Introduction to Public Administration Politics--

ICP 186
 ICP 186: Week 1
Public Administration (PA)
• Public administration may be defined as all processes,
organizations, and individuals, acting in official positions
associated with carrying out laws and other rules
adopted --or issues by legislatures, executives, and
courts (many activities are concerned with formulation
of these rules)
• Public administration is also a field of academic study
and professional training leading to public-service at all
levels of government.
• Public administration largely focuses on implementation
and not public policymaking
 The Evolution of Public Administration
• Public administration as a field, developed through four
stages:
• From 1887 through 1915- the assertion that administration
plays a central role in government;
• 1915 through 1940- the era of Scientific Management—
(e.g., Frederick W. Taylor’s Scientific Theory –industrial
revolution)
• 1940 through 1969—a period of critical examination; and
• from 1969 to present—a generation of Centrifugal forces
(kettl,1993).
• Scholars had different points of view on the subject of PA
 The Evolution of Public Administration
contd
• Woodrow Wilson was the first to accord importance
to the science of public administration.
• The modern study of public administration can be
traced back to the Progressive Era—from Woodrow
Wilson article, “The Study of Administration” (1887).
• In his article, Wilson tried to establish PA as an
important field in its own right, by drawing a line
between administration and politics- a distinction
that has guided the study and practice of public
administration.
 The Evolution of Public Administration
contd.
• Luther Gulick and Lyndall Urwick’s papers on the
science administration, published in 1937, defined
seven principles of Public Administration:
Planning, Organizing, Staffing, Directing,
Coordinating, Reporting, and Budgeting.
• They are collectively known as POSDCORB
• Public administration today is a large and highly
complex enterprise made up of thousands of smaller
units that encompass the everyday activities of literally
missions of citizens and government employees.
 Terms
Bureaucracy

• Bureaucracy is a formal organizational arrangement characterized by

division of labor, job specification with no functional overlap, exercise of
authority through a vertical hierarchy (chain of command), and a system of
internal rules, regulations, and record keeping.
• Because much of public management in American government occur s
within bureaucratic structures, there is a tendency to use bureaucracy as
another term for PA or public management—see p. 5.
• The growth and reduction of government activity and public bureaucracy
are among the most significant social phenomena of recent decades.
• The composition, mission, size of bureaucracy have become the subject of
considerable discussion among citizens, scholars, and practitioners.
• However, many politicians have ran successfully against American
bureaucracy.
•
 Terms contd
• Discretionary authority:
• Power is defined according to a legal institutional
framework and vested in a formal structure (e.g., a nation,
organization, profession, or the like).
• Power is exercised through recognized, legitimate
channels.
• The ability of individual administrators in a bureaucracy to
make significant choices affecting management and
operation of programs for which they are responsible.
• Discretionary authority is particularly evident in a system
of separation of powers—e.g., USA, Great Britain
 Terms contd
• Entrepreneurial government emphasizes
productivity management, measurable
performance, privatization, and change.
President Clinton argued for a shift from top-
down bureaucracy to entrepreneurial
government that generates change from the
bottom and reward people and ideas that
work.
 Terms contd
Stakeholders
• Bureaucrats, elected officials, groups of
citizens, and organized and unorganized
interests affected by the decisions of federal,
state, and local governments
• Stakeholders also imply those having a stake in
the outcome of public policies; see also
interest groups, issue networks, subsystem.
 Terms contd
• Public Management
• Is a field of practice and study central to public administration that
emphasizes internal operations of public agencies and focuses on
managerial concerns related to control and direction, such as planning,
organizational maintenance, information systems, budgeting, personnel
management, performance evaluation, and productivity management.

• Reverse pyramid
• Unlike the traditional top-down bureaucratic chain of command, this
conception envisions a reverse pyramid with line workers responsive to
the customers of public service organizations, and managers at the base
of the triangle, supporting the frontline employees.
 Politics, Policies, and Organizational structure

• There is a relationship between politics, policies and organizational

structure because politics could trigger an impact in the design and
formulation of public policies.
• The organizational structure (structural arrangement) backed by
powerful political figures or interest groups can also generate and
promote certain interests or policies or program change.
• For example, in highlighting the importance and concern of the American
military veterans, former president G.W. Bush created the Department of
Veteran affairs in March 1989
• Similarly, recognizing the rights of the disabled, elderly, and retired
Americans, Bill Clinton separated the Social Security Administration
from the Department of Health and Human Services.
• In effect, social security Administration was protected from future
presidents.
 The Dynamics of Policy Making in the US

• Governmental power and authority in America are, by design, highly

fragmented and scattered by the framers of the US Constitution—to prevent
excessive concentration of powers.
• Checks and Balances—power divided among different branches of the
government. This horizontal division of power is called checks and balances.
• Power Vacuums—many power vacuums exist in the decision making process.
• Formal governmental power is not only fragmented, but, there
are opportunities to influence policy making as well—e.g., Interest groups
do take advantage.
• Public policies are generally carried out by the executive, legislature, the
judiciary—Iron triangle (subsystem), stage approach etc
• Top executives are not always able to command the civilian bureaucracy to
act
 Terms
• Bureaucratic Neutrality—carrying out directives of institutions of
government( such as chief executive or a legislature) in a politically neutral
way, without acting as a political force its own right.
• Legislative Intent
• This implies the goals, purposes and objectives of a legislative body—its
goals or purposes may change.
• Bureaucracies are assumed to follow legislature in implementing laws
• Oversights
• The process by which a legislative body supervises or oversees the work of
bureaucracy in order to ensure its conformity with legislative intent.
• Parliamentary form government—
• A form of government practiced in most democratic states such as France,
Germany, and UK.
•
 Growth of Government of Bureaucracy (growth of
public administrative functions) in the US—Four
factors account for it
• 1. Dating back to the 1800s, technological complexity
gradually exceeded the capacities of legislative bodies
and political generalists to cope--Specialized
bureaucracies became more necessary to discharge
government responsibilities
• 2. Public pressures helped create a diversified and
responsive bureaucracy—
E.g., bureaucrats to respond promptly to economic and
political interests—(clientelism)-e.g. USDA working with
farm groups, or Commerce working with business
groups to resolve issues
 Growth of Government of Bureaucracy (growth of
public administrative functions) in the US—Four
factors account for it (Contd)
• 3. Rooted in the disciplines of economic and international relations,
the third explanations argues that governmental responses to crisis
situations (such as economic depression or military conflicts) cause
government revenues and expenditures to move sharply upward.
• Essentially, crisis circumstances usually prompt bureaucratic (and
budgetary) growth—e.g., with the 9/11 attacks, the Bush
administration quickly created the Department of Homeland Security
to improve intelligence and prevent furthers acts of terrorism.
• 4. Regulations--Since the 1800s came the growth of larger economic
and industrial sectors and the need for regulations—and such needs
called for more government bureaucracies.
 Social Change and Public Administration

• Several social -demographic changes in the past 60 years

have shaped contemporary public administration-How?
e.g., increased need for more public services
• Social-demographic changes (shifts in the population and
economies of various regions) impact the delivery of
public services.
• Information Technology (IT) refers to the use of computers,
local area network (LAN) systems, the World Wide Web,
and the Internet to improve the delivery of government
services and enhance the capacity of individuals and
organizations to communicate and gather information.
 Social Change and Public Administration
(contd)
• Technological Change—rapidly emerging patterns of change
(related in part to the knowledge revolution) in communication,
medical and transportation technologies.
• Knowledge Revolution-
A global social phenomenon of the past 40 years, particularly in
Western Industrial nations, creating new technologies in vast areas
of research and education.
• E-Gov---An important outgrowth in this area within the public sector
is the emergence of e-gov, which integrates disparate data sources
into one-stop Web “portal” to improve access to information and
facilitate communication between government agencies and
businesses, citizens, and other consumers.
•
Similarities and Differences in Public and Private Sector Administration

• There are many similarities in administrative activities between the

public and private sectors
• Many elements of public administration are rooted in the private sector.
• Some observers contend that what works well in one setting will equally
work effectively in the other
• For example, they suggest government should be operate as business
organizations, provide public services equal to the best in business, bring
sound management methods from business into government.
• In both settings, managers are concerned with meeting staffing needs,
motivating subordinates, obtaining financing, and conducting operations
to promote the survival and maximum impact of their programs. Both
operate in a political environment.
•
 Similarities and Differences in Public and
Private Sector Administration (contd)
• In terms of difference, in the private sector, products or services are
furnished to individuals based on their own needs or wants in exchange
for direct payment.
• In the public sector, however, the goal of manager has to do with
operating programs or provide services on a collective basis (rather than
directly to individuals)
• Another key difference is that private organizations define their markets
and set their broad goals, while the public sectors are obligated to
pursue goals set by their legislatures.
• Also, while private organizations can use internal measure (bottom line
of profit or loss) to evaluate their organization performance, public
sectors managers are evaluated by outside forces (especially the
legislature, the chief executive, the courts, and often the general public).
 Similarities and Differences in Public and Private Sector Administration
(contd)

• Many public organizations hold virtual monopoly in providing

certain essential public services, and consequently, have been able
to survive without the highest quality service.
• In contrast to narrowly focused profit-oriented private sector
organizations with a focus on maximizing profit, there often
conflicting incentives among public sector workers, elected
representatives, citizens and other administrative supervisors and
leaders.
• Another key difference here is that public organizations suffer from
diffuse responsibility, absence of accountability for decisions made.
• There is also separation of powers among the branches of
governments, and problems generally associated with federalism or
fragmented governmental system often exist.
 Similarities and Differences in Public and
Private Sector Administration (contd)
• Both private and public sectors are increasingly becoming
interdependent on each other.
• For example, multi-billon dollar bailout of failed savings and loan
institutions in the 1990s, and the recently multi-billion dollar bailout
of auto companies and banks by the Obama administration are good
examples of such partnership.
• Governments all over the world have been asked to do more with
less resources.
• To provide effective services, some governments have experimented
with network system, privatization, as well as partnerships and
direct delivery of services through faith-based and not-profit
organizations.
•
 Principal Structures of the National Executive

• The US govt constitutes three main branches- the executive, judiciary, and
the legislature
• The Executive has 15 Departments—e.g., there are Departments of State,
Defense, Commerce Homeland Security, Health and Human Services,
Agriculture, etc.
• Of all departments, the Department of Homeland Security is the newest
one, created by President Bush in the aftermath of 9/11 attacks to
improve intelligence and to prevent further terrorism in the US
• The Executive Office of the President has the Office of Management and
Budgeting—OMB is responsible for assembling executive-branch budget
requests, coordinating programs, developing executive talents and
supervising program management processes in national government
agencies.
•
 State and Local Government Structures

• States and larger local governments resemble national

government in terms of composition and organization of
their executive-branch agencies
• Most states have numerous cabinet departments
• There are about 88,000 governments in the US, with the
exception of states and federal governments.
• The 88,000 simply comprise local governments, cities,
counties, and school districts

•
 ICP 186-Week 2
Public Administration (PA), Democracy, and Bureaucratic Power

Public Administration, Bureaucrats are

influenced or affected by the following:
• Broader economic, social, governmental
processes
• Constitutional allocation of political power
• Exercise of discretionary authority
• Roles of judges, elected officials, and
appointed administrators, etc.
Because PA, Democracy and Bureaucratic powers are influenced by the factors stated above,
we have:

• Governmental system is being reshaped or

influenced by society’s values and beliefs
(both past and present).
• Social setting of government (social
environment), including society’s basic values
affect how governments are run.
• Extent of popular agreement
 Because PA, Democracy and Bureaucratic
powers are influenced by the factors stated
above, we have: contd
• Conflicting values creating demands and
expectations—e.g., governments can resolve
these issues
• PA has been affected by changes in values
• Values change over time
• There is renewed interest in democratic
values—e.g., public trust, responsiveness and
popular control of government institutions
 Clear distinctions between Political values and
Administrative values—See table 2-1, page 53 for class
discussion
• Political values refers to basic beliefs and
assumptions about politics, political systems,
appropriate government relationships to private
activity (e.g., economic activity)
• The US is regarded as liberal democracy and
economically as a capitalist system.
• Liberal democracy is a fundamental form of
political system or arrangements founded on the
concepts of popular sovereignty and limited
government
 Clear distinctions between Political values and
Administrative values—See table 2-1, page 53 for class
discussion contd
• Capitalist system is an economic system in which the
means of production are owned by private citizens
• Popular sovereignty and limited government are central to
the notion of liberal democracy
• Popular sovereignty –implies government consent of the
governed---some degree of popular participation in voting
and other political actions
• Limited government –devices or mechanisms built into the
constitution that effectively limit the power of
government over individuals
•
 Terms:
• Judicial review, Individualism, Pluralism,
Affirmative Action, Due Process of Law,
Representative democracy, Participatory
democracy (direct involvement by affected citizens)
See pp. 54-61
• Due Process of Law—guarantees made available
by the judicial system to protect individuals from
unfair or unconstitutional actions by private
arrangements and government.
•
Two Assumptions linking Capitalism to Political Values
of limited government, individualism, and pluralism
are:
• The individual is assumed to be both self-sufficient and
capable of being self-governing
• The individual is thought to be better off politically and
economically if government intervention is restricted
Distinctions between Pluralist Democracy and
Administrative Efficiency
• Political Scientist Douglas Yates distinguishes between the
above two models or values—see p. 61 for class
discussion
• Read and Comment on Ethical and Leadership Challenges
for Public Managers—See box 2-1, page 62.
 Democracy requires the following:
Sect 1 Ends
• Citizen participation in decision making
• A free press and uncensored mass media to hold
government accountable
• An independent Judiciary
• Freedom of expression
• Regular, free elections to encourage participation and
political accountability
• Requirements for political participation have changed since
1830s and1960s in the US.
• A critical requirement among other factors is 18 yr
requirement
Factors or challenges affecting the maintenance of Democratic Norms and Practices- Sect
2 begins

• 1. Citizen participation ***

• 2. Bureaucratic representativeness—delegating
role or trustee role
• 3. Bureaucratic responsiveness ****
• 4. Administrative effectiveness as a possible threat
to personal freedom—overzealous implementation
of mandates by agencies or bureaucrats
 Specific purposes of Citizen Participation:

• Provide information to citizen

• Receive information from or about citizen
• Improve public decision processes, programs
• Enhance public acceptance of governmental activities
• Alter patterns of political power and resource
allocation
• Protect individual and minority group rights and
interests
• Delay or avoid difficult policy decisions
•
 Bureaucratic Responsiveness—how it could affect
maintenance of democratic Norms and Practices

• Responsiveness largely depend on people’s assumptions

about what is and what should constitute the conduct of the
government and public policy making
• Responsiveness requires meaningful access to the right
decision makers and legitimate opportunity to be heard
• Government/agencies to respond to potential emergencies,
ongoing policy or program demands to meet the new threats
• However, there are two constraints to bureaucratic
Responsiveness:
• Public expectations---to be realistic, reasonable and
manageable
• Government agencies cannot respond equally to all societal
interests
Policy Subsystem or Subsystem or sometimes called Iron Triangle

• Subsystem is defined as a political alliance

uniting some members of administrative
agency, congressional committee, or
subcommittee, and an interest group with
shared values and preferences in the
substantive area of public-policy making.
• See figure 2-2, p. 89 for illustration
 Why Subsystem?

• Subsystem activities tend to remain behind the

scenes
• Policy decisions are reached in a friendly, quiet, and
cooperative way among interested and influential
persons.
• Many of their decisions turned out to be key factors
in policy making
• Bureaucrats derived adequate support and benefits
from those within (congress) and outside
government (Interest groups)
 Why Subsystem? contd

• Subsystem is usually able to dominate policymaking

area, unless challenged by the media, other
subsystem, or, perhaps the President.
• An example of a subsystem is the following: a Medical
Industrial Complex- composed of medical doctors,
hospitals, insurance companies, pharmaceutical and
medical equipment manufacturers, the US
Department of Health and Human Services staff, and
influential members of the Houses and Senate, etc.
 Differences between Subsystems and Issue Networks

• Subsystem politics has been around since the late

1950s
• Issue networks is a new phenomena, a recent
development
• Issue Networks, like the subsystem involve a
number of political actors working jointly to
influence the course of policy making
• Unlike the subsystems, issue networks are more
open and fluid groupings of individuals both from
within and outside government
Differences between Subsystems and Issue
Networks (contd)
• According to Political Scientist Hugh Heclo, issue
network is a shared-knowledge group having to
do with some aspect (or problem) of public policy.
• Issue Network lack the degree of permanence,
commonality of interests, and internal cohesion
characteristics of the subsystem.
• Issue Network is a floating network that exist only
when a policy question emerges that activates a
wide range of interests
Differences between Subsystems and Issue
Networks (contd)
• Members of the Issue network may not deal with one another
on regular basis outside their network contacts
• Members of Issue network may not agree on the nature of the
policy problem or on policy solution
• In all of the above ways, Issue Network is different from
subsystem with one exception—both systems are interested in
influencing public policies.
• Examples of Issue networks are: various groups and public
officials involve in specific policies, such as those dealing with
AIDs research, and these groups could imply University medical
research departments, US Public Health Services personnel,
nutrition experts, and gay organizations. Week 2 ends
 Week 3 Federalism and Intergovernmental Relations

• Federal implies the formal relationship

among different levels of government and
various qualities or characteristics of those
relationships.
• Federalism is a constitutional division of
governmental power between a central or
national government and regional
governmental units (states) with each having
some independent authority over its citizens.
 Why Federalism?

• The original rationale for establishing federalism in

the US was to prevent the concentration of power
and misuse of power by a strong national
government.
• States were viewed as counterweights and
protectors of individual liberties against national
government
• Under the US Constitution, the powers of all
governments are drawn from the sovereign
people and exercised concurrently.
 Why Federalism?contd
• Federalism is also explicitly political arrangement in the
sense that it relates to how power in a governmental
system is distributed, structured, and exercised, that is:
• A federal system is designed to restrain and counteract
centralized power through multiple centers where
decisions are made.

• Federalism has an increasingly federal

fiscal/administrative dimensions.
•
 Intergovernmental Relations (IGR):
The Action of Federalism

• Intergovernmental relations refers to an important

body of activities or interactions occurring
between governmental units of all types and levels
with the US federal system.
• Intergovernmental relations is a relatively new term
that has been in use in the past 75 years.
• According to political scientist Deil Wright,
Intergovernmental relations embrace “all the
permutations and combinations of relations
among the units of government in our system.”
 Intergovernmental Relations (IGR):
The Action of Federalism (contd)
• Intergovernmental relations entails relationship
between national-state and interstate relations,
national-local, , state-local, interlocal relations
• National-state and interstate relations are areas
traditionally emphasized in the study of federalism.
• The consequences of intergovernmental relations
are often unpredictable and decision making is
hidden from public view. Why?
 Intergovernmental Relations (IGR):
The Action of Federalism (contd)
• There is no direct electorate and decisions shift
from year to year with no particular direction
• There is no policy-making body, no executive,
no legislative, and no judiciary to oversee
billions of dollars transferred to states and local
governments from the federal government.
• Consequently, this lack of consistency leads to
considerable inequalities in the distribution of
federal money to states and cities. Sect 1 ends
 Intergovernmental Relations (IGR):
The Action of Federalism (contd)
• Individual actions and attitudes of elected and appointed
officials determine what kinds of relations that exist
between units of government.
• IGR not only refers only to occasional interactions, single
contacts, or formal agreements.
• Instead, IGR is a continuous series of informal contacts and
exchanges of information and views among governmental
officials designed to solving shared multi-governmental
problem.
• All policy areas have an intergovernmental dimension.
• Sect 1 ends
 Intergovernmental Relations (IGR):
The Action of Federalism (contd)
• Some policy areas are totally the product of shared policy
formulation, implementation, or, financing.
• Examples of policy areas involving IGR are homeland security, air
and water pollution control, criminal justice, agriculture,
education—No Child Left Behind Act (NCLB) See table 3-2, page
146
• Government officials do not always agree with one another on all
or even most major aspects of a problem.
• IGR can be cooperative, competitive, conflicting; or a
combination of all three and still be IGR—See Table 3-1, page 126
• IGR also involves public and private, government, non-
governmental, officials at all levels.
 Intergovernmental Relations (IGR):
The Action of Federalism (contd)
• IGR also entails public functions of
organizations not formally part of any
government (voluntary action groups, civic
organizations, the United Way, etc.)
• In Federalism, decisions are fragmented
rather than comprehensive because actions
in the federal system are often taken on
selected parts of a general problem rather
than on the total problem.
 The Supreme Court and Intergovernmental Relations.

• The US government, especially the Supreme

Court has played an active role in shaping
federalism in the past 60 years, especially in
the 1990s
• Both national and state judiciaries have been
called on to resolve federalism –related issues.
• The Supreme Court has handed out rulings
directly affecting the authority of the state and
national government.
 Intergovernmental Relations (IGR):
The Action of Federalism (contd)
• Much of such rulings have favored the state
authorities rather than national authority and citizen.
• The Supreme Court has curbed congressional power
under the interstate commerce clause and limited
congressional legislative authority to protect minority
groups under Sect 5 of the 14th Amendment..
• Thus, the Supreme Court has handed out decisions
dealing with age and gender discrimination, handgun
control, minimum wage, civil rights, etc.
•
 Prospects and Issues in Intergovernment
Relations (IGR)
• Intergovernmental regulations affect Intergovernmental Relations
• Intergovernmental regulations have become part of IGR
• Intergovernmental regulations have become numerous since the 1960s
• Intergovernmental regulations, enacted as part of national gov’t. bureaucracies
were designed to direct implementation of grant assistance programs.
• Devolution-is an another issue area affecting IGR
• Devolution is a process of transferring or shifting of governmental authority
from national government to state and local governments
• However, evidence indicates that devolution has not taken hold as its
supporters hoped it would.
• Regulatory federalism is an approach to IGR under which federal agencies use
regulations as opposed to grants to influence state and local governments –see
table-3-2, p.146.
 Intergovernmental Relations and PA
• PA has been altered by rapid changes in intergovernmental relations
—for example,
• Political influence termed subsystem politics has been extended
into intergovermental politics.
• Fiscal relations, especially financial difficulties of some American
governments (states and local governments) is a concern of Public
Administration.
• Control over grants/aid and other funding, e.g., bureaucratic
controls--flow of money from one level of govt to the other is
another concern to PA.
• Other emerging patterns include a decline in grant-related issues, a
rise in intergovernmental regulations, and the key role of the
courts in resolving federal-related questions
 ICP 186 --Week 4
Organizational Theory

• Organizational Theory focuses on the formal structure,

internal workings, and external environments of
complex human behavior within organization.
• The formal study of organization spans the fields of
business administration, economics, political science,
psychology, statistics, sociology, and public
administration.
• The formal study of organizations has evolved over a
century
• Organizational theories can be distinguished in terms of
their areas of focus or emphasis, or assumption
 Organizational Theory (Contd)
• While some organizational theories
concentrate on the needs, objectives,
methods, problems, and values of
management, others examine the social
needs, and values of workers within the
organizations.
• Some theories overlap to an extent, sharing
certain values and viewpoints while differing
significantly in other respects.
 Organizational Theory (Contd
Formal Theories of Organization:
• Max Weber’s theory of bureaucracy
• Frederick Taylor’s Scientific Management Approach
Other Organizational theories:
• Human Relations Movement of Elton Mayo
• Douglas McGregor’s Theory X and Theory Y
• Abraham Maslow Hierarchy of Needs
• Total Quality Management
 Max Weber (1864-1920)and the Bureaucratic Model

• Weber’s model was intended to identify the

components of a well-structured government
bureaucracy
• The key elements of Weber’s model include:
• 1. Division of labor and functional specialization
divided into type and purpose designed to
• eliminate overlapping duplication.
• 2. Hierarchy—a clear vertical chain of command in
which each unit is subordinate to the above it and
superior to the one below it
 Max Weber (1864-1920)and the
Bureaucratic Model (contd)
• 3. Formal framework of rules and procedures
—designed to ensure stability, predictability,
impersonality in bureaucratic organizations
• 4. Maintenance of files and other records
• 5. Professionalism—employees are appointed
and not elected on the basis of qualifications
and job-related skills
 Max Weber (1864-1920)and the
Bureaucratic Model (contd)
• At the heart of Weber’s model are:
• To ensure optimum degree of control in an
organization—rules, procedures and exercise
of authority
• Preoccupation with encouraging uniformity
rather permitting diversity in values and in
behavior
• To minimize functional overlap
Frederick Winslow Taylor (1856-1915) Theory of Scientific Management

• Marked the beginning of the managerial

tradition in organizational theory
• Taylor’s theory was designed to assist private-
sector managers in their search for effective
and efficient productive practices
• Unlike, Weber, Taylor focused on private
industry and prescribed a “science” of
management that incorporated specific steps
and procedures for implementation
 Frederick Winslow Taylor (1856-1915)
Theory of Scientific Management (contd)
Key underlying values are:
• Efficiency
• Rationality—in the work procedures
• Productivity—to generate highest productivity
• Profit
• Science-based
 The Human Relations Movement of Elton Mayo (1927-1932)

• Revealed the importance of non-economic incentives and motivations

on the job, in contrast to the rational economic assumptions of formal
theories
• The Human Relations School founded in the 1920s by Elton Mayo and
his associates was as a result of his 20-year experiment at Western
Electric plant in Chicago.
• It was established to counter and replace the scientific movement of
Taylor and his associates that predominately focus exclusively on
improving production and technological methods.
• The Human relations camp argued that it was essential and beneficial
not to only find the most appropriate technology and methods for the
improvement of the production but to
• also focus on the relevance of human factor in an organization setting.
 The Human Relations Movement of Elton
Mayo (1927-1932) contd
• They also contend that the interpersonal relations were the
real power centers that developed within the working groups
and that human feelings and attitudes which was absent in the
scientific movement should be taken into consideration
• Among other attributes was the facilitation of cooperative goal
attainment for workers while providing opportunity for
employee personal growth and development.
• While the Scientific movement emphasized a concern for task
(output), the human relations movement emphasized a
concern for relationship (people).
• Criticisms--it was too idealistic in trying to remove any form of
conflict from the organization (Simon, 1958).
 Organizational Humanism model
• Key assumptions:
• Work hold some intrinsic interests that would
itself serve to motivate the worker to perform well
• Workers seek satisfaction in the work they do
• That people want to work rather than avoid it
• People can be motivated through systems of
positive incentives, such as participation in
decision-making and public recognition of the
work well done
 Douglas McGregor’ s Theory X and Theory Y ---Sect 1 Ends

• Theory X model advocates organizational behavior

that assumes that workers need to be motivated by
extrinsic (external ) rewards or sanctions
(punishment); that people are lazy and do not like to
work
• Theory Y model organizational behavior stresses
self-motivation, participation and intrinsic) internal
job rewards.
• See table-4-1 , page 171 for Theory X and Theory Y
• Sect 1 ends
 Abraham Maslow’s Hierarchy of Needs

• A psychological concept formulated by Abraham Maslow

that contends that workers have different kinds of needs
that must be satisfied in sequence—basic survival needs,
job security, social needs, ego needs and personal
fulfillment in the job
• The first level of needs are: physiological needs—foods,
shelter and the basic for survival
• The second level of needs are: safety, security needs,
continued employment
• The third level of needs: Social needs—sense of belonging,
group acceptance, supportive interpersonal relationship
 Abraham Maslow’s Hierarchy of Needs
(contd)
• Fourth level—Self-esteem Needs—accomplishment
in one’s work and public recognition, private praise,
private criticism
• Fifth level (Highest level)- Self actualization—
feelings of personal accomplishment, resulting
from independence, creativity, responsibility for
job performance (see figure 4-1, page 172)
• Maslow acknowledged that not all employees
would be motivated by the same essential needs
and interactions
 Abraham Maslow’s Hierarchy of Needs
(contd)
Criticism of Maslow’s Hierarchy of Needs
• Different workers have widely varying needs
and no single approach could successfully
meet all of them.
• While some workers need direction, and not
independence, others seek informality, job
centeredness, and independence on the job.
•
 Modern Organization Theory

• Is a body theory that emphasize empirical examination of

organizational behavior, interdisciplinary research
employing varied approaches, and attempts to arrive at
generalizations applicable to many different kinds of
organizations.
• 1. Separate facts from values and study organization
behavior empirically; Minimize the impact of organization
values
• 2. Make use of previously unavailable empirical research
methods-e.g., -statistics, information retrieval system, etc.,
to allow for more sophisticated insights into operation of
organization
 Modern Organization Theory (contd)

• 3. Modern organization theory is constructed on an

interdisciplinary basis
• 4. Modern organization theory attempts to
generalize about organizations in terms of broadly
encompassing many different kinds of enterprises.
• 5. Modern organization theory was pioneered by
John Pfiffner and Frank Sherwood
•
• Theory Z—see page 177, and table 4-3 on page 179
for its key elements;
 Communication: Formal and Informal

• See page 182 for Formal and Communication

and its elements
• See page 183 for Informal communication and
its elements
 Centralization and Decentralization (see page 192)

Centralization—An organizational pattern focusing on

concentrating power at the top
• Key elements—
• facilitates control, accountability, consistency
• Communication and coordination becomes one-way street
• Traditional management approach
• Exercise of power in the interest of economy, efficiency, or
effectiveness
• All essential decision and implementation concentrates at the
top of hierarchy
• Some entities still function in this way
• Many other organizations including private and public do not-
Why?
 Decentralization

• An organizational pattern focused on

distributing power broadly within an
organization
• Employee’s input encouraged
• Most employees seek larger voice in
organizational affairs
Significance of Centralization and
Decentralization (see pages 193-194)
•
 Tall versus Flat Hierarchies

• Significance of Tall versus Flat Hierarchies—

see page 196--197
• Tall hierarchy i
 Total Quality Management (TQM) See page 179-180 for key characteristics

• Developed in the mid 1940s by Americans Dr.

W. Edward Deming and Joseph M. Juran, Total
Quality Management is a management style
that integrates all functions of a business to
achieve a high quality product.
• The central hall-marks are customer
satisfaction, quality as the responsibility of
all employees, and teamwork—to improve
organizational effectiveness.
 Total Quality Management (TQM) See page
179-180 for key characteristics (contd)
• As an integrated method, TQM involves every aspect of
the company.
• The entire workforce, from the CEO to the line worker,
must be involved in a shared commitment to improving
quality.
• TQM encourages employees to grow and learn
and to participate in improvement of service or product
line, so, it exemplifies a participative management style.
• TQM also encourages a continuous process, and
emphasizes the ideas of working constantly toward
improved quality.
Total Quality Management (TQM) See page 179-180
for key characteristics (contd)
• Dr. Deming and Mr. Juran, the pioneers of the quality
movement did most of their work in post-World II
Japan, and were credited with the major turnaround
in the quality of Japanese products by 1970s.
• In the 1970s and 1980s, many American companies,
including Ford, IBM and others adopted Dr. Deming’s
principles of Total Quality Management.
• Although TQM gained its prominence in the private
sector, in recent years it has not been adopted by
some public organizations.
 ICP 186-Week 4
Organizational Theory
• Early forms of organization system began as
hunting, and raising families.
• Early forms organization started from the ancient
and medieval times including those from great
civilizations of the Egyptians, Indians, Creeks and
Romans.
• Essentially, the beginning of factory system in the
18th century gave birth to complex economic
organizations and subsequently the study of
organization theory.
 Week 5 -- ICP 186
Decision Making in Administration

• Making decision is fundamental to public administration

• How decisions are made in a bureaucracy by whom, by
what standards, at what cost and for whose benefits are
questions of continuing interests and controversy
• The substance of decisions, the procedures by which
they are made and applied leave a lasting imprint on
administrative politics
• Decision makers face difficult problems, particularly in
a social and political environments filled with
uncertainty and change.
 The General Nature of Bureaucratic Decision

Organizational decision making involves:

• making choices to alter an existing condition,
• choosing one course of action over the others,
• expending some amount of organizational
assets or individual resources to implement
the decisions, and
• acting with the expectation of gaining results
 The General Nature of Bureaucratic
Decision-contd
• Some decisions are made to maintain the status quo
(leave things as they are rather than changing it)
• Decision is not a single, self-contained event,
• Rather, decision is the product of a complex social
process generally extending over a period of time
• Decision makers select the most appropriate action
to achieving desired results or objectives
• Deciding what is most appropriate, however, is
often difficult
 The General Nature of Bureaucratic
Decision-contd
• There is always uncertainty to the eventual outcome of a
decision
• As a result, there is a degree of risk is involved in implementing
that decision
• Great majority of all decisions are more or less routine and
based on previous adopted policy
• However, there are times when certain decisions are not made
on routine basis- dramatic change—Punctuated Equilibrium
Theory (Baumgartner and Jones , 1993)
• Routine decisions have the advantage of requiring little time or
mental energy to make
• Routine decisions can be made according to regular schedule.
 Concerns Central to the Decision Making Process

• Increasing potential gains

• Monitoring the ongoing decisional process
• Reducing the resource expenditure,
uncertainty and risk involved in achieving
gains made
 Approaches to Decision Making: Concepts and Controversies

• Decision making models applicable to

administrative organizations are derived from
a variety of disciplines—economics,
philosophy, and political science
• Debates about how decisions should be made
are marked by intense disagreement—
• while some advocate for statistical techniques,
using quantitative data, others stressed for
critical thinking approach
 Decision making Models

Rationality in Decision Making: the Classical Economic

Model
• Derived from economic models of decision making that
contends decision makers are constantly rational—that
behavior is directed at achieving a goal
• That the concept of efficiency entails maximizing output
using the least possible input of scarce resources
• Cost benefit analysis (cost benefit ration)—does the
benefit outweigh the cost?—see page 210
• Emphasis on long-term consequences at the expense of
short-term changes
 Criticism of the Rational Model

• 1. Rational model lacks practical applicability

outside the realm of economic theory
• 2. Rational model is less desirable than other
models, especially for public organizations
• 3. Rational model requires activities and
calculations that are not relevant and possible
in decision making processes.
 Incrementalism model

• Emphasizes decision making on incremental

basis—through a series of limited successive
comparisons with narrow range of alternative
rather than a comprehensive range
• Uses status quo, not abstract goals as key
point of reference for decision
• Focuses on short-term rather than long-term
effects
 Incrementalism model contd - End sect 1

• It has practical advantage for public administrators

as they deal with executive orders or legislative
requirements that often are ambiguous
• Charles Lindblom, is the leading spokesman for the
incrementalism approach
• According Lindblom, making continual incremental
adjustments in both in the definition of a problem
and the formulation of solutions is a reasonable and
effective method of solving problems and making
decisions. End sect. 1
 Critique of Incrementalism Approach

• Marginal changes acceptable to incrementalists

may not suffice to meet real and growing policy
demands—that as policy needs change, decision
makers have to come up with bolder innovations
• Incrementalists tend to focus solely or primarily on
small scale changes designed to meet disjointed
and short-run needs.
• With a too much focus on small-scale changes, they
are likely to overlook larger needs and demands or
policy areas
 Critique of Incrementalism Approach
• Incrementalism encourages the maintenance of status
quo—tend to trigger a negative impact on certain policy
community
• It focuses on short-term rather than long-term effects
• Yehezkel Dor, a critique of Lindblom and the
incrementalism approach offered an alternative approach-
labeled the mixed scanning—a combination of both
rational-comprehensive and incremental approaches
• See page 214 for mixed scanning model.
Differences between Rational and Incrementalism models

• Whereas Rationalists attempt to maximize benefits in all

phases of decision making
• Incrementalist try to satisfice (to reach a decision that is
satisfactory, yielding benefits to meet the needs of the
decision maker)
• Rationalists maintain it is rational to expect successes
every time decision is made because not doing so
increases risk
• Incrementalist emphasizes short-term needs and
problems while rational model focuses mainly on long-
term consequences
 Groupthink---Model --a decision making approach

• Is defined by psychologist Irving Janis as a

mode of thinking that people engage in when
they are deeply involved in a cohesive in-
group, when members striving for unanimity
override their motivation to realistically
appraise alternative course of action.
 Groupthink---Model --a decision making
approach- contd.
Two factors are relevant to Groupthink—
• Degree to which group members become
insulated from other influences
• Degree to which a cohesive group leader
promotes one preferred solution
• See page 222 box 5-1 for combating
groupthink
 Ethical Dimensions of Decision Making

• Evaluation of decision according to standards of ethical

behavior has a long history in American government
• Over the years, we have numerous examples of
government behavior widely characterized as
unethical
• The American Society for Public Administration (ASPA)
adopted a Code of Ethics applicable to official conduct
in virtually any administrative agency
• Read (See) box 5-2 pages 230-232 for Code of Ethics
and box 5-3, pp. 238-243.
 Implementing Standards of Ethics

• 1. Adoption of Code of Ethics

• 2. Development Code of Ethics by professional
association
• 3. Requirement for financial disclosure
• 4. Administrative approval
• 5. Prohibition of employees from accepting
payments
• 6. In-house ethics training
•
 Major Considerations in Decision Analysis Process are:

• 1. Goals
• 2. Resources to achieve goals
• 3. Projected benefits
• 4. Cost-benefit ratio
• 5. Substantive, political, and organizational
grounds for decisions
• 6. Time elements
Major Considerations in Decision Analysis
Process are: contd.
• 7. Quantity and quality of information
• 8. Role of decision analysis and its technologies
• 9. Past decisions and policies
• 10. The prospect of unanticipated
consequences and effect to avoid them
• 11. The need to avoid groupthink
•
•
 Week 6
Chief Executives and the Challenges of Administrative Leadership (American context)

• American chief executives and their immediate

subordinates obtain their positions through elections and
appointments.
• These officials are responsible for the operations of
bureaucracies
• They are usually blamed for failure of programs.
• They are not usually permanent part of the bureaucratic
structures
• Executive leadership (presidential, gubernatorial and local
executives) has been heavily involved in the formulation
of broad policy directives in the past 40 years
Chief Executives and the Challenges of Administrative
Leadership (American context (contd)

• Chief executive control over bureaucracy is challenged

by the legislative branch, the judiciary, the mass media,
and others (e.g., opposition party spokesman).
• Use of political persuasion or “jawboning” by
leadership—the chief executive—p.255
• Use of Executive Privilege
• President Bush administration’s unilateral decision to
wage the 2003 war against Iraq—Read pp. 276-277
• The most secretive president in the US
• Preemptive war doctrine by President Bush
 Commonalities and Differences in Leadership resources

Strong chief executives draw their strength from the

following features:
• Political strength in the legislature as leader of the
political party
• Power to initiate policy proposals and to see that
they are carried out politically
• Power to respond to national emergencies (crisis
situation), e.g., 9/11 attacks, etc
• American public expects chief executives to act
accordingly and promptly
 Leadership Tools

• 1. Plays central role in executive budget making

• 2. The more extensive the authority to decide
appointments and dismissals, the greater political
power
• 3. The ability to propose agency reorganizations
enhances the chief executive’s power—if legislature
must accept or reject proposals as a package
• 4.Chief-executive information resources constitute
a source of potential strength.
 Traditional Approaches to the study of Leaders

• Traits approach—using personality characteristics

such as intelligence, ambition, tact, and diplomacy to
distinguish leaders from others in the group
• Traits is a traditional method (now used less by
scholars)
• Situational approach is a method of analyzing
leadership in a group or organization that
emphasizes factors in a particular leadership
situation, such as leader-follower interaction, group
values and ethics and the work being done
 Traditional Approaches to the study of
Leaders (contd) End sect 1
• Recent research suggests that leadership comes from
interaction among people in the work situation and
requires a combination of interpersonal and group
situation skills
• Most successful leadership style must be determined
on case by case basis—leadership is not preordained.
Read figure 6-1, p. 285
• Leadership in a nonhierarchical organization is defined
as a property of the social system in which individuals,
groups, leaders, and their followers interact. End Sect 1
 Traditional Approaches to the study of
Leaders (contd)
• Leadership is “an outcome of collective meaning-
making, not the result of influence of vision from an
individual—it is created by people making sense and
meaning of their work together, and this process, in
turn, can bring leaders into being.”
• Relational leadership—must not only be competent at
traditional skills such as goal setting, conflict
management, and motivation, but also be able to
acquire information from group members and adapt
their leadership styles to fit the needs of the followers.
•
 Challenges of Administrative Leadership

• It is difficult to change individual behavior

• It is also more difficult and challenging to
change the behavior of organizational
subgroups made up of diverse individuals
• To resolve leadership challenges:
• Project a sense of larger issues, mission and
needs to justify the change and the existence of
the organization to overcome member
resistance
 Roles of Administrative Leadership

• 1. Broadening the horizons of members to include a

fuller picture of the organization and reconciling personal
and organizational goals
• 2. Persuading others to do what is in the best interest of
the organization
• 3. Coordinating and integrating specialized staff functions
• 4. Stimulating group action toward common goals
• 5. Serving as model of organizational behavior
• 6. Defining the organization, and if necessary, managing
crises that threaten group cohesion
 Roles of Administrative Leadership-contd.

• Read table 6-1 , p. 287 for detailed roles of

Administrative leadership
• Leaders wear different caps. See leader as
director; leader as a motivator, leader as
catalyst and innovation, leader as gladiator,
leader as crisis manager, pp228--290
•
•
 What makes an effective leader?
• 1. Competence
• 2. Communication—willing to listen to, act on useful
ideas from the ranks
• 3. Democratic style
• Several studies suggest that the democratic leader is
more effective in the broad view than any other type,
with member satisfaction clearly higher, and interaction
among group members more relaxed and mutually
supportive in an open, participative and supportive way
• For other Qualities of Leadership---Read page 294
 Terms and Week 6 Questions
Terms:
• Iran-Contra Affair, p. 269
• Exception Principle, p. 274
• Cuban Missile Crisis p. 275
• Executive Privilege p. 276
• Plus Week 6 questions: 1, 2, 5, 6, 7, 8, 11, 12,
17, 18—pp. 298-299
 Week 7
Public Personnel Administration and Human
Resources Development
Three Values critical to government:
• 1. Quest for strong executive leader
• 2. Desire for a politically neutral, competent
public service
• 3. The belief that public service should generally
mirror the demographic composition
• Strong executive leadership and greater
representations have often occurred together.
Public personnel administration (PPA)
• Public personnel administration (PPA) can be
defined as organizations, policies, processes, and
procedures designed to recruit, train, and promote
men and women who manage governmental
agencies.
• Human Resources Development (HRD) is used to
describe personnel functions, such as training, staff
development, and virtual learning (e-learning) to
improve service quality and productivity in complex
public organizations.
 The Evolution Personnel Administration

• Seven major phases of the Evolution of federal

personnel administration on page 314, table 7-3.
• Table 7-3 reflects changes in Public Bureaucracy
since 1789
• 1. Government by Gentlemen (1789-1829)—e.g. ,
reflects the stage African states are today
• 2. Government by the Common man (1829-1883)
• 3. Government by Good (1883-1906)
 The Evolution Personnel Administration (contd)

• 4. Government by the Efficient and the New

Deal (1906-1937)
• 5. Government by the Administrators (1937-
1955)
• 6. Government by Professionals (1955-1995)
• 7. Government by Citizens, experts and results
(1995-Present).
 Merit and Patronage Perspective

• Merit judges what you know, whereas patronage is more

interested in whom you know (or who knows you) and
how you can help politically.
• The merit concept is built around the use of achievement-
oriented criteria—that is, making personnel judgments
based on applicant’s demonstrated job-related
competence.
• By contrast, in patronage systems, judgments are based on
ascriptive criteria—that is attributes or characteristics of
the individual other than his or her skills and knowledge
•
 Recruitment, Examination, and Selection

• Should applicants be hired based on examination?

• Issues such as validity of examination—
• How well the examinations actually test what they are
designed to test?
• Whether tests should measure specific work skills or factors
such as imagination, creativity, managerial talent, and
capacity to learn and grow on the job.
• Issues of compensation and locality pay—compensation
based on proportion to work performance
• Compensation Adjustment—making allowance to low or
cost areas
 Collective Bargaining and Civil Reform

• Collective bargaining is defined as formalized process of

negotiation between management and labor involving
specific steps in a specific sequence, aimed at reaching
an agreement.
• Beginning from 1950s, collective bargaining procedures
(largely modeled after the private sector) have replaced
the traditional management-oriented, and
management-controlled, performance practices.
• Labor-management relations—defined as formal
setting in which negotiations over pay, working
conditions, and benefits take place.
Collective Bargaining and Civil Reform (contd)

• Public-employee labor organizations were present in

the national government as at 1830s, but modern
union did exist before early 1900s
• National Labor Relations Board was established in 1935
• The Wagner Act of 1935-Sec. 7. stipulates that
employees have the right of self-organization, to form,
join, or assist labor organization without fear of being
fired, or reprimanded.
• Read Civil Service reform Act of 1987—box 7-3, page
338.
 The Collective Bargaining Process- pp. 343-344

• 1. Labor organizing efforts, followed by the union

seeking recognition
• 2. Selection of the bargaining team by both
employees and management
• 3. Defining the scope of bargaining—what issues will
be the subject of negotiation within limits of stature
• 4. Putting forward proposals and counterproposals
• 5. Reaching agreement at the negotiating table
assuming agreement can be reached)
 The Collective Bargaining Process- pp. 343-344 (contd)

• 6. Submitting any agreement reached for

ratification by vote by management and employees
• 7. In the event that agreement is not reached,
attempt to resolve an impasse procedures
(mediation, fact finding, arbitration, or referendum)
• 8. Dealing with the possibility of a strike
• 9. Once contract is signed, collaborating in the
implementation of its provisions (contract
administration).
 Public -employee Strikes

• Strike is most evident in state and local

government than at the national level
• Strike activities dramatically increased in the
1960s
• However, in more recent decades, few strikes
have occurred.
• Why fewer cases of strikes and proliferation of
modern unions ?
 Future of Collective Bargaining

• High personnel cost

• Agreement reached between labor and management tend to
reduce flexibility of drawing and approving budgets
• Scope of personnel function as a subject of the future collective
bargaining
• Terms: page--Multilateral bargaining, bilateral bargaining,
National Labor Relations Board (NLRB), Executive Order (EO)
10988 –p.334
• Additional terms: Affirmative Action, Executive Order (EO)
10925, 1964 Civil Rights Acts, 1972 Equal Employment
Opportunity (EEOC) see page 349
• Reverse discrimination
 Advantages and Disadvantages of Collective Bargaining

• For public managers, collective bargaining

offers both disadvantages and advantages
• For managers, having to share power with
labor (employees) is a disadvantage
• Difficulty in developing a consistent personnel
policy among diverse groups of unions and
management employees in the same agency-
(management)
 Advantages and Disadvantages of
Collective Bargaining (contd)
Advantages of Collective bargaining—
• Bargaining requires all those in effective public management to
deal with management functions in all dimensions
• Preparing for collective bargaining forces managers and their
superiors to carefully identify managerial weaknesses, negotiate
training needs to prevent union from having an upper hand on
issues
• See pp. 359-360 for Reforms to be implemented in other agencies
•
•
•
•
 Week 8 -- Government Budgeting

• Budgeting is a device for counting and reconciling

income and expenditures
• Budgeting in the public sector is a process central to
policies and the operation of government agencies
and programs.
• Government budgets and budget processes are at the
core of both political and managerial controversies.
• Government budgeting is the major formal
mechanism through which necessary resources are
obtained, distributed, spent, and monitored.
 Government Budgeting-contd
• Before the US Civil War, budgeting was rather
informal and routine, and the national budget
was less than 1 billion US dollars until 1865
• After the Civil War, some important long-term
changes affected numerous government
practices
 Government Budgeting-contd
• During the 1870s, three general patterns of government
behavior with implications for the rise of modern budgetary
process emerged:
• 1. Growth of the national government’s authority to regulate
the expanding industrial economy and to exercise war power.
• 2. Government got more involved in the private sector—
implying more than simply regulating commerce
• 3. Growth in the presidential strength and influence;
• Expansion of the presidential role, presidential prerogatives
beginning with Presidents Roosevelts, Kennedy, and Johnson.
•
 Purposes (Functions) of Budgeting

• Generate a statement of financial intent

constructed on the basis of anticipated income and
expenditures
• Budgets do indicate programmatic intent-showing
both preferences, and more importantly, priorities
in deciding what to do with available funds.
• Budgets also reflect the mission, or purpose, for a
bureaucratic agency’s existence.
• Budgets also reflected political priorities of those
who formulated them.
 Purposes (Functions) of Budgeting-contd

• Many budget decisions are made and evaluated in

terms of how they affect general economic growth,
specific economic and political interests and concerns.
• Because the outcomes of budget decision making are
so important to all participants and beneficiaries, the
formal nature of the decision process has long been
central to budgetary politics.
• Throughout much of America’s history decisions
about public spending could be characterized as
incremental.
 Government Budgets and Fiscal Policy

• Government budgets are increasingly viewed as an

instrument for managing national economies
• Budgets can be regarded as instruments of fiscal policy aimed
at consciously influencing the economic life of a nation.
• Fiscal Policy refers to government actions designed to
develop and stabilize the private economy and it includes:
• Taxation
• Direct budget expenditures
• Management of national debt
• Direct Taxation
• Read Budget: Mastering of the language, box 8-1, p. 379.
 Links to Government Budgeting

• Budgeting decisions are connected to all

government attempts to influence the national and
regional economies
• Tax policy obviously influences how much revenue
is available for government programs
• Tax decisions are normally made outside the direct
focus of budget making and involve the House Ways
and Means Committee;
• and the Senate Finance Committee, and primarily,
the executive
 Various Approaches in Budget making

• Since the early 20th century, various efforts at

reforming the federal budgets process have
been made
• The central purpose in all of these
developments was about control of
expenditures, with emphasis on accounting
for all money spent in public programs
 Types of Budget Approaches: End Sect 1

1. Line-item budgeting was the first modern budget

concept to gain acceptance, and it remained dominant
until the 1930s.
• Budgets were constructed on a line-item, or object-of-
expenditure basis, indicating specifically items or
services purchased and their costs.
• The emphasis was on control—stating detailed
itemization of expenses, purchases, etc.
• Focus on how much each agency acquired and spent—
eye on accountability, honesty in fiscal spending. End
sect 1
 Types of Budget Approaches: (cont’d.)

2. Performance Budgeting
• Dominant in the 1930s and 1950s, emphasizing not only
resources acquired by the agency, but also what it did with
them (resources)
• Promoting effective management of government programs in
time of programmatic complexity.
3. Planning –Programming-Budgeting: the rise and fall of
Rationality
• An effort to incorporate rationality in budgeting decision
making in place of well-entrenched incrementalism
• Shows the actual external efforts or outcomes of the activities
 Types of Budget Approaches:contd

4. Zero-based budgeting (ZBB)

• Reexamination of every item in the budget
periodically—every one, two, or five years
• Evidence suggests ZBB was essentially a form
of incremental budgeting
 The Process of Budgeting

• The essential power of the purse is vested in the

legislative branch—and this include the authority
to levy taxes, determine spending levels,
appropriate funds in the US
• The rise of the executive budget has led to tension
between the executive branch and the legislature
• Nowhere has the fragmented nature of the
American political decision making had a greater
impact than in the process of budget making
 Essentials of the process of budgeting:

1. Office of Management and Budgeting (OMB) and the

Budget Process
• Preparation of the budget begins at the federal level
when OMB have concluded some preliminary
economic studies and fiscal projections
2. Authorization and Appropriations
• Entails determination of maximum spending levels or
caps, for each program by the legislative branch
• President versus Congress: Conflict over
authorizations, appropriation, and fiscal control.
 Terms

• Entitlements;
• Mandatory or direct spending p.374;
• Gross Domestic Product, p. 380;
• Budget deficit;
• Bonded Indebtedness,
• Federal Reserve System,
• Gross national Product (GNP),
• Outsourcing, Discretionary spending,
• Office and Management Budget,
• Congressional Budget Office—p382—385
• Budgetary and Scarce Resources—p.410
• Week 8 Discussion Questions #s: 1, 6, 7, 8, 9, 11
•
 Week 9 Public Policy and Program
Implementation
• Definition of Public Policy:
{1} The organizing framework of purposes and
rationales for government programs that deals
with specified societal problems.
• {2} Complex programs enacted and
implemented by government.
 Changing Nature of Public Policies

Common popular assumptions about government policy (that

are not entirely true)
• Government have clearly defined policies, well-thought-out
in advance, on all or most major issues and problems
• Policies are established through some kind of rational
choice of better (as opposed to worse) alternatives.
• Everything has been done to address a problem or an issue
• That the policies of government are clearly perceived and
understood by citizens
• That government policies are widely agreed on and
supported—otherwise, how could they remain in force?
 The realities of Public Policies
• With the exception of threats to national security and
major natural disasters, it is unusual to have a consistent
policy dealing with a specific problem.
• Public policies are not generally defined in the sense that
all major problems are anticipated and machinery of
government geared up to solving them.
• Governments could not possibly have predetermined
policies in all issues, especially accidents, natural
disasters, such as wild fires, floods, and hurricanes.
• Policies tend to be less consistent and coherent than
many might like.
The realities of Public Policies-(cont’d.)
• Policies are often the product of responses to particular
circumstances or problems rather than the results of
deliberate actions.
• Policies frequently result from ad hoc decisions made at
many levels, at different times, by officials and others who
see only some parts of the overall problem.
• Rational policy choice implies a decision-making capacity
largely lacking in most of our non-centralized government
institution.
• The fragmented nature of the US governments or federalism
further weakens the capacity for centralized coordinated
actions.
The realities of Public Policies-(cont’d.)
• Because of diversity and the large size of the governments,
many government activities do not follow official policy
directives, or support policy stated goals.
• Political –party platforms, pronouncements by top
executives, state and local initiatives and even resolutions
of the congress are often a better reflection of the intent
than reality in policy making.
• Most citizens have only a generalized awareness of US
foreign policy
• However, ethnic and nationality groups are sensitive to even
small changes or policies directed their mother countries.
The realities of Public Policies-(cont’d.)
Policy directives that offend basic values of large number
of number of people are not usually sustained without
being challenged.
• Examples of such policies that have been challenged are:
• The 1963 Court ban on prayer in the school
• Opposition to the 1973 Supreme Court ruling on abortion
• Challenges to hiring preferences and “quotas” for
affirmative action
• Disagreement over display of religious symbols.
•
The realities of Public Policies-(cont’d.)
• In sum, although support for what government does is not
necessarily enthusiastic, policies have to have a certain
amount of acceptability.
• The most acceptable policies may not necessarily be the most
effective, and the most effective may not be acceptable to a
majority
• Some compromise is often necessary to implement most
policies.
• It makes a difference which situations are defined as
problems, who defines them, and why they deserve attention
in the policy arena.
•
 The Policy-making Process

• Policy-making process involves multiple demands,

pressures, conflicts, negotiations, compromises, and
formal and informal decisions that result in the
pursuit and adoption of particular objectives and
strategies through actions (or inactions) of
government.
• Policy-making is characterized by the following:
• 1. a lack of centralized direction
• 2. a focus on interactions of foreign, national, state,
and local governments
 The Policy-making Process-contd
• 3. involvement of private interests pressing governments to
respond to their specialized concerns, typically for fewer policy
requirements or less regulations.
• The policy process is not a smoothly functioning, ongoing
sequence with one phase predictably following another.
• Instead, it responds to pressures placed on it at many points
along the way.
• Policy usually reflects the influence of many economic and
political forces.
• Policy-making process helps accounts for the disjointed nature
of most public policies.
•
 Policy-making can be described as occurring in Four
stages with Administrative Agencies playing a central
role.
• Stage One—(Legislative stage) involve the Congress, the
president entailing basic legislation drawn up, considered,
and approved.
• Stage Two/—entails primarily administrative where the
agency writes detailed regulations and rules governing
application of law.
• Stage Three—Implementation
• Stage Four--Review stage, by the courts or congress, or
both during which modifications of existing policy are
possible for legal, substantive, or political reasons.
•
Policy-making (in the management context)
covers Four stages
• 1. Planning and Analysis, including problem
definition and adoption
• 2. Implementation or carrying out policies
• 3. Evaluation, or studying the effects of policy
changes
• 4. Making recommendations for change based
on results, including oversights involving
congress, the courts, or both.
 1. Planning and Analysis

• Policy analysis can be defined as the systematic investigation

of alternative policy options and assembly and integration of
the evidence for and against each option.
• The purpose of analysis is to facilitate sound decisions by
establishing relevant facts about a situation before
attempting to change it in some way and by if possible, the
respective consequences of different course of actions.
• To investigate policy outcomes in interrelated fields, to
examine in depth the causes of societal and other problems,
and to establish cause- and-effect relationships among
problems.
• Steps in the Standard Policy Analysis range from defining the
problem to selecting an alternative strategy-see page 440
 Analytical Tools

• Cost-benefit analysis—is the most frequently used

methodology that is designed to measure relative
gains and losses resulting from alternative policy or
program option .
• System analysis is the broadest approach, and it is
used for integrating how all elements of political,
social, economic, or administrative systems might
affect and be affected by a given project or
program
•
 2. Program Implementation

• General political and governmental process of carrying

out programs in order to fulfill specified policy
objectives.
• A responsibility chiefly of administrative agencies, under
chief executive/and legislative guidance; also, the
activities directed toward putting a policy effect.
• Few things can be taken for granted in implementation.
• Concerted effort is required to manage minimal aspects
of program implementation.
•
 Approaches to Implementation

• Program evaluation and review technology

(PERT) : Sequence of steps is mapped out
• Critical Path Method (CPM): Identification by
critical path needed to completion of program
activities
• Management by Objectives (MBO): Facilitation of
goals and objectives, priority, resource allocation,
evaluating and implementing improvements
• End Sect 1.
 Problems and Politics of Implementation

Despite the availability of many approaches to implementation,

problems usually linked to managerial situations still persist.
• 1. Management control is a continuing challenge—e.g.,
management ability to control staff, allocation of fiscal
resources, designation of work assignment, delegation, etc.
• 2. Agency’s ability to cope with specific situation and with
the surrounding environment is a continuous challenge
• 3. Challenge of developing harmonious, productive, and
beneficial working relationship within the agency
• 4. Recurring problem with bureaucracy—e.g., resistance to
change—employees may be challenged, and could resist
changes.
 3. Program Evaluation

• Program evaluation is a systematic examination of

government actions, policies, or programs to
determine their success or failure
• Program evaluation is used to:
• (1) gain knowledge of program impact;
• (2) establish accountability; and
• (3) influence continuation or termination of
government activities.
 Types of Policies

• There is a great variety in the kinds of policies

performed by government
• These policies can be distinguished on the
basis of their essential rationales, their impact
on society, and the respective roles played by
administrative agencies in each
• Many policy types include distributive,
redistributive, regulatory, & self-regulatory.
 Types of Policies (contd)
Distributive policies
• Distributive policies deliver large-scale services or benefits to
certain individuals or groups in the populations—
• e.g., loan for college students, loans and loan guarantees
provided by national governments to cover private sectors
losses—e.g., 9/11 attacks, airlines and banking; tax deductions
on home mortgage, subsidies for energy and oil companies
(corporate welfare).
• Distributive policies can be highly controversial and
accompanied by bitter political conflicts
• Controversy is generally embedded in after effect of the
execution of the policy as well as its initial adoption in
distributive policies
 Types of Policies (contd)
Re-distributive policies
• Redistributive Policies: deliberate efforts by
governments to shift the allocation of valued
good in society from one group to the other—
e.g., Affirmative action, income tax benefits, ,
Medicaid for the poor and elderly.
 Types of Policies contd: Regulatory
Policies/Self-Regulatory Policies
• Regulatory Policies—promote restrictions on the freedom to
act of those subject to the regulations—e.g., business
activities of advertising practices, toy safety, pollution control,
product liability, local government building zoning ordinances
• Self-Regulatory Policies—Policy Changes are often sought by
those regulated as a means of protecting or promoting their
economic interests.
• The leading example of self-regulatory policy is the Licensing
professions and occupations such as law, medicine, real
estate, etc.
• Week 9 Questions: 2, 3, 5, 6, 7, 9, 10
 Week 10 : Performance Management in the Public Sector

• President George W. Bush Campaign’s Speech of

2000, p.467:
“Government should be results-oriented—guided not
by process but by performance. There comes a
time when every program must be judged either a
success or a failure. Where we find success, we
should repeat it, share it and make it the standard.
And where we find failure, we must call it by its
name. Government action that fails in its purpose
must be reformed or ended.”
 G.W. Bush’s President’s Management Agenda (PMA)

• --the ideological blueprint for improving

management performance in his administration
• --However, during the Bush administration in
2000-2009, the size of bureaucracy as well as
total federal spending and public debt increased
more than any other president since Franklin D.
Roosevelt’s administration in the 1940s.
•
Performance Management--Government Productivity and Measurement of Results

• Results-oriented government programs that focuses

on performance in exchange for granting greater
discretionary decision-making.
• Productivity focuses on both the efficient use of
governmental resources and actual impacts of what
government does—that is, efficiency (of programs)
and effectiveness (of program results)
• Measuring productivity and results are more difficult
because measures available to public managers for
effectively measuring programs are less precise.
 Performance Management--Government
Productivity and Measurement of Results contd

Measures of public productivity are not as simple as

those in the private sector—Why?
• There are no equivalent “bottom-line” profit and
loss measure of results in most public agencies
• Efforts to improve productivity, however, measured,
may encounter variety of obstacles…..see Table 10-
1, p. 470
• The performance management capacities of federal
agencies generally exceed those of states and local
governments.
 Performance Management--Government
Productivity and Measurement of Results contd

• A major reason for this disparity for the above disparity

between federal government and state, local government is in
the inability of the federal government to measure
performance mandated by Government Performance and
Results Act (GPRA) of 1993
• GPRA, commonly called the Results Act of 1993 requires
federal managers to plan and measure performance in new
ways. Read Table 10-2, p. 471 for GPRA
• Efforts to improve performance management (PM) have not
been immune from partisan politics as both political parties
have viewed PM as a political tool to win elections.
• End Sect 1
 Reinvention, Standards, and Quality Award in government

Reinventing government----was popular in the Clinton-Gore administration in

the 1990s.
• Reinvention suggest that government to serve its customers well.
• Inject an entrepreneurial spirit into many of its operations as much as
possible
National Performance Review (NPR):
• NPR was Clinton-Gore administration’s effort (1993-2001) to reform the
federal government
• NPR was changed in 1997 to National Partnership for Reinventing
government (NPR)
• The central purpose of NPR was to downsize, eliminate unnecessary
regulation, focus on results, offer customer service equal or better than
those of the private sector.
•
The New Public Management and the New
Public Service
The New Public Management (NPM)featured in the Clinton administration
• NPM is market- based, customer focused, quality-driven reinvention effort
• Acknowledgement of citizens as customers as key focus.
• NPM was however, criticized for not focusing on democracy, citizenship, and
pride
• That public servants do not deliver customer services; instead they should
deliver democracy
The New Public Service (NPS) is based on the view that democratic theory and
definitions of the public interest should result from dialogue and
deliberations about shared values.
• Public Servants are motivated by a desire to:
• Contribute to society and respect the law, community values, political
norms, political standards, and citizens.
• Deliver democracy
 Malcom Baldrige National Quality Awards

• Law of 1987 leading to creation of a new public

private partnerships
• Benchmarking/quality and productivity
improvement methology
• Examines those organizations that are best at
performing a certain process, and then
transplanting the methods into one
organization.
•
Other Performance Management options

Citizen Relationship Management (CZRM) p. 500

• Strategy focusing in providing citizens timely,
consistent, responsive access to government
information and services using internet links.
• CZRM fosters cooperation between government
and its citizens
• CZRM encourages innovation within
government
• CRM seeks operational and financial efficiencies
 Other Performance Management options
(cont’d).
• Claim-and-Blame Strategy—is a situation in which politicians blame bureaucrats
and bureaucrats claim not to have the authority to act
• Read p. 486—Comparing Performance Management Strategies
• Citizen –Centric--attribute of public-policy decision focusing on the needs of citizens

• Read p. 506 to 507/509.

• Chapter discussion Questions: 2, 3, 10, 11, 12, 13, 14, 14.
•
 Week 11—Government Regulation and Administrative Law

Government Regulation can be defined as follows:

• Government activity designed to monitor and
guide private economic competition
• Administrative Law is law governing the legal
authority of administrators to do anything that
affects private rights and objectives.
• Regulating various aspects of business and
society is a long-standing aspect of government
at the national level.
 11—Government Regulation and
Administrative Law-cont’d.
• Government actions or much of what government does
has an impact on individual citizens, private corporations
or other businesses, and labor unions.
• The late 1800s regulatory efforts were aimed at
punishment for, prevention of abuses in the market place,
e.g., antitrust violations and pricing
• During the 20th century, government regulations became
extensive, focusing on preventing certain kinds of
practices, requiring certain operating standards—e.g.,
cars, toys with safety features.
•
 Distinctions between Old and the New Regulation

• While all regulations are essentially “social” in that it affects human

welfare, there are some significant differences.
• There are significant differences between “traditional “ regulations
which emphasize competition in the market place, price control and
service enhancement and ;
• the new regulations that are designed to prevent harm from a
process, a product, their side effect..
• The old styles typically focus on markets, rates, and the obligation to
serve.
• However, the new-style social regulation affects the conditions under
which goods and services are produced, and the physical
characteristics of products manufactured.
•
 Distinction between Old and the New Regulation -
contd

• As of the early 1960s, the national government had significant

economic regulatory responsibilities in just four areas: antitrust
financial institutions, transportation, and communications.
• In each of these areas, the policy objective was to prevent the
economic damage associated with production of goods.
• While regulatory agencies might possess broad-ranging
discretionary authority to influence actions within specific
industrial sector, their standards and guidelines generally did not
affect the economy as a whole .p. 527
• From the standpoint of Congress, regulatory bodies have a great
deal of independence

•
 The Rule making Process—End sect 1

• Rule making is Quasi-legislative power delegated to

agencies by Congress
• A rule issued under this authority represents an
agency’s statement of general applicability and
future effects that affect the rights of private parties
• The rule-making process calls for regulators to issue
notice of proposed rules relevant to administration
of a given stature, with a period of public of
comment lasting for at least 30 days, 60 days, 90
days, or 120 days to the general public
 The Rule making Process—cont’d.

• The rule making process generally range from

Congress passing a law stating objectives to be
met to final rule being published in the
general register—(where rule is finally codified
into Code of Federal Regulations).
•
 Miscellaneous Regulatory Issues-contd
• Advisory opinion
• Deregulation
• Regulation
• The Rule Making Process –Figure 11-1—pp. 533, 553
• Read Box 11-1 page 517 ---Law to increase car’s Fuel
– economy
• Dependency Regulatory Agencies (DRA)—agencies
charged with regulating economic activity
•
 The Rule making Process

• Rule making is Quasi-legislative power delegated to

agencies by Congress
• A rule issued under this authority represents an
agency’s statement of general applicability and
future effects that affect the rights of private parties
• The rule-making process calls for regulators to issue
notice of proposed rules relevant to administration
of a given stature, with a period of public of
comment lasting for at least 30 days, 60 days, 90
days, or 120 days to the general public
 The Rule making Process-cont’d.

• The rule making process generally range from

Congress passing a law stating objectives to be
met to final rule being published in the
general register—(where rule is finally codified
into Code of Federal Regulations).
 Features in the National Government Regulatory
bodies that are common with other administrative
agencies: Sect 2
• All administrative entities operate under
authority delegated by Congress
• There are is functional overlap among regulatory
bodies
• Political influence is inevitable or always present-
e.g., close ties between clientele groups and the
so-called dependency regulatory agencies—FDA
in the Dept of Health and Human Services
•
 Miscellaneous Regulatory Issues
• Sherman Antitrust Act
• Federal Trade Commission
• The Clayton Act of 1914—law prohibiting price
discrimination to eliminate competition or create
monopoly
• Social Regulatory Initiatives—Government actions in the
late 1960s and early 1970s designed to regulate new social
areas involving individual health, environment protection,
public safety
• See Table 11-1 for selected major US-Regulatory Bodies
pp. 524-525
Miscellaneous Regulatory Issues-cont’d.
• Code of Federal Regulation p.534
• Advisory opinion
• Deregulation
• Regulation
• The Rule Making Process –Figure 11-1—pp. 533, 553
• Read Box 11-1 page 517 ---Law to increase car’s Fuel –
economy
• Dependency Regulatory Agencies (DRA)—agencies
charged with regulating economic activity
•
 The Politics of Regulation

• Regulatory politics is not only a phenomenon

associated with the partisan politics of
democrats and republicans.
• Instead, it is also the politics of the privilege in
terms of those who have a stake in regulatory
policies; those that have access to decision
makers
• Key actors such as businesses, industries and
labor unions are involved
 The Politics of Regulation-cont’d.
• 50 years ago, consumers were excluded from the
process, however, lately, consumers now play the
game just as others (e.g., Raph Nader organization,
and others)
• Regulatory politics of independent regulatory
boards and Commission (IRCS) and Dependency
Regulatory Agencies (DRAs) are characterized by
issues of distribution, quality, and price by way of
their regulatory responsibilities.
•
 The Nature of Administrative Law

• Administrative law pertains to the legal authority of public

administrative agencies to perform their duties
• Administrative law is not clearly or neatly separated from
other areas of law.
• There is a distinctive focus to this legal area that sets it apart
conceptually from other areas.
• The principal foci of administrative law giving it a separate
identity as an emergent field are:
• (1) the rules and regulations set out by administrative agencies;
• (2) the law concerning the powers and procedures of those
agencies across a whole host of administrative operations.
 The Nature of Administrative Law-cont’d.

• The field of administrative law encompasses considerably more

than government regulation
• Agencies of all kinds and at all levels of government are subject
to rulings of the court and the provisions of administrative
procedure act.
• It is government’s regulatory activities that are at the heart of
administrative law
• Regulation sits at cross roads between government power and
private behavior
• Chapter 11 Discussion questions: 1; 15.
•
•
Week 12 –Public Administration in a Time of Conflict and Social Change

We have examined PA topics ranging from:

• public policy and public policy making,
• ethics, intergovernmental relations,
• organizational theory, subsystem politics
• entrepreneurial government, leadership,
personnel management and
• budgeting, performance management to
government regulations and others.
 Current State of PA is characterized by considerable Unrest:

• Fiscal stress due to excessive borrowing

• Lower property values—foreclosure very
common now in the US
• Natural and man-made disasters
• Increased concern with focus on globalization
issues and rapid change
• Government asked to do more
•
•
 Dramatic developments in and out of the field of PA

• Knowledge explosion
• Technological change
• War on terrorism
• Postindustrialism—relative decline in
importance of productivity, land, labor as
economic force
• Instead, we have increased emphasis on
knowledge information, new technologies,
rendering services rather production of goods.
 Changes in PA: Concepts and Practices

• The “architecture” of bureaucracy has changed in the

past 50 years
• The Weberian command –and-control-oriented
bureaucratic hierarchy with strong emphasis on
formal structure, secrecy, routinization, and efficiency
in its narrow sense is rapidly becoming obsolete
• The command and control, bureaucratic system is
inadequate for the 21st century networked and open-
systems organizations--- private and public, non-profit
—particularly in a fast changing global environment
 Changes in PA: Concepts and Practices-cont’d.

• Loud and clear calls for employee (internal)

participation or empowerment in decision making
by agency employees
• Stronger emphasis on budgets, evaluation,
performance management, results, and employee
productivity
• Pressure to debureaucratize organization life in the
public sector---e.g., downsizing agency personnel;
decreasing rigidity; need for greater
communication
 Change in Public Administration as a field

• PA as a field of study has been subjected a considerable

turbulence over the decades—e.g.,
• Conflicts between PA and Political Science:
• whether PA should be studied as a discipline of its own, or
• studied as a field under political science;
• distinction between administration and politics, or PA separated
from politics?
• schools, programs and institutes of PA have proliferated in the
past 50 years---usually at graduate levels—labels such as PA,
Public policy, public affairs, management and management
science now prevail
•