounting, where records were first stored and kept, and

checks were printed—and the rest is history.

Increasingly complex databases will continue to grow rapidly and exponentially.

Database management systems were designed to control, store, manage, and re-

trieve data. Databases are not only about transactions; they are about relationships—

tying certain record fields together. Programmers and database managers are

concerned with data structure, which might be a field, a record, a file, or an object.

Currently we have added layers of security that allow access for specific classifica-

tions of employees. This is where passwords, fingerprint scans, and eye retina scans

can become necessary: An employee database may be designed to allow certain em-

ployees to view human resource and financial data, while allowing others to view

the medical record portion of that same record. Some will be able to view one or the

other depending on their clearance, and some may be able to see both. Logs are kept

to further safeguard data; in this way, it is possible to track who accessed what

records and when they did so. Advances in the network, network security, and data-

base management have improved public managers’ ability to plan, keep records,

and extrapolate data into visual forms that enhance the interpretation of raw data.

Geospatial Information Systems (GIS)—Data Visualizing Geospatial information systems (GIS) can best be described as visual and graphic

interfaces that combine (from a database source) and organize various forms of

data and overlay that information onto a map of a city, county, state, or any other

geographic area. As databases have grown in sophistication, so too has the need to

better understand the various relationships of a city or county’s infrastructure. Ac-

cording to Environmental Systems Research Institute, Inc. (ESRI, 2010), GIS “in-

tegrates hardware, software, and data for capturing, managing, analyzing, and

displaying all forms of geographically referenced information.” GIS allows for the

visualization of information for the purpose of revealing data patterns and trends,

which can be shared quickly and easily through maps and charts.

After 9/11, when terrorists attacked the World Trade Center in New York City, there

was an immediate need to better understand the area of the city that had been af-

fected. A team of NYC officials were tasked with creating an emergency GIS system

that stands today as a model for the world to see. Aerial maps of the city were ob-

tained, and a database was created with latitude and longitude overlays on top of

the aerial maps. From there, additions to the map were made, including every sub-

way system, every affected building, and all gas mains, fire hydrants, water and

sewer pipe systems, electrical cables, telephone lines, fiber cables, hospitals, closed

streets, major transportation lines, and so on. With access to this data, emergency

planners could obtain precise information on services and locations with the touch

of a button. Maps were given to TV stations and posted on the city’s website to alert

390 CHAPTER 12

citizens to street and road closings and rerouted active transportation routes. The

city could also see what parts of the infrastructure needed immediate attention.

Without the integrated approach utilizing GIS systems, the time and effort needed

to rebuild New York City would have multiplied tenfold.

In the early twenty-first century, most local jurisdictions utilize GIS systems for

strategic planning that involves zoning, transportation planning, crime reporting,

land improvements, water and sewer infrastructure, and more. While this type of

technology has become a necessity for city and county government, ordinary citi-

zens are making increasing use of it as well; for instance, parents can access bus

routes to determine where their child’s school bus is at any given moment. Some lo-

calities are posting public transportation updates that allow passengers to know

where a bus or train is located on a real-time basis. Businesses can use GIS mapping

systems to see where population growth or shifts are occurring, thus facilitating the

process of planning for new locations. Global Positioning System (GPS) technol-

ogy is very much related to GIS in that they both rely on geographic mapping and

databases and are visual and interactive—some even “talk” to the user in the voice

and language of choice.

Public managers who use GIS systems have a new set of tools for planning and shar-

ing in a dynamic and interactive environment. Once a GIS system is in place, it is rel-

atively easy to add what is referred to as “layers” of new data points for a particular

FIGURE 12.4 – NYC SAMPLE GIS MAP

391Technology and Public Administration

application or inquiry. Furthermore, the addition of “mashups” enables data from

one area to be integrated and used with another set of data. An example of a mashup

would be taking an existing map from a web site such as Google Earth and adding the

street addresses of every library or fire station or pizza joint in your area. The coor-

dinates of, say, any reported crimes could be added as well. The plotting process is

easy: A map of your community appears with a list of buttons on the side of the map.

When you click on any one button, a mashup group is plotted on the map. You might

then add directions, or telephone numbers, or information on hours of operation.

Once you understand how these tools work, you will realize the power of planning and

information sharing—and see that it is something you could probably do yourself.

Convergence and Innovation Geospatial Information Systems is a prime example of the convergence of many

technologies into one application. Many people remain unaware of the amazing

progress that has taken place regarding our data networks. Like GIS, the advances

Source: PDA example (Shark 2008).

FIGURE 12.5 – A SAMPLE OF SMARTPHONE FEATURES AND APPLICATIONS

1. Phone 2. Answering machine 3. Recording machine/tape recorder 4. Address book 5. Calendar 6. Caller ID 7. Video clips 8. MP3 player 9. Camera—still 10. Video camera 11. GPS tracking 12. Web browser 13. E-mail 14. IM 15. Games (3-D) 16. Calculator (tip calculator) 17. Clock/world clock 18. Timer 19. Wireless modem 20. Computer 21. Word processor 22. Stopwatch 23. Currency converter 24. Note pad

25. Appointment calendar (real-time) 26. Speaker phone 27. Picture viewer 28. “Walkie-talkie” 29. Bluetooth enabled 30. Enterprise applications 31. USB connectivity 32. TV 33. Video conferencing 34. Voice recognition 35. News, weather, traffic report alerts 36. Wi-Fi 37. Flashlight 38. GPS directions 39. Book reader 40. Bio-hazard detector 41. Smart cards (transportation) 42. Video LCD projector 43. Medical record and monitoring 44. Remote TV “clicker” 45. Bar code reader 46. Airline boarding pass 47. Bio feedback monitor 48. White noise appliance

392 CHAPTER 12

in desktop computing are noteworthy, as well, with many more choices in available

power, features, and size. As laptops have given way to the original desktop in sales,

units continue to get smaller, lighter, and loaded with more features such as longer

battery life, built-in cameras, and greater storage and memory capacities. Addi-

tionally, with all these advances, the relative price per device keeps going down. On

the software front, we no longer are at the mercy of computer programmers and

engineers. While they still have their place in any enterprise, tremendous flexibil-

ity has been provided to the general user for anyone who

can afford a computer of their own—or a system they have

access to at work or perhaps a library. Some schools require

laptops for their students, and some private institutions ac-

tually provide them as part of their tuition.

Moore’s Law, which is not really a law, states that technol-

ogy innovation will double every two years. Some critics

predict that Moore’s Law will actually succumb to new laws

of change because the “law” is no longer applicable to the

fast pace of technological change. The law was named after

Gordon Moore, the cofounder of Intel. In 1965 Moore

wrote a paper explaining that with exponential growth,

technology doubles approximately every two years. He

based his observations on the number of transistors that

could be placed inexpensively on an integrated circuit

board. Moore’s Law best describes the advances in size,

memory, features, and pixels that over the years have

grown exponentially without causing an increase in the

price of new devices. Although Moore’s law held up for

nearly 50 years, experts in computer technology are begin-

ning to see change occurring more rapidly than Moore’s

two-year cycle.

The greatest technological advances to date are best illustrated by the declining cost

of data storage per megabyte or gigabyte.—This growth in computer-processing

power allows us to better multitask and perform considerably more functions for

less money. Miniaturization is another outcome of exponential growth. By 2010,

smart phones had emerged on the scene that were more powerful and feature-rich

than a desktop computer of just a few years earlier. An example of features that can

be found in a state-of-the-art smart phone are listed in Figure 12.5, and there is lit-

tle doubt the list will grow every year.

In 2007, Apple dazzled the world with its first iPhone. The phone contained hun-

dreds of clever features and marked the first successful foray into the cell phone

market by a computer manufacturer. The iPhone raised the bar for all manufac-

turers and sparked a huge competitive rush by other companies to develop new and

“The key is the Internet. The

United States is by far the most

advanced country in this new digital

culture, so we have to be there. The Internet is the

heart of this new civilization, and

telecommunications are the nervous

system, or circulatory system.”

CARLOS SLIM HELU Named Richest Man

in the World, Forbes Magazine, 2010

393Technology and Public Administration

better smart phones that could outperform the iPhone. Many observers expected

there would be a convergence of the smart phone and the computer—it was only a

matter of time—but it is occurring more quickly than anyone imagined.

Computers have morphed into cell phones and laptops, notebooks and netbooks;

likewise, cell phones have morphed into computers. Customers around the world

now see and hear things differently—and instantly. Convergence has enabled voice,

data, and video to be brought together through digital technologies. According to

the Pew Internet and American Life Project (2008) 62 percent of all Americans are

part of a wireless, mobile population.

A growing number of Americans now receive supplemental news of the day through

a small screen—be it handheld or a computer screen. Consequently, since the turn

of the twenty-first century, print newspapers and magazines have been facing an

uphill battle as advertisers follow their customer base to the digital market and, to

a growing extent, so too is government. Members of today’s younger generations,

“Digital Natives,” are more apt to get news from their handheld device or computer.

Marc Prensky introduced the concept “Digital Natives” to describe today’s students,

K through College, who grew up with the new technology, and thus are “native

speakers” of the dialect of personal computers, electronic games and the Internet

(Prensky 2001). Digital Natives are less likely to own a landline phone, opting in-

stead for cell phones and perhaps a voice over IP phone (VoIP). Additionally, they

typically use a cell phone as a wristwatch and, when traveling, are more likely to

turn to their phone as a wake-up alarm instead of a portable alarm clock.

Everyone serving in the field of public administration must be aware of—and em-

brace—these changes in technology. It is vital that public managers examine how

people communicate and how they receive and process news and information.

The Connected Society: Trends and Opportunities Facing Public Managers Societal growth has always been predicated on the exploitation of food, energy,

shelter, and transport. Most historic cities throughout the world were built near

waterways. Newer cities sprang up near train stations or airports. Today, however,

all anyone needs to stay connected is a reliable energy supply, a good computer,

and a high-speed broadband connection.

According to data from the Pew Internet and American Life Project (2008), 55 per-

cent of American adults have high-speed Internet connections in their homes, and

nearly one-third of broadband users are willing to pay more for speedier connec-

tions. When it comes to age groups, 78 percent of adults over 64 years old use the

Internet primarily for sending and receiving e-mails. This technology comes with

a price—even with all its efficiencies of scale. Federal, state, and local government

IT spending is rising exponentially, just as demands for new upgrades, new hard-

394 CHAPTER 12

ware, and new software applications are needed. This has created enormous pres-

sure to do more with less and may alter the way we view technology in government.

Thus far, this chapter has focused on the evolutionary path of technology: its back-

ground, the changing nature of networks and security, changes in the information

infrastructure, and how citizens are embracing technology in general terms. Now

that the Internet is so well entrenched in American society, enlightened govern-

ment leaders are seeking new and improved ways of providing information to the

public. This process involves creating new internal and external tools that improve

the decision-making process, providing the public with unprecedented amounts of

online information and options, and actually engaging citizens in what some refer

to as digital democracy.

Building upon the new fiscal realities and the rapidly emerging connected society,

there are three broad trends facing public managers at all levels of government:

1. Governance—regionalism/shared services as a necessity, not a luxury

2. Broadband deployment mobility and applications

3. Social networking (Web 2.0) beyond e-government

Governance: Regionalism/Shared Services State and local government are facing economic pressures to do more with less—

and technology spending is no exception. The need for greater cost-benefit justifi-

cation plans and better performance-measurement criteria and reporting has grown

significantly. The U.S. Office of Personnel Management (OPM) has been instru-

mental in developing plans and best practices for an integrated approach to per-

formance measurement. President Obama, realizing the need for greater

performance measurement applied across the board among all federal agencies,

has created an Office of Performance & Personnel Measurement (OPPM), which is

part of the Office of Management and Budget (OMB). At the city and county levels,

performance-measurement techniques are not necessarily common or uniformly

applied throughout the local enterprise.

In most communities, one will find at least five different public entities in any given

geographic area, which might include a city, a county, a library system, a court sys-

tem, an election system, a health care system, and a school system. Each of these

public entities typically has some form of technology support system. Unfortu-

nately, these same entities rarely interact with one another in terms of sharing ex-

pertise, staff, resources, or pooling of purchasing requirements—at least until now.

Local government managers facing painful budget decisions have a tremendous op-

portunity to meet, convene, study, and explore ways of sharing technology support

systems among public agencies within a given geographic area or region. This could

take the form of shared data centers, GIS systems, IT staff, and other applications

that lend themselves to sharing.

395Technology and Public Administration

Broadband Deployment Mobility and Applications A mayor was once quoted as saying, “I don’t give a darn about broadband—all we

want is high-speed Internet!” “Broadband” is a relative term; its definition is com-

plicated and usually means different things to different people. For our purposes, we

will refer to broadband as an always-on Internet connection—either wired or wire-

less—that supports many bandwidth-intensive programs such as large downloads,

basic video conferencing, music and video downloads, and other popular applica-

tions. The term broadband refers to a wide degree of bandwidth—a collection of fre-

quencies that are “pumped” through the Internet at varying degrees of speed. The

wider and faster the connection, the more applications can be carried on it—like

high definition video conferencing. Popular options include DSL, cable modem, 3G

and 4G cellular phone connectivity, and T1 lines. As technology progresses, we will

see greater speeds followed by greater bandwidth-intensive applications.

As mentioned earlier, more than 55 percent of Americans have broadband at home

(Pew Internet and American Life Project 2008). According to data from the 2008

Pew project, 74 percent of Americans had access to the Internet; 91 percent sent or

read e-mail; 89 percent used the Internet to search for general information; 86 per-

cent have searched for directions; and 59 percent had visited a local, state, or fed-

eral website.

Local governments were slow to recognize the opportunities they had in providing

even basic information and services to their citizens via their websites. Debate arose

around the question of the appropriate role for local government regarding broad-

band deployment and government’s possible function as a provider of broadband

service to the public. There is little disagreement, though, as to the growing need

for internal wireless systems used exclusively by cities and counties for public

safety, critical communication, and mobile workforce applications. Applications

include requests for construction permits, safety inspections for buildings, health

IT, surveillance cameras, and monitoring devices. Some cities and counties are re-

porting that their workforce is increasingly more mobile—both in terms of appli-

cations and workers.

In 2009 the federal government entered the broadband arena with an unprece-

dented series of legislative mandates and funding to map the U.S. broadband in-

frastructure, providing targeted funds for rural broadband deployment and

committing over $5 billion to broadband-related projects. The United States has

fallen behind most Western nations in broadband deployment, leading some ex-

perts to speculate that a weak or inconsistent broadband infrastructure will fur-

ther hurt American workers and productivity and make the nation less competitive

on a global scale.

While critics may debate the appropriate role for government to play in broadband

public policy, government offices at the city, county, and state levels depend on it

396 CHAPTER 12

and are one of its largest users—especially when it comes to internal operations. It

makes sense that if governments wish to continue moving greater amounts of vital

information and transactions to the Internet, then they must ensure that citizens are

well connected “on the other end.” This requires more than having access to the In-

ternet—it means understanding how to use the technology interfaces.

Social Networking (Web 2.0) Beyond e-Government Advances in broadband accessibility and Web 2.0 have created a number of inter-

esting and exciting opportunities for increasing citizen participation in government.

Web 2.0 refers to “second generation” Internet-based applications and it promises

a much higher level of participation through greater public interface, “digital

democracy,” and perhaps even online voting. According to Alan Shark, “Web 2.0 is

all about social networking and bringing people together in common forums and ex-

periences” (Shark 2008), and governments at all levels are just beginning to real-

ize the amazing opportunities that this new technology is providing. Other

developments of high importance in connecting government and citizens include

non-emergency 311 systems, customer relationship management (CRM) software,

and other information and communications technologies (ICTs). These concepts

and the implications that Web 2.0 and social networking may have on government

services and the role of public managers are discussed in greater detail next.

The Public Interface and Online Services The Internet has provided governments with the opportunity to develop and main-

tain web portals that continue to evolve; many have won awards for innovative serv-

ices and easy-to-find information. A government website is the new public interface

of government. Most government websites began small, providing static informa-

tion such as office hours, calendars of events, directions, web addresses of elected

officials, and basic city or county information. They now offer a multitude of online

communications, enabling users to perform credit card transactions, fill out forms,

pay off parking fines, reserve meeting rooms, renew licenses, search budget data,

view and apply for job postings, and even see webcasts of meetings.

Innovation lays the foundation for most key government integration of Internet-

FIGURE 12.6 – LOCAL GOVERNMENTS: ADVANTAGES OF E-GOVERNMENT

•Always open (24-hour City Hall) •Locality-neutral •Faster transactions •No lines •Saves government money •Citizen satisfaction •Business satisfaction

•Improved security applications •Accessibility (can be almost anywhere) •Language options •Greater citizen participation •Competitive advantages over

other localities

397Technology and Public Administration

based applications, non-emergency 311 systems, and other information and com- munications technologies (ICTs) that enhance the responsiveness, effectiveness, and efficiency of government entities endeavoring to provide better services to citizens.

At the same time, innovation is helping to restore a measure of trust in government

by facilitating more direct communication between citizens and government.

The Internet and ICTs Internet-based applications may prove ideal in reducing cynicism in government,

as these applications can help make information more available, make people feel

more in touch with government, and enable citizens to participate in the govern-

ment process with greater ease. These changes may help restore faith in our bu-

reaucratic and political institutions. Traditional methods of policy formation and

decision making do not value the participation of citizens. The development of ICTs

has presented alternative options. Proponents of “e-government” and “digital

democracy” believe that ICTs will engender direct interaction between citizens and

government—in other words, increased citizen participation. Some would argue

that increased citizen participation exposes policymakers to a wider range of issues

and information, and that this, in turn, will improve policy decisions. Having been

applied extensively throughout the United States and Europe (Tsagarousianou,

Tambini, and Bryan 1998; Holzer and Kim 2005), ICTs afford citizens greater par-

ticipation in the policy discourse. They demonstrate the potential to provide citizens

greater opportunities to influence public policy, thereby better connecting citizens

and decision makers.

Digital Democracy ICTs afford citizens a way of contributing to the public decision-making process. A

new term has emerged, this being “digital democracy.” Digital democracy encom- passes using ICTs in democratic processes (Jankowski and van Selm 2000). In a

democracy, citizens hold influence over the policies that have impact on their lives.

Central to a digital democracy are the processes and structures that characterize the

government-citizen relationship. Hacker and van Dijk (2000, p. 1) define digital

democracy as “a collection of attempts to practice democracy without the limits of

time, space and other physical conditions, using ICTs or computer-mediated com-

munication instead, as an addition [to], not a replacement for, traditional ‘analogue’

political practices.” Digital democratic applications, then, are nontraditional ways of

participating in government. Nugent (2001, p. 223) defines digital democracy as

“processes carried out online—communicating with fellow citizens and elected rep-

resentatives about politics.” Digital democracy entails the use of ICTs to improve

democratic values. Government transparency is essential to digital democracy, and

transparency is based on improving access to government information.

Digital democracy is presented in terms of static and dynamic forms of information

dissemination and citizen deliberation. Static information dissemination most re- sembles obtaining information from read-only websites. Citizens simply obtain in-

398 CHAPTER 12

formation about government policies and operations, usually provided through an

official government website. Dynamic information dissemination resembles two- way communication between citizens and public officials, an example being e-mail

communications initiated by citizens, resulting in a question-and-answer dialogue.

Static citizen deliberation resembles a web-based poll without a public dialogue or a virtual bulletin board where citizens can post complaints or recommendations.

Dynamic citizen deliberation includes electronic town halls, electronic policy fo- rums, and web-based polls with the opportunity to discuss issues. These types of

public spaces on the Internet must include all major stakeholders—namely citizens,

elected officials, bureaucrats, interest and advocacy groups, and the media. In these

spaces, O’Looney (2002) characterizes digital deliberation as providing:

• Balanced information

• Adequate time to deliberate the issues

• Freedom from coercion

• Predetermined rules that guide the discussion

• Inclusive participation

• Inclusiveness with regard to ideas

Regulations.gov: Opening Federal Regulations to the Masses Regulations.gov is a web-based application (http://www.regulations.gov) where

citizens can read and submit electronic comments on proposed federal regulations

for 35 departments and agencies. Simplification and access are key components of

this system. According to Mark Forman, former associate director for Information

Technology and E-Government for the Office of Management and Budget, “the

guiding principles for achieving our e-government vision are also about simplifying

the process and unifying operations to better serve citizen needs; that is, ‘uncom-

FIGURE 12.7 – STAGES OF DIGITAL DEMOCRACY

Stage Information Dissemination

Citizen Deliberation

Static (Passive)

Dynamic (Active)

Static (Passive)

Dynamic (Active}

Characteristics • Information Portal Sites • Information Search Method • Notice of Information Openness • Links to Related Websites • E-Mail Communication to Request Information • Newsletters or Newsgroups • E-mail lists • Online Poll (Instant Results, Presentation of Previous Polls) • Bulletin Board for Complaints • Bulletin Board for Recommendations • Digital Town Hall Meeting • Digital Policy Forum • Online Voting with Deliberation

399Technology and Public Administration

FIGURE 12.8A – REGULATIONS.GOV: EXAMPLE OF SEARCH RESULTS SCREEN

FIGURE 12.8B – REGULATIONS.GOV: ELECTRONIC COMMENT FORM

Click on arrows to sort result: alp ha numerically

Click on Ihe Dotumenl ID tn open the "Document Detail1 ecreen which contains additional information on the document, including a link to access the document.

Click c-nlhe Dock*! ID lo open the "Docket Detail" screen which contains additional information on the dockel and the documents in it.

Click on the Document icon to viewthe document View Fetferat Register documents in either PDF or HTML formats. View other toe jir ?i:: in FCF, HTML and/or oMhe native formal fe.o. Word. Excel etc.Y

Click on the Comment Icon to comment on o regulation or non- regulatory action openfor comment. Regulations.gov wiill open a comment form for you to complete and submitt.

400 CHAPTER 12

plicating’ government” (Forman 2002). Forman stresses that accessing government

information “should not take a citizen more than three ‘clicks’ of a mouse.” Through

Regulations.gov, anyone can track regulations open for comment via a keyword

search or by selecting a federal agency from a drop-down menu. After performing

a keyword or agency search, clicking on a proposed regulation will provide the user

with a detailed description of the proposal. The following information is shown in

the description of a regulation open for public comment:

1. Full text of the proposed regulation (text and PDF);

2. Code of Federal Regulations (CFR) citation, which corresponds to the sec- tion of the CFR that an agency is amending or proposing to amend;

3. Date published refers to the date on which the proposed rule was published in the Federal Register;

4. Comments due refers to the closing date of a consultation period;

5. Add comments directly forwards an individual to an electronic comment form when clicked;

6. How to comment guides citizens through the comment process, both elec- tronically and paper-based.

Champions of Regulations.gov believe it has opened up federal rulemaking to in-

dividuals outside of the Washington, D.C., elite and special interest lobbyists. In a

perfect world, Regulations.gov will be an egalitarian tool that gives the rank and

file a way of influencing public policy. Skeptics, however, argue that Regulations.gov

will become yet another tool for the powerful. For example, labor unions might pro-

vide its members with a comment template, or an electronic comment form con-

taining pre-packaged comments that support or oppose a proposed regulation. Gary

Bass, executive director of OMB Watch—a public interest group dedicated to pro-

moting government accountability and citizen participation—believes that special

interest groups are positioned to benefit from applications like Regulations.gov in

the short term because of their access to technology and ability to organize. In the

long run, however, Regulations.gov may be central to empowering diverse groups

of constituencies (Skrzycki 2003).

The AmericaSpeaks Model While town hall meetings and hearings afford individuals opportunities to convey

their opinions, they do not foster a meaningful dialogue among citizens and deci-

sion makers (Uchimura 2002). Lukensmeyer and Brigham (2002, p. 351) note,

“Public hearings and typical town hall meetings are not a meaningful way for citi-

zens to engage in governance and to have an impact on decision making. They are

speaker focused, with experts simply delivering information or responding to ques-

tions.” Carolyn Lukensmeyer, founder and president of AmericaSpeaks, argues that

401Technology and Public Administration

ordinary citizens do not have access to the policymaking process—a process that has

been dominated by the special interest elite. The AmericaSpeaks 21st Century Town Meeting was therefore created as a way of overcoming this challenge by using ICTs

to bring together large numbers of citizens.

The 21st Century Town Meeting brings people together using networked comput-

ers, electronic keypads, and movie-theater-sized video screens. Intimate group di-

alogues are essential to this process. Groups of 10 to 12 individuals discuss

predetermined policy issues. Group dialogues are steered by trained moderators,

who ensure that the discussions remain focused and that everyone within the group

has a chance to speak. Networked computers collect and communicate each group’s

viewpoints to a main computer. Each group’s viewpoints are organized into broader

themes, and each individual uses a keypad (similar to a tel-

evision remote control) to vote on each of the themes.

A noteworthy example of this process took place in No-

vember 2003, when 2,800 residents from Washington,

D.C., participated in a 21st Century Town Meeting known

as Citizen Summit III. Participants discussed three impor-

tant city challenges: providing better education, improving

neighborhood safety, and creating employment opportu-

nities. The opinions expressed by these 2,800 citizens

helped create a “Citywide Strategic Plan.” The input from

the Citizen Summit meetings was used to formulate goals

for several city departments (Citizen Summit III: Real

Challenges, Real Choices 2004).

E-Government: Enhancing Service Delivery As defined by Calista and Melitski (2007, p. 12), e-govern-

ment “provides governmental services electronically, usu-

ally over the Internet to customers, to reduce their physical character by recreating

them virtually.” Scholars such as Fanie Cloete (2003) maintain that to be effective,

government must implement technological innovations. Recent e-government ap-

plications are service delivery in nature. For example, residents or proprietors are

able to apply for government permits or licenses online. More and more frequently,

taxes, utilities, and fines are being paid online. Citizens are able report service com-

plaints by visiting their city website. E-government services have received increas-

ing interest from governments at all levels. This added interest in e-government

can be attributed to citizens expecting government websites to provide a range of

services similar to those of commercial websites. Advanced e-government websites

allow users to:

• Pay utilities (e.g., tap water, sewage, gas, electricity)

• File or pay taxes

“We have technology, finally,

that for the first time in human history allows

people to really maintain rich

connections with much larger numbers of

people.”

PIERRE OMIDYAR Founder, e-Bay; Philanthropist

402 CHAPTER 12

• Pay fines or tickets

• Apply for permits (or register) and track the status of permits online

• Apply for licenses

• Look up property assessments

• Access searchable databases

• File service complaints

• Customize the main homepage based on users’ interests or needs

Hot Hotlines: 311 Systems The Origins and Demand for 311 Between 50 and 90 percent of 911 emergency calls are, in fact, not emergencies

FIGURE 12.9 – STAGES OF E-GOVERNMENT COMPLEXITY

Source: Stephen H. Holden, Donald F. Norris, and Patricia D. Fletcher .2003. “Electronic Government at the Local Level: Progress to Date and Future Issues.” Public Productivity and Management Review 26(4): 328. Reprinted by permission of Sage Publications.

Horizontal Integration

-Systems integrated across different function

-Real one stop shopping for citizens

Vertical Integration

-Local systems linked to higher level systems

-Within similar functionalities Transaction

-Services and Forms online

-Working database supporting online transactions Catalogue

-Online Presence

-Catalogue Presentation

-Downloadable Forms

Sparse Integration

Complete

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403Technology and Public Administration

(U.S. Department of Justice 2006). Non-emergency calls to 911 cause backlogs that

delay police, fire, and other emergency services, the consequences of which range

from frustration to the loss of life. As a result of this growing problem, in 1996 Pres-

ident Bill Clinton requested that the Department of Justice (DOJ) devise a way of

relieving 911 systems of unnecessary calls. The Office of Community Oriented Polic-

ing Services (COPS Office) of the DOJ pursued this, requesting that the Federal

Communications Commission (FCC) designate the number 311 as a non-emergency

help number (Solomon and Uchida 2003). The FCC in 1997 established the 311

number for non-emergency local government services (City of Oakland 2002). Bal-

timore, Maryland, was the first U.S. city to implement a 311 system specifically de-

signed to reduce non-emergency 911 calls (Mazerolle et al. 2003). The Baltimore

Police attributed the following improvements to 311:

• Amount of time needed to answer 911 calls decreased by 50 percent.

• Number of abandoned 911 calls decreased by 50 percent.

• Number of 911 calls receiving a recorded message decreased by 14

percent.

• Amount “total position busy” time decreased by 169 hours monthly.

• Percentage of time 911 operators were busy with calls decreased by 18

percent.

311 systems are also changing the way governments and citizens interact, serving

as a means of enhancing access to public services. By expanding its original “police

nonemergency” role, 311 embodies a movement toward community-oriented gov-

ernment. Through an easy to remember number, 311 provides a direct link to gov-

ernment service agencies and provides citizens with the power to monitor their

requests (COPS Fact Sheet 2006). Frustrations with government services have gen-

erated demand for 311. Customer service complaints, by and large, deal with ease

of use, timeliness, service, and accessibility.

• Ease of Use: A frequent complaint of people is the trouble they have

determining whom to contact whenever they have a question, com-

plaint, or service request. The City of Los Angeles determined that 50

percent of all calls required at least two transfers before the caller was

connected with the right department.

• Timeliness: Often, it takes too much time for a citizen to receive fol-

low-up information subsequent to making a request.

• Service: Citizens want the “personal touch” of speaking with a live

person—not an automated, computer voice that offers an excess op-

tions and little chance of finding the correct one quickly.

404 CHAPTER 12

• Accessibility: Citizens want to know when their service request will be

fulfilled. As FedEx has discovered, giving customers the ability to

check the whereabouts of their packages is a meaningful way of

demonstrating a commitment to accountability.

Service Enhancement and Government Efficiency According to Martin (2004), 311 systems have the potential to improve government

efficiency by centralizing the contact point between government and citizens.

• 311 is viewed as a management tool. Public managers are able to mon-

itor the volume and types of calls received. Information from incom-

ing calls can be analyzed with what is referred to as customer

relationship management (CRM) software. This information can be

used to pinpoint service problems (e.g., persistent illegal dumping

problems, missed trash pickups) and set service standards.

• Significantly reducing the phone-answering duties for government

workers is a direct benefit of 311 call centers. The 311 system frees up

workers, enabling them to handle essential functions rather than

serving as a telephone operator, transferring citizens to whomever

they need to contact.

• Savings and efficiencies resulting from 311 are more easily recognized

over time. For example, the Chicago water department used informa-

tion collected via 311 to identify the most regularly opened fire hy-

drants. Locking caps were eventually placed on those hydrants to

ensure sufficient water pressure.

• 311 systems have resulted in revenue enhancement. An example of

this is how the Baltimore water department now deals with leaks. In

the past, when a water meter was discovered to have a leak, a bypass

pipe would be installed and another division in the water department

would be called in to replace the meter. In conjunction with Balti-

more’s CitiStat program (discussed later), 311 managers discovered

thousands of cases where individuals were waiting for meters to re-

place the bypasses. Now, upon the installation of a bypass, the CRM

tool promptly makes a request to the division responsible for replac-

ing the meters. This has resulted in a significant decrease in the num-

ber of bypass pipes, which equates to millions of dollars of water

revenue for the city that otherwise would have been lost.

• The instantaneous nature of 311 allows for quicker government re-

sponses. For instance, in inclement weather, 311 enables officials to

identify areas where there is more water and, therefore, helps predict

and avert possible flooding problems.

405Technology and Public Administration

Hampton, Virginia: A Citizen-Centered 311 System In an effort to improve service delivery and government responsiveness to the needs

of its residents, the city of Hampton, Virginia, established a 311 call center in 1999.

Prior to Hampton’s implementation of a 311 system, residents often found it very dif-

ficult to contact city departments. Residents with questions or concerns were all too

frequently bounced from one department to another. In instances where a concern

or question was interdepartmental, there was a significant likelihood of confusion

as to which department should handle a specific service request or problem. In short,

contacting the government proved more difficult than it should have been. Hamp-

ton’s 311 system was envisioned as a means of streamlining the service request and

delivery process, giving residents the luxury of calling when they want, telling one

story (one time), and feeling assured that their requests and/or problems would

reach the necessary department. For example, a resident with a solid waste com-

plaint (e.g., trash was not picked up), simply places a 311 call, registers the com-

plaint, and a truck is dispatched to pick up the trash within a specified time period.

One perceived obstacle to integrating Hampton’s 311 systems centered on con-

cerns that the call center personnel would not be able to handle the responsibil-

ities of more technical departments. Hampton’s assessor department expressed

concerns in this regard. However, personnel training and the user-friendly na-

ture of the 311 software make it possible for the call center personnel to handle

the responsibilities and field questions regarding all departments. The software

uses a keyword search that routes the call taker to approximately 3,400 Fre-

quently Asked Questions (FAQs) relevant to an inquiry of problem. If by chance

a resident has an inquiry that is not covered by any of the 3,400 departmental

FAQs, the 311 call center representative will take that person’s name and num-

ber and obtain a response in a timely manner. Once resolved, this request (or

piece of information) is then added to the departmental list of FAQs. Each de-

partment started with roughly 1,200 FAQs. Hampton’s 311 system includes an

Internet-based component that allows residents to request information and serv-

ices. Individuals simply complete a short electronic form that is forwarded to

the call center. Users are promised a response within one business day. Individ-

uals are also able to search the call center FAQs. For example, typing “trash col-

lection” into the FAQ “question description” box would provide an individual

with 25 FAQs on that topic.

Citizen Satisfaction and 311 Since the inception of 311, impressions regarding customer service in Hampton have

improved. Data covering the period July 1, 2006, to December 19, 2006, indicate

that 93 percent of residents rate Hampton’s 311 customer service as very good or

excellent, while 91 percent of users rate the convenience of the call center as very

good or excellent. These impressions are further bolstered given that 20 percent of

residents use 311 to conduct business with the city after hours, on weekends, and

406 CHAPTER 12

holidays. Moreover, 94 percent of users indicated that 311 met their needs, and 55

percent of 311 users were left with an improved impression of Hampton’s services.

Overall, the perception of efficiency has improved. According to the Hampton call

center manager (City of Hampton, Virginia 2006), even though the quality of

Hampton’s service delivery has not changed per se (the city maintains that it pro-

vided quality service delivery prior to its 311 system), perceptions of service deliv-

ery quality in terms of effectiveness and efficiency have changed for the better. The

call center manager attributes this to the fact that 311 is publicized at the grassroots

level; that is, all city departments have public meetings and use such forums to ad-

vertise 311. Hampton’s 311 system is successful insofar as it has (1) customer-ser-

vice-driven employees, and (2) interdepartmental cooperation. Hampton has a

culture of working together and understanding that getting things done depends

on cooperation. Call center staff have a great relationship with the government lead-

ers (council-manager system), and the council and city manager’s office pay strict

attention to what people want.

The Future of Hampton’s 311 Call Center An effort is under way to implement a robust integration feature to Hampton’s cur-

FIGURE 12.10 – ELECTRONIC SERVICE REQUEST FORM, HAMPTON (VA) 311 CALL CENTER

Source: The City of Hampton. 2010. “City of Hampton, 311Customer Call Center, Request a Service Form.” http://www.hampton.gov/311/request_service_form.php.

Hamton Call Center Virginia Contact Us FAQs City Departments City Council Calendar Reques a City Service Jobs Home> Your Goverment > 311 Customer call Center > Request a Service Form

Service Online Your Govermenent

Request a Service Form

Fill in the spaces below lo request seiwce from The 31d-call center You will receive a fepty within 1 business day

All fields marked with: * are required

Name:

" E - mail Address:

Phone Number:

Please provide an address where the service is needed:

Address:

Intersection:

" What Service would you line? (Please be as specific as possble and include location information.)

Source: The City of Hampton. 2010. “City of Hampton, 311Customer Call Center, Request a Service Form.” http://www.hampton.gov/311/request_service_form.php.

Hamton Call Center Virginia Contact Us FAQs City Departments City Council Calendar Reques a City Service Jobs Home> Your Goverment > 311 Customer call Center > Request a Service Form

Service Online Your Govermenent 311 Customer Call Center Boards & Commissions Budget City Council City Departments Channel 47 Goverment Links Guides, Agreements and Publications Hampton A to Z Plans and Ordinance Municipal Code Office of the Mayor State Legislative Issues Voting Information and Elections Living in Hampton

Request a Service Form

Fill in the spaces below lo request seiwce from The 31d-call center You will receive a fepty within 1 business day

All fields marked with: * are required

Name:

" E - mail Address:

Phone Number:

Please provide an address where the service is needed:

Address:

Intersection:

" What Service would you line? (Please be as specific as possble and include location information.)

Send Clear

407Technology and Public Administration

rent 311 call center. Consider, for example, that resident x wants to apply for per-

mit y. When the department in change of issuing permit y runs resident x’s name,

they find that this person has outstanding parking tickets, and thus they will not

issue the permit until all fines have been paid. Or, suppose resident z calls 311 for

the third time to report that her trash has not been picked up. A fully integrated 311

system would recognize that this is a recurring problem for this particular resident

and take steps to ensure that it no longer happens. Moreover, a fully integrated sys-

tem may offer person specific reminders, such as reminders as to when the next

council or planning meeting is scheduled. Hampton hopes to create a more com-

prehensive view of customer service (City of Hampton, Virginia 2006).

New York City’s 311 System New York City’s 311 system was spearheaded in 2002 by Mayor Michael Bloomberg.

He envisioned this system as a way of learning what citizens thought of govern-

ment services. As a very successful member of the international business commu-

nity, Bloomberg’s style of public management mirrors that of his private sector

management style; that is, emphasis is placed on customer satisfaction. From the

government point of view, citizens are the customers, as they are the consumers of

public services. Bloomberg planned the development of New York’s 311 system soon

after he took office.

FIGURE 12.11 – ELECTRONIC FAQS, HAMPTON (VA) 311 CALL CENTER

Source: The City of Hampton. 2010. “City of Hampton. Frequently Asked Questions.” http://www.hampton.gov/faq.html.

Hampton the city of www.hampton.gov virginia 311 Call Center - Frequently Asked Questions

Question description

JUST ONE CALt D O B IT JUL '

zza Request a City Service Jobs

Where can ] get information on volunteer jobs with the crry?

How do I register a boat?

Are there any bike trails in the City of Hampton

I live in Hampton. Why can't I c656k Ranger Program^

Dae the city have a Bark Park Ranger Program?

Can I keep my trash container in my front yard or dnveviay

Does the oty regulate blimps (large powered or hot cur balloons), such as ho close they con get to a house There is a dog/oft stuck in a car with the windows up (or only cracked open), what can I do?

Who Nres the City Manager?

:-. 17 IC 15

;- :: I i

18 Jan 2007 l & J f l n M O ? OS Jon J007

29 Jan 2007

Z9 Jan 2007

0 * Jan 200/7

^ . •-..: J . •-. v 20 Dec 20OG

01 Feb 3007

W:ZV.Kl-hiKf''if<i>TM

408 CHAPTER 12

Bloomberg stressed the need for callers to be put in contact with a live representa-

tive as quickly as possible. At the behest of Bloomberg, the 311 system was devel-

oped and implemented by the Department of Information Technology and

Telecommunications (DOITT) in eight months, and this process had the full coop-

eration of the other city agency commissioners.

Four years after its launch, New York City’s 311 system surpassed expectations. The

system answered 13.2 million calls in fiscal year (FY) 2006, far more than was ex-

pected. The wait time to speak with a live representative averaged 14 seconds in

FY2006, far less than target goal of 30 seconds.

Given the initial success of New York City’s 311 system, greater emphasis will be

placed on how 311 can drive agency performance. Internet, cell phone, twitter, and

Skype have been integrated into 311. This allows citizens to submit and track serv-

ice requests via the Internet without the need for call operators. Citizen satisfac-

tion surveys are also planned, with the hope that this information will improve the

system. Another new development is that DOITT, the agency that manages 311, will

establish service level agreements (SLAs) with the city agencies. Take the issue of

potholes, for example. The Department of Transportation will commit to an SLA

whereby 85 percent of reported potholes are repaired within a specific time period.

SLAs within other city agencies will be created in accordance with the agency’s re-

sponsibilities. The SLAs will ultimately serve as a means of standardizing agency

performance in areas that are most important to the citizens. Doing so makes gov-

ernment more responsive. Data gathered from the SLAs can be incorporated into

the city’s performance management tool, the Mayor’s Management Report. This is

a semi-annual report on the performance of all city agencies.

In August 2007, New York City announced a 311 application called SCOUT—the

Street Conditions Observation Unit. This is a 15-member team charged with pin-

SimProcess: Modeling and Simulations (Simulation) In this exercise, students will have an opportunity to experience firsthand how tech- nology can be utilized to improve efficiency and effectiveness in public administra- tion. Students will (1) visit the SimProcess website; (2) choose a simulation from one of the following areas: Business Process Management, Health Care, Human Re- sources, or Call Centers; (3) access the demonstration model site; and (4) complete the trial. Following this exercise, students will create a one-page executive summary demonstrating how technology has improved the effectiveness and the efficiency of the process chosen.

http://www.simprocess.com/solutions/solutions.html

EXERCISE 12.1

409Technology and Public Administration

pointing street problems like potholes, broken bus shelters, and graffiti. Using

BlackBerry technology and global positioning software, identified street problems

will be processed and tracked using 311.

Computer Pin Mapping: Baltimore’s CitiStat Baltimore’s CitiStat is an accountability tool designed around computer pin map-

ping and weekly accountability sessions. CitiStat is derivative of the New York City

Police Department’s CompStat program, which was the brainchild of Jack Maple

(former Deputy Commissioner for Crime Control Strategies). CompStat was cred-

ited with dramatically reducing crime, and similar programs have been employed

by police departments around the world. The former mayor of Baltimore, Martin

O’Malley (elected governor of Maryland in November 2006), was convinced that

the CompStat program could be applied to all city agencies—from Public Works to

Health to Police and Fire. In short, CitiStat is how the O’Malley administration ran

Baltimore. How exactly does CitiStat work? Agency or bureau heads meet at

CitiStat meetings every two weeks. These biweekly meetings include the mayor,

deputy mayors, and key members of the mayor’s administration. Prior to each

meeting, each bureau or agency submits data to the “CitiStat team,” which, in turn,

examines the data and puts together the presentation for the meeting. Precise and

timely data is essential to the CitiStat process. The CitiStat team has the responsi-

bility of making sure that the data submitted by the various bureaus and agencies

make sense; in other words, that the data are “true.” This is done by going out into

the field and investigating, in addition to choosing cases randomly. The team also

compares all collected data to previous reports, which further serves to identify

problem areas. These problem areas are then geographically coded (geocoded) and

plotted on a computer map.

Using 311 Data to Feed Computer Pin Mapping Programs For citizens, 311 help lines create a single point of access between residents and

their local government. 311 systems are responsive to citizen needs; they eliminate

endless call forwarding mazes and “not my job” responses from municipal em-

ployees ill equipped to handle people’s inquiries. Because 311 operators work di-

rectly with citizens to solve problems, they become citizen advocates within local

government. In the most effective systems, 311 operators work with citizens to see

inquiries through to completion, rather than forwarding calls into voice mail sys-

tems. 311 operators increase trust in government because they are trained to in-

teract with the public and are evaluated based on the number of calls resolved. In

the event that calls are not resolved immediately, citizens who call 311 receive a

case number for tracking their issue. Tracking numbers are used to determine the

number of open cases and, when tracked over time, can establish how long it takes

to resolve similar cases.

For managers, 311 help lines create performance data that can be used to evaluate de-

partments over time. Call resolutions are tracked over time, and managers can use the

410 CHAPTER 12

data to predict future needs based on geographic or seasonal variances. When 311

data are incorporated into an agency’s management practices, the information helps

in the evaluation of management processes and the search for operational efficiencies.

Fully integrated 311 systems demonstrate that the performance of departments can

be effectively evaluated using citizen-driven performance measurement. Again, Bal-

timore provides a good example of how 311 can be used as a direct feed to its CitiStat

program. Using 311 to feed computer pin mapping has great potential, particularly

when organized by neighborhoods or districts. For example, as reported in the New York Times (Hu 2003), “large and small, city officials are using information gathered through the 311 system to reexamine how city agencies carry out their jobs.” This in-

formation has the potential to empower citizens and elected officials and to help build

constructive dialogues between them and public managers.

The integration of technology is an effective problem-solving tool that has had a pro-

found impact on public administration. 311 systems are better connecting government

with citizens by providing a single point of access between residents and their local

government. The systems have also become a source of information that feeds com-

puter pin mapping programs like Baltimore’s CitiStat, which are designed to improve

public services and solve problems quickly. By reconnecting citizens to government,

trust in government may be restored to levels more appropriate to our democracy.

Public organizations are experimenting with new Internet-driven methods for de-

liberating proposed regulations and policies between citizens and public agencies.

But despite the potential benefits, the Internet as a communications medium pres-

ents some difficulties, particularly the “digital divide” between those with web ac-

cess and web-based skills and those without such access and skills. While the online

population is becoming more representative of communities in general, the reality

of a digital divide means that certain segments of the population are effectively ex-

cluded from online deliberation, and the excluded populations tend to consist of

historically disenfranchised individuals. A parallel criticism of digital policy delib-

eration is that it is skewed toward technical experts who effectively speak the “lan-

guage” of public policy, thereby alienating average citizens. There is no doubt that

experts, by and large, influence public policy dialogues. Some fear that this influ-

ence might be more pronounced through digital and Internet-based mediums.

Clearly, expert knowledge is very important to policy development, but citizens’

knowledge and intuition are key to the policy process as well. In addition, the In-

ternet as a communication medium benefits individuals with better cultivated writ-

ing skills. These individuals tend to be in the upper echelon financially and

educationally as well. These are some of the issues that need to be considered as

public organizations become more reliant on technology.

411Technology and Public Administration

American National Election Studies (ANES). 2010. “Trust the Federal Govern-

ment, 1958–2008.” In The ANES Guide to Public Opinion and Electoral Be- havior. Ann Arbor, MI: University of Michigan, Center for Political Studies. http://www.electionstudies.org/nesguide/toptable/tab5a_1.htm.

Berman, Evan M. 1997. “Dealing with Cynical Citizens,” Public Administration Review, 57, no. 2 (March–April): 105–12.

Calista, Donald, and James Melitski. 2007. “E-Government and E-Governance:

Converging Constructs of Public Sector Information and Communications

Technologies.” Public Administration Quarterly 32, no. 1.

Citizen Summit III: Real Challenges Real Choices. 2004. Executive Summary and

Data Analysis Prepared by the Executive Office of Neighborhood Action.

City of Hampton, Virginia. 2006. Information and Data on Hampton’s 311 Call

Center Provided by Elizabeth Nisley, Call Center Manager, and Through the

Call Center’s Website, http://www.hampton.gov/311/.

City of Oakland. (2002). “Moving Oakland Forward.” City Manager Summit Rec-

ommendations. http://www.oaklandnet.com/movingforward/8CRecommen-

dationsDetailed.pdf.

Cloete, Fanie. 2003. “Assessing Governance with Electronic Policy Management

Tools.” Public Performance and Management Review 26, no. 3: 276–90.

Dixon, C. 2009. INPUT State & Local IT Market Forecast, 2009-2014. Input, Inc. June 2009. http://www.input.com/corp/analysis/state_IT_spending.cfm.

Environmental Systems Research Institute, Inc. (ESRI). “What is GIS? Geo-

311 call centers

Broadband

Customer Relationship Management

(CRM)

Digital democracy

Digital divide

Dynamic citizen deliberation

Dynamic information dissemination

E-government

Geospatial Information Systems

Information and communications

technologies (ICTs)

Static citizen deliberation

Static information dissemination

KEY TERMS

REFERENCES

412 CHAPTER 12

graphic Information Systems.” http://www.esri.com/what-is-gis/index.html.

Environmental Systems Research Institute, Inc. (ESRI). 2002. “Lessons Learned

from 9/11.Good Metadata is Key.” www.esri.com/library/fliers/pdfs/lessons-

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Forman, Mark. 2003. “Statement of Mark Forman, Associate Director for Infor-

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mittee on Government Reform.” March 21. http://www.whitehouse.gov/omb/

legislative_testimony_default_prior2009.

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Holzer, Marc, and Seang-Tae Kim. 2005. Digital Governance in Municipalities Worldwide: A Longitudinal Assessment of Municipal Websites Throughout the World. Newark, NJ: National Center for Public Productivity.

Hu, W. 2003. “New Yorkers Love to Complain, and Hotline Is Making the Most

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Jankowski, Nicholas W., and Martine van Selm. 2000. “The Promise and Practice

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413Technology and Public Administration

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414 CHAPTER 12

U.S. Department of Justice. 2006. “COPS Fact Sheet: 311 for Non-Emergencies.”

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SUPPLEMENTARY READINGS

415Technology and Public Administration

AmericaSpeaks—Engaging Citizens in Governance: a nonpartisan organization based in Washington, DC, http://www.americaspeaks.org/

Digital Divide Institute—Social Justice Through Digital Convergence,

http://www.digitaldivide.org

ECommerce-Guide, http://www.ecommerce-guide.com/

E-Gov Link—e-government solutions for local governments, http://www2.egov-

link.com/

Federal Chief Information Officers (CIO) Council, http://www.cio.gov

GovTech—Government Technology, http://govtech.com

Net Valley—provider of Internet history, http://www.netvalley.com

Pew Internet and American Life Project—A Project of the Pew Research Center,

http://www.pewinternet.org/

Public Technology Institute, http://www.pti.org

Regulations.gov—Your Voice in Federal Decision Making, http://www.regula-

tions.gov

ELECTRONIC RESOURCES

Public Service and Popular Culture

CHAPTER 13

Chapter 13 examines the people who work for the public—

public servants. Although they are often depicted as

inefficient members of an inefficient bureaucracy, this

chapter demonstrates the value and effectiveness of public

servants. It provides examples of public servants in action in

both the government and nonprofit sectors. Furthermore, it

describes the mechanisms that government uses to help

engage more citizens in public service and the various modes

by which public information is conveyed to the citizenry.

Finally, this chapter provides helpful resources for people

interested in engaging with government and professional

networks that address issues of public concern.

416 CHAPTER 13

417Public Service and Popular Culture

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Service is the rent we pay to be living. It is the very purpose of life and not

something you do in your spare time.”

MARIAN WRIGHT EDELMAN Attorney; Activist;

Founder, Children’s Defense Fund

Franklin Delano Roosevelt Memorial, Washington, DC.

418 CHAPTER 13

Public service embodies the ethical principles of the common good—service to oth-

ers and social equity. Public service is important because the essential purposes of

our society are carried out largely in the public sphere: public education, public

health, justice and security, environmental protection, museums, universities, etc.

Many organizations—profit and nonprofit—are government’s partners in building

our necessary infrastructure, as well as developing and applying our emerging tech-

nologies. A strong public service ethic is, then, a common thread that spans a wide

spectrum of disciplines and sectors, ranging from government to the not-for-profit

and for-profit sectors.

Public service attracts a special kind of individual (Holzer 1999; Pattakos 2004; Perry

1996). The calling to public service is at the heart of public administration (Freder-

ickson 1997) and is based on a “duty . . . or an intense inner commitment to a cause that

extends beyond the exigencies of the moment” (Gawthrop 1998, p. 74). Public ser-

vants are people who achieve internal satisfaction by making

a contribution to a society (Houston 2006; Perry 1996) as op-

posed to a self-serving commitment to achieving personal

goals. As such, monetary gain and other external rewards are

often not primarily significant; instead, those who enter pub-

lic service do so out of a desire to serve the public interest

(Hart 1989). Theirs is a vocation that links them to “fellow

workers and the larger community,” thereby making public

service a transcendent act (Wolf and Bacher 1990, p. 178).

The roots of public service can be traced back to the Athen-

ian Oath, first sworn by citizens of ancient Athens to serve

their fellow citizens. In an American context, James Madi-

son expressed this sentiment in The Federalist Papers: “The public good, the real welfare of the great body of the

people, is the supreme object to be pursued” (Madison

1788/1961, “Federalist #45”). The root of the common good stems from an ac-

knowledged interconnectedness of individuals who rely on one another, providing

the basis of community (Frederickson 1997; Gawthrop 1998; Hart 1989).

In the mid-nineteenth century, the French historian Alexis de Tocqueville was fas-

cinated with the strong American cooperative spirit between the citizenry and the

government. He wrote in Democracy in America (cited in Klein 1990):

In no country in the world do the citizens make such exertions for the com-

mon weal. I know of no people who have established schools so numer-

ous, places of public worship better suited to the wants of the inhabitants,

or roads kept in better repair.

PUBLIC SERVANTS

“I can assure you, public service is

a stimulating, proud and lively enterprise. It is

not just a way of life, it is a way to

live fully.”

LEE H. HAMILTON Former U.S.

Congressman; Vice Chairman, 9/11

Commission

419Public Service and Popular Culture

Tocqueville was equally impressed with the willingness of citizens to build public

improvements by voluntary association, “of the people, by the people, for the peo-

ple” (cited in Ellis 1999).

As the embodiment of an ethic of service, increased volunteerism has been a goal

of public policy since at least the 1960s, regardless of the political party in power

(Brudney 1990). Most famously, President John F. Kennedy, at his inauguration in

1961, stated, “Ask not what your country can do for you—ask what you can do for

your country” (cited in Ellis 1999).

In this chapter, we explore the idea of public service and the public servant. We

discuss some of the common generalizations about public servants’ work ethics and

their images within society as portrayed in popular culture. We also shed light on

The Athenian Oath We will never bring disgrace to this our city,

by any act of dishonesty or cowardice;

nor ever desert our suffering comrades in

the ranks; we will fight for the ideal and

sacred things of the city, both alone and

with many; we will revere and obey the

city's laws and do our best to incite a like

respect in those above us who are prone

to annul or set them at naught; we will

strive unceasingly to quicken the public's

sense of civic duty. Thus, in all these ways,

we will transmit this city not only,

not less, but greater and more beautiful

than it was transmitted to us.

420 CHAPTER 13

some actual public servants by exploring a few noteworthy cases. We discuss ef-

forts to attract youth into the public sector and highlight some of the current in-

centive programs that exist, as well as efforts to rectify the image of public service

and initiatives that might be pursued to do so. Finally, we provide some practical in-

formation about public service networks and ways in which people might connect.

The Image of the Public Servant Critics argue that bureaucracy is epitomized by the sufficiency of mediocrity, by the

adage “don’t rock the boat,” and by a significant loss of independence. Popular cul-

ture has reinforced the contrast between the new public employee’s wide-eyed ea-

gerness to serve—to make a difference—versus the well-entrenched bureaucrat who

stereotypically overemphasizes formality, rules, and regulations. Popular culture

has also painted a proverbial picture of the public organization where individuals

become stifled, losing all sense of independence, pride, and initiative. They seem to

no longer care, only to go through the motions, only to count down the years until

retirement.

Government’s critics are equally concerned that the energies of workers and man-

agers may be corrupted, not merely suppressed. Without the possibility of making

a real difference or the incentive to solve problems of productivity and perform-

ance, they direct their energies toward personal promotion, playing office politics,

discrediting fellow employees, and diverting resources. In W.S. Gilbert and Arthur

Sullivan’s comedic opera H.M.S. Pinafore (1878), musical lyrics imprinted nega- tive bureaucratic images on the public consciousness. That message is embodied

in the protagonist Sir Joseph Porter’s observation that he rose through a hierarchy

from office boy to the post of First Lord of the Admiralty by merely “going along.”

He explains that he identified so entirely and predictably with the Navy’s interests—

regardless of whether truth or logic contradicted such interests—that he ended up

in a position of command: “Stick close to your desks and never go to sea, and you

all may be Rulers of the Queen’s Navee.”

Bureaucratic behavior is not harmless. Critics also argue that the unproductive

forces of bureaucracy ultimately have a negative impact on the client. In many cases,

bureaucracy has degenerated into a vehicle that is too impersonal and too insensi-

tive for effective response to public demands. The clerk who interprets a rule with

unnecessary narrowness and the official who mindlessly defers to the computer are

examples of the unproductive nature of bureaucratic thinking. They are the symp-

toms of a mindset that creates more problems than it solves. Beginning with the

earliest readers, the cartoonist’s assault on bureaucracy has been incessant and

overwhelming. Nationally syndicated cartoons reinforce a negative image of pub-

lic service throughout the daily papers.

In some instances, government’s clients are not merely inconvenienced or dis-

421Public Service and Popular Culture

couraged. Some of the most depressing anti-client tales are those of the Austrian ex-

istentialist Franz Kafka, as in The Trial, which he wrote between 1914 and 1915 (publ. 1925). Perhaps the most recognized critic of bureaucracy, even to the extent

of the generally accepted adjective “Kafkaesque,” Kafka suggests that the imper-

sonal often shades into the unjust.

Movies serve as a more powerful vehicle than the stage, if only because the audience

is much wider. For example, in the 1984 Ivan Reitman film Ghostbusters, which un- derscored the popular image of “bureaucrat as buffoon,”

an official of the Environmental Protection Administration

(EPA) obnoxiously demands to inspect a storage facility for

ghostly spirits. Turned away by ghostbuster Dr. Peter

Venkman (played by Bill Murray) because he did not use

the magic word “please,” the EPA official returns with a

court order. After being told that closing the ghost-holding

office would allow the spirits to run amok, surely endan-

gering the public, the EPA official blindly opts to follow

rules and regulations, ordering the facility to be shut down.

Even as his actions lead almost to disaster, the agitated bu-

reaucrat still clings to the letter of the law. He is finally re-

moved by the mayor, who opts for live, grateful voters over

mindless procedures. The message is that bureaucrats can

be unthinkingly and dangerously incompetent.

The classroom, in particular, is often portrayed as suffering

from the bumbling actions of educational bureaucrats. In the 1988 biopic Stand and Deliver, Jaime Escalante, a dedicated math teacher in an inner-city high school, overcomes the skepticism of burned-out colleagues and the harassment of

the disbelieving, bureaucratic Educational Testing Service. Fortunately, he prevails

and his students succeed, but only due to his David-like efforts versus the bureau-

cratic Goliath.

The image of civil servants also suffers from guilt by association, from confusion

with the misdeeds of political superiors. Although the public service in the United

States is among the most honest in the world, the reputation of appointed civil ser-

vants has been diminished by the ineptitude and inefficiency of those elected to

serve. The press features charges of misconduct under headlines such as “Local Of-

ficial Indicted” or “Public Servant Accused.” But the official in question often may

have been an elected or appointed politician, not a civil servant. Such simple head-

lines taint the entire public service by association with their sometimes unethical

political taskmasters.

A reinforcing problem is misapplication of the term “bureaucracy.” In Boston, Mas-

sachusetts, for example, The Globe reported that “A Simple Park Is No Match for

“It is a grand mistake to think of being great

without goodness and I pronounce it

as certain that there was never a

truly great man that was not at the same time truly virtuous.”

BENJAMIN FRANKLIN American Statesman; Ambassador; Patriot

422 CHAPTER 13

City Bureaucracy.” Although years of delays in building a park were apparently

blamed on the bureaucracy—implying career officials were negligent—a more care-

ful reading reveals that an elected official, city councilor David Scondras, was the

source of the delay. From Washington, D.C., a story headlined “Bush Transforms an

Emergency into a Bureaucracy” deals not with an agency action but an environ-

mental policy decision emanating from the White House. Another Washington re-

port, “How Bureaucrats Pad Their Pensions” focuses not on civil servants but on

pension laws passed by U.S. Congress that served their own interests. And “Bu-

reaucracy Stifles Biotechnology” argues that a major public organization was un-

derstaffed and underequipped, but it is not until well into the story that the reader

sees the source of the problems are attributable not to bureaucratic negligence but

to budget-cutting priorities in the White House and in Congress.

Thus, as the media dutifully chronicle charges of misconduct against elected offi-

cials and politicians, they also unintentionally taint the character of career civil ser-

vants. Broad labels suggest that all individuals who publicly aspire to the calling of

public service secretly aspire to private gain. The average reader is not likely to dif-

ferentiate between elected and appointed public officials. Because corruption any-

where in government tarnishes the image of everyone in government, the reputation

of civil servants is diminished by misidentification with less-than-ethical politicians,

and public servants take a beating throughout the media. Seemingly without excep-

tion, artists and writers confirm a pessimistic view of bureaucracy’s impact on its

clients and even its own employees. Our society has established a mistaken image of

public servants as untrustworthy, inept, entangled in red tape, and incapable of ap-

plying the common sense possessed by the average American citizen. The popular

view of the public bureaucracy is a weak system that produces profoundly negative

behaviors—stifling, demoralizing, corrupting, impersonal, and unjust. Some of those

complaints are valid and deserve attention. Government needs to be improved—as

does every organization. One obstacle to improvement, however, is the ceaseless and

unbalanced nature of the attack on public organizations. Journalists, writers, and

artists have overworked and exploited that image. It would be naive to criticize the

government’s critics for failing to seek evidence of excellent public-sector perform-

ance, but that evidence is extensive and available.

The Real Public Servant The negative image of the public servant is likely to remain dominant, as it has such

deep roots in our popular culture. Nevertheless, the truth about public servants is

far from this negative depiction. Certainly, like any other field, public service has

some employees that lack the appropriate motivations and skill sets, but many pub-

lic servants are dedicated, innovative professionals dealing with a unique set of

challenges and working in about 87,000 units of local government that deliver nec-

essary and critical services.

423Public Service and Popular Culture

For Census Bureau statistical purposes, a government is defined as an or-

ganized entity subject to public accountability, whose officials are popu-

larly elected or are appointed by public officials, and which has sufficient

discretion in the management of its affairs to distinguish it as separate

from the administrative structure of any other government unit. The Cen-

sus Bureau recognizes five basic types of local governments—counties, mu-

nicipalities, townships, school districts, and special districts (U.S. Census

Bureau 2002).

The federal government represents only one unit of government, and the states an-

other fifty. Some 35,000 of units of government are on the local level—such as mu-

nicipalities or townships. School districts, business districts, fire districts, water

districts, and many other special purpose organizations comprise another 50,000+

A worker at the National Cancer Institute (NCI), which is part of the National Institutes of Health (NIH), one of 11 agencies that compose the Department of Health and Human Services (HHS).

424 CHAPTER 13

City Manager Ed Everett Receives Top Annual Honor from International City/County Management Association “Award for Career Excellence” Redwood City, CA—June 19, 2007—The International City/County Management As-

sociation (ICMA) has awarded its most-prestigious annual award, the Award for Ca-

reer Excellence, to Ed Everett, City Manager of Redwood City. Each year, this much

sought-after award recognizes individual professional achievement by “an out-

standing chief local government administrator who has fostered representative

democracy by enhancing the effectiveness of local elected officials, and by consis-

tently initiating creative and successful programs.” The award will be formally pre-

sented to Mr. Everett at ICMA’s annual conference in October. Mr. Everett informed

the City Council recently that he will be retiring in September of this year.

Among the elements that led to Mr. Everett being awarded this prominent honor is

his remarkable 34 years in public service and 15 years as Redwood City’s manager,

earmarked by innovation, integrity, and inspiration. His innovation in the many in-

ternal and external programs and projects he’s led to success in Redwood City; his in-

tegrity in making the right decisions, not necessarily the easy decisions, in

empowering others at all levels of the organization to make decisions, and in in-

forming, guiding, debating, and supporting the members of the city council in their

decision-making; and his inspiration, which has infected the City staff and elected of-

ficials, as well as an expanding portion of the community—all traits of a true leader

who actively promotes a culture of achievement, productivity, and fulfillment.

Mr. Everett has dedicated his career to going beyond the standard of working toward

“just” a well-managed city government; instead, he has set the standard for new

heights of community involvement and engagement, and inspired a genuine dedica-

tion in staff and in elected officials. Mr. Everett’s efforts extend beyond the City’s

borders to other cities and organizations, where he is a recognized leader in the con-

cepts of Community Building.

During his tenure as City Manager, a number of ground-breaking Community Build-

ing programs were developed and have matured into respected, valued, and sought-

after elements contributing to our community’s quality of life; other cities have used

this model to provide similar programs—Partnership Academy for Community

Teamwork, Community Builders speakers series, Neighborhood Liaison and Com-

munity Task Forces, and more.

425Public Service and Popular Culture

government units. In total, these local governmental units employ about 14 mil-

lion public servants. Therefore, the local level of government is a likely starting

point to highlight some of the real efforts taken by public servants to quash the fa-

miliar stereotypical depictions.

Comparable innovations are evident at the county level of government, which, ac-

cording to the National Association of Counties, includes more than 3,000 Amer-

ican counties.

States hold a unique position within the United States. They serve as conduits be-

tween the federal government and the local governments. With their special set of

distinctive powers and responsibilities, the 50 states channel substantial federal

funding to counties, municipalities, and school districts. In total, states employ

more than 5 million public servants.

Typecast bureaucrats would have had no interest in innovating and saving the state

large sums. But directors such as Kevin Concannon and Jeff Vonk proved otherwise:

The Department of Human Services implemented the Preferred Drug List

for Medicaid and saved the state $1.7 million in 2005. They also increased

the number of children with health insurance by 33 percent. . . .

The Department of Natural Resources reduced the amount of time it takes

to obtain air quality, wastewater construction, and landfill permits with-

out sacrificing any environmental standards or quality. . . .

The Department of Revenue increased the number of income tax returns

filed electronically from 55 percent to 67 percent. They also improved the

number of income tax refunds issued within 45 days from 75 percent to

94 percent (Democratic Leadership Council 2008).

ICMA (www.icma.org) is the professional and educational organization for chief ap-

pointed managers, administrators, and assistants in cities, towns, counties, and re-

gional entities throughout the world. Since 1914, ICMA has provided technical and

management assistance, training, and information resources to its members and the

local government community. The management decisions made by ICMA’s nearly

8,000 members affect more than 100 million individuals in thousands of communi-

ties--from small towns with populations of a few hundred to metropolitan areas serv-

ing several million.

Source: Redwood City, California. 2007b. “City Manager Ed Everett Receives Top Annual Honor from In- ternational City/County Management Association – ‘Award for Career Excellence.’” Redwood City, CA, June 19. http://www.redwoodcity.org/manager/news/2007/pr_mgr_icma.html.

426 CHAPTER 13

2008 Strategic Leadership and Governance Program Excellence Award: The Case of Polk County In 2003, a new administration came to Polk County. Among the several strategic

initiatives it identified as critical to the organization’s success, one initiative—a re-

newed commitment to excellence in customer service, both internal and external—

identified three challenges:

• Develop a high-performing workforce that delivers top-quality customer

service

• Engender a commitment to excellence within that workforce

• Foster a culture that recognizes that achieving these objectives is the key

to organizational excellence.

Believing that the only way to successfully attain these goals is to invest in the orga-

nization’s most valuable resource, its employees, County Manager Herr created an

entirely new division, Organization and Employee Development (OED). OED’s mis-

sion is to achieve organizational excellence through the engagement, development,

and recognition of employees, and to stimulate a culture shift that values employees

as critical to organizational success. To support its mission, OED developed and im-

plemented the following programs:

Employee Development Program Developed from an organization-wide needs assessment, this program offers over

110 classroom sessions within four certificate concentration programs of study (com-

munications skills, professional development, customer services provider, and su-

pervisory skills) all directly related to the organization’s strategic objectives. The

courses are taught by both in-house talent and outsourced subject experts. Since the

program began, course offerings have increased significantly, with subject matter

chosen in response to employee feedback. To date, more than 1,300 employees have

participated in the program, and almost 150 certificates have been awarded to those

who have completed a program of study.

New Employee Orientation (NEO) NEO is a two-day program that presents an overview of the county’s mission, vision,

values, services, strategic objectives, and diversity goals, followed by a half-day course

devoted to customer service. An “Information Fair” allows new employees to meet

and question various benefit and service providers one-on-one. The program also

427Public Service and Popular Culture

provides worksite orientation to help employees transition into their new work life.

An orientation coordinator is designated for each work division, and each new hire

is assigned to a sponsor within his or her work group for a two-week period. The suc-

cess of the NEO is evident in employee response: nearly 100 percent of employees re-

ported that they felt welcomed to the organization, 97 percent believed that they had

made a positive career choice, and after 90 days, 92 percent felt that the orientation

had helped them assimilate into their new workplace. NEO won the National Asso-

ciation of Counties Award for Excellence in 2007.

Emerging Leaders Program (ELP) ELP has three goals: to identify top performers in the organization, to develop and

prepare them for leadership roles, and to enable them to qualify for consideration in

upcoming supervisory/management vacancies. After top-performing nonsupervi-

sory employees are identified through a competitive application process, a select

group is given the chance to develop their leadership capabilities and skills by par-

ticipating in a high-visibility personal and professional development program. Par-

ticipants are provided with opportunities for organization-wide exposure through a

communications package that showcases their talents and abilities.

Succession Planning Program Anticipating the possible retirement of up to 37 percent of senior leaders by 2011, this

program identifies potential candidates for positions considered critical to organiza-

tional success, and ensures that they all have targeted, individual development plans

to prepare them for candidacy. This program is the first formal process initiated that

aligns strategic career development with future organizational leadership needs.

SHINE Employee Suggestion Program The SHINE (Suggestions Help Increase & Nurture Excellence) program recognizes

that employees represent an unlimited source of ingenuity in developing ideas to

reduce costs and improve processes. Adopted ideas can earn the suggester any-

where from $25 to $3,000. SHINE has become a part of the county’s work cul-

ture, encouraging employee involvement and fostering employee recognition.

Since its inception, SHINE has generated almost 1,800 suggestions and saved

more than $6 million through improved county operations and services. The pro-

gram has been recognized by the Employee Involvement Association, and has re-

ceived awards for excellence in the performance of an employee suggestion

program, for savings per 100 eligible employees in an employee suggestion pro-

gram, and for an evaluator’s exceptional performance in evaluating suggestions

and promoting employee involvement. (continued)

428 CHAPTER 13

REACHIS/Kudos Program For the first time, employees were given the responsibility for selecting the organi-

zational mission, vision, and values. After more than 60 managers and directors

joined together to develop the mission statement (“We enhance the quality of life for

people throughout Polk County”); vision statement (“Polk County, where people

excel”); and values (Results-oriented, Excellence, Accountability, Collaboration, Hon-

esty, Integrity, Stewardship—REACHIS), a campaign was launched to convey the

message to the entire organization of over 2,200 employees. Employees received a

REACHIS wallet card with the mission and values defined. A team of OED special-

ists then visited every work unit, explaining the purpose and meaning of the infor-

mation, and County Manager Herr followed up, visiting and speaking personally with

every group to reinforce the concepts. This highly popular and versatile recognition

tool has been incorporated into the award and celebration programs of the various

work groups, divisions, and departments.

Employee Survey An organization-wide employee satisfaction survey was designed as a tool for open

communication. For the first time, employees had the opportunity to voice their feel-

ings and to analyze the results of their opinions. Each survey question was tied to an

organizational value, and responses were used to identify strengths and weaknesses

of each division based on employee opinion. Results were shared with employees,

and discussion of problem areas provided the basis for developing strategies for im-

provement.

Better, Faster, Cheaper An organization-wide initiative used employee teams to identify and develop process

improvement strategies for targeted service areas, such as health care claims pro-

cessing, e-payment options, capital improvement projects, board agenda, and hir-

ing/on-boarding processes. Participation in the program developed leadership skills,

such as active listening, critical thinking, facilitation, team building, and process im-

provement methodologies. In an organization proud of its history, conservative in

its spending, and cautious in its decisions, the creation of a new kind of division was

a major departure for the executive team. County Manager Herr knew that to achieve

the goals defined by strategic objectives and achieve a high level of performance

throughout the organization, employees would have to become a focus for develop-

ment. To that end, the OED division was placed under the Financial and Strategic

Planning Department—an indication that OED programs would have a global effect

on the organization and would tie directly to organizational strategies. At first this

small but dedicated team spent a lot of time establishing an identity for the division,

(continued)

429Public Service and Popular Culture

The charter agencies exceeded their original goals by at least 50 percent and saved

the state about $22 million (Public Strategies Group 2009).

Although Iowa’s charter agencies are just one set of examples of responsible gov-

ernment—and were recognized with Harvard University’s Kennedy School of Gov-

ernment Innovation Award in 2005—thousands of parallels are operating in

governments across the country.

The nonprofit sector is another often invisible part of the public service delivery

system. Nonprofits fill a special role our society. They are not considered formal

government entities but often receive government funding and deliver government

services. They are not part of the market economy but often provide services sim-

ilar to their for-profit counterparts. Many citizens view nonprofit organizations as

the threads that hold our society together. They are mission-driven organizations,

which means their main motivation is not to increase profit but to achieve their

service goals. They serve thousands of communities in areas ranging from the arts

to education, from health care to social services, from museums to orphanages, and

they provide assistance at the local, state, national, and international levels.

According to the Urban Institute, there are approximately 1.4 million nonprofit or-

ganizations in the United States (Urban Institute 2010). And according to the Foun-

whose initial project was a training needs assessment. For the first time, employees

were given choices about the skills they wanted to master and the developmental

goals they wanted to pursue to improve their performance. Giving employees a real

voice in the process established a precedent for OED programs, and sent a powerful

message to the entire organization: employees are the focus and employee develop-

ment is a priority. Over time, the professional diligence that creates a consistent level

of quality began to permeate the minds of both management and employees. OED

began to establish an identity as a resource for innovation and problem solving. Its

hard-won reputation for excellence was borne out by the high level of quality that its

programs and staff members exhibited. OED has made incredible strides in chang-

ing the way employees think about themselves, their future, and their workplace. The

work that lies ahead for this division remains a challenge, but the foundation of qual-

ity and dedication to excellence will serve OED well as it continues to grow and strive

toward organizational greatness, one employee at a time.

Source: International City/County Management Association (ICMA). 2008. “Strategic Leadership and Governance. Populations of 50,000 and Greater. Polk County, Florida.” Alliance for Innovation Case Studies. http://transformgov.org/Documents/Document/Document/5824.

430 CHAPTER 13

The Case of Iowa If the typical depiction of government is that of a static system—an unchanging bu-

reaucracy that is not willing or likely to change—then Iowa has challenged this mis-

conception, and its public servants have won that challenge. In 2003 the Iowa State

Assembly passed into law a statute permitting six charter agencies: “These agencies

have agreed to be held accountable to produce better, measurable results for Iowans

through the services they provide, and they have either cut spending or will generate

new revenue as part of their agreements. In exchange, the Charter Agencies exercise

greater flexibility in such administrative matters as agency personnel, procurement,

and information technology decision-making. These agencies will identify new, more

efficient and innovative ways to achieve results” (State of Iowa 2004, p. 3).

Finding agencies that were willing to participate in the charter agency initiative was

not an easy task. J. Chrisinger and B. Armajani (2008) note that “many directors and

staff remained skeptical. Many did not want to gamble on the new deal because they

were unsure it was ‘real.’ Some felt they could not justify the fiscal obligation. Oth-

ers had not made the transformation into a results-based organization a priority. But

six directors who were running into roadblocks on the road to results saw enough

potential to literally pay for charter status with budget cuts or new revenue contri-

butions from their agencies.” These directors headed up the following agencies: Al-

coholic Beverages Division of the Department of Commerce; Department of

Corrections; Department of Human Services; Department of Natural Resources; De-

partment of Revenue; and the Iowa Veterans Home.

Jeff Vonk was the director of Iowa’s Department of Natural Resources (DNR). He had

been a public servant for over 30 years, working for the Natural Resources Conserva-

tion Service and the Department of Agriculture. Vonk believed that a charter agency

would give him an opportunity to turn the DNR into a “world class” organization.

Kevin Concannon, director of the Iowa Department of Human Services, believes that

the charter status has allowed his agency to achieve its goals and exceed expecta-

tions. Additionally, the greater flexibility has given the agency more control over its

staffing (Chrisinger 2007). Concannon knew a good opportunity when he saw one in

the field of health and human services. Since 1980, he has served in four different

posts as a health-related government administrator. Prior to becoming the director

of the Iowa Department of Human Services in 2003, he served as the commissioner

of Maine’s Department of Human Services from 1995 to 2003, the director of Ore-

gon’s Department of Human Services from 1987 to 1995, and the Commissioner of

the Maine Department of Mental Health and Mental Retardation from 1980 to 1987

(U.S. Department of Agriculture 2009).

431Public Service and Popular Culture

dation Center, about 12.5 million people were employed by nonprofit organizations

in 2001 (Foundation Center 2010). They work with millions of others who volun-

teer with those organizations. Nearly 100 million Americans volunteer each year to

assist public, nonprofit, and informal organizations. In 2009 the Corporation for

National and Community Service reported that in 2008 about 61.8 million Amer-

icans volunteered their time to organizations. According to the corporation, they

gave, “8.1 billion hours of service worth approximately $162 billion to America’s

communities.” This figure remained relatively steady during the economic down-

turn in comparison with the previous year (Corporation for National and Commu-

nity Service 2009).

According to the Federal Bureau of Justice, about 67 percent of U.S. prisoners who

are released are rearrested within three years (Carnegie Mellon University 2009).

Support services that work to prevent prisoner reincarceration typically are oper-

ated by nonprofits organizations such as Family Justice and its La Bodega de la Fa-

milia/The Partner Project.

Many public services are delivered by private organizations (both for-profit and

not-for-profit). In 2007 the federal government spent about $450 billion on con-

tracts. Those service delivery arrangements utilized about 189,000 contracting or-

ganizations. Paul Light, a scholar at the Brookings Institution and professor at New

York University’s Robert F. Wagner School of Public Service, estimated that the

total number of federal contractor employees working with the government was

around 7.63 million in 2005 (Lee 2006). If one includes those employed under fed-

eral grants, the number of employees supporting federal programs but not directly

on the payroll increases to over 10 million (Lee 2006). It is challenging to estimate

these numbers on the state and local level, primarily because consistent data is not

available; however, it is safe to assume that the state and local contracting work-

force is at least as great as that of the federal government.

In addition to contracted companies, government also disburses a large amount of

funding through grants. The federal government defines a grant as “an award of fi-

nancial assistance from a federal agency to a recipient to carry out a public pur-

pose of support or stimulation authorized by a law of the United States” (Grants.gov

2009). In 2008 the federal government expended about $500 billion in grants.

Funding went to states, which then distributed the money to localities and private

companies to serve a public purpose. Medical assistance programs received the

greatest portion of this funding, at about $175 billion. Grants provide states and

localities with the opportunities to develop highly successful programs that other

governments might emulate (Executive Office of the President of the United States

2009; USA Government Grants 2010).

Community Care of North Carolina (CCNC) is a “public-private partnership be-

tween the State of North Carolina and 14 not-for-profit networks that are comprised

432 CHAPTER 13

A Conversation with Cas Holloway, Commissioner, New York City Department of Environmental Protection As we continue to engage government executives who are changing the way govern-

ment does business, we had the pleasure of taking The Business of Government Hour

on the road to a variety of U.S. cities. New York City, perhaps more than any other,

represents a complex ecosystem that requires and consumes a vast array of natural

resources. Protecting such resources and the environmental health and welfare of its

residents is essential for the City—for all cities to exist and thrive. We spoke with Cas

Holloway, commissioner of the NYC Department of Environmental Protection

(DEP), about his efforts in this area that includes an overview of the City’s water sys-

tem, how the City ensures its water system is viable for the next 100 years, innova-

tive ways of managing a major capital construction portfolio, NYC’s sustainability

efforts, and protection of its watersheds.

On New York City’s Sustainability Agenda and PlaNYC Mayor Bloomberg probably has the most ambitious urban environmental agenda

in the country, if not the world— PlaNYC. It sets 127 goals for 2030, which range

from reducing the city’s greenhouse gas emissions by 30 percent to opening up

90 percent of the city’s waterways to recreation. In order to do that, you have to

have high water quality. In order to have high water quality, you have to meet

treatment standards, while always looking to do better either through technology

or operating efficiency. DEP has a central role in PlaNYC. One of the first things I

did when I became commissioner was to create a new position, the deputy com-

missioner for sustainability. Our deputy commissioner, Carter Strickland, is look-

ing at how we can bring in a more aggressive, green infrastructure approach. The

basic idea is, how do we capture storm water from the buildings or the streets, and

can we do it with infrastructure that also has ancillary public benefit? DEP is ahead

of the curve on sustainable methods of dealing with things like storm water. This

is a really exciting area. It’s going to take open-mindedness on the part of our reg-

ulators for us to be successful, but we think we can capture more storm water, and

do a better job overall.

Source: IBM Center for The Business of Government. 2010. “Conversations with Leaders. A Conversa- tion with Cas Holloway, Commissioner, New York City Department of Environmental Protection.” The Business of Government. Fall/Winter 2010, pp. 23-27. www.businessofgovernment.org.

433Public Service and Popular Culture

of the majority of local healthcare providers; primary care physicians, hospitals,

health departments, social service agencies and safety net organizations” (Dobson

2009). The program receives most of its funding from Medicaid dollars distributed

among the various partners in the network and provides a strong network for Med-

icaid patients. As of 2010, about a million of the 1.4 million North Carolinians re-

ceiving Medicaid are enrolled in CCNC (North Carolina Division of Medical

Assistance 2010). North Carolina has also taken steps to include individuals with

disabilities and those who are enrolled in the state’s Children Health Insurance Pro-

gram (SCHIP).

CCNC is a networked model. This means that the state has organized a number of

responsible parties to assist in providing services to patients in need. Each of its 14

networks “employs a full-time program director, a part-time medical director, and

a team of case managers. Some networks have hired additional staff to help with

data analysis and other network initiatives. Each network is guided by a steering

committee that consists of physicians and representatives from the local hospitals,

health departments, and departments of social services” (Steiner 2008). In total,

the network is comprised of 3,500 primary care physicians and 1,200 medical

homes, and provides coverage in all of North Carolina’s 100 counties (Dobson

2009). Each of the 14 networks has a “medical home” in which care can be organ-

ized and coordinated among the team members. According to Grover and Conroy

(2009), a medical home is a “concept of care delivery that includes an ongoing re-

lationship with patients and their families, around the clock access to medical con-

sultation, respect for cultural and religious beliefs, comprehensive approach to care,

and coordination of care among providers and community services.” Every patient

is assigned a case manager who can ensure that proper care is provided and the

network’s resources are used properly.

CCNC uses quality data to evaluate the progress of the networks and focuses on

data analysis to provide a clear understanding of benchmarks achieved. Ac-

cording to a study conducted by the Mercer Group, “Using conservative model-

Rutgers Newark Public Service, RUPubserve Channel— A Career in Public Service—UALR Faculty Awards of Excellence (Video) Base upon the vignettes presented in this video, students will create a statement about popular culture and public service. Why is public service important? How can they contribute?

www.youtube.com/RUPubServe

EXERCISE 13.1

434 CHAPTER 13

ing, CCNC saved the State of North Carolina $60 million in fiscal year 2003. By

2006, savings had increased to $161 million annually. More liberal modeling

puts the cost saving at more than $300 million annually by 2006. The largest

savings were achieved in emergency department utilization (23 percent less than

projected), outpatient care (25 percent less than projected), and pharmacy (11

percent less than projected)” (cited by Steiner 2008). As this case demonstrates,

public servants both inside and outside of government are professionals con-

tributing to the public good. Government and its partners are efficiently provid-

ing quality services.

Capturing the Attention of Youth Public service is not provided solely by those who work for the state. In addition to

nonprofit and private-sector partners, the government has made a concerted effort

to engage young people in public service. Since the terrorist attack on the World

Trade Center in New York City on September 11, 2001, a significant increase has

been noted in service among youth between the ages of 18 and 24. In order to en-

courage college graduates to embark on a lifetime of service, the Corporation for Na-

Young Adult Volunteer Rate (ages 16–24): Between 2006 and 2008, the average national volunteer rate was 26.4 percent per year. During the same time frame, average Young Adult volunteer rates for states ranged from 13.8 percent to 37.4 percent. Rankings are based on a three-year moving average. Source: Volunteering in America, April 27, 2008. www.volunteeringinamerica.gov/rankings.cfm.

FIGURE 13.1 – VOLUNTEER RATES BY STATE

OR ID

WY SD

IA NE

CO UT

AZ NM

IL IN

VA KY

A R

IN NC

sc SAALMS

IATK

DC DE

NH N I

RI VI

31% and above 20% -30.9% 24% - 28.9% 21%-23.9% Below 21%

435Public Service and Popular Culture

tional and Community Service provides volunteer opportunities for dedicated col-

lege students across the country. Cultivating an ethic of civic responsibility, Amer-

ica’s colleges and universities increasingly and explicitly promote service-oriented

studies, facilitating and encouraging a culture of service. Many universities have

instituted public service honors for students who complete at least 100 hours of

service during their college careers, and others have required public service as part

of the general university requirements for graduation.

Between September 2004 and September 2005, nearly 3.3 million college students

(ages 16–24) participated in volunteer activities throughout the United States.

From 2002 to 2005, the number of college students who volunteered their time to

not-for-profit groups increased by nearly 20 percent, or almost 600,000, from 2.7

million to almost 3.3 million. The number of adult volunteers increased by perhaps

half that rate. In 2005 the volunteer rate among college students was much higher

than that of the general population aged 16 to 24. At 30.2 percent, the college-stu-

dent volunteer rate exceeded the national volunteer rate of 28.8 percent, the rate

for 25 to 34 year olds (25.3 percent), and the rate for those over 65 (24.8 percent)

(Corporation for National and Community Service 2006).

Nearly 32 percent of college students volunteer with educational or youth service

organizations, and almost 23 percent of college student volunteers serve with re-

ligious organizations (Corporation for National and Community Service 2006).

College students’ commitment to serve has even helped redefine spring break

from “party time” to “volunteer time.” Six months after Hurricane Katrina, more

than 31,000 students took alternative, service-oriented spring breaks. The fol-

lowing year, that number increased by 16 percent. In March 2007, approximately

36,000 students from 300 schools spent their spring break cleaning up debris

and painting houses in the Gulf or around the world (Johnston 2007). “So many

young people were sitting in school watching the horrible devastation and won-

dering what they could do about it. . . . Because they’re students . . . they just can’t

write checks and feel like they did something. In order to contribute, they have to

do it with their physical labor” (United Way spokesperson Shelia Consaul, quoted

in Johnston 2007).

The willingness and “can-do” spirit exemplified by students who take public serv-

ice-oriented spring breaks is critical to securing America’s democratic future in the

twenty-first century. Such commitment helps to maintain the openness and opti-

mism that make a democracy work (Friedman 2007). As the class of 2007 entered

the workforce, they were asked to demonstrate that service matters beyond their

college service experience: “Do you have a purpose? Do you have a calling?” (Rev.

Peter J. Gomes, Augustana College 2007 Commencement Speech, quoted in Finder

2007). These graduates are being encouraged to make a commitment to serve oth-

ers by getting involved and becoming “part of the solution.” Former first lady Laura

Bush, in a commencement speech at Pepperdine University, encouraged the Class

436 CHAPTER 13

of 2007 to make the most of their tremendous energy and idealism by entering pub-

lic service:

Today starts a period of incredible liberty and adventure—a time to de-

mand the most of your life. . . . And as you work to make the most of what

you received, I can tell you one thing for sure: You won’t waste your talents

and education if you “freely give” them in service to others (Bush, quoted

in Finder 2007).

Speaker of the House Nancy Pelosi, in her 2007 Webster University commence-

ment speech, emphasized the importance of service during a “time when interna-

tional cooperation will be critical to solving the world’s most pressing problems”

(Webster University 2007).

The appeal of community involvement continues to rise. According to the Higher

Education Research Institute (2006), more than two-thirds of the 2005 freshman

class at institutions of higher education in the United States

expressed a desire to serve others—the highest rate in a

generation. In the 11th Biannual Youth Survey on Politics

and Public Service, conducted by the Harvard Institute of

Politics in the fall of 2006, more than 80 percent of the 18

to 24 year olds surveyed indicated that volunteerism is an

effective way of solving important issues facing their com-

munities (Harvard University Institute of Politics 2006).

College students also contribute their time through more

structured programs such as service learning. Service

learning is defined as a method of teaching and learning

that combines academic work with meaningful service to

the community. Students “learn by doing” through a clear

application of skills and knowledge while helping to meet

specific needs in neighboring schools and the community. Service learning enriches

the learning experience, teaches civic responsibility, and strengthens communities

(State of New Jersey 2006).

An estimated 10.6 million students nationwide (38.6 percent) participate in com-

munity service as part of a school activity or requirement (Corporation for National

and Community Service 2006). Seventy-eight percent of students who participate

in school-based service learning report their experience as positive, and 87 percent

of students believe they learned skills they will use in the future. Service-learning

students participate in diverse community programs. For example, in California, a

group of 60 students from San Diego State University teach in the City Heights

Schools and develop exams or new courses. And in a short-term service-learning re-

lief effort organized by the University of South Carolina, 100 students served in

Biloxi, Mississippi, after Hurricane Katrina. Working closely with Salvation Army

“It is one of the most beautiful

compensations of this life that no

man can sincerely try to help another

without helping himself. ”

RALPH WALDO EMERSON

Essayist; Philosopher; Poet

437Public Service and Popular Culture

volunteers, these students contributed hands-on work that included cleanup, home

restoration, the delivery of water and food, and the preparation of care packages.

The Student Hurricane Network (SHN) was founded by Morgan Williams, a Tu-

lane University law school student, in response to community needs after Hurri-

cane Katrina. The SHN provides ongoing legal assistance to communities affected

by Katrina and creates and coordinates volunteer opportunities in the Gulf Coast

region. As of 2006, it was affiliated with more than 60 law schools nationwide and

averages 175 volunteers per month (Student Hurricane Network 1999–2010).

Community service among teenagers is substantial. The Corporation for National

and Community Service, in collaboration with the U.S. Census Bureau and the non-

profit coalition Independent Sector, conducted a major federal survey of teenage

volunteerism in early 2005. Results indicate that an estimated 15.5 million youth—

or 55 percent of youth ages 12 to 18—participate in volunteer activities; the teen

volunteer rate is nearly twice the adult volunteer rate of 29 percent (Corporation for

National and Community Service 2006). Moreover, youth contribute more than

1.3 billion hours of community service each year.

In addition to the Corporation for National and Community Service, other agencies

provide opportunities for younger citizens looking to participate. Internationally,

since 1961, about 200,000 volunteers have worked for the Peace Corps. The aver-

age age of Peace Corps volunteers is 27. The three main goals of the program are:

1. To help the people of interested countries in meeting their need for trained

men and women.

2. To help promote a better understanding of Americans on the part of the

peoples served.

American Public Media Public Insight Journalism— Consumer Consequences: Find Out if You Are Living a Sustainable Life (Simulation) In this simulation, students will learn how to become more socially and environmen- tally responsible. See how your consumption decisions affect the planet’s sustain- ability. You may decide to live in a more cooperative way and enhance your appreciation of the limits of consumable resources. After completing this simula- tion, identify the decisions you made to live more sustainably and show how these decisions have a positive impact on the environment. Answer these questions: Why is sustainability an important contemporary public policy issue? What other issues should be included?

http://sustainability.publicradio.org/consumerconsequences

EXERCISE 13.2

438 CHAPTER 13

3. To help promote a better understanding of other peoples on the part of

Americans (Peace Corps 2008).

The Peace Corps provides education, health, business development, agriculture,

environmental, and youth development services, and many of its volunteers are

recent college graduates. That same age group also provides young teachers for

urban public schools through the Baltimore City Teaching Residency, the New

York City Teaching Fellows, and the Washington, D.C., Teaching Fellows. Each

of these programs provides extended support for new recruits and enrolls them

in a local master’s degree program. Since 1991, the nationwide fellowship pro-

gram Teach for America has placed more than 25,000 recent graduates in 35

cities and rural areas across the United States. It also involves alumni in policy

and leadership roles after serving in the classroom: “Alumni are a powerful and

growing force for change. By exerting leadership from inside and outside educa-

tion, our alumni leverage their corps experience to improve outcomes and op-

portunities for low-income students and to fight for systemic reform” (Teach for

America 2009).

Public Information Informing the public about the accomplishments of the public sector and public

servants is an essential but often neglected duty of government. Government agen-

cies and their staffs are under constant scrutiny from politicians, the private sector,

and the media. As discussed earlier, an inaccurate, distorted portrayal of public ser-

vants characterizes them as inept and inefficient. To the extent that society perpet-

uates these misconceptions and erroneous images remain unchallenged, the job of

the public servant becomes even more difficult. Public administration needs to em-

phasize the value of service as a form of “intangible income.” Public servants who

are dedicated to serving their fellow citizens are motivated by desires, in many small

ways, to make our society a better place in which to live. Although many award-

winning public servants work in environments that challenge even the most opti-

mistic, creative, and industrious personalities, they are motivated by a calling to

contribute to improving the lives of their fellow citizens and by a compelling desire

to address social problems. Public servants must bring that sense of mission and

commitment into the classroom and the living room, providing students and citi-

zens with more balanced views of public service.

Public administration must attract the attention of government’s critics (such as

MBAs), some of whom might consider temporary public service, if not career

changes, in the spirit of the Populist movement of the nineteenth century. Populists

were suspicious of government and concerned about abuses of power by large pri-

vate institutions such as banks, railroads, political machines, and corporations.

They recognized that for individuals and communities to retain any real power in

modern society, they would need the help of an energetic government staffed with

439Public Service and Popular Culture

some of the country’s best and brightest people, who would work in concert with an

active citizenry in order to counter the inherent power of these private interests.

The public service must communicate commitment as a series of positive im-

ages. By no means is the public sector dead or moribund. Public servants are

typically productive, successful, and professional, and when citizens are asked to

evaluate specific public servants with whom they come into personal contact,

they are generally complimentary. Negative images do not usually withstand

careful scrutiny: government does a good job, often an outstanding job, in diffi-

cult circumstances. The public sector must present evidence that public servants

function well, despite the constant barrage of negative images, superficial criti-

cism, and less-than-ideal levels of public support. It is imperative to communi-

cate to the citizenry how committed public organizations and public employees

have developed systematic problem-solving strategies and a remarkable capac-

ity for innovation.

Public administration’s “target” audience must be multifaceted. The primary goal

should be to capture the imagination of present and future students in the field

(graduates, and perhaps undergraduates specializing in public administration,

health, law enforcement, education, nonprofit administration, etc.), with the goal

of attracting more of the top minds to government service. Public administration

programs in colleges and universities are encouraged to develop the strategies nec-

essary to defend public workers and eradicate the prevailing view of stereotypical

“bureaucrats.”

Beyond government, it is important to educate government’s most ardent critics.

Many highly educated professionals, such as doctors, lawyers, and accountants,

are not certain about what the field of public administration encompasses. They

might confuse it with business administration, engineering, or city planning. It is

important for government’s stakeholders to realize that there is a field of study

dedicated to the management of our public organizations. To foster such an ed-

ucation, a collaborative effort on the part of various professional communities

might be helpful.

Networks and Professional Organizations An important aspect of the public service community is the ability of its members

to connect. With the popularity of websites such as Facebook, MySpace, and

LinkedIn, it is clear that networking is an important aspect of our professional and

social lives. Fortunately, within the field of public administration, a number of net-

works and professional organizations exist to fulfill this need. The foci of these

groups differ, based upon members’ needs and responsibilities. Some foster rela-

tionships within a content-specific community, while others provide support for

440 CHAPTER 13

the field in general. A list and brief description of the typical networks for students

and practitioners in the field of public administration follows.

American Society for Public Administration (ASPA) ASPA is one of the broadest-serving organizations in the field of public adminis-

tration. With some 9,000 members, ASPA provides services to practitioners, schol-

ars, educators, and students in both government and the nonprofit sectors.

ASPA is the leading public service organization that:

• Advances the art, science, teaching, and practice of public and

non-profit administration

• Promotes the value of joining and elevating the public service

profession

• Builds bridges among all who pursue public purposes

• Provides networking and professional development opportunities to

those committed to public service values

• Achieves innovative solutions to the challenges of governance.

ASPA publishes Public Administration Review (PAR), the PA Times, and The Bridge. PAR is a leading academic journal with over 60 volumes of articles. The PA Times is a bimonthly newspaper that focuses on key issues facing practitioners, and The Bridge is an online newsletter that offers frequent updates and much-needed in- formation about various networking opportunities. ASPA hosts an annual confer-

ence with more than a thousand people in attendance and a number of smaller

conferences and professional development opportunities. The organization also fea-

tures content-specific subsections along with a number of regional affiliates to make

membership more accessible and applicable to members’ daily activities.

Web: www.aspanet.org

Alliance 4 Public Service The Alliance 4 Public Service is a network that aims to engage a broad range of cit-

izens, public interest organizations, governments, and not-for-profit service

providers in the active promotion of public service and personal responsibility at the

local level. Through the alliance, individuals can learn how to make a difference

through public service and receive information about career and volunteer oppor-

tunities, grants currently available, and conferences and meetings.

The activities of the Alliance 4 Public Service include:

• Collaboration on issues concerning the quality of life of the public and

the civic society

441Public Service and Popular Culture

• Capacity-building programs to facilitate the education and ongoing

professional development of current and future leaders in public

service

• Communications networks between individuals involved in providing

and promoting civic engagement

• Advocacy of public service through media channels, print, and online

publications, conference presentations, and other opportunities

• Partnerships with organizations that are building capacities for civic

engagement.

Web: http://publicservice.newark.rutgers.edu

The International City/County Management Association (ICMA) ICMA is a nonprofit 501(c)(3) member-based organization offering services to over

9,000 managers across the world. ICMA’s “mission is to create excellence in local

governance by developing and fostering professional local government manage-

ment worldwide.” ICMA offers a number of professional services, including publi-

cations, opportunities for professional development, and conferences throughout

the year. Their network of managers is highly professional and offers a strong re-

source for other members to access.

Web: http://icma.org

442 CHAPTER 13

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Teach for America. 2009. “Our Impact.” www.teachforamerica.org/mission/

our_impact/our_impact.htm.

Urban Institute. 2010. “Nonprofits.” http://www.urban.org/nonprofits/

index.cfm.

U.S. Census Bureau. 2002. “Government Units in 2002.” GC02–1(P), July.

www2.census.gov/govs/cog/2002COGprelim_report.pdf.

U.S. Department of Agriculture. 2009. “President Obama, Secretary Vilsack An-

nounce Intent to Nominate Kevin Concannon as Under Secretary for Food,

Nutrition and Consumer Services at USDA.” Food and Nutrition Service, News

Release No. 0116.09, April 17. www.fns.usda.gov/cga/pressreleases/2009/PR-

0116.htm.

446 CHAPTER 13

USA Government Grants. 2010. “Government Grants 2010.” http://www.usagov-

ernmentgrants.org/Government_Grants.html.

Webster University. 2007. “Address to Webster University Graduating Class.”

Saturday May 12. http://www.webster.edu/commencement/media/pelosis-

peech.shtml.

Wolf, James F., and Robert N. Bacher. 1990. “The Public Administrator and Pub-

lic Service Occupations.” In Refounding Public Administration, ed. Gary L. Wamsley et al., 163–181. Newbury Park, CA: Sage Publications.

Adams, Guy B., and Danny L. Balfour. 2005. “Public Service Ethics and Adminis-

trative Evil: Prospects and Problems.” In Ethics in Public Management, ed. H. George Frederickson and Richard Ghere. Armonk, NY: M.E. Sharpe.

Bloomfield, P. 2006. “The Challenging Business of Long-Term Public–Private

Partnerships: Reflections on Local Experience.” Public Administration Review 66: 400–11.

Brewer, Gene A. 2003. “Building Social Capital: Civic Attitudes and Behavior of

Public Servants.” Journal of Public Administration Research & Theory 13, no. 1: 5-26.

Denhardt, Janet Vinzant, and Robert B. Denhardt. 2007. “The New Public Serv-

ice: Serving, Not Steering.” Armonk, New York: M.E. Sharpe.

Denhardt, Robert B., and Edward T. Jennings, Jr. 1989. “Image and Integrity in

the Public Service.” Public Administration Review 49, no. 1: 74-77.

Evans, Don S. 2003. “The Public Interest in Private Water.” In Revisiting the Public Interest in Private Water, ed. Alex Tsybine, 4–5. Los Angeles, CA: Rea- son Public Policy Institute.

Forrer, John, and James Edwin Kee. 2004. “Public Servants as Contract Man-

agers.” Public Contract Law Journal 33, no. 2: 361–68.

Forrer, J., Kee, J. E., Newcomer, K. E., and E. Boyer. 2010. “Public–Private Part-

nerships and the Public Accountability Question.” Public Administration Re- view 70: 475–84.

Ghere, Richard K.1996."Aligning the Ethics of Public-Private Partnership: The

Issue of Local Economic Development." Journal of Public Administration Re- search & Theory 6 no. 4: 599–621.

SUPPLEMENTARY READINGS

447Public Service and Popular Culture

Kee, James Edwin, Kathryn E. Newcomer, Deborah L. Trent, Valerie Oster, and

Sasha Rosen. 2007. “Keeping the Public Interest in Public–Private Partner-

ships.” Working Paper no. 5, Center for Innovation in Public Service. George

Washington University.

Wettenhall, Roger. 2003. The Rhetoric and Reality of Public–Private Partner-

ships. Public Organization Review 3, no. 1: 77–107.

Koppenjan, J. F. M., and Enserink, B. 2009. “Public-Private Partnerships in

Urban Infrastructures: Reconciling Private Sector Participation and Sustain-

ability.” Public Administration Review 69: 284–96.

Portillo, S., and DeHart-Davis, L. 2009. “Gender and Organizational Rule Abid-

ance.” Public Administration Review 69: 339–47.

Vigoda, Eran. 2002. “From Responsiveness to Collaboration: Governance, Citi-

zens, and the Next Generation of Public Administration.” Public Administra- tion Review 62, no. 5: 527–40.

Rich Anderson. 2003."Urban Water Council Meets to Discuss Public/Private

Partnerships." The United States Conference of Mayors Website,

http://www.usmayors.org/uscm/us_mayor_newspaper/documents/02_03_

03/urban_water.asp

National Council for Public-Private Partnerships (NCPPP). 2002. “For the Good

of the People: Using Public-Private Partnerships to Meet America’s Essential

Needs,” http://ncppp.org/presskit/ncpppwhitepaper.pdf

United Nations Department of Economics and Social Affairs Division for Public

Economics and Public Administration. 2000. “Professionalism and Ethics in

the Public Service: Issues and Practices in Selected Regions,”

http://unpan1.un.org/intradoc/groups/public/documents/un/unpan000112.

pdf

ELECTRONIC RESOURCES

The Future of Public Administration

CHAPTER 14

This chapter focuses on the future of public administration.

Is that future any different from the past? Decidedly, yes:

Significant shifts over recent decades have changed the face

of government in the United States and throughout the world.

Domestically, three major shifts directly affected public

administration. First, a great deal of administrative

responsibility shifted from the federal level to the states,

and then to local government. Second, we saw large increases

in the number of private-sector partners providing public

services. Lastly, the growth of the global economy plays a

significant role in public administration. Discussed is the

changing structure of government, in addition to performance

measurement, citizen participation, and e-governance as

accountability tools.

448 CHAPTER 14

449The Future of Public Administration

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“Management is the science of which organizations are but experiments.”

JOHN CONSTABLE English Romantic Painter

(1776-1837)

Postal Workers Mural

“The future is not fixed, it’s fluid… It’s waiting for you to hammer it into shape.”

BONO Musician; Activist

Technology is playing an increasingly important role in enabling citizen participation.

450 CHAPTER 14

The very structure of government has changed. Rather than simply understanding

the bureaucratic structure, we must also grasp the concept of governance networks

as structures that incorporate multiple partners in the delivery of public services.

This structure operates via horizontal relationships rather than a vertical, hierar-

chical chain of command. Consequently, processes of top-down control and ac-

countability—from agency leadership all the way to street-level bureaucrats—are

diminishing. This shift creates ambiguity in the accountability structure that was so

firmly entrenched within the traditional bureaucratic framework. The development

of new modes of control and coordination are designed to ensure that public agen-

cies are run responsibly. Results-based accountability places an emphasis on the

outcome of government services rather than the processes

utilized to reach that outcome. Performance measurement

is often identified as a tool with which to achieve results-

based accountability.

Accountability may be achieved through citizen participa-

tion and government transparency. Advocates of citizen

participation believe that citizens need to take a more ac-

tive role in the day-to-day activities of government. Such

participation creates a more representative form of gov-

ernment and develops a strong relationship between gov-

ernment and its citizens. Government transparency and

accessibility go hand in hand. Are agencies accessible to the

average citizen? If so, then they are most likely committed to accountability as well.

E-governance—or government information and services delivered via websites—

also provides access to government in ways that were previously unavailable. Those

capabilities are growing very rapidly.

Governance Networks The structures of government are changing, and new mechanisms are being put

into place to respond to such changes. One definition of a governance network is

provided by the Center for Democratic Network Governance:

1) A horizontal articulation of interdependent, but operationally autonomous

actors; 2) who interact through negotiations; 3) transpiring within a regula-

tive, normative, cognitive and imaginary framework; 4) that to a certain ex-

tent is self-regulating; and 5) which contribute to the production of public

purpose within a particular area. (Marcussen and Torfing 2003, p. 7)

Keast, Mandell, Brown, and Woolcock (2004) articulate the difference between for-

THE EVOLUTION OF PUBLIC ADMINISTRATION

“Never doubt that a small group

of thoughtful committed citizens

can change the world; indeed, it’s the only thing that

ever has.”

MARGARET MEAD Cultural Anthropologist

451The Future of Public Administration

mal network structures and informal associations often linked to the word “net-

work.” Unlike networks and networking, network structures are unified by a single

mission—a mission that all actors work together to achieve. Rather than operating

through command-and-control directives, network structures feature horizontal

relationships; they are dependent upon “exchange-based interpersonal relations”

(Keast et al. 2004, p. 365). One of the purposes of a network structure is to develop

a “holistic” approach in which the entire picture may be seen from a new, unified

perspective (Keast et al. 2004, p. 365). Network structures frequently form when

other structures fail to reach a proposed goal.

As previously mentioned, governance networks no longer use the traditional com-

mand-and-control relationship exemplified in bureaucratic systems (Salamon

2002). Rather, network actors cooperate “because they trust that the other actors

will also play their part” and fulfill their responsibilities (Marcussen and Torfing

2003). Networks are formed based upon interdependent relationships in which

members are “highly committed” to the goals at hand. In order to reach network

goals, all partners must fulfill their duties. Unlike traditional hierarchical or mar-

ket relationships, networks are based upon ideals of “complementary strengths,”

and they resolve conflicts through relations of “reciprocity” (Lowndes and Skelcher

1998. Although networks are not perceived as being quite as flexible as market

Network type Definition Example/use

Service

Contract

Government’s use of a contract

to activate a network.

Mental health, welfare,

defense

Supply

Chain

Deliver complex products to

government

Department of Defense,

Department of Transportation,

space shuttle, helicopter

Ad-Hoc Activated as a response network

to a specific situation—typically

an emergency

Emergency network for natural

disasters or an infectious disease

outbreak

Channel

Partnership

Companies conduct

transactions on behalf of

government agency

Car dealer handles registration of

new cars; sporting good stores sell

fishing licenses

Information

Dissemination

A partnership activated to dis-

seminate information

Recycling information is distrib-

uted by nonprofit organization

Source: Goldsmith, S., and W.D. Eggers. 2004. “Governing by Network: The New Public Management Imperative.” Harvard University, Ash Institute for Democratic Governance and Innovation. http://ash.harvard.edu/Home/Programs/Innovations-in-Government/21stCentury/Governing-By-Network.

TABLE 14.1 – FIVE EXAMPLES OF GOVERNMENT-ACTIVATED NETWORKS

452 CHAPTER 14

relationships, they are seen as being more flexible than traditional bureaucratic

structures (Lowndes and Skelcher 1998).

A contemporary understanding of governance points to changing realities in which

public administrators hold a great deal of responsibility. Government officials are

no longer expected to work exclusively within their bureaucratic agency or depart-

ment; rather, they must work with multiple organizations both inside and outside

of government (Agranoff and McGuire 2003). “Through partnerships, networks,

contractual relationships, alliances, committees, coalitions,

consortia, and councils, managers in public and private

agencies jointly develop strategies and produce goods and

services on behalf of their organizations” (Agranoff and

McGuire 2003, p. 2). Collaborative relationships are being

developed to help managers pursue both “political” and

“economic objectives” (Agranoff and McGuire 2003, p. 3).

There are many reasons for which a network might be ac-

tivated. According to Goldsmith and Eggers (2004), “The

job of [a] network designer and activator is to see how all

the pieces of the network should work together, identify

possible partners, bring all the relevant stakeholders to the

table, and determine what resources will be used to keep

the network together” (p. 11). Goldsmith and Eggers pro-

vide a framework for understanding different types of net-

works that may be activated by government. Table 14.1

provides five examples of government-activated networks.

Much of government management—routine or crisis

driven—already takes place in networked structures. It is

important, then, that this trend is acknowledged in policy

formulation. According to Keast et al. (2004), “Unless pol-

icy makers have a fuller understanding of what it means to

work through network structures, they will continue to develop traditional policies

and management techniques that mitigate against the positive attributes of net-

worked arrangements” (p. 364). Additionally, the appropriate safeguards will not

be fully realized until governance networks are clearly articulated and understood

by those responsible for their activation. Public managers need to go beyond sim-

ply acknowledging the existence of governance networks and become expert at uti-

lizing these structures to promote specific policy goals.

Governance networks provide exciting opportunities for the future. The cooperative

arrangements of networks may serve to enhance a civility that is necessary for effec-

tive governance. Networks provide opportunities for citizen participation, more ef-

fective regulatory control, and the expression of public-sector values within the

“Citizen service is the very American idea that we meet

our challenges not as isolated

individuals but as members of a true community, with all of us working

together. Our mission is nothing less than to spark a renewed sense of obligation, a

new sense of duty, a new season of

service.”

WILLIAM J. CLINTON 42nd President of the

United States

453The Future of Public Administration

marketplace. Due to the shared sense of responsibility and the dependent relation-

ships of network partners, each participant helps to develop a common sense of goals.

Performance Measurement Government performance is an important concern for many stakeholders. Per-

formance measurement is dedicated to developing systems that effectively measure

the efficiency and efficacy of government. Ultimately, measuring government per-

formance becomes a challenging, but rewarding, endeavor.

Measuring government performance is not a new concept. From the early part of the

twentieth century, governments have measured their activities (Streib and Poister

1999). According to Williams (2003), performance measurement emerged in the

early twentieth century as a mode of “reconciling” the conflicting views of support-

ers of two opposing forms of government: a strong executive type and a commission

type. Williams notes, “Through the instrument of reporting, the executive could be

given broad discretion while retaining more inclusive democracy of legislative deci-

sion making, or at least its appearance” (p. 645). Therefore, from its original con-

ception, performance measurement was used as a mechanism for accountability.

Throughout the 1960s and 1970s, significant contributions were made to the the-

ory of performance measurement in the form of both plans and practical guides for

fair and accurate measurement. A renewed importance on performance measure-

ment occurred again in the 1990s. In particular, Osborne and Gaebler in Rein- venting Government (1992) and the National Performance Review chaired by Vice President Al Gore called for a more results-oriented government (cited in Streib

and Poister 1999).

Performance measurement systems rely on indicators and analyses dealing with im-

provement. Tracking and improving organizational outcomes over time is essential

to identifying successful areas of operation or areas where performance is slipping,

as evidenced by work backlogs, high employee turnover, or citizen complaints. Typ-

ically, performance measurement systems include the following indicators.

Input Indicators According to the Government Accounting Standards Board (GASB), input indica-

tors are designed “to report the amount of resources, either financial or other (es-

pecially personnel), that have been used for a specific service or program. Input

indicators are ordinarily presented in budget submissions and sometimes external

management reports” (Hatry et al. 1990). For example, the number of employees

within an organization or the amount of money spent on a project is an input.

Output/Workload Indicators Output/workload indicators center on the amount of work produced or services

provided by a program or organization. A measure that would exemplify an output

454 CHAPTER 14

or workload measure might be the number of applications processed by a govern-

ment agency.

Outcome/Effectiveness Indicators Outcome/effectiveness indicators deal with the results or quality of the services being

measured. Essentially, they measure how well the organization is meeting its goals.

Outcome indicators have both quantitative and qualitative aspects. They might be

measured as larger community goals such as the overall crime rate, or by surveying

community members. For example, a survey question might ask if community mem-

bers feel safe, indicating the overall sense of security in a town or municipality.

Efficiency (and Cost-Effectiveness) Indicators Efficiency measures focus not on what is being achieved but on how it is being

achieved. Essentially, we are interested in whether the desirable ends are achieved

with minimal input of resources, or that the resources we employ bring the maxi-

mum amount of desirable goal attainment. Therefore, an efficiency measure might

look at the quantity of work completed based upon the number of people doing that

work, as in the number of tons of waste collected per sanitation worker.

Productivity Indicators According to David N. Ammons (1996), productivity indicators combine elements

of efficiency and effectiveness. For instance, meters fixed per hour is an efficiency

indicator, and the percentage of meters fixed properly (i.e., meters needing no fur-

ther repair for at least six months) is an effectiveness indicator. Labor costs per ef-

fective meter repair is a productivity indicator. Both the costs to fix faulty meters

and the costs of effective repairs are combined and included in the numerator of this

productivity calculation. However, only proper repairs are included within the de-

nominator. An indicator such as this encourages both efficiency and effectiveness

among the meter repair personnel.

Seven Step Methodology There are many measurement methodologies. For example, the National Center

for Public Performance at the Rutgers-Newark School of Public Affairs and Ad-

ministration utilizes the Seven Step Methodology in its development of perform-

ance measurement systems (National Center for Public Performance 2004). Each

step allows for greater specification of the system and continued performance im-

provement.

Step 1: Identification of a Program A clear definition of a program is necessary to develop performance measures. Pro-

grams are identified as separate units made up of distinct activities to accomplish

specific goals. A good example is a crime prevention program.

Step 2: Statement of Purpose Each program has a specific purpose that must be articulated in a clear and concise

455The Future of Public Administration

manner. It is imperative to know the purpose of a program in order to measure its

progress. In continuing our example from step one, the purpose of this program is

to reduce and prevent crime.

Step 3: Identification of Program Inputs, Outputs, Efficiency, and Productivity Indicators As described above, indicators can be identified throughout a program’s activities,

often by documents and systems already in place. For example, input indicators

can be identified in program budgets and staffing plans. Output or workload meas-

ures can be identified through daily service delivery activities such as the number

of applications processed by an agency. The key to developing performance indi-

cators, however, is in determining meaningful measures that may be useful for

managers and employees at all levels of the organization. Measurement develop-

ment is a process that should include employees throughout the organization in

order to create their “buy in” and a sense of purpose in per-

formance measurement and improvement actions.

Step 4: Setting Targets for Accomplishment This step identifies specific targets in which we can say we

have accomplished our program’s goals. Targets can be de-

veloped based upon internal goals, or they might be more

broadly based upon regional or national standards. Often-

times, during initial phases of performance measurement, organizations simply

benchmark (or compare themselves) to their own historical organizational per-

formance. This gauges progress over time. They can also compare their perform-

ance to similar jurisdictions. Setting a lower target for the crime rate might be one

way to quantify this.

Step 5: Monitoring Performance measurement is an ongoing process that requires frequent monitor-

ing to ensure that appropriate management interventions take place. Performance

measurement is not an end in itself. It is a tool to aid management in increasing the

efficiencies and effectiveness of service delivery. Through timely monitoring, man-

agers can assess program effectiveness and determine appropriate modifications to

both delivery processes and performance measures.

Step 6: Performance Reporting Performance reporting is an essential but often-neglected step in performance

measurement. It is discussed at length in the next section of this chapter.

Step 7: Analysis and Action Although not always included in a performance measurement system, design analy-

sis and action are essential to performance measurement. This step promotes the

utilization of performance data by organizational management in order to make

logical, data-driven decisions that can enhance overall organizational performance.

“You must be the change you wish to see in the world.”

MAHATMA GANDHI Global Humanitarian

456 CHAPTER 14

Performance Reporting Performance reporting is an essential link between performance measurement and

improvement. It provides stakeholders—citizens, elected officials, community and

interest groups, businesses, the media—with necessary information on organizational

activities. Proper methods of reporting can enhance organizational communications

with citizens, ultimately resulting in greater understanding between the organization

and its users. Furthermore, performance reporting helps managers generate a search

for appropriate interventions that might increase efficiency and effectiveness.

Performance reports should be accessible to the reader and include the following

information:

• Program name, jurisdiction, and purpose statement

• Inputs, outputs, productivity and/or efficiency ratios

• Achievement targets for effectiveness and efficiency indicators

Performance reports should also include brief synopses of additional explanatory

information. The National Center for Public Performance has developed a “Ten

Point Readability Criteria” to aid managers in creating accessible, functional per-

formance reports (see Figure 14.2).

Source: Prince William County. 2004. Prince William County 2004 Building Development SEA Report. Virginia: Budget & Accountability Reports Archive http://www.pwcgov.org/docLibrary/PDF/003246.pdf

FIGURE 14.1 – STRONG EXAMPLE OF PERFORMANCE REPORTING

Percentage Change Iu Key Outputs Versus Spending

Purpose: To compare the percentage change in key Building Development outputs between 1999 and 2004 with the percentage change in spending (direct expenditures).

Percentage Change In Key Building Development Outputs 1999 Through 2004

Versus Change In Direct Spending

250%

200%

150%

100%

50%

204%t

58%

39%

88%

117%

BUILDING DEVELOPMENT

SECTION LOCATOR

OVERVIEW

SPENDING AND STAFFING Direct and Indirect

Expenditures Authonized Employees Expenditures Fee Supported

OUTPUTS: Key Outputs Change in Key Outputs Building Permit Average Cost

Inspections per Inspector Plans per Reviewer Nonresidential Permits

Residential Permits

RESULTS: Plan Review Timeliness Inspection Tomeliness

B u i l d i n g Permits Inspections Plans Reviewed Total Permits Spending

457The Future of Public Administration

Source: National Center for Public Performance (NCPP) at Rutgers University, A Brief Guide For Performance Measurement in Local Government, February 2004.

FIGURE 14.2 – NCPP’S TEN POINT CRITERIA FOR PERFORMANCE REPORTS

# Indictors Explanation 0 1 2 Score

1 Are images included in

the report?

0 = No

1 = Images are included but do not relate to

the text

2 = Images relate to the text

2 Are the colors

attractive?

0 = No

1 = Color contrast OR comfort

2 = Color contrast AND comfort

3 Is there appropriate

spacing (leading space)

between the lines?

0 = Leading space below 5 mm

1 = Leading space above 5 mm

2 = Leading space above 5 mm AND

margin provided

4 Is the report brief or

comprehensive?

0 = More than 20 pages

1 = Bewtween 10-20 pages

2 = Less than 10 pages

5 Does the report use

measurement tools like

bar graphs, tables, pie

charts?

0 = No

1 = Yes but do not relate to the text

2 = Images relate to the text (size does

not exceed 1/3 of page)

6 Are too many technical

words, jargon used?

0 = More than 7 words per page

1 = Between 3-7 words per page

2 = Less than 3 words per page

7 Does the report offer

contact information for

agencies/departments

or employees/public of-

ficials?

0 = No

1 = Phone contact of advocacy group

OR agency

2 = Phone contact of advocacy group

AND agency

8 Is the survey / research

methodology provided?

0 = No

1 = Methodology is provided

9 Are the sources for data

collection and verifica-

tion providded?

0 = No

1 = Sources of data provided

10 Is there a multi-year

comparison of data?

0 = No

1 = Data for last 3 years

458 CHAPTER 14

Government Performance vs. Private-Sector Performance Unlike private-sector entities, government cannot simply measure its performance

against a predetermined bottom line. In measuring performance, public adminis-

trators balance an array of values and numerous goals. Government must endorse

democratic modes of decision making and look to its stakeholders to understand

what constitutes high government performance. Joseph Wholey (1999), in his ar-

ticle “Performance-Based Management: Responding to the Challenges,” wrote:

“Managers first must achieve a reasonable level of agreement with senior officials

and other key stakeholders on agency or program goals and on the resources, ac-

tivities, and processes required to meet those goals” (p. 289).

Key among these stakeholders are U.S. citizens, whose participation, according to

Holzer and Kloby (2005), is fundamental to the decision-making and performance

measuring process. Citing the Alfred P. Sloan Foundation, Holzer and Kloby (2005)

note that “citizen involvement is necessary to ensure that what is measured is what

matters to citizens and that the data are not corrupted by the natural desire of of-

ficeholders to report favorable outcomes.” Similarly, according to Julnes (2006),

citizen participation in performance measurement “not only implies that the ap-

propriate values are represented, but also that more meaningful performance meas-

ures are likely to be developed.”

The results-oriented model of government associated with the so-called Reinven-

tion Movement was often more focused on private-sector values (such as customer

service), rather than democratic values (such as accountability to citizens). This

emphasis, aimed at making government more efficient and businesslike, raised

questions concerning citizens’ roles within our current systems of governance—in-

cluding those of performance measurement. Citizen-centric ideas discussed in the

performance measurement literature, as well as in governance networks, have

spurred a revitalized concept of citizen participation in government.

Citizen Participation The idea of applying a private-sector customer service mentality in a democratic

system of government has raised concerns in the public administration field. The

customer service model assumes “citizens are passive consumers” who purchase

government services “in the same way they purchase consumer products” (Smith

and Huntsman 1997, p. 311). According to Richard Box (1999), unlike citizens,

“customers . . . are people to be persuaded and sold an image, a product, or a serv-

ice rather than people who deliberate and decide” (p. 36). Box goes on to say,

“Gone is the image of citizens determining public policy and its implementation

to shape a better future because customers do not actively participate in gover-

nance” (pp. 19–20).

459The Future of Public Administration

Some observers feel that it is the responsibility of the public administrator to take

advantage of the changing structures of governance to increase collaborative

arrangements and citizen participation. Bingham, Nabatchi, and O’Leary (2005)

write: “Public administrators have a unique opportunity to become the direct con-

duit for the public’s voice in policy making, implementation, and enforcement” (p.

550). Smith and Ingram (2002) suggest that “American democracy is an unfin-

ished and open-ended project,” adding, “Especially during times in which patterns

of governance are undergoing fundamental change, it is important to examine care-

fully whether expansion or contraction of democracy is taking place” (p. 567).

As the government turns more frequently to market mechanisms, citizens will likely

turn to community organizations to engender trust and responsiveness (Brown and

Keast 2003). This may further isolate citizens from government and create feelings

of distrust. By examining government as an active and en-

gaged partner, and ensuring that managers utilize partici-

patory mechanisms, public administrators may then

engender trust among the citizenry. Holzer (2005) notes

that “there is substantial value, in terms of improving citi-

zens’ trust in government, of involving citizens in the meas-

urement of government performance” (p. 5).

In a discussion of the impact of collaboration on respon-

siveness in public administration, Vigoda (2002) wrote:

“Because the needs and demands of a heterogeneous soci-

ety are dynamic, it is vital to develop systematic approaches

to understanding it” (p. 528). Unlike the old Weberian tra-

dition of closed hierarchical systems, an ideal collaborative

system operates through “negotiation, participation, cooperation, free and unlim-

ited flow of information, innovation, agreements based on compromises and mu-

tual understanding, and a more equitable distribution and redistribution of power

and resources” (Vigoda 2002, p. 529).

Citizen participation does not have one agreed-upon definition. Generally, observers

who believe in increasing citizen participation see it as a means of reconnecting the

public to government and developing a relationship that allows citizens to play a

“meaningful role” in shaping their community (Lando 1999, p. 116). According to

Rosener (1978), the meaning of citizen participation varies with the perspective of

each individual. For example, a political actor may have an entirely different per-

spective than that of an administrative actor. Likewise, a citizen may view the situa-

tion from a completely different standpoint than a politician or an administrator

(Rosener 1978). For the purpose of this text, citizen participation will be defined as

“the process by which members of a society (those not holding office or administra-

tive positions in government) share power with public officials in making substantive

decisions” and in taking actions related to the community (Roberts 2004, p. 320).

“I always wondered why

somebody didn't do something

about that. Then I realized I was somebody.”

LILY TOMLIN Actress; Comedian;

Writer

460 CHAPTER 14

The notion of citizen participation can be traced back hundreds of years to the very

roots of America’s democratic ideals. Undoubtedly, levels of citizen participation were

of great concern to the framers of the U.S. Constitution, and much thought was given

to citizen representation. For instance, the Federalist Papers—a series of unsigned

essays penned by Alexander Hamilton, John Jay, and James Madison between 1787

and 1788 and published in New York newspapers—argued for the adoption of the

Constitution (Lando 1999). Since the 1960s, citizen participation has reemerged as a

consequential topic in terms of definition, implementation, and evaluation.

The federal government renewed its attempts to increase citizen participation during

the burgeoning civil rights movement. Social awareness and issues of equality dom-

inated the political landscape throughout the 1960s and 1970s; at the same time,

groups such as Community Action Agencies and the Model Cities Program began tak-

ing shape (Rosener 1978; Crosby, Kelly, and Schaefer 1986). Although the successes

of the Community Action Agencies and the Model Cities Program are not considered

entirely effective modes of enabling citizen participation (Crosby, Kelly, and Schae-

fer 1986), it is clear that their purpose was to empower citizens who lacked power.

The growing disenchantment with government (and its bureaucratic structures)

that occurred during the 1960s and 1970s sparked a movement to empower the un-

empowered (Arnstein 1969). However, as Stenberg (1972) points out, such em-

powerment presented a contradiction to the values of the middle-class bureaucrat

whose upward progression was based upon the merits of his actions. Stenberg

demonstrates one of the many possible reasons that citizen participation at that

point in history may not have reached levels of true empowerment. The challenge

of empowering citizens remains a concern even in the twenty-first century.

Citizen participation efforts of past decades are not much different from many of the

calls for greater citizen participation today. In 1969, when Sherry Arnstein wrote “A

Ladder of Citizen Participation,” she focused on empowering citizens to overcome

social inequality. Now, if anything, citizen participation is a much broader concept,

but the basic premise has remained the same. Citizen participation is an attempt to

empower citizens so they may provide input and contribute to the functioning of

City Creator (Simulation) Students will access the city creator site and build a city. After completing this exer- cise, students will graph the city and include brief explanations as to their choices for locating roads, homes, green spaces, medical facilities, schools, and shops.

www.citycreator.com

EXERCISE 14.1

461The Future of Public Administration

their government. As Daniel Fiorino (1990) puts it, citizen participation theory “ac-

cepts that people are the best judge of their interests and can acquire the political

skills needed to take part in governance” (p. 229).

Globalization: The Internationalization of Public Administration “Whatever it is, you can get it here.” That is the slogan for eBay, the online auction

site. “Here” is the indistinguishable word that exemplifies globalization. Tradi-

tionally, the word here connotes a specific physical space; in today’s world, how- ever, that is no longer the case. In a global community, physical space is no longer

of consequence. Globalization has given us a borderless world.

Some scholars indicate (Farazmand 1999; Kettl 2000) that globalization does not

have one universal definition. Globalization can conjure up different ideas from

different people with different perspectives. Farazmand (1999), in his article “Glob-

alization and Public Administration,” defines globalization

from six different perspectives. These range from an iso-

lated economics perspective to a perspective that sees glob-

alization as a “transcending phenomenon and a process”

(Farazmand 1999, p. 512). Kettl (2000) writes, “Most often,

the term is synonymous with the galloping expansion of the

global marketplace. However, globalization is much more.

It includes political, technological, and cultural forces. It is

more than a description—it is an ideology that defines basic

expectations about the roles and behaviors of individuals

and institutions” (p. 490). Similar themes arise from each definition, yet the com-

plexity of the term and its associations makes it difficult to boil it down to one uni-

versal concept.

Huddleston (2000) explains globalization in a broad sense, to avoid limiting its un-

derstanding. His definition serves as a solid foundation to continue this discussion.

Globalization starts from three “empirical observations” (Huddleston 2000, p.

668). First, it asserts that no economic activities are merely local. Second, it as-

sumes that physical space and time have been fundamentally changed due to rev-

olutions in the telecommunication sciences. Third, it suggests that human social

relations have changed significantly in reaction to these developments, making

communities possible on a global level (Huddleston 2000). These three premises

capture the global community in which we currently live; however, they do not nec-

essarily speak to the growing changes that must be made within the public sector

to properly address such changes.

The consequences of globalization are being felt at the federal, state, and local levels.

In each level of government, public administrators are faced with new challenges and

“Service to others is the payment you

make for your space here on

earth.”

MOHAMMAD ALI World Champion Boxer

462 CHAPTER 14

opportunities pressing them to develop the infrastructure and capacities to meet these

growing needs. For instance, on the local level, communities can no longer rely on

multinational corporations to be a secure source of revenue and employment (Faraz-

mand 1999). Due to lower employment wages in overseas locations, multinational

and transnational corporations are likely to close locally run U.S. manufacturing sites

and establish infrastructures in developing nations. According to Farazmand, public

administrators should build a stronger sense of community and promote public in-

volvement at the local level (1999). This, however, will not necessarily attract eco-

nomic development and secure tax revenues. Public administrators must develop

alternate infrastructures that will support further economic growth.

Public administrators must invest in building their communities’ educational re-

sources. Rondinelli, Johnson, and Kasarda (1998) believe that “the most competi-

tive cities recognize that global enterprises must be located near or have access to

knowledge centers” (p. 87). By investing in education, municipalities are develop-

ing capacities that will always be attractive to corporations. Educational invest-

ments can fulfill multinationals’ research and development needs or help provide

information technology support. Nontechnical education is equally important to

corporate growth. “Salt Lake City is an attractive labor market because Utah has

the highest literacy rate in the United States and because so many of Salt Lake City’s

residents have participated in Mormon missions overseas and are therefore more

fluent in foreign languages than residents of most other American cities”

(Rondinelli, Johnson, and Kasarda 1998, p. 88). Public administrators must con-

sider alternate infrastructure developments to continue to compete in a growing

global economy.

On the state level, similar themes exist. Public administrators can no longer rely on

national foreign policy to deal with international relations. Due to globalization and

the devolution of government, “more responsibility for both making and imple-

menting policy has flowed to the state” (Kettl 2000, p. 489). Public administrators

at the state level are working with foreign governments to “promote trade and at-

tract foreign investment” (Kettl 2000, p. 489). State investment in overseas pro-

grams to attract trade has grown dramatically since the 1980s. In 1984, 54 overseas

state offices existed to attract trade and investment. In 2000, that number had

grown to 233 offices (Chernotsky and Hobbs 2001). State-level public administra-

tors now have the opportunity to operate in almost every realm of public service. As

transnational corporations challenge the borders of national sovereignty, state

agents will increasingly be involved in the global economy.

Globalization’s impacts and consequences at the federal level are much broader and

more complex, encompassing not only the factors affecting local and state-level

agencies but addressing additional structural concerns that remain at the core of

their operations. The federal government, originally structured for a fixed world,

will have to continue evolving in order to deal with a world in which transnational

463The Future of Public Administration

corporations stretch the borders of national sovereignty and telecommunication

technologies displace time and space. Increasingly, public administrators at the

federal level must be trained to work within an international community while cre-

ating national policy. According to Kettl (2000), “More decisions have flowed from

the national to the international level, and the international level to both ad-hoc

and multinational organizations” (p. 489). The rise of international bodies such as

the European Union, or “regional collaborations” as seen in Italy, Portugal, and

Spain, have even replaced national policymaking (Farazmand 1999, p. 515). As

globalization continues to evolve, federal-level public administrators will have to

learn to embrace a global world while simultaneously holding on to national values

and public accountability.

Creating a balance between national and international interests could be the great-

est challenge for public administrators in the coming years. With an increase on

international regulatory reliance and a decrease in national sovereignty, the pub-

lic administrator will have to develop modes for sustaining international relations

while protecting national interests. Often, these national interests are mistaken as

being solely economic in nature, but our national values play an equally important

role in developing international treaties and organizations. Although economic

growth is integral to national sustainability, economic growth in lieu of national

values is unacceptable.

FIGURE 14.3 – WORLD INTERNET USAGE, 2000 VERSUS 2008

Oceania /Australia

Latin America / Caribbean

North America

Middle East

Europe

Asia

Africa

0 2,000,000,000 4,000,000,000

2008

2000

464 CHAPTER 14

This challenging balance presents public administrators with an opportunity. Over

the past century, our country has made historic strides in promoting fair labor prac-

tices and environmental protections. Although room for improvement always exists,

it is imperative that we promote these national practices throughout the world. Pub-

lic administrators have the responsibility to take hold of this opportunity and develop

an international framework that respects the human rights of every world citizen.

E-Governance Technological advances have changed the way that all of us go about our daily ac-

tivities. Whether it is checking our e-mail in the morning or texting on the go, mo-

bile communication has grown steadily, and our ability to navigate the World Wide

Web has improved dramatically. We use the Internet to shop, check the weather, do

research, and connect with networks. According to the Internet World Stats (Fig-

ure 14.3), usage has grown exponentially across the world in a very short time.

Usage within North America during this period did not grow as rapidly as in the rest

of the world. One can assume that there is less room for growth in developed countries

such as the United States. Figure 14.4 shows the breakdown of Internet users in North

America. As of 2010, there were about 240 million Internet users in the United States.

Those 250 million Internet users make up about 17 percent of the world’s total

usage as displayed in Figure 14.5.

FIGURE 14.4 – INTERNET USERS IN NORTH AMERICA

North America

United States

Canada

Greenland

Saint Pierre et Michel on

248.2

220.1

28.0

0.05

0 50 100 150 200 250 300

Millions of Users

465The Future of Public Administration

What does this have to do with public administration? As Internet usage grows,

and the use of technology in general grows, so too does the use of technology and

the Internet by government. E-governance is the general term used to describe the

government’s use of technology in performing its multiple responsibilities. Ac-

cording to the United Nations Educational, Scientific and Cultural Organization

(UNESCO): “E-governance is the public sector’s use of information and communi-

cation technologies with the aim of improving information and service delivery,

encouraging citizen participation in the decision-making process, and making gov-

ernment more accountable, transparent, and effective.” The principles of e-gover-

nance, according to the E-Governance Institute at the School of Public Affairs and

Administration at Rutgers University in Newark, are to:

• Build services with citizen choices in mind

• Increase government accessibility

• Foster social inclusion

• Disseminate information in a responsible fashion

• Use taxpayer resources effectively and efficiently

E-governance offers some exciting possibilities for the future. First, it may enhance

access to government by citizens (Garson 2004). It may also increase access by

those who work within government and those who work with government. Take, for

example, the payment of a parking ticket. In the past, we would either have to go

through the trouble of mailing in a payment or going directly to the payment office

to submit our parking violation fee. Now, citizens across the country have access to

FIGURE 14.5 – NORTH AMERICAN INTERNET USERS

World

European Union

17.0%

83.0%

466 CHAPTER 14

a government website 24 hours a day, 7 days a week, during which they can make

that payment electronically. This access is available for a number of government

services that previously required a visit to a physical location such as a local police

department, courthouse, or office of the Secretary of State.

Internally, for government employees, e-governance also provides access to serv-

ices that were previously unavailable. Take, for example, government buildings.

Obviously, governments need office space to provide their services, and the federal

government alone maintains office space totaling 354 million square feet. Other

government agencies need access to this inventory to determine the best space to

lease for their needs. In the past, when information was not available online, the

task of securing space was cumbersome. Now the General Services Administra-

tion (GSA) can post the entire inventory online. A manager can go to the GSA web-

site, select a location on a map, and view all available properties. Figure 14.6

illustrates the beginning of this search capacity.

Following the selection of a state, managers can select a particular district or city in

Source: U.S. General Services Administration. 2010. “General Services Administration (GSA) Inventory of Owned and Leased Property.” http://www.iolp.gsa.gov/iolp/NationalMap.asp.

FIGURE 14.6 – GENERAL SERVICES ADMINISTRATION (GSA) INVENTORY OF OWNED AND LEASED PROPERTY

OR MT

ID wY

ND SD

IA NE

CO OT

wv CAGUAM

AZ MM

KS MO

,LA

n P CO RY

MS AL CA

NC VAWA

NE NJ

PUERTO RICO VIRGIN ISLANDS

VR N H

NA CT

AMERICAN SAMOA

NORTHERN MARIANA

ND NE

WASHINGTON D.C.

467The Future of Public Administration

which they want to locate their agency. This is displayed in the image in Figure 14.7.

Although such access to real estate seems commonplace, one can imagine the chal-

lenge this might have presented just ten years ago.

E-governance also helps government’s partners. In the past, cumbersome lists of

available government contracts were printed out, and government contractors had

to wait to receive them. Now, they can now log on to Business.gov, “the official busi-

Source: U.S. General Services Administration. 2010. “General Services Administration (GSA) Inventory of Owned and Leased Property: Colorado.” http://www.iolp.gsa.gov/iolp/StateDetail.asp?sID=8.

FIGURE 14.7 – GENERAL SERVICES ADMINISTRATION (GSA) INVENTORY OF OWNED AND LEASED PROPERTY: COLORADO

Colorado

The map below is presented by congressional district. The number corresponds to the number in the list of districts to the right. Click here to list all buildings in colorsdo

District of

03 05

06 07

Colorado Buildings

Search GSA Lessed and Omted Buildings with: avallable spece equel or less than

For Leosesn only:

Leosses expiring after Leosses expiring on or before If you're interested in a spcific district please select from the box below:

Search GSA building by City County ZipClick on a Recressertative's name and then press "Go" to get information about GSA Buildings in that congressional district.

01 -DeGette, Diana (D) 02- Pelis. Jared (D) 03- Salazar, John T. (D)

04-Markey, Betsy (D) O5-Lamborn. Deug (R) Click on a Senetor's nhame and then press "Go" to get a listing of all GSA building in that Stats. Bennet, Michael F. (D) Udall, Mark (D)

DG = Deisgats Al = At Large RC = Resident Commissioner Go Clear Select any static report from the drop down list and select state (s)/Region and click on the "view Report"to generate the report.Report Name

State

Alabama Alaska American Samo Arizona Arkansas California Colorado

Connecticut Delaware

OR Region

Hold the Ctrl key to select multiple States View Report Concal

468 CHAPTER 14

ness link to the U.S. government.” This easy-to-use website allows contractors to

laws that regulate such transactions. Having instant access to government business

provides vendors with a clear advantage in supporting government services.

Beyond access, e-governance also reduces government costs considerably. Garson

(2004) explains, “It is hoped that e-government will allow for flatter organizational

structures as government is re-engineered to eliminate process pass-offs, which are

better handled through online process control, and this, too, promises to yield im-

pressive cost saving.” Think about filing taxes. As we shift to an electronic system

to file taxes, immediate reductions will be seen in the cost of mailing supplies. The

real savings, though, comes with the decrease in processing costs that accompanies

the transition to an electronic submission system.

Another advantage of e-governance is how it may shift the role of the citizen to build

greater social capital within a society (Garson 2004). Social capital typically refers

to the strength of the connection between members of a specific network. In this

case, it is argued that e-governance can increase the level of social capital between

citizens and their governments. E-governance presents opportunities for govern-

ment to engage citizens in a manner that has previously been impossible. For ex-

ample, similar to filing a tax return online, imagine if citizens could file suggestions

to government online. In 2008 Virginia Governor Tim Kaine launched an online

community for citizens to share ideas. As posted in a government news release:

The community portal at www.ideas.virginia.gov enables constituents to

share their ideas, engage in discussions and play a role in improving gov-

ernment service. This new community will strengthen the Common-

wealth’s commitment to performance by:

• Inviting members to submit ideas so that others can comment

and vote on them;

• Allowing members to discuss ideas with each other and collabo-

rate;

• Encouraging members to vote on other ideas and help promote

them for implementation consideration. (Virginia Municipal

League 2008)

While many benefits arise from the use of e-governance, many challenges remain.

The more we interact on the Internet or through web portals, the greater the amount

of personal information floating about online. The protection of this information

has become an urgent concern of those in the field of e-governance. According to

Mullen (2004), there are three areas in which personal protection and Internet se-

curity are focused—personal privacy, confidentiality, and security. To abate concerns

over personal privacy, the federal government is required to post privacy policies

469The Future of Public Administration

(Mullen 2004). Additionally, giving users the ability to control more of their per-

sonal information online might help to reduce concerns. Confidentiality, according

to Mullen (2004), is based on one or more of the following statements:

• Promises made to keep information confidential

• A legal obligation to protect confidentiality

• A duty to protect personal information, especially if the disclosure of

the information would be harmful to the data provider

Finally, there is the issue of security. There are four areas in which security can be

implemented:

• Physical safeguards such as locks and security personnel

• System and accountability safeguards such as passwords and audit

trails

• Data transfer safeguards such as encryption

• Stipulated rules and procedures for handling information

If these areas of protection are considered, the use of e-governance will continue to

flourish.

Transparency According to the United Nations, government transparency is based upon “citizens’

access to information” and “facilitating their understanding of decision-making

processes.” Garrett and Vermeule (2006) note, “Transparency can promote public-

spirited behavior by constraining bargaining based on self-interest, promoting

principled deliberation instead.” Examples of transparency are freedom of infor-

mation acts, administrative procedure laws, televised or radio access to legislative

debates, published data or reports, and online information sources.

Within the United States, the Freedom of Information Act (FOIA) was an impor-

tant step in providing open access to government information. Passed in 1966,

FOIA provides citizens access to government documents and records. Each federal

government agency is required to provide FOIA reports on its website so that in-

terested citizens can submit requests for information. States also have open records

laws, although they differ throughout the country.

There are many different aspects to transparency in practice, some of which focus

on fiscal transparency or transparency within the budgeting process. According to

the Organisation for Economic Co-operation and Development (OECD), “The

budget is the single most important policy document of governments, where pol-

icy objectives are reconciled and implemented in concrete terms. Budget trans-

470 CHAPTER 14

parency is defined as the full disclosure of all relevant fiscal information in a timely

and systematic manner.” According to an OECD report on best practices in budget

transparency, among those practices are (1) publishing regular budget reports, (2)

disclosing obscure information such as tax expenditures and any economic as-

sumptions, and (3) providing information on the integrity and accountability of the

budget documents.

The U.S. federal budgeting process has aspects of transparency as well as some fea-

tures that are obscured from the citizenry. According to Garrett and Vermeule

(2006), the process of developing the budget is hidden from citizens’ view under ex-

ecutive privilege laws. Therefore, those that work in the executive branch can craft

the budget with little input or oversight from external groups. However, once the

budget reaches Congress, the process tends to be open to the public (Garrett and

Vermeule 2006). Most of this is simply based upon the rules of Congress, which

allow public access in many respects.

Certain critics are concerned with transparency in government procurement. Un-

derstandably, procurement can be a process in which corruption thrives. To ensure

transparency in procurement practices, the United Nations suggests there should be:

• Clearly defined and transparent rules and procedures

• Uniform tender documents

• Fairness in the bidding process

By following the aforementioned procurement policies, the government can save

money, promote economic growth, and strengthen disadvantaged groups (United

Nations 1999).

As discussed above, technology can serve to assist government in making informa-

tion readily available to its citizenry. E-governance may provide a system for ac-

cessing government documents and records. According to Brito (2008), the

availability of such information online can help the entire citizenry: “Making gov-

ernment information available online would not only benefit individual users of

government Web sites, it would also make it simpler for third parties to aggregate

government data. By aggregating data, Web sites can present government infor-

mation in innovative and useful ways. For example, federal spending data gathered

from a government Web site could be presented by a third party as an interactive

map that shows the locations of funding recipients. Such applications make data ex-

ponentially more valuable.”

471The Future of Public Administration

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SUPPLEMENTARY READINGS

475The Future of Public Administration

Wang, XiaoHu. 2001. “Assessing Public Participation in U.S. Cities.” Public Per- formance and Management Review 24, no. 4: 322–36.

Center for Accountability and Performance, “Performance Measurement at the

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Ohio State University Fact Sheet, “Citizen Participation in Community Develop-

ment,” http://ohioline.osu.edu/cd-fact/l700.html

Oak Ridge Associated Universities Performance-Based Management Special In-

terest Group, "Performance Measurement Documents,”

http://www.orau.gov/pbm/documents/documents.html

United Nations Division for Public Economics and Public Administration, and

American Society for Public Administration. 2001. “Benchmarking E-Govern-

ment: A Global Perspective,”

http://unpan1.un.org.proxy.libraries.rutgers.edu/intradoc/groups/public/doc

uments/un/unpan021547.pdf

A Broadband World: The Promise of Advanced Services Matthew D. Bennett, Alliance for Public Technology and the Benton Founda-

tion. 2003. This study has cases on the use of broadband technology in various

service areas. http://www.benton.org/publibrary/broadband/broadband-

world.pdf.

Use and the Effects of Using Performance Measures for Budgeting, Manage- ment, and Reporting Diane Artrip, Deputy City Auditor, City of Phoenix. January 2004.

www.seagov.org/sea_gasb_project/local_phoenix.pdf.

Technology and Poverty Reduction: Text Messages Boost Competitiveness for Armenian Farmers The Millennium Challenge Corporation, Results on the Ground, August 28, 2009. http://www.mcc.gov/documents/press/successstory-082909-results-

armenia.pdf.

ELECTRONIC RESOURCES

CASE STUDIES

476 INDEX

A Abu Ghraib Prison (Iraq), 353 Access Washington State Internal Portal, 226 Accountability, 21, 450 Achievement-oriented leadership, 335 Action alternatives, 139, 140–145, 144 Actions/needs analysis table, 115 Activities (services provided by programs), 275 Ad-hoc groups, 212–214 Adams, John, 350 Adams, John Quincy, 340 Adams, Scott, 301 Administrative ethics, 350, 356–357, 359 Administrative expediency, 190–192 Administrative law, 181 Administrative model of decision making, 148 Aggregate matching, 279 Aid to Families with Dependent

Children (AFDC), 191, 202 Alfred P. Sloan Foundation, 246, 458 Ali, Mohammad, 461 Allegheny Airlines case, 193 Allen v. Wright et al. (1984), 193 Alliance 4 Public Service, 440–441 American Federation of State, County,

and Municipal Employees (AFSCME), 129 American Life Project (2008), 393–394 American National Election Studies

(ANES) surveys, 381, 382 American Society for Public Administration

(ASPA), 359, 440 AmericaSpeaks, 400 401 Ammons, David N., 454 Amtrak, 17 Apple (technology company), 392 Appleby, P., 177 Appropriations and appropriation bills,

290–293 Argyris, Chris, 66, 68 Armitage, Richard, 167 Armour, Richard, 186 Arnstein, Sherry, 460 Assessing employee performance,

116, 118–120, 118, 229–230 Assessing government performance. See

Performance of government Associational attractiveness, 62–63 Athenian Oath, 359, 419 Attribution error and theory, 229–230 Audit, 293, 304–305 Authoritarian model of leadership, 321–322

Authority, 4, 53, 56, 292, 293 “Authority-compliance” management,

328, 330

B Balance sheet, 144, 144 Balanced scorecard (BSC), 245, 245 Ballmer, Steve, 380 Baltimore Police, 403 Barlow’s, Inc. case, 191–192 Barnard, Chester, 61–63 Barry, D.D., 193 Bay of Pigs (Cuba) crisis, 166, 168 Before and after method of program

impact assessment, 278 Behavioral model of decision making, 148 Behn, Robert, 235 Benevolent authoritative management, 66 Bennis, Warren, 331 “Benzene Case,” 185–186 Berman, Evan M., 381 Bi-Metallic Investment Company v.

State Board of Equalization (1915), 189 Biannual Youth Survey on Politics and

Public Service, 436 Bias, 275, 282–283 Bingham, L., 459 Bivens v. Six Unknown Named Agents (1971),

192–193 Blagojevich, Rod, 353 Blair, Tony, 4, 330 Block grants, 200, 202 Blondie (cartoon), 318 Bloom, Paul, 369 Bloomberg, Michael, 78, 289, 328, 432 Bohlander, G., 89 Bono (rock star), 449 Boren, James H., 58 Bottorff, Dean L., 350 Bounded rationality, 147–148, 147 Box, Richard, 458 Boys and Girls Clubs of America, 20 Brady, James, 151 Breuning, Walter, 30 Brigham, S., 400 Brito, J., 470 Broadband deployment mobility and

applications, 395–396 Brown, K., 450 452 Brown, R.G., 91 92 Brownlow Commission and 1937 Report, 57

Italic page references indicate boxed text, tables, graphs, and photographs.

INDEX

477INDEX

Brubaker, E., 310 Budget and Accounting Act (1921), 290 Budgeting

appropriations and, 292 audit, 293, 304–305 authority, 292 culture theory and, 310 deficit, 291 discretionary program spending, 291 entitlement program spending, 291 federal process, 290 293 fiscal year and, 290 functions of budget, 291 government funding and, 305–308 grander budget theory and, 311 normative theory of, 311 North Carolina example, 294–295 outlays and, 292, 292, 293 planning program budget systems and,

260, 303 political-administrative interconnection

and, 178–179 resolution, 291–292 shortfall, 291 social equity and, 311–312 surplus, 291 theories, 308–312 timetables, 296, 297 traditional approach to, 304 tragedy of the budgetary commons

and, 310 transparency and, 469–470 types of budgets and, 293, 296 298,

301–303 zero-based approach to, 304

Bureau of Consumer Protection, 15–16 Bureau of Labor Statistics, 11, 19 Bureau of Municipal Research, 176 Bureau of the Budget (BOB), 182, 290 Bureaucracy

characteristics of, 29 as closed system, 194 defining, 29 discretion and, 181 194, 363, 365–369 ethics and, 354, 356–357, 359, 362–363 human relations theory and, 69 negative consequences of, 248 negative stereotype of, 29 30 organization man or woman and, 68 political-administrative interconnection

and, 60, 194 politics and, 176–181 public servants and, 420–421 street-level, 180–181 technical experts and, 68–69 Weberian, 29, 53, 59, 68

Burlington (New Jersey) organizational chart, 18, 18

Burns, Tom, 69 Bush, Bill, 367 Bush, George W., 167, 291, 306, 327 Business.gov, 467 468 Butz v. Economou (1978), 193

C Calhoun, John C., 213 Calista, Donald, 401 Cameron, Simon, 355 Cann, Steven J., 184 Capital budget, 297 298 Captive organizations, 158, 225–226 Carter, Jimmy, 182 Case studies, 267 Categorical grants, 200, 202 Causes, identifying, 138, 139 Census Bureau, 383, 437 Center for Democratic Network

Governance, 450 Centers for Medicare & Medicaid Services,

93–104 Central Intelligence Agency (CIA), 60, 79 Challenge grants, 324 Champions of Regulations.gov, 400 Charitable organizations, 19–20, 80 Charles W. Woodward High School

(Maryland), 369 Chautauqua County bridge maintenance

program (New York), 206 Cheaper by the Dozen (book and film), 52 Cheney, Dick, 167, 326 Chicago Police Department (CPD), 27 Chief information officer (CIO), 380,

383–384 Chief technology officer (CTO), 383–384 Child Parent Center, 280–281 Chinese Proverb, 143 CitiStat program (Baltimore), 236, 409 Citizen and Law Enforcement Analysis and

Reporting (CLEAR), 27 Citizen deliberation, 398 Citizen-Initiated Performance Assessment

(CIPA) (Iowa), 246–247 Citizen-initiated performance measurement,

241, 244 245, 244, 246–247 Citizen participation, 458–461 Citizen satisfaction and 311 systems,

405–406 CityStat program (Baltimore), 236 “Citywide Strategic Plan,” 401 Civil Aeronautics Board (CAB), 193 Civil Service Reform Act (1978), 182 Civil service system, 175, 355 Classical management theories, 50–58 Clay, Henry, 27 Client processing goals, 181

478 INDEX

Clinton, William J. (“Bill”), 354, 452 Cloete, Fanie, 401 Close-ended questions, 261, 264 Co-optation, organizational, 61 Coaching, 105 Code of Ethics (ASPA), 359 Code of Federal Regulations (CFR), 400 Commission on Economy and Efficiency,

290 Common interest, 31 Communication, 341, 343–344 Community Action Agencies, 460 Community Care of North Carolina (CCNC),

431, 433–434 Community service, 436–437 Competition

expanded model of, 210–214 federalism and, 209 human resource management and, 86 intergovernmental and

intragovernmental, 208–214 open, 210–211 public administration and, 80 public v. private, 209

CompStat (New York City), 236, 409 Computer pin mapping, 236, 409–410 Concannon, Kevin, 425 Condition of communion, 62–63 Congressional budget timetable, 296, 297 Congressional delegation, 185–186 Congressional power, 183–184, 184 Connected society, 393–398, 400–410 Consensus process, 163–165 Constable, John, 49 Consumer protection, 15–16 Contingency theory, 330–332, 335 Contingent valuation, 280 Continuous improvement, 222–223 Contracting out, 251, 431 Control group, 266, 278 Coolidge, Calvin, 185, 292 Corporate income taxes, 307 Corporation for National and Community

Service, 437 Corporations, 211–212 Corruption, 174, 359, 362–363 Cost-benefit analysis (CBA), 147, 279–280,

303 Cost-effectiveness analysis, 279–280, 282 Counseling employees, 120 121, 122 123,

124–125 “Country club” management, 328 Cousin, Victor, 317 Creativity, 141–143 Csikszentmihalyi, Mihaly, 388 Cuban missile crisis, 166, 168 Culture, organizational, 78–79, 90, 223 Culture theory, 310

Customer focus, 221–222 Customer relationship management (CRM),

396 Customer satisfaction, 222 Cyberspace, 380

D Dahl, Robert A., 59, 158–159 Darcy, Judy, 206 Data, existing, 261 Databases, 388–391 Dean, John, 365 Decision making

alternatives, 139, 140–145, 144 balance sheet and, 144, 144 consensus process and, 163–165 cost-benefit analysis and, 147 defining, 138 dysfunctions in, 161 162, 165–169 effectiveness and, 146 example, 145 group, 162, 165 169, 166 groupthink and, 60, 162, 165–169, 166 incremental comparisons and, 146 opportunity cost and, 145–146 “outside the box,” 162 overconformity and, 162 policy boards and, 153–158 process

evaluating alternatives and choosing best one, 139, 143–145, 144

formulating action alternatives, 139, 140–143

identifying causes, 138, 139 model, 142 pinpointing problem, 138, 138, 139 setting objectives, 139–140, 139

Simon and, 146, 147–148 technology and, 394 theoretical models of

administrative (or behavioral), 148 elite, 159 garbage can, 149–152, 150 implicit favorite, 149 incrementalism, 148–149 participatory, 152, 158–159 political, 160, 160 public choice, 160–161 rational, 145–148, 147, 178, 303 satisficing, 148–149

transportation, public involvement in, 153–158

Deep Throat source, 366 Deficit, budget, 291 Delegation, 104–106, 108–109, 185–186 Delegation doctrine, 21 Deliberation, citizen, 398

479INDEX

Deming, W. Edwards, 72–77, 221–222, 223, 230

Deming Wheel, 76 Democratic National Committee, 353 Deontological theories, 350 Department of Agriculture, 383 Department of Commerce, 383 Department of Community and Economic

Development for the State of Pennsylvania, 207

Department of Defense (DoD), 10, 168 Department of Education (ED), 93–104, 279, 383 Department of Housing and Urban

Development (HUD), 15 Department of Information Technology and

Telecommunications (DOITT), 408 Department of Justice (DOJ), 403 Department of Labor, 383 Department of Public Works (DPW), 301 Department of Transportation (DOT), 61 “Dessert Crossing” war simulation, 168 Developing employees, 92, 104–106,

108–109 Dialogues, group, 401 Digital democracy, 397–398, 398 Digital divide, 410 “Digital Natives,” 393 Dilbert (cartoon), 318 Dilemmas, ethical, 356 Directive leadership, 162, 335 Dirksen, Everett, 290 Discretion, bureaucratic, 181–194, 363,

365–369 Discretionary program spending, 291 Dissatisfiers, 112–113, 113, 114 Diversity, 89 Documentation review, 267 Donahue, John D., 211 Douglass, Mary Virginia, 52 Downs, Anthony, 227, 305 Drucker, Peter, 109, 343, 379 Due process, 186–190 Dye, T.R., 209 Dynamic citizen deliberation, 398 Dynamic information dissemination, 398

E E-Discovery requirements, 388 E-governance, 450, 464–470, 464, 465 E-government, 396, 397, 401–402, 402 E-Government Act (2002), 383 Economic Opportunity Act (1964), 260 Economies of scale, 203–208 Edelman, Marian Wright, 417 Effectiveness and effectiveness indicators,

146, 454

Efficiency and efficiency indicators, 50, 235, 454

Efficiency assessment, program, 270, 271, 279–282

Eggers, W.D., 452 Einstein, Albert, 174, 260, 359 Eisenhower, Dwight D., 328 Elite theory, 159 Emerson, Ralph Waldo, 131, 436 Empirical data, collecting, 261, 262–263,

264–265, 267 Employees. See also Public servants

assessing performance of, 116, 118–120, 118, 229–230

counseling, 120–121, 123–124, 124–125 delegation and, 106 developing, 92, 104–106, 108–109 empowerment of, 223 225 getting along with people and, 126–127 government, 12–13, 12 incentives for, 61–62, 250 job satisfaction and fulfillment and, 110 motivating, 109–116, 250 problem performer, 125 recruiting, 91–92 teamwork and, 223–225 training, 92, 220–221

Employment taxes, 7–9 Empowerment, 223–225 Entitlement program spending, 291 Entrapment, organizational, 230–232 Environmental Protection Agency (EPA), 13,

152, 369, 421 Environmental Systems Research Institute

(ESRI), 389 Equal Employment Opportunity

Commission, 90 Equipment, sharing, 203 Equivalence, 279 Esteem, need for, 65, 111, 112 Ethics

administrative, 350, 356–357, 359 Athenian Oath and, 359 bureaucracy and, 354, 356–357, 359,

362–363 bureaucratic discretion and, 363, 365–369 codes of, 359 complaints about, channeling, 366–369 corruption and, 359, 362–363 defining, 350–354 deontological theories, 350 dilemmas, 356 formal rules, 363, 365–369 Machiavellianism and, 352–353 Program evaluation and, 282–283 of public servants, 364–365, 418 study of, 350 teleological theories, 350 unethical behaviors and, 350–354, 354

480 INDEX

Evaluation. See Performance appraisals of employees; Performance of government;

Program evaluation Everett, Ed, 424–425 Executive branch, 182–183 Executive budget, 296–297 Executive Office of the President (EOP),

182–183, 290–291 Exemplary State and Local (EXSL) Awards

program, 210, 233 Exhaustion of legal remedies, 194 Existing data, 261 Experience (formerly Green Thumb, Inc.),

20 Experimentation methods, 261, 278–279 Expert power, 341 Expertise, 226–227 Exploitative authoritative management, 66 External customers, 222, 226 External services, shared, 204

F Fact-value dichotomy, 58–59 Factory Assembled Structures (FAS) Process

Improvement Team, 228–229 Fair Labor Practices Act (FLPA), 191–192 Farazmand, A., 461–462 Fayol, Henri, 53, 55–56 Feather, William, 289 Federal-Aid Highway Acts (1944 and 1956),

15 Federal budget process. See Budgeting Federal Bureau of Investigation (FBI), 79 Federal Bureau of Justice, 431 Federal Bureau of Narcotics, 192 Federal Communications Commission

(FCC), 403 Federal emergency response, 17 Federal government, 4, 11–12. See also

Government Federal grants, 200, 202 Federal Housing Administration (FHA), 15 Federal Labor Relations Authority, 90 Federal Quality Institute approach to total

quality management, 224 Federal regulatory agencies, 152. See also

specific name Federal student financial aid programs, 16 Federal Tort Claims Act, 192 Federal Trade Commission (FTC), 15–16,

385 Federal Trade Commission (FTC) v.

American Tobacco Company (1924), 191 Federalism, 200, 201, 202, 209 Federalist Papers, 460 Fee-based services, 7, 9–10 Feedback mechanisms, 72

Felt, William Mark, 366 FEMA, 17 Ferrell, O.C., 354 Field observations, 261, 265 Fifth Amendment, 186 Fiorino, Daniel, 461 Firestone, Harvey S., 88 First Amendment, 189 Fiscal year, 290 Fitzgerald, Ernie, 369 501(c)(3) status, 19–20 Fletcher, Osceola L. (“Ozzie”), 29 Florida Department of Corrections, 231 Flynn, B.B., 221 Focus groups, 261, 267 Follett, Mary Parker, 63 64 Food and Drug Administration (FDA), 17,

152 Food and drug safety issues and programs,

17, 24 Formal organizations, 60, 66 Forman, Mark, 398 Fourteenth Amendment, 186–187 Fourth Amendment, 191–192 Franklin, Benjamin, 20, 152, 356, 421 Frederickson, H. George, 32, 309, 311–312,

350 Freedom of Information Act (FOIA), 388,

469 Freeman, H.E., 266 French, W., 350 Functional differentiation, 228

G Gabrielian, V., 311 Gaebler, Ted, 79–80, 248–249, 265, 453 Gandhi, Mahatma, 455 Gansler, Jacques S., 209 Garbage can model of decision making,

149–152, 150 Gardner, John W., 111 Garrett, E., 470 Garson, D., 468 Gates, Bill, 381 Gaus, John, 173 General Accounting Office (GAO), 233 General logic model, 269 General Services Administration (GSA) property inventory, 466, 466, 467 Geospatial information systems (GIS), 27,

389 391, 390 Gilbreth, Frank, 50–53 Gilbreth, Lillian, 50–51 Giuliani, Rudolph W., 14 Global Positioning System (GPS), 390 Globalization, 24–27, 461–464 Goldberg case, 188

481INDEX

Goldberg v. Kelly (1970), 186–188 Goldsmith, S., 452 Goodnow, Frank, 31, 175–177 Goodsell, Charles, 203 Gore, Al, 453 Gortner, H., 227 Goss v. Lopez (1975), 188 Governance

networks, 450–453, 451 political-administrative interconnection

and, 60 service delivery and, 176 technology and, 450, 464 470, 464, 465 understanding, 452

Government. See also Bureaucracy; Public administration

accountability in, 21 authority of, 4 contact with, everyday, 13–15 employees, 12–13, 12 executive branch, 182–183 expenditures, 4–7, 6, 7, 9 federalism and, 200, 201, 202, 209 fee-based services and, 7, 9–10 funding and, 305–308 globalization and, 24–27 high-tech, 380–381 implementation of policy and, 21–22 interlocal shared, 202–208, 202 judicial branch, 184–194 laws and regulations and, 13 14, 152, 177 legislative branch, 183–184, 184 military spending and, 9, 10 myths, busting, 38–41 net cost, 306 organizational chart, 5 Osborne and Gaebler’s view of, 79–80 personal income tax rates, 308 politics versus function of, 31 receipts, 8 regionalism and, 394 reinventing, 79–80, 453 representativeness and, 225 resources

charitable organizations and, 19–20 needed by, 4, 6–15 research and, 20, 22, 23–24 services delivered with, 15–18

responsiveness and, 225–232 revenue, 307 shared services and, 202, 203–208, 394 taxation and, 4, 7–9, 19–20, 307–308, 309 technology and, 396, 397, 401–402, 402 transparency, 450, 469–470 trust in, erosion of, 381, 382

Government Accountability Office (GAO), 290, 293, 304

Government Accounting Standards Board (GASB), 234, 238, 453

Grander budget theory, 311 Granrose, J., 350 Grant, Ulysses S., 355 Great Depression, 176 Great Society, 176 Greenberg, Rebecca C., 281 Gross domestic product (GDP), 4, 6–7, 19 Group decision making, 162, 165 169, 166 Group dialogues, 401 Group loyalty, 166 Groupthink, 60, 162, 165–169, 166 Gulick, Luther, 31, 53, 57–58 Gun control movement, 151 Guy, M.E., 87

H Hacker, Kenneth L., 397 Hale v. Walsh (1987), 189 Halloway, Cas, 432 Hamilton, Alexander, 460 Hamilton, Lee H., 19, 418 Hammond, Arthur, 298 Hampton v. United States (1928), 185 Hampton (Virginia) 311 system, 405–407,

406, 407 Hanks, Nancy, 323–324, 325 Harnage, Bobby, 230 Harrington, H. James, 220 Hartranft, John, 355 Hatry, Harry, 234 Hawking, Stephen, 385 Hawthorne experiments, 64 Heider, F., 229 Helu, Carlos Slim, 392 Herzberg, Frederick, 112–113 Higher Education Research Institute, 436 Hill, W.G., 59 Hiring practices, new, 93–104 Holzer, M., 92, 128, 311, 458–459 “Home rule,” 208 Hopf, H.A., 141 Horizontal teamwork, 224–225, 228 House and Senate Budget Committees, 292 Howells, William Dean, 219 Huber, V.L., 90 Huddleston, M.W., 461 Human capital, 87 Human relations theory, 64, 69 Human resource management

areas of, 87–88 assessing employee performance and, 116,

118–120, 118 competition and, 86 counseling employees and, 120–121,

122–123, 124–125 developing employees and, 92, 104–106,

108–109

482 INDEX

Human resource management (continued) dissatisfiers and, 112–113, 113, 114 elements of, 88 environment of organization and, 90–91 getting along with people and, 126–127 hiring practices and, new, 93–104 importance of, 87 knowledge transfer dilemma and, 107–108 labor-management cooperation and,

127–129, 131 motivating employees and, 109–116, 250 needs hierarchy and, 111, 112 policy questions and, 90 political-administrative interconnection

and, 90 present-day, 84–86 problem performer and, 125 productive, 88–91, 128–129 recruiting employees and, 91–92 satisfiers and, 112–113, 113, 114 technology and, 89 work environment and, creating quality,

127–129, 131 workforce planning and, 91

Humphrey, Hubert, 92 Hurricane Katrina, 436–437 Hussein, Saddam, 168

I Iacocca, Lee, 113 Impact assessment, program, 271, 277–278,

277 Impact theory, 274 Implementation of policy, 21–22, 177 Implicit favorite model of decision making,

149 Incentives, employee, 61–62, 250 In-depth interviews, 261 Incremental comparisons, 146 Incrementalism, 148–149 Independent Sector (nonprofit coalition),

437 Indicators, performance, 234–235, 234 Industrial Union Department AFL-CIO v.

American Petroleum (1980), 185–186 Informal organizations, 60 Information and communications

technologies (ICT), 396–397 Information distortion, 226–227 Informed consent, 282 283 Ingram, H., 459 Innovation, managerial, 231, 333–334. See

also Technology Inputs and input indicators, 72, 235, 275,

453 Intangible benefits of program, 280 Interest groups, 31, 152, 158, 177–178,

225–226

Intergovernmental competition, 208–214 Interlocal shared government, 202–208, 202 Internal customers, 222 Internal Revenue Service (IRS), 19–20 Internal services, sharing, 203–204 International City/County Management

Association (ICMA), 424–425, 441 Internet, 394, 397, 463, 464, 465 Interorganizational teamwork, 226 Interstate Highway System, 15 Interviews, in-depth, 261, 267 Intragovernmental competition, 208–214 Iowa case, 430 iPhone, 392–393 Iraq war, 167–168 Iron triangle, 184, 184 Isaacs, H., 92, 111

J Jackson, Andrew, 168, 174 Jain, Dr. Rajiv, 28 Janis, Irving L., 60, 162 Japanese management theory, 72–77 Japanese scientists and engineers (JUSE),

73–74 Jarvik, Robert, 321 Jay, John, 460 Jefferson, Thomas, 3, 85 Job analysis, 107 Job rotation, 105 Job satisfaction and fulfillment, 110 Job shadowing, 107 Johnson, Andrew, 355 Johnson, James H., 462 Johnson, Lyndon Baines, 176, 260 Jones, John E., 231 Judd, H. Stanley, 57 Judicial branch, 184–194 Julnes, P.D.L., 458 Jung, Carl, 126 Juran, Dr. Joseph M., 74, 250 Jurkiewicz, C.L., 91–92

K Kafka, Franz, 421 Kaine, Tim, 468 Kasarda, John D., 462 Kaufman, Hugh, 225, 369 Keast, R., 450–452 Kelvin, Lord, 227 Kennedy, John F., 13, 106, 166, 260, 419 Kettl, D.F., 461, 463 Key informants, 272 Key, V.O., 179, 308–309, 312

483INDEX

Keyes, Alan, 179 King, Martin Luther, Jr., 352 Klothen, Ken, 199 Knowledge management, 388 Knowledge sharing, 220–221 Knowledge, skills, and attitudes (KSAs), 92,

232 Knowledge transfer dilemma, 107–108 Koyanagi, Mr., 74 Krohe, J., 354 Krushchev, Nikita, 189

L Labor-management cooperation, 127–129,

131 Lang, Cyril, 369 Lao-Tsu, 320 Laws and regulations, 13–14, 152, 177. See

also specific name Layer cake model, 200, 201 Leader-member relations, 331–332, 335 Leadership. See also Management;

Public sector leadership achievement-oriented, 335 authoritarian, 66, 322 communication and, 341, 343–344 directive, 162, 335 effective, 320 innovation in, 333–334 management commitment to, 223 management triangle and, 333–334 organizational, 63, 66, 318–319 participative, 335 power types, 340–344 situational, 330, 335 strategic, 426–429 supportive, 335 theories, 325–340 transformational, 335, 337

Leahy, William, 129 Least Preferred Coworker (LPC) scale, 331,

335 Lee, S.H., 128, 225, 232 Legislative branch, 183–184, 184 Legislative budget, 297, 297 Legitimate power, 341 Lewis, Verne, 145 146, 309–311 Libby, Lewis (“Scooter”), 167, 353 Life cycle leadership theory, 337, 340 Light, Paul, 11, 431 Likert, Rensis, 66, 68 Lincoln, Abraham, 64 Lindblom, C.E., 148–149 Line-item budget, 298, 299–300 Lingle, John H., 238 Lipsey, W.M., 266 Lipsky, M., 22, 180–181

Litwak, Eugene, 354 Local government, 4, 11 13, 18, 18, 207, 396,

425. See also Government; specific name Logic model, 269, 275, 275 Londoner v. Denver (1908), 188 Long, N.E., 177 Love, need for, 64–65, 111, 112 Loverd, Richard, 323 Lowi, Theodore, 179–181 Lukensmeyer, Carolyn, 400–401

M MacArthur, Douglas, 72 Machiavellianism, 352–353 Madison, James, 460 Management. See also Leadership; Public

sector leadership authoritarian, 66, 322 “country club,” 328 customer relationship, 396 defining, 319–320 failure, 229–230 Fayol’s principles of, 53, 55–56 functions, 318–322, 325 innovation, 231, 333–334 leadership and, commitment to, 223 participative consultive, 66 private, 31 public, 31, 65, 174, 245 stereotypes, 318, 421 team, 330 theories

classical, 50–58 neo-classical, 58–63 organizational, 63–69

triangle, 333–334 Urwick’s principles of, 56 57

Management information systems, 277 Management-workforce cooperation,

248–259 Managers. See Management Mandell, M.P., 450–452 Mangement principles (Fayol’s), 53, 55–56 Marble cake model, 200, 201 Marcus, William, 30 Marcy, William R., 193 Marshall v. Barlow’s, Inc. (1979), 191–192 Martin, Joanne, 78 Martin, W. Eric, 404 Maslow, Abraham, 64–66, 111, 250 Massey, T.K., 91–92 Matching, aggregate, 279 Matthews v. Eldridge (1976), 188 Maxwell, John C., 318 Mayo, Elton, 64 Mayor’s Management Report, 408 McDonald, N., 119

484 INDEX

McGregor, Douglas, 64–66, 250 McNamara, Robert, 303 Meacham, Jon, 326–327 Mead, Margaret, 450 Measuring performance, 232–236, 234, 237,

238–241, 244–245, 248–250 Mechanistic management systems, 69, 71 Medicaid, 8, 176, 433 Medicare, 8, 10, 176, 291, 307–308 Melitski, James, 401 Merit Systems Protection Board, 90 Merton, Robert, 59–60, 230 Methicillin-Resistant Staphylococcus

Aureus (MRSA) Program, 28 Middle line, 69 70, 74 Mikesell, J.L., 147, 309–311 Milakovich, M., 221–222 Military spending, 9, 10 Mill, John Stuart, 77, 308 Miller, D., 308 Mills, C. Wright, 159 Miniaturization, 392 Mintzberg, Henry, 69–70, 74, 87 Model Cities Program, 460 Monetary work incentives, 61 Moore, Gordon, 392 Moore’s Law, 392 Morris, Dr. Anthony, 161 Motivating employees, 109 116, 250 Mullen, P., 468 469 Municipal ordinances, 13 Munroe, T., 128 Myers-Briggs Type Indicator (MBTI)

workshop, 126

N Nabatchi, T., 459 Nader v. Allegheny Airlines (1976), 193 Naff, K.C., 91 Nast, Thomas, 355 National Association of Counties, 425 National Center for Public Performance

(NCPP), 220–221, 456, 457 National Institutes of Health (NIH), 20, 22,

23–24, 161 National Nuclear Security Administration

(NNSA), 93–104 National Oceanic and Atmospheric

Administration (NOAA), 16 National Performance Review (NPR), 79–80 National Weather Service (NWS), 16 Near equivalence, 279 Needs assessment, 270, 271, 272, 274 Needs hierarchy, 64–65, 111, 112, 250 Neo-classical management theories, 58–63 Neoconservatism, 167

Networks governance, 450–453, 451 security and, 384–388, 386

New Jersey Motor Vehicle Commission (NJMVC), 236

New Public Administration, 32 New York City 311 system, 407–409 New York Public Interest Research Group

(NYPIRG), 242 New York Third Water Tunnel, 14 9/11 terrorist attacks (2001), 60, 79, 149,

151, 389 Nixon, Richard M., 182, 202, 353 Nonmonetary work incentives, 61 Nonparticipant observations, 265–266 Nonprofit sector, 19–20, 80, 429, 431 Normative theory, 311 Norms, 311 North Hudson Regional Fire and Rescue

Department (New Jersey), 204 Not-for-profit sector, 19–20, 80 Noyce, Robert, 366 Nugent, John D., 397 Numerical quotas, eliminating, 229–230

O Obama, Barack, 29, 387, 394 Objectives, setting, 139–140, 139, 144 145 Observations, 261, 265 266, 267 Occupational Safety and Health

Administration (OSHA), 14, 152, 185–186 O’Connor, C., 280–281 Office games, 160 Office of Community Oriented Policing

Services (COPS Office), 403 Office of Management and Budget (OMB),

182, 290, 383, 394, 400 Office of Performance & Personnel Manage- ment (OPPM), 394 Office of Personnel Management (OPM), 90,

394 Office of the Comptroller, 304 Oklahoma Press Publishing v. Walling

(1946), 191–192 O’Leary, R., 459 O’Looney, John A., 398 O’Malley, Martin, 236, 409 OMB Watch, 400 Omidyar, Pierre, 401 On-the-job training, 221 Online Public Performance Measurement Certificate, 221 Online services, 396–397 Open-ended questions, 261, 264 Operating budget, 297–298 Operating core, 69–70, 74

485INDEX

Opportunity cost, 145–146 O’Reilly, C.A., 227 Organic management systems, 69, 71 Organisation for Economic Co-operation

and Development (OECD), 469–470 Organization and Employee Development

(OED) programs, 426–429 Organization man or woman, 68 Organizational co-optation, 61 Organizational culture, 78–79, 90, 223 Organizational economic theory, 77–78 Organizational entrapment, 230–232 Organizational leadership, 63, 66, 318–319 Organizational management theories, 63–69 Organizational plan, 274 Organizational theories

economic, 77–78 Japanese management, 72–77 National Performance Review and, 79–80 organizational culture and, 78–79 structural, 69–72 system, 72

Osborne, David, 79–80, 248–249, 265, 453 “Out group,” 128 Outcomes and outcome indicators, 235, 275,

454 Outlays, 292, 292, 293 Outputs and output indicators, 72, 235, 275,

453–454 “Outside the box” decision making, 162 Overconformity, 162 Overemphasis of information, 227

P Parochialism, 227–229 Participant observations, 265–266 Participative consultative management, 66 Participative leadership, 335 Participative management systems, 66 Participatory model of decision making, 152,

158–159 Partnerships, 129 Path-goal theory, 335 Patton (film), 322 Patton, George S., 66, 322 Payroll taxes, 7–9, 307 Peace Corps, 438 Pearson, Drew, 105 Peer-tutoring program, 266 Pelosi, Nancy, 436 Pendleton Civil Service Act (1883), 174 Pennsylvania Department of Transporta- tion, 231 Performance appraisals of employees, 116,

118–120, 118, 229–230 Performance audits, 305 Performance budget, 298, 300–301, 301

Performance distribution, 229 Performance indicators, 234–235, 234 Performance measurement, 238–241, 239,

240, 244, 453–456 Performance of government

citizen-initiated, 241, 244–245, 244, 246–247

knowledge sharing and, 220–221 measuring, 232 236, 234, 237, 238–241,

244–245, 248–250, 453–456, 458 private-sector performance vs., 458 privatization and, 251 responsiveness and, 225–232 social aspects of, 248–250 total quality management and, 221–225,

228, 232 training employees and, 220–221

Performance reporting, 456, 456, 457 Performance targets, 238 Perle, Richard, 167 Personal digital assistants (PDAs), 386 Personal income tax rates, 308 Personal Responsibility and Work

Opportunity Reconciliation Act (PRWORA) (1996), 202

Personality traits, 141 Personnel, sharing, 203. See also Employees Pewaukee recreational services (Wisconsin),

206 Phoenix (Arizona), 209 Physiological needs, 64, 111, 112 Pickering v. Board of Education (1968),

189–190 Picket fence model, 200, 201 Pine-Marshall-Bradford Woods joint

police force (Pennsylvania), 204–205 Placebo, 266, 278 Planning program budget system (PPBS),

260, 303 PlaNYC (New York City), 432 Plotting process, 391 Pluralism, 158 PODSCORB (Planning, Organizing,

Directing, Staffing, Coordinating, Recruiting, and Budgeting), 31, 53

Police services, 27, 236 Policy boards, 153–158 Policy determination, 174 Policy sciences, 260 Political-administrative interconnection

budgeting and, 178–179 bureaucratic discretion and, checking

executive branch, 182–183 judicial branch, 185–194 legislative branch, 183–184, 184 overview, 181

bureaucratic politics and, reality of, 176–181

bureaucracy and, 60, 194

486 INDEX

Political-administrative interconnection (continued)

Goodnow and, 31 governance and, 60 human resource management and, 90 neutrality and, 174–176 reform and, 174–176 as theme in public administration and,

recurring, 60, 194 value conflict and, 60, 194

Political model of decision making, 160, 160 Politics, 31, 176–181. See also Political-

administrative interconnection “Politics” school, 177 Polk County case, 426–429 Portland (Maine) Department of Public

Works, 129 Position power, 335 Postal service, 17–18 Powell, Colin, 87, 167, 326–327 Power and power types, 183–184, 184, 337,

340–344 Pressman, J.L., 22 Primary jurisdiction doctrine, 193 Principal-agent theory, 77–78 Principles of ethics for federal employees,

364–365 Prisoner reincarceration, 431 Private sector, 19, 31, 80, 208–209, 458 Privatization, 208–210, 251 Problem performer, 125 Problems, pinpointing, 138, 138, 139 Process assessment, program, 270, 271, 275,

277 Process documentation, 107 Processes, 72 Productive human resource management,

88–91, 128–129 Productivity, 50, 68, 87, 129 Productivity improvement, 231 Productivity indicators, 454 Program benefits, tangible and intangible,

280 Program efficiency assessment, 270, 271,

279–282 Program evaluation

bias and, 275, 282 283 case studies and, 267 conducting, 266, 268–270, 272, 274–275,

277–282 defining, 260 documentation review and, 267 empirical data collection in, 261,

262–263, 264–266, 267 ethical concerns, 282–283 experimentation, 261, 278–279 external, 283 field observations and, 261, 265

focus groups and, 261, 267 function of, 260–261 informed consent and, 282–283 interviews, 261, 267 ladder, 280 logic model, 269, 275, 275 nonparticipant observations and, 265–266 observations and, 261, 265–266, 267 participant observations and, 265–266 placebo (control group) and, 266, 278 program targets and, 268, 272, 282 questionnaires and, 261, 264, 267 questions, 271 research, 260 satisficing and, 264 snowball sampling and, 269 stakeholder input in, 266, 268–270 survey response fatigue and, 261, 264 surveys and, 261, 262–263, 264, 267 SWOT analysis and, 269 270 types of

needs assessment, 270, 271, 272, 274 program efficiency assessment, 270,

271, 279–282 program impact assessment, 271,

277–278, 277 program process assessment, 270,

271, 275, 277 program theory assessment, 270,

271, 274–275 Program impact assessment, 271, 277–278,

277 Program process assessment, 270, 271, 275,

277 Program targets, 268, 272, 282 Program theory assessment, 270, 271,

274–275 Property interests, 188 Property taxes, 308 “Proverbs” of administration, 58 Public administration. See also

Government; Political-administrative interconnection

accountability in, 21, 450 citizen participation and, 458–461 competition and, 80 defining, 31–32, 32 evolution of, 450 future of, 448 globalization and, 461–464 implementation of policy and, 21–22 performance measurement and, 453–456 performance reporting and, 456, 456, 457 public management and, 31, 65, 174 reform, 174–176 transparency and, 450, 469–470

Public authorities, 211–212 Public choice theory, 160–161

487INDEX

Public information, 438–439 Public interface and online services,

396–397 Public management, 31, 65, 174, 245. See

also Public administration Public Performance Measurement and

Reporting Network, 220 Public sector. See Government; Public

administration Public sector leadership. See also

Leadership; Management code of ethics for, 359 effective, 341, 342, 343–344 Hanks case and, 323–324, 325 leadership theories and, 325–340 management functions and, 318–322, 325 management triangle and, 333–334 Powell case and, 326–327 power types, 340–344

Public servants. See also Employees Athenian Oath and, 419 bureaucratic behavior of, 420 421 calling of, 418 ethics of, 364–365, 418 Everett, 424–425 Halloway, 432 historical perspective of, 418–419 image of, 420–422 Iowa case, 430 networks, 439–441 Polk County case, 426–429 professional organizations, 439–441 public information and, 438–439 public services provided by, 28–29 real, 422–423, 425, 429, 431, 433–434 volunteer rates by state and, 434 youth and, 434–438

Public services, 28–29. See also specific type Punishment power, 340

Q Quality circles (QCs), 73–77, 330 Quasi-experiment, 279 Quasi-scientific approaches, 58, 260 Questionnaires, 261, 264, 267

R Rago, W.V., 223 Randomized field experiment, 278–279 Rational model of decision making, 145– 148, 147, 178, 303 Rationalization, 59 Reagan, Ronald, 40–44, 151, 182 Recruiting employees, 91–92 Redistributive policies, 176

Referent power, 341 Regionalism, 394 Regulations. See Laws and regulations;

specific name Regulations.gov, 398, 399, 400 Rehnquist, William, 186 Reitman, Ivan, 421 Relationship-oriented behavior, 328, 330 Reorganization Act (1939), 182 Representativeness, 225 Research, government, 20, 22, 23–24 Resignation as protest, 368–369 Resolution, budget, 291–292 Responsiveness, organizational, 225–232 Reward power, 340 Robert F. Wagner School of Public Service,

431 Roberts, Robert, 362 Rochefoucauld, Francois de la, 354 Roethlisberger, Fritz, 64 Rohr, John, 181 Rondinelli, Dennis A., 462 Roosevelt, Eleanor, 319 Roosevelt, Franklin D., 176, 303 Roosevelt, Theodore, 126, 363 Rosenbloom, David, 21 Rosener, J., 459 Rossi, P.H., 266 Rourke, F.E., 225–226 Rumsfeld, Donald, 167

S Safety needs, 64, 111, 112 Safety, workplace, 131 Sakakibara, S., 221 Sales tax, 7 Salt Lake City (Utah), 462 Sanford, Mark, 353 Satisficing, 148–149, 264 Satisfiers, 112–113, 113, 114 Savas, E.S., 208, 210 Sayles, Leonard, 319–320 Scalar chain, 55–56 Schein, Edgar H., 55, 78 Schroeder, R.G., 221 Schuler, R.S., 90 Schultz, George, 365 Schumpeter, Joseph A., 159, 191 Schwarzkopf, H. Norman, 335 Schweiker, Mark, 231 Scientific management, 50–53, 72, 250 Scondras, David, 422 SCOUT (Street Conditions Observation

Unit) application, 408–409 Scriven, Michael, 259 Search and seizure protections, 190–192 Self-actualization, 65, 111, 112

488 INDEX

Self-autonomy, 181 Self-fulfilling prophesy, 116 Selznick, Philip A., 60–61, 177 Senior Executive Services (SES), 182, 183 September 11, 2001, terrorist attacks, 60, 79,

149, 151, 389 Service delivery, 15–18, 176, 401–402, 404 Service delivery plan, 274 Service Efforts and Accomplishments (SEA),

234 Service learning, 436 Service level agreement (SLAs), 408 Seven Step measurement methodology,

454–455 Shared Municipal Service Incentive (SMSI)

program, 207 Shared Municipal Services Program (SMSP),

207 Shared service agreements, 202=203 Shared services, 202, 203=208, 394 Sharing Available Resources Efficiently

(SHARE), 207 Shark, Alan, 396 Shaw, George Bernard, 151, 229 Sherman, A., 89 Shortfall, budget, 291 Simon, Herbert A., 58 59, 137, 147–148, 177,

228 Singletary, Harry, 230–231 Situational leadership, 330, 335 Skills theory, 328 Skinner, S.J., 354 Small, S., 280–281 Smart phones, 386, 391, 392–393 Smith, Adam, 50 Smith, S., 459 Snell, S., 89 Snowball sampling, 269 Social aspects of performance, 248–250 Social condition, defining, 270, 272 Social equity, 32, 55, 311–312, 460 Social networking, 396, 439–440 Social problem, defining, 270, 272 Social Security, 8, 10, 291, 307 Solid Waste Bureau (Baltimore), 236 South Carolina State Park Service, 333–334 Span of control, 57 Special assignments, 105 Special interests, 31, 152, 158 Specialization, 56–57, 227–229 Specialized structure, 227–229 Spoils system, 174 Stakeholder input in program evaluation,

266, 268–270 Stalker, G.M., 69 Stand and Deliver (film), 421 Standardized test scores, 233 State government, 4, 11–12, 204–208, 308,

384, 425, 429. See also Government Static citizen deliberation, 398 Static information dissemination, 397–398 Statistical quality control (SQC), 73–74 Statistically significant, 279 Stenberg, C., 460 Stevenson, Adlai, 161 Stone, Carl, 109 Strait, P.B., 356 Straphanger’s Campaign (New York City),

242–243 Strategic apex, 69–70, 74 Strategic approach to hiring, 93–104 Strategic leadership, 426–429 Street-level bureaucrats, 180–181 Structural theory, 69–72 Student Hurricane Network (SHN), 437 Style adaptability, 340 Style theory, 328, 330 Support staff, 69–70, 74 Supportive leadership, 335 Supportive relationships, 66 Surplus, budget, 291 Survey response fatigue, 261, 264 Surveys, 261, 262–263, 264, 267 Sustainability issues, 432 Swedlow, B., 311 Swine flu epidemic, 161 Swiss, J.E., 223, 228 SWOT (strength, weaknesses, opportunities,

and threats) analysis, 269–270 Systems theory, 72

T Taft Commission, 290 Taft, William Howard, 290 Tangible benefits of program, 280 Tariff Act (1922), 185 Task-oriented behavior, 328, 330 Task structure, 331–332, 335 Taxation, 4, 7–9, 19–20, 307–308, 309 Taylor, Frederick, 50–51, 64, 69, 72, 250 Teach for America, 438 Team environment, 330 Team managers, 330 Team mentality, 127 Team player approach, 89 Teamwork, 223–226 Technical experts, 68–69 Technology

AmericaSpeaks and, 400–401 broadband deployment mobility and

applications, 395–396 Champions of Regulations.gov, 400 chief information officer and, 380,

383–384 chief technology officer and, 383 384

489INDEX

computer pin mapping and, 236, 409–410 connected society and, 393–398, 400–410 convergence and, 391–393 cyberspace and, 380 databases and, 388–391 decision making and, 394 digital democracy and, 397–398, 398 digital divide and, 410 “Digital Natives” and, 393 geospatial information systems, 27,

389–391, 390 Global Positioning System, 390 governance and, 450, 464 470, 464, 465 government and, 396, 397, 401–402, 402 high-tech government and, 380–381 human resource management and, 89 innovation and, 391–393 integration of, 410 Internet, 394, 397, 463, 464, 465 knowledge management and, 388 miniaturization and, 392 Moore’s Law and, 392 network security and, 384–388, 386 online services and, 396–397 organization, 383–384, 402 personal digital assistants, 386 public interface and, 396–397 regionalism and, 394 regulations.gov and, 398, 399, 400 security and, 384–388, 386 service delivery and, 401–402, 404 shared services and, 394 smart phones, 386, 391, 392–393 social networking, 396, 439–440 three “Ds” and, 386–387 311 systems, 402–409 transparency and, 470 21st Century Town Meeting and, 401 voice over IP phone, 393

Technostructure, 69–70, 74 Teleological theories, 350 Temporary Assistance to Needy Families

(TANF), 202, 309 “Ten Point Readability Criteria” (NCPP),

456, 457 Tennessee Valley Authority (TVA), 177 Theory assessment, program, 270, 271,

274–275 Theory X, 65, 66, 113, 250, 321–322 Theory Y, 65, 66, 113–114, 250 Thompson, Dennis F., 350 Thompson, F., 90 Thor, Carl G., 233 311 systems, 402 409 Tierney, Joseph, 27 Time Committee study (2007), 30 Tocqueville, Alexis de, 418–419 Tomlin, Lily, 459

Torts, 192–194 Total quality management (TQM), 221–225,

228, 232 Tragedy of the budgetary commons, 310 Train service, 17 Trained incapacity, 59, 230 Training employees, 92, 220–221 Trait theory, 325, 328 Transformational leadership, 335, 337 Transparency, 450, 469–470 Treatment group, 278 Truman, Harry S., 322 Tuskegee Experiment, 353–354, 353 Twain, Mark, 349 21st Century Town Meeting, 401

U Understudy, 105 Unethical behaviors, 350–354, 354 United Nations Educational, Scientific and

Cultural Organization (UNESCO), 465 United States Agency for International

Development (USAID), 25–27, 25 United States Post Office, 17–18 Unity of command, 55–56 Unity of direction, 55–56 Urwick, Lyndall, 53, 56–58 U.S. Census Bureau, 383, 437 U.S. Constitution, 21, 79, 186–187, 189,

191–192, 194 U.S. Supreme Court, 184 194. See also

specific case USA Patriot Act, 149, 151

V Valuation, contingent, 280 Value system, 90 Values, 311 Van Dijk, Jan, 397 Vedung, Evert, 272 Vermeule, A., 470 Vertical teamwork, 224, 227 Veto power, 225 Vigoda, Eran, 459 Virtual private networks (VPN), 386 Voice over IP phone (VoIP), 393 Volunteering, 431, 434, 436–437 Vonk, Jeff, 425

W Walberg, Herbert J., 281 Waldo, Dwight, 59, 177 Walling case, 191–192 Walling, Jeremy David, 350

490 INDEX

Warren, Earl, 369 Warren, K., 181 Washington State’s Internet-based

participation initiatives, 226 Watergate Hotel break-in, 353, 365–366 Weber, Max, 29, 53, 59, 68, 354 Weeks, E.C., 244 Welch, Jack, 90, 119, 125 Welfare state, 176 Western Electric Company, 64 Whicker, M.L., 311 Whistleblowing, 367 368 Whitcomb, H.R., 193 White, Bryon, 177 White, Leonard, 31 White, O.E., 223, 229 Wholey, Joseph, 458 Wildavsky, Aaron B., 22, 298, 311 Williams, D., 453 Williams, Morgan, 437

Wilson, Ian, 268 Wilson, Woodrow, 31, 174–177 Wolf, J.E., 223, 229 Wolfowitz, Paul, 167 Woolcock, G., 450–452 Work environment, creating quality,

127–129, 131 Work teams, 127 Worker incentives, 61 62, 250 Workforce planning, 91. See also Employees Workload indicators, 453–454 Wrights case, 193 Wyman v. James (1971), 191–192

Z Zero-based budget (ZBB), 301, 302, 303,

303, 304, 305, 308–309 Ziglar, Zig, 91 Zinni, Anthony, 168

Cover
Title Page
Copyright Page
About the Authors
Preface
Table of Contents
Chapter 1 Public Administration: An Indispensable Part of Society

Government Requires Resources

What Do We Get for All of These Resources?
How Government Is Organized to Deliver Services
How Government Serves Others
What, Then, Is Public Administration?

Key Terms
References
Supplementary Readings
Electronic Resources
Case Studies

Chapter 2 Organizational Theory and Management

Theories of Managerial Efficiency

The Classical Management Movement
The Neo-Classical School
The Human Side of Organizational Management

Contemporary Organizational Theories

Structural Theory
Systems Theory
W. Edwards Deming and Japanese Management
Organizational Economic Theory
Organizational Culture
National Performance Review

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 3 Managing Human Resources

Human Resources Management

Productive Human Resource Management
Cultivating and Maintaining a High-Quality Diverse Workforce
Creating a Quality Work Environment

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 4 Public Decision Making

How Decisions Are Made

The Nature of Decision Making
Theoretical Models of Decision Making
Dysfunctions in Decision Making

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 5 Politics and Public Administration

The Intersection of Politics and Administration

Reform and Neutrality
The Reality of Bureaucratic Politics
Checking Bureaucratic Discretion

Key Terms
References
Supplementary Readings
Electronic Resources
Case Citations

Chapter 6 Intergovernmental Relations

The Layers of Government

The Idea of Federalism
Interlocal Shared Government
Improving Performance via Intragovernmental and Intergovernmental Competition

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 7 Public Performance

Improving Government Performance

The Importance of Knowledge Sharing and Training
Total Quality Management: Customer Focus and Responsive Public Organizations
Issues in Organizational Responsiveness
Measuring Performance to Improve Performance
The Role of Privatization in Government Performance

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 8 Program Evaluation

What is Program Evaluation?

How to Collect Empirical Data
Conducting Evaluations and the Importance of Stakeholders
Ethical Concerns

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 9 Public Budgeting

Budgeting Process

The Federal Budget Process
Types of Budgets
Where Do Governments Get This Money?
Theories of Budgeting

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 10 Public-Sector Leadership

Leading People

Management Functions
Prevailing Leadership Theories
Types of Leadership Power

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 11 Ethics and Public Administration

Administrative Ethics

What Are Ethics?
Bureaucracy and Ethics
Formal Rules and Bureaucratic Discretion

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 12 Technology and Public Administration

High Tech Government

Technology Organization
The Network and Its Security
Knowledge Management
The Basics: Database Evolution
Convergence and Innovation
The Connected Society: Trends and Opportunities Facing Public Managers

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 13 Public Service and Popular Culture

Public Servants

The Image of the Public Servant
The Real Public Servant
Capturing the Attention of Youth
Public Information
Networks and Professional Organizations

Key Terms
References
Supplementary Readings
Electronic Resources

Chapter 14 The Future of Public Administration

The Evolution of Public Administration

Governance Networks
Performance Measurement
Citizen Participation
Globalization: The Internationalization of Public Administration
E-Governance
Transparency

Key Terms
References
Supplementary Readings
Electronic Resources
Case Studies

Index