01: Introduction: Politics and Administration
Case 1: Waterboarding, CIA and Contractors [new to 4e, outline needed]
02: Administrative Responsibility (was part of chap.1)
03 (was 2): What Government Does | Case 2 (was 1): Speed Limits
03: Foundations of Organization Theory | Case 3 (was 2): Flu Vaccine Shortage
Old Case 3: National security coordination
05 (was 4): Strategies and Tactics for Administrative Reform
Case 5: Punching Through on the Bailout [new to 4e, outline needed]
Old Case 4: FEMA Disaster Relief
06 (was 5): Executive Branch | Case 6: Regulating the Airline Industry NEW
Old Case 3e—9/11 Commission’s call for a National Intelligence Director
07 (was 6): Organization Problems
Case 7: Sunset, the Golden Retriever [new to 4e, outline needed]
Old Case 6: Schwarzenegger's Performance Review
08 (was 7): The Civil Service, 2e, 2005 |
Old Case 7, Privatization of Virginia City’s trash collection
09 (was 8): Managing Human Capital
Case 9: A New Take on Old Principles [new to 4e, outline needed]
Old Case 8: GAO, OPM and OMB's combined strategy on Human Capital
10 (was 9): Decision Making | Case 10: Steering the Economy [new to 4e, outline needed]
Old Case 9: Federal Reserve Board
11 (was 10): Budgeting, 2e, 2005 | Case 11 (was 10): Funding PA's SEPTA system [outline needed]
12 (was 11): Implementation | Case 12 (was 11): To Taze or Not to Taze? [outline needed]
13 (was 12): Regulation and the Courts | Case 13: Who should set Environmental -- CA or the courts? [new to 4e, outline needed]
Old Case 12, Regulation: Eliot Spitzer sues the EPA
14: Executive Power and Political Accountability | Case 14: how Should Government Communicate with citizens? [4e]
Old Case 14: Government Ethics
Old Ch.13: Legislative Control of Administration | Old Case 13: Legislative Oversight & Vioxx
1. What is an administrative state?—A state where the government’s role has become pervasive and encompassing of policy administration and implementation in many facets of society (a multiplicity of administrative agencies, a larger number of civil servants, and higher government spending=the expansion of government).
The bottom line for government (though many claim there is not bottom line) is administrative responsibility
2. How does the US compare to other OECD countries in size of government?—24/27 where we encompass a little over 1/3 of our domestic GDP. Our government actually shrunk between 84 and 04 because of more reliance on citizens and private companies.
Bureaucracy problem?—red-tape-bound set of citizens who are viewed as inefficient, negative, impolite, and unhelpful to citizens in need of services, or, too-efficient users/abusers of power who decide matters without due process of law. Yet the Red Cross/Catholic Church are still bureaucracies.
3. How large are US bureaus compared to the private corporations in the Fortune 500?—Each of the government’s four largest departments (Health and Human Services/SS Administration/Defense/and the Treasury) spend more than the world’s biggest company—Wal-Mart (2004) of course the government has about 300 million customers.
How can we define ``public'' and ``administration''?—according to Fesler, it is nigh impossible to come up with a common definition—to have a standard definition appears to be confining. However the crucial differences in distinguishing public from private (or the mingling thereof) is: public sets out to do the public’s business—administer law; character differences—public organizations have different fundamental processes from private organizations (and work in a different environment)
5. What is the distinction
between policy formation and execution?—Policy execution deals with
administration translating the print of statute books (law) into changed
behavior by members of society. Policy formation deals with providing lawmakers
being with information about issues, and therefore aiding in formation
of the policy. It also deals with administrators interpreting laws that
are already on the books, and making sense of sometimes difficult wording.
6. In what sense should administration be responsible in a democracy? – the administrators serve the government and must be sensitive to the legitimate roles of other elements of government. They have a loyalty to the agencies and programs entrusted to them. They are loyal to their professions’ standards and motivated to win regard. All these build administrative responsibility.
7. How universal is public administration?—Public administration is timeless but time-bound, universal but cultural bound and varies from situation to situation, it is also complex but intelligible by a simplified model or step by step combinations of such models
Alexis de Tocqueville—amazed by Americans’ prejudices to the art of government and said that the art of administration is a science that must be studied and improved by discoveries and observations of successive generations
Woodrow Wilson: See Stillman 1
Citizen’s demand of government has increased, and that increase has led to a variety of administrative agencies, a large number of civil servants, and swelling national budgets.Bureaucracy and Size
The idea of an “administrative state” describes the bigness of the governmental bureaucracy in the current era. It also describes the huge amount of discretion held by administrators.
The Bureaucracy Problem
Bureaucracy comes from 14th century France., Balzac describes it as “a gigantic power manipulated by dwarfs.”
Bureaucracy has two modern meanings, that are contradictory
1. Bureaucracy refers to a set of civil servants that are inefficient, negative, bored, impolite, and unhelpful to citizens
2. On the other hand it speaks of a body of all-too efficient excercisors, arbitrarily abusing their discretion and power.
A third definition is offered, a bit more to the favorable side, referring to the formal, rational organization of relations among persons vested with administrative authority, and the staffing of full time, qualified, civil servants
In our era, public administration is mostly large-scale administration. The federal government’s total outlays are a third of the total sales of the 500 largest selling companies.Six main differences
The complexity and variety of the administrative programs is another factor. It is a possibility that a set of programs or agencies may have distinct, identical, or overlapping groups of customers, and may have contradictory objectives.
The scale and complexity of programs is greater even than private companies.
“Public” and “Administration”
Must first define administration and then public. Scholars first define administration as the cooperative human action that has a high degree of rationality.
Also public administration is almost always developed in the executive branch of government.
However, to truly understand, one must compare public and private organizations.
Public versus Private Administration
The most fundamental distinction between public and private organizations is the rule of law. Public organizations exist to administer the law. Private firms can generally take any action, or use any means of operation that is not specifically prohibited.
1. Time perspective- Private sector organizations tend to be led by individuals who devote their careers to organizations . . .public workers tend to be headed by amateurs whose tenure is short
2. Measuring performance- The private sector has the market to test its performance, on the other hand, most public organizations have no direct way of evaluating their outputs.
3. Competing Standards- Efficiency is the ultimate private standard; however, public administrators are expected to manage both efficiently and equitably.
4. Public scrutiny- Public administrators work under public scrutiny, whereas private organizations receive very little public scrutiny.
5. Persuasion- In the private sector, managers manage very much by authority. In the public sector administration depends far more on persuasion.
6. Oversight- Public administrators must also answer not only to their superiors, but to legislators and the courts. Private organizations do not have to worry about this
Sometimes we separate public from private activities by the profit motive.
To sum, public organizations are public because they administer the law and because their very existence comes from the law. Public workers operate in much a different environment from private workers. Finally, it is the challenge of public service that distinguishes public from private administration.
2. How are functions divided up in the US intergovernmental system?
We expect the government to keep the environment clean, provide the elderly with adequate health care, research cures for diseases, ensure national defense, prevent/manage disasters. Postal service, social security, education, police/fire protection—many, many functions that vary by level.
There are two general theories of public administration, consisting of structural theory and systems theory.
I. Structural Theory
The structural theory focuses on the hierarchical organization of an administration illustrated through Gulick’s classical model and Weber’s bureaucratic model.
A problem with the structuring of governmental power exists with establishing and maintaining legitimacy. Developing the structure of public administration is based on legitimate power with principals and agents, narrow defined specialization, internal specialized structure, rules of the game, staff of experts, and outside definition of roles and responsibilities.
The classical model of organization (by Gulick) focuses on efficiency and objective principles within organization through clear jurisdiction of authority.
The bureaucratic model of organization (by Weber) focuses on the legitimacy of the system of authority. Has the “pure” models of authority with: traditional, charismatic, and rational-legal.
II. Systems Theory
The systems theory of organization generalizes about all organizations. (Public, private, large, small, etc). They are divided as closed systems or open systems. Closed systems focus on the internal workings of an organization, while open systems focus on a system and the interaction with the environment. The systems theory views an organization as receiving resources to produce outputs, utilizing the feedback loop to adjust.
III. Challenges to Both Structural and
The following challenges and approaches exist among organizational theory: humanist, pluralist, third party, and formal. The humanist view limits human creativity and states an approach that should be responsive to the individual. The pluralist view is that the models ignore the political system and its effects. The third-party view says that government agencies rely on other levels of government and other organizations to administer functions, and formal view relies on relationships among the bureaucratic model.
These models of bureaucracy allow us to realize
the functions of bureaucracy. Challenges to this, such as the increase
in third party administration, the importance of societal and political
environment, as well as the effectiveness when focusing on the individual
allow us to view the adaptations of organizational theory.
Reform in America:
Nearly every politician has promised devotion to some reform since America’s early daysConfliction Theories: downsizing, reengineering, and continuous improvement
The most innovative reform has occurred in the private sector
Reforms tend to “bubble up” from the local and state governments into the federal government rather than top down.
—often contradicting universal principles of delegation by expertise and democratic accountability through hierarchical control
Downsizing—Taxpayer Bill of Rights (TABOR), The Grace Commission (Private Sector Survey on Cost Control), Balanced Budget and Emergency Deficit Control Act (Gramm-Rudman), Osborne and Gaebler’s Reinventing Government—all examples of downsizingAll the World is a Stage:
Reengineering—starting from scratch considering the three C’s— customers, competition, and change —redesign processes using the latest technology searching for break through strategies, not improvement upon quality—they try to do the job not 10% better but 10 times or 100 times better. (customer service movement, performance management)
Continuous Improvement — more gradual, continuous bottom-up movement—total quality management—workers themselves are the experts who improve the work, solve problems, serve customers.
Assessing the Reforms: See chart page 99
Downsizing seeks lower government expenditures (forced by citizens) driven by assumption there is abundant waste, wish to shrink government size through intervention hitting blunt targets—focuses on size
Reengineering seeks greater organizational efficiency through radical change urging service to customers and harnessing competition—focuses on process
Continuous improvement seeks responsiveness, and is an ongoing process to improve products where workers are the key using cooperation—focuses on interpersonal relations
Administrative reform is a fixture of governments everywhere and there is no single set of ideas driving it. Many nations rely on training and closer/better measurementConclusion:
many ideas have had contradictory ideas built into them and these plurality of ideas have been mixed and matched together with little regard for the contradictions. What is responsible for negative change and for positive change? The outputs are going to be different in every system, the models need to lose their contradictions. It is the politics of administration that matters most in administrative reform. Many reforms have created more problems (downsizing—imbalances in the workforce, etc). Therefore, public managers need to be ready to accommodate conflicting demands. Also theorists need to realize that the central ideas of public management have come from private managers. And they also face reconciling the contradictions that political realities impose upon the “neat” organizational theories.
Chap. 6 (was 5): EXECUTIVE BRANCH
Charles U Walters Spring ‘07
o The Inner Cabinet – State, Defense, Treasury, and Justice Department Heads.• Independent Agencies – includes the Social Security Administration (accounts for most of spending), FCC, Federal Reserve Board—these bodies were originally created by Congress to be insulated from presidential control—they have broad discretionary powers over sectors of our economy. Regulatory Commissions monitor features of transportation and communications, banking, etc. There are service-based independent agencies such as the Peace Corps, also some of these agencies are government corporations such as the FDIC and the Corporation for Public Broadcasting, and the U.S. Postal Service
o The Outer Cabinet – Labor, Agriculture, Commerce, and all the others.
April 2008 Frustration mounting over 3 days in which 1000 flights canceled
- These cancelations due to American Airlines failure to meet Federal Aviation Administration (FAA) wiring safety requirements- FAA criticized - Was it worth the grounding over such a small detail?
- Guidelines insisted wiring be no more that 1 inch apart (America MD-80 planes had wiring a ¼ of an inch farther apart and this error grounded planes)
- Such a catastrophe had occurred in July 1996 when TWA Flight 800 exploded killing 230 people(Conclusion: Political issues sometimes force hand of agency. In this situation there can be no doubt that FAA was hypersensitive to charges of overlooking safety issues and erred more on the side of strict regulation that it may have otherwise)
- The MD 80s were old and 15 of 19 planes that were inspected did not meet minimum requirements
- American Airlines asked FAA to let them make repairs over several days while keeping some planes in the air but agency refused
- FAA had previously been under criticism for inspectors overlooking safety issues and collaborated with employees of Southwest Airlines to hide them
of employment values: judgment by merit, equal pay for equal work, due
process in disciplinary actions, and nondiscrimination by sex or race.
-82% of Public employment is within state and local government, Federal 18%
-Over half of public employees serve education and health and hospitals
-Over 60% of Federal Government serves national defense/international relations and the postal service.
-Major reductions in spending correlate with eliminating or reducing government
programs, not just cutting back on employees carrying out the programs.
-Managers include the legislative branch, chief executive, budget agency, central
-Office of Personnel Management (OPM) is charged with executing, administering, and
enforcing the civil service laws, rules and regulations.
-Merit Systems Protection Board and Federal Labor Relations Authority
-1978 Civil Service Reform Act gave strength to federal employees and their values
needed to improve the employment structure
-A tension exists between OPM and Agency heads over authority delegation
-1989, National Commission on the Public Service (Volcker Commission) issued a
major report arguing for decentralization of federal departments and agencies
-Response came under Clinton with OPM director James King eliminating the Federal
Personnel Manual, dumping SF-171 Resume form, and delegating more responsibility to
agency heads for managing the personnel system.
-General Schedule Classification and Pay System (GSC) - White Collar, 75%+ workers
-Federal Wage System- Blue Collar, Pentagon, 16% works
main system, uses position description by series of evaluators in creating
-GSC quickly out of date, distorts organization by shifting personnel to positions they
aren’t best suited for, change in composition of workforce creates weakness
-Reforms- Decentralization or dropping from 15 GS grades to 5
-Recruitment and Appointment- OPM, examinations, the rule of three, delegation to the
agency, veterans’ preference, affirmative action (goal of representative bureaucracy
corresponding to the make up of the total population, labor force, and pool of applicants
-Federal government employs proportionately as many women and more members of
minorities than does private industry
-Advancement after entry seems unaffected by race, but women lag behind
-College Education and sometimes Postgraduate school needed for advancement
-Examinations- PACE, 1974, then eliminated 1982, led to agency appointments
-Decentralization with central oversight has proved successful
-The Public service attracts through pay, promotional opportunities, and conditions of
work which are affected by the political stance towards bureaucracy
-Administrative Careers with America (ACWA) examination- designed to achieve
PACE’s scope with non-discriminatory way, used six OPM occupational-group exams
-Focused on lifelong careers, morale within, ability judged on the job, rewards
-Civil Service Reform Act- due notice, opportunity to improve or responds, evidence,
-Alternative: encourage transfer or new employment with good recommendations
-Reductions in Force (RIF) - budget cut, personnel ceiling reduced, programs
terminated or reorganized
-Clinton tried cash incentives to get employees to leave federal employment, but it
backfired with the fed losing some of its most qualified employees taking the offer
-Government’s capacity to attract and keep depends on salary and fringe benefits
-Comparability with private sector pay is overridden by president’s clause which allows
for alternative pay-adjustment plans
-Some say private industry will get the best, but others say the government cannot settle
for the private sector’s leftovers with sectors such as defense, foreign affairs, and economy
-The Volcker Commission recommended a pay system recognizing location and
costs, competition from the private sector, and shortages in occupations
-Comparable Worth-Equal pays for jobs of comparable value
-Pay within Grade- Bonus, range of increase, strong incentives to be compassionate
Rights and Obligation
-Open competitive examinations, merit, and comparable pay within and with private
sector, nondiscrimination by political party, race, national origin, religion, sex, age, or physical
and Collective Bargaining
-Private sector model is what is sought by unions in public sector
-Private sector unions can bargain about pay, fringe benefits, promotion, hours of work,
and working conditions.
-Public Employees do strike, but the government may respond negatively, such as
Reagan firing 11,000 air traffic controllers in 1981.
-Congress, state legislatures, and city councils prescribe the classification,
and salary systems; vote appropriations; and have the last word on general pay increases. They
are the bargainers, not those in executive positions.
-Unions possess voting strength, lobbying skill, and collective bargaining
reinforce one another.
-Unions work for those already in positions not those applying
-Unions support promotion by seniority; this is opposed to minorities and women
-Bargaining among the public sector is different from the private sector:
-Strikes on public services, who can represent management in bargaining?, the merit
principle, and the democracy compared to the bargaining through union management (doesn’t
take account of all affected interests)
-Federal Labor Relations Authority (FLRA) - administers the bargaining
between unions and the government.
-Main issues are work-week definition, temporary assignments, shift hours,
breaks, grievance and other procedures, safety, employee counseling, technological
-Mandatory drug testing seen as infringing on 4th Amendment rights
-Political participation is limited because of the threat of partisan union activity, the
public employee’s rising proportion of the electorate; unions might capitalize on public sector in
the rewarding of friends and punishing of enemies politically.
-The Hatch Act- 1939, Act to prevent employees of executive branch of Fed
taking part in political management or political campaigns
-Hatch Act Revision- 1993, reforms passed which allow most federal employees
take part in political campaigns, run for office within political parties, and solicit contributions.
There was continued prohibition on running for elective political office, or perform political acts
on the job or even display partisanship on the job.
-3 court cases covering dismissals, appointments, promotions, and transfers,
outlawing the patronage system at all levels of government with the exception of high-level
policymaking positions: Elrod v. Burns (1976), Branti v Finkel (1980), Rutan v Republican
Party of Illinois (1990)
civil service system, the collective bargaining system, and the political
system come from
different premises, embody different values, and are on a collision course with conflicts
occurring within the different organizations of the federal government.
11 (was 10): Budgeting
Walker Garrett (2005)
The Basic Parts of the budgetary process: Budget making, budget appropriation, and budget execution.
-3 Part legislative process>
-Budgeting is the arena that most fundamentally shapes public policy decisions because policy makers provide the resources needed to bring programs to life.
All governments regulate the behavior of individuals and organizations. The primary objective is to change the way that private individuals and corporations behave when pursuit of their self interest is likely to harm others- consumers, competitors, suppliers, distributors, workers, and members of future generations. A secondary, but vitally important, objective is to regulate how government agencies and their employees go about their administrative tasks, particularly those that involve regulation of private behavior.
In order to achieve these two objectives, three features are central:
The range of regulation of private behavior is very wide. At one extreme are speed limits and stoplights, at the other extremes, restriction of entry into a business or profession and regulation of prices and wages. Regulation is as old as wide. The Constitution in 1789 gave Congress the power "to promote the progress of science and useful arts by securing for limited times to authors and inventors the exclusive right to their respective writings and discoveries."
Regulatory agencies vary in the kinds of regulation they administer. They operate under both vague and highly specific statutory mandates.
Government regulation is conventionally defined as composed of economic regulation and social regulation.
Economic regulation and social regulation sharply differ in the content of legislative mandates. At both national and state levels, the economic regulation statutes have vested broad discretion in regulatory agencies.
Courts regulate the regulatory system in many ways. Often this occurs through appeals from agency rules and specific decisions. Sometimes it is through suits filed against agencies to require them to issue rules mandated or implied in statutes. Sometimes an agency sues a company seeking to punish noncompliance with a rule or order and to get a court order requiring compliance.
The balance between effective and ineffective regulation shifts from time to time, largely reflecting public opinion, elections, and appointments and attitudes of administrators and judges.
Presidents seek to control regulatory agencies, insisting that they are part of the executive branch and as such must be accountable to the president. Otherwise, goes the argument, their policymaking, via rules and regulations under broad delegations from Congress, would flout the democratic system of our government. The argument rests on three concepts: the need for coordination lest agencies contradict or duplicate one another; the need for consistency with the president’s policy agenda; and the need for the economy and efficiency, responsibilities of the president as chief administrator.
The Review System:
Bureaucratic Responsibility has two elements: Accountability and Ethical Behavior
Bureaucratic Accountability is expected to
follow the law and the constitution and be subordinate to sources of political
• Theoretical Approaches:
o 1st approach: bureaucratic authority= delegated authority• Complications: multiple controllers operating simultaneous rather than a straightforward relationship between a principal and an agent.
o 2nd approach: democracy and efficiency are conflicting values (accountable officials and efficiency in administering the law seem to be incompatible)
o 3rd approach: democracy is viewed as a process of exchange between sides/groups
o theoretical features—representativeness of the people making up the bureaucracy and the fragmentation of the bureaucracy (which make it hard to threaten the democratic balance) seem to counteract the accountability problem
o voluntary compliance—foundation of control, people voluntarily complying with restrictions on behaviorAn Agency needs good internal and external controls, if internal are weak then an external crackdown often occurs.
o standard setting—crafting of rules to guide administrative action, what administrators are supposed and what behavior is punishable.
o monitoring—check if standards are met, review actions completed oftentimes, should they be used to identify/prevent/ or correct all possible errors?
o sanctions—consequences that must be imposed if an overseer finds problems or else where is credibility? Mission cannot be disrupted but it must be taken serious.
Who is going to watch the watchers? Who will keep the balance of external and internal controls right?—independence and redundancy seem to be the answers in America. Redundancy is the multiplying of control agencies and overlapping their functions—where one agency is most likely to see a problem if one arises.
What should we seek to control?
Fiscal Accountability—money going to only the programs it is supposed to
Process Accountability—how agencies perform their tasks
Program Accountability—is a public program achieving its purpose as defined in law?
Who controls whom?—people ultimately in control, whistleblowers (may be a motivation to expose wrong or a malicious attempt against someone)
Solutions—when hierarchy system becomes weak, administrators can: use best judgment to discover intent of policy, rely on their professional judgment, and consult with controllers
Calvin Mackenzie wrote how the public sector requires much higher ethical standards than the private sector
1989 Ethics Reform Act (requirements of presidential appointees) requires that each person submit income from preceding calendar year, very detailed description of almost all fiscal and property activity must be submitted with public and news media having access
Overall public officials are scrutinized very carefully and criticized regularly. So many restrictions on candidates seem to paint a negative picture on human nature. Precautions are very detailed and burdensome.
Public Service is determined by the individuals recruited and retained in the public service. Public service is one of the most important societal jobs and incentive is needed to allow ablest citizens to join in and to delight in public service.