Introducing Public Administration - GBV

SUB Hamburg

A/579297

Introducing Public Administration Eighth Edition

JAYM.

SHAFRITZ

Professor Emeritus, Graduate School of Public and International Affairs, University of Pittsburgh

E. w.RUSSELL School of Public Health, La. Trobe University

CHRISTOPHER P. B O R I C K Department of Political Science, Muhlenberg College

PEARSON

Prentice Hall

Pearson Education International Boston Columbus Indianapolis New York San Francisco Upper Saddle River Amsterdam Cape Town Dubai London Madrid Milan Munich Paris Montreal Toronto Delhi Mexico City Sao Paulo Sydney Hong Kong Seoul Singapore Taipei Tokyo

BRIEF CONTENTS

Detailed Contents Preface

iv

xi

Key Events in Public Administration

xv

CHAPTER 1

Defining Public Administration

CHAPTER 2

The Political and Cultural Environment of Public Policy and Its Administration 32

CHAPTER 3

The Continuous Reinventing of the Machinery of Government

CHAPTER 4

Intergovernmental Relations

CHAPTER 5

Honor, Ethics, and Accountability

CHAPTER 6

The Evolution of Management and Organization Theory

CHAPTER 7

Organizational Behavior

CHAPTER 8

Managerialism and Information Technology

CHAPTER 9

Strategic Management and Government Regulation

CHAPTER 10 Leadership

1

122 166

325

381

431 467

CHAPTER 14 Program Audit and Evaluation

514

545

Appendix: Additional Sources Index

284

356

CHAPTER 13 Public Financial Management

Glossary

205

242

CHAPTER 11 Personnel Management and Labor Relations CHAPTER 12 Social Equity

74

553

555

iii

DETAILED CONTENTS

Preface xi . Key Events in Public Administration xv

A Case Study: How a President Undeservedly Received Credit for Founding a Discipline 26

CHAPTER 1 Defining Public Administration 1 Keynote: Go Tell the Spartans

Summary 28 • Review Questions 28 • Key Concepts 28 • Bibliography 29 • Recommended Books 30 • Related Web Sites

1

The Definitions of Public Administration

6

Political Definitions of Public Administration Public Administration Is What Government Does Public Administration Is Both Direct and Indirect 7

6 6

Public Administration Is a Phase in the Public Policymaking Cycle 8 Public Administration Is Implementing the Public Interest 9 Public Administration Is Doing Collectively That Which Cannot Be So Well Done Individually 10 Legal Definitions of Public Administration 11 Public Administration Is Law in Action 11 Public Administration Is Regulation 12 Public Administration Is the King's Largesse 12 Public Administration Is Theft 13 Managerial Definitions of Public Administration 14 Public Administration Is the Executive Function in Government 14 Public Administration Is a Management Specialty 15 Public Administration Is Mickey Mouse 16 Public Administration Is Art, Not Science —or Vice Versa 16 Occupational Definitions of Public Administration 17 Public Administration Is an Occupational Category 17 Public Administration

Is an Essay Contest

Public Administration Is an Academic Field Public Administration Is a Profession 22 IV

23

The Evolution of Public Administration The Core Content 24 It's an Adventure! 25

18

CHAPTER 2 The Political and Cultural Environment of Public Policy and Its Administration 32 Keynote: Who Decides Whether the United States Should Wage War? 32 What Is Public Policy? 38 Public Policymaking in a Republic Executive Powers 40

38

The Restricted View 40 The Prerogative Theory 40 The Stewardship Theory 42 The Policymaking Process Agenda Setting 44 Decision Making 46

42

A Single Calculating Decision Maker—Not! Implementation 49 Evaluation 51 Feedback 51 Power—The External Perspective Pluralism 53 Group Theory 55 Power—The Internal Perspective Organizational Goals 58 Internal Power Relationships

52

57 59

The Cultures of Public Organizations

21

31

61

Cultural Values and Administration The Inside Cultural Environment

62 63

48

Detailed Contents

Professional Socialization 64 Symbolic Management 65 A Case Study: Were the Space Shuttle Astronauts Killed by Fog? 67 Summary 70 • Review Questions 70 • Key Concepts 70 • Bibliography 71 • Recommended Books 72 • Related Web Sites

75

What Is the Machinery of Government? Fine-Tuning the Machinery 78 The Rise and Fall of Governmental Machinery 79

78

73

The American Federal System 132 Three Categories of Governments 86

Unitary Government Advantages Federal Government Advantages Confederations 134

133 133 134

The Structure of Intergovernmental Relations The Effects of Pluralism 136 The Marble-Cake Metaphor 136 92

Reforming the National Machinery of Government 94 The Brownlow Committee 94 The Hoover Commissions 97 The Ash Council 98 The President's Private Sector Survey on Cost Control 98 Reinventing Government 99 The Gore Report 101 Reinvention in Recess 102 The Obama Revolution—The Return of Big Government 103 The Micromanagers 104 106 106

129

The Fundamental Settlement 130 The Constitution 131 The European Union 132

85

The Pressure for Privatization Strategies for Privatization

121

CHAPTER 4 Intergovernmental Relations 122

The Evolution of Federal Systems 128 Alliances and Confederations 129 Defining Intergovernmental Relations

Executive Office Agencies 83 Executive Departments 83 Independent Public Bodies 84

State and Local Government Machinery State Government 87 County Government 88 Municipal Government 89 Towns and Special Districts 90 Local Management Machinery 91 Metropolitan Government 92 Continuous State and Local Reform


Keynote: The Intergovernmental Problem of Marijuana 122

The Administrative Architecture of the U.S. Government 80 Executive Branch Machinery 81

Separation of Powers

Privatization in the Military 108 The Nonprofit Gambit 109 The Faith-Based Initiative 111 Voluntarism and Philanthropy 112 A Case Study: The Revolution in the British Machinery of Government (1979-2011) 115

CHAPTER 3 The Continuous Reinventing of the Machinery of Government 74 Keynote: The New Feudalism

V

135

Dynamic Federalism 137 Dual Federalism 137 Cooperative Federalism 138 Creative Federalism 139 New Federalism 140 New, New Federalism 140 Intergovernmental Management 141 Picket Fence Federalism 142 Councils of Governments and Intergovernmental Agreements 142 Mandate Mania 143 Mandates and the War on Terrorism 144 The Transformation of Governance 146 Fiscal Federalism —Following the Money 146 The Theory of Fiscal Federalism 147 Grant Programs 150

vi

Detailed Contents

Summary 200 • Review Questions 201 i Key Concepts 201 • Bibliography 202 • Recommended Books 203 • Related Web Sites 204

The Devolution Revolution 152 The Public-Choice Solution 153 Welfare Reform 155 The Race to the Bottom 158 A Case Study: Why Illegal Immigration Is an Intergovernmental Mess and Will Remain So 159 Summary 161 • Review Questions 162 • Key Concepts 162 • Bibliography 163 • Recommended Books 164 • Related Web Sites 165

CHAPTER 5 Honor, Ethics, and Accountability 166 Keynote: Niccolo Machiavelli,the Preeminent Public Administration Ethicist 166

The Origins and Nature of Honor National Honor 171 Why Honor Precedes Ethics Dimensions of Honor 172 Regime Values 173 Corruption in Government Bribery 174 Watergate 176

Hierarchy of Ethics The Four Levels The Iran-Contra The Higher Law

172

The Origins of Public Management 208 The Continuing Influence of Ancient Rome 209 The Military Heritage of Public Administration 210 212

What Is Organization Theory? 215 Classical Organization Theory 216 Adam Smith and the Pin Factory 217 The Origins of Scientific Management 219 The Staff Concept 219 The Influence of Frederick W. Taylor 221 Fayol's General Theory of Management 223

178

The Period of Orthodoxy 223 Paul Appleby's Polemic 224 Luther Gulick's POSDCORB 224

181 of Ethics 182 Affair 182 Defense 183

Codes of Honor, Conduct, and Ethics The New Face of Dueling 184 Honorable Behavior 185 Was "Deep Throat's" Behavior Honorable? 186 Standards of Conduct 187

The Many Meanings of Bureaucracy 225 All Government Offices 226 All Public Officials 226 A General Invective 226 Max Weber's Structural Arrangements

184

The Challenge of Accountability 188 Constitutional and Legal Constraints Obsessive Accountability 191 Avoiding Accountability 192 Legislative Oversight Hearings 193 Casework 194

205

Keynote: Moses Meets the First Management Consultant 206

The Evolution of Management Principles Comparing Military and Civilian Principles 212 The Principles Approach 214

169

174

Lying for Your Country 177 The Dirty Hands Dilemma Lying about Sex 180

CHAPTER 6 The Evolution of Management and Organization Theory

Neoclassical Organization Theory 228 Herbert A. Simon's Influence 230 The Impact of Sociology 230 190

193

A Case Study: Parallel Bloody Hands Comparing the Administrative Ethics of Secretaries of Defense Robert McNamara and Donald Rumsfeld 195

"Modern" Structural Organization Theory 230 Basic Assumptions 231 Mechanistic and Organic Systems Systems Theory 232 Cybernetics 232 Complex Adaptive Systems

231

234

A Case Study: The Critical Importance of Administrative Doctrine 234

227

Detailed Contents Summary 238 • Review Questions 238 i Key Concepts 239 • Bibliography 239 • Recommended Books 240 • Related Web Sites 241

CHAPTER 7 Organizational Behavior 242 Keynote: Henry II of England, Archbishop of Canterbury Thomas Becket, and Rufus Miles of the U.S. Bureau of the Budget: How a Medieval King, a Martyred Saint, and an American Bureaucrat Illustrate Miles's Law 242

Organizational Behavior

250

Group Dynamics 251 Organization Development The Impact of Personality

254 257

The Impact of Bureaucratic Structure on Behavior 258 Bureaucratic Dysfunctions 259 Bureaucratic Impersonality 261 Bureaucrat Bashing 262 The Case for Bureaucracy 263 Motivation 264 The Hawthorne Experiments 264 The Needs Hierarchy 265 The Motivation-Hygiene Theory 265 Toward a Democratic Environment 266 Theory X and Theory Y 267 The Future of Organizations 270 Postbureaucratic Organizations 270 Postmodernism 272 The Problem of Technocracy 273 Postmodern Public Administration 274 A Feminist Perspective 274

Managerialism 288 A New Managerial Revolution Policy Entrepreneurs 290

VII

289

Reengineering 290 Radical as Opposed to Incremental Change 290 Becoming a Reengineer 291 Empowerment 293 Empowering Teams

293

Entrepreneurialism 294 Toward a Competitive Public Administration 296 The New Public Management

297

What Is Performance Management? The Politics of Performance Management 299 Management Control 300

298

Productivity Improvement 300 Productivity Measurement 301 Barriers to Productivity Improvement Total Quality Management 302

301

Information Technology 304 Social Networks and New Media: Government 2.0 305 Facebook 305 Twitter 306 YouTube 308 Texting 309 From E-Commerce to E-Government The Two Faces of E-Government

311 312

Wired Citizens 312 One-Stop Government 313 Technology and Government Productivity

314

A Case Study: The Dangers of Groupthink from Pearl Harbor to the War in Iraq 276

A Case Study: Is It Management or Is It Public Relations? Only Your Administrator Knows for Sure 316

Summary 278 • Review Questions 279 • Key Concepts 279 • Bibliography 280 • Recommended Books 282 • Related Web Sites 282


CHAPTER 8 Managerialism and Information Technology 284 Keynote: Socrates Discovers Universal Management 285

CHAPTER 9 Strategic Management and Government Regulation 325 Keynote: Using Government Regulations of Business to Strategically Manage the Environment 325

viii

Detailed Contents

What Is Strategic Management? Objectives 328 The Planning Horizon Capabilities 333 Game Theory 334

327

A Case Study: Transforming the Postal Service 374

331

Strategic Management Tools Best Practices 335 Benchmarking ' 336 Management Scorecards

Summary 377 • Review Questions 378 i Key Concepts 378 • Bibliography 378 • Recommended Books 380 • Related Web Sites 380

334

CHAPTER 11 Personnel Management and Labor Relations 3 8 1

338

Government Regulation for Health, Safety, and Economic Equity 339 Independent Regulatory Agencies 340 The Rulemaking Process 341

Keynote: The Adventures of a Young Man as a Personnel Technician 381

The Personnel Function

State Government Regulation 343 Occupational Licensing (Who Puts the "Certified" in the CPA?) 344 Local Government Regulation 344 Zoning 345 Building Codes 346 Public Health (Do You Want Roaches with Those Fries?) 347 A Case Study: Opportunity Lost: The Story of Bernie Madoff and the Securities and Exchange Commission 349 Summary 352 • Review Questions 352 • Key Concepts 353 • Bibliography 353 • Recommended Books 354 • Related Web Sites

CHAPTER 10

Leadership

356

Keynote: The Hedgehog, the Fox, Henry V, or the "Hidden-Hand" Golfer 356

Leading for Performance

359

Defining Leadership 360 Leadership and Management 361 Trait Theories 364 Transactional Approaches 364 Contingency Approaches 366 Transformational Leadership 368 The Importance of Optimism 369 Too Much Leadership 370 Micromanagement 370 Overmanagement 371 Moral Leadership 371 The Bully Pulpit 372 Rhetorical Leadership 372

387

Recruitment 388 Merit Selection 388 Position Classification and Pay 390 Performance Appraisal 392 Training 394 Management Development 396 Mentoring as Management Development

355

The Bittersweet Heritage of Civil Service Reform 398 The Netherworld of Public Personnel Administration 398 From Spoils to Merit 400 The Pendleton Act 401 State and Local Reform 402 The Rise and Fall of the Civil Service Commission 402 The Civil Service Reform Act of 1978

397

405

Reinventing Public Personnel Administration 406 Privatizing Public Personnel 407 Contracting Out Personnel 408 Patronage Appointments 409 The Constitutionality of Patronage Veterans Preference 412 Patronage Gone Bad 412 Public Sector Labor Relations 413 The AFL-CI0 414 Administrative Agencies 415 Collective Bargaining 416 Strikes 418 The Air Traffic Controllers' Strike

411

419

A Case Study: The Spectacular Rise and Modest Decline of Public Employee Unions 420

Detailed Contents


CHAPTER 12 ..Social Equity

430

431

Keynote: Three Thousand Years of Sexual Harassment 431

What Is Social Equity? 433 Mandating Social Equity 434 The New Public Administration

The Challenge of Equality 435 Racism 436 The Bitter Heritage of Slavery 437 From Reconstruction to Second Reconstruction 438 An Administrative Fix for Racism 438 Equal Employment Opportunity 440 Origins of Affirmative Action 440 The Case for Affirmative Action 442 The Case Against Affirmative Action 443 Representative Bureaucracy 444 Reverse Discrimination 445 Justifying Diversity 447 The Ongoing Role of Race in Public Administration 449

Public Administration and Social Equity Going the Extra Mile 457 Inspiring Social Equity 457

Waves of Innovation in Budget Making The Executive Budget 479 Line-Item Budgeting 480 Performance Budgeting 481 Program Budgeting Versus Incrementalism 482 Zero-Based Budgeting 483 Contemporary Budget Reform Integrated Budgets 485 Multiyear Budgets 485

479

484

Financing Public Expenditure 486 Taxation 487 The Ability-to-Pay Principle 489 The Flat Tax 490 User Charges 491 Grants 493 The Problem of Debt and Budgetary Manipulation 493 /Abuse of Public Debt 494 Municipal Bonds 495 The Rating Agencies 495 Debt and Economic Recovery 496 Bonds, Debt, and Emergency Recovery 497 Stealth Budgeting: Hiding the True Costs of the Iraq War 500

455 456

A Case Study: Social Equity Through Social Insurance 458

Economic Policy 503 Monetary Policy 503 Fiscal Policy 504


A Case Study: Social Security Reform from Clinton to Obama 505

CHAPTER 13 Public Financial Management 467 Keynote: A Tale of How Two States and Their Governors Weathered the Fiscal Storms of 2011

The Importance of Public Financial Management 472 Six Principles 472 Balanced Budgets 474 The Fiscal Year 474 Budgeting Theory and Practice 475 The Taft Commission 475 The Influence of Keynes 476 The Influence of Hayek 477 The Objectives of Budgeting 477 The Two Types of Budgets 479

434

Nonracial Discrimination 450 Sex Discrimination 450 Sexual Harassment 451 Pregnancy Discrimination 452 Age Discrimination 453 Disabilities Discrimination 454 Sexual Orientation Discrimination

ix

468


CHAPTER 14 and Evaluation

Program Audit 514

Keynote: Captain Bligh's Program Evaluation of the Mutiny on the Bounty 514

What Is an Audit?

521

Multiple Applications 522 A History of Auditing 523 The Government Accountability Office Types of Audit 526 Compliance Audit 526 Performance Audit 528 Internal Audit 529 Program Evaluation 530 Policy Analysis Is Not Program Evaluation 530 Legislative Program Evaluation

Types of Evaluation 533 Evaluation Standards 534 Management Control: Evaluation in a Microcosm 536 Evaluation and the Democratic Process

A Case Study: Jeremy Bentham, the Philosopher of Policy Analysis and Program Evaluation 538 523


Glossary 545 Appendix: Additional Sources 553 Index 531

537

555