Introducing Public Administration

Transcription

1 Introducing Public Administration SEVENTH EDITION SUB Hamburg A/ Jay M. Shafritz Professor Emeritus Graduate School of Public and International Affairs University of Pittsburgh E.W.Russell ; Centre for the Governance and Management of Urban Transport University of Melbourne i Christopher P. Borick Department of Political Science Muhlenberg College x Longman 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

2 Preface xvii Key Events in Public Administration xxi Chapter 1 Defining Public Administration 1 Keynote: Go Tell the Spartans 1 The Definitions of Public Administration 6 Political Definitions of Public Administration 6 Legal Definitions of Public Administration 12 Managerial Definitions of Public Administration 16 Occupational Definitions of Public Administration 19 The Evolution of Public Administration 24 The Core Content 26 It's an Adventure! 27. A Case Study: How a President Undeservedly Received'Credit for Founding a Discipline 28 Summary 29 m Review Questions 30 Key Concepts 30 m Bibliography 31 Recommended Books 31 m Related Web Sites 32 Chapter 2 The Political and Cultural Environment of Public Policy and Its Administration 33 Keynote: Who Decides if the United States Should Wage War? 34 What Is Public Policy? 39 Public Policymaking in a Republic 39 Executive Powers 41 The Policymaking Process 44 Agenda Setting 46 Decision Making 49 A Single Calculating Decision Maker Not! 51 Implementation 53 Evaluation 55 iii

3 iv Power The External Perspective 56 Pluralism 58 Group Theory 60 Power The Internal Perspective 63 Organizational Goals 64 Internal Power Relationships 65 The Cultures of Public Organizations 67 The Outside Cultural Environment 68 The Inside Cultural Environment 70 Professional Socialization 71 Symbolic Management 72 A Case Study: Were the Space Shuttle Astronauts Killed by Fog? 74 Summary 76 Review Questions 76 Key Concepts 77 Bibliography 77 Recommended Books 78 U Related Web Sites 79 Chapter 3 The Continuous Reinventing of the Machinery of Government 80 Keynote: The New Feudalism 81 What Is the Machinery of Government? 83 Fine-Tuning the Machinery 83 The Rise and Fall of Governmental Machinery 84 The Administrative Architecture of the U.S. Government 85 Executive Branch Machinery 87 State and Local Government Machinery 91 State Government 92 County Government 93 Municipal Government 95 Towns and Special Districts 96 Local Management Machinery 96 Metropolitan Government 98 Continuous State and Local Reform 98 Reforming the National Machinery of Government 100 The Brownlow Committee 100 The Hoover Commissions 104

4 V The Ash Council 104 The President's Private Sector Survey on Cost Control 105 Reinventing Government 105 The Gore Report 107 Reinvention in Recess 107 The Obama Revolution The Return of Big Government 109 The Micromanagers 110 The Pressure for Privatization 113 Strategies for Privatization 114 Privatization in the Military 115 The Nonprofit Gambit 116 The Faith-Based Initiative 118 Voluntarism and Philanthropy 119 A Case Study: The Revolution in the British Machinery of Government Summary 124 m Review Questions 125 Key Concepts 125 m Bibliography 126 U Recommended Books 127 Related Web Sites 127 Chapter 4 Intergovernmental Relations 128 Keynote: The Age of Devolution 129 The Evolution of Federal Systems 134 Alliances and Confederations 134 Defining Intergovernmental Relations 135 The Fundamental Settlement 136 The Constitution 136 The European Union 137 a The American Federal System 138 Three Categories of Governments 138 The Structure of Intergovernmental Relations 141 The Effects of Pluralism 142 The Marble-Cake Metaphor 142 Dynamic Federalism 143 Dual Federalism 143 Cooperative Federalism 144 Creative Federalism 145

5 vi New Federalism 146 New New Federalism 146 Intergovernmental Management 148 Picket Fence Federalism 149 Councils of Government and Intergovernmental Agreements 149 Mandate Mania 150 Mandates and the War on Terrorism 151 The Transformation of Governance 152 Fiscal Federalism Following the Money 153 *" The Theory of Fiscal Federalism 154 Grant Programs 157 The Devolution Revolution 159 The Public Choice Solution 161 The Race to the Bottom 162 A Case Study: Why Illegal Immigration Is an Intergovernmental Mess and Will Remain So 163 Summary 166 Review Questions 166 Key Concepts 166 Bibliography 167 m Recommended Books 168 Related Web Sites 169 Chapter 5 Honor, Ethics, and Accountability 170 Keynote: Niccolo Machiavelli, the Preeminent Public Administration Ethicist 171 The Origins and Nature of Honor 174 National Honor 175 Why Honor Precedes Ethics 176 Dimensions of Honor 176 Regime Values 177 Corruption in Government 178 Bribery 178 Watergate 179 Lying for Your Country 182 The Dirty Hands Dilemma 183 Lying About Sex 184

6 vii Hierarchy of Ethics 186 The Four Levels of Ethics 187 The Iran-Contra Affair 187 ThecHigher Law Defense 188 Codes of Honor, Conduct, and Ethics 189 The New Face of Dueling 189 Honorable Behavior 190 Was "Deep Throat's" Behavior Honorable? 191 Standards of Conduct 192 The Challenge of Accountability 193 Constitutional and Legal Constraints 195 Obsessive Accountability 196 Avoiding Accountability 198 Legislative Oversight 199 Hearings 199 Casework 202 A Case Study: The Blood on Robert McNamara's Hands and Conscience 202 Summary 206 Review Questions 207 Key Concepts 207 Bibliography 208 u Recommended Books 209 m Related Web Sites 210 Chapter 6 The Evolution of Management and Organization Theory 211 Keynote: Moses Meets the First Management Consultant 212 The Origins of Public Management 214 The Continuing Influence of Ancient Rome 216 The Military Heritage of Public Administration 218 The Evolution of Management Principles 218 Comparing Military and Civilian Principles 219 The Principles Approach 222 What Is Organization Theory? 223 Classical Organization Theory 224 Adam Smith and the Pin Factory 225

7 viii The Origins of Scientific Management 227 The Staff Concept 228 ThVlnfluence of Frederick W. Taylor 229 Fayol's General Theory of Management 231 The Period of Orthodoxy 232 Paul Appleby's Polemic 233 Luther Gulick's POSDCORB 233 The Many Meanings of Bureaucracy 234 All Government Offices 235 All Public Officials 235 A General Invective 235 Max Weber's Structural Arrangements 236 Neoclassical Organization Theory 238 Herbert A. Simon's Influence 238 The Impact of Sociology 240 "Modern" Structural Organization Theory 240 Basic Assumptions 240 Mechanistic and Organic Systems 241 Systems Theory 241 Cybernetics 242 Complex Adaptive Systems 244 A Case Study: The Critical Importance of Administrative Doctrine 244 Summary 247 Review Questions 248 Key Concepts 248 m Bibliography 249 m Recommended Books 250 u Related Web Sites 250 Chapter 7 Organizational Behavior 251 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 252 Organizational Behavior 259 Group Dynamics 261 Organization Development 264 The Impact of Personality 268

8 IX The Impact of Bureaucratic Structure on Behavior 269 Bureaucratic Dysfunctions 270 Bureaucratic Impersonality 271 Bureaucrat Bashing 273 The Case for Bureaucracy 275 Motivation 276 The Hawthorne Experiments 276 The Needs Hierarchy 277 The Motivation-Hygiene Theory 278 Toward a Democratic Environment 279 Theory X and Theory Y 280 The Future of Organizations 282 Postbureaucratic Organizations 282 Postmodernism 284 The Problem of Technocracy 286 Postmodern Public Administration 286 A Feminist Perspective 287 A Case Study: The Dangers of Groupthink from Pearl Harbor to the War in Iraq 289 Summary 291 Review Questions 292 m Key Concepts 292 m Bibliography 293 m Recommended Books 295 Related Web Sites 295 Chapter 8 Managerialism and Information Technology 296 Keynote: Socrates Discovers Universal Management 297 Managerialism 300 A New Managerial Revolution 302 Policy Entrepreneurs 302 Reengineering 303 Radical as Opposed to Incremental Change 303 Becoming a Reengineer 304 Empowerment 306 Empowering Teams 306 Entrepreneurialism 307 Toward a Competitive Public Administration 309 The New Public Management 310

9 What Is Performance Management? 312 The Politics of Performance Management 313 Management Control 314 Productivity Improvement 314 Productivity Measurement 315 Barriers to Productivity Improvement 316 Total Quality Management 317 Information Technology 320 Social Networks and New Media 320 From E-Commerce to E-Government 324 The Two Faces of E-Government 324 Wired Citizens 325 One-Stop Government 325 Technology and Government Productivity 327 A Case Study: Is It Management or Is It Public Relations? Only Your Administrator Knows for Sure 328 Summary 331 Review Questions 332 Key Concepts 333 Bibliography 333 m Recommended Books 335 m Related Web Sites 335 Chapter 9 Strategic Management and Government Regulation 336 Keynote: Using Government Regulations of Business to Strategically Manage the Environment 337 What Is Strategic Management? 339 Objectives 339 The Planning Horizon 342 Capabilities 344 Game Theory 345 Strategic Management Tools 346 Best Practices 346 Benchmarking 347 Management Scorecards 349 Government Regulation for Health, Safety, and Economic Equity 351 Independent Regulatory Agencies 352 The Rule-Making Process 354

10 xi State Government Regulation 355 Occupational Licensing (Who Puts the "Certified" in the CPA?) 355 Local Government Regulation 356 Zoning 356 Building Codes 358 Public Health (Do You Want Roaches with Those Fries?) 359 A Case Study: Opportunity Lost: The Story of Bernie Madoff and the Securities and Exchange Commission 361 Summary 363 Review Questions 364 Key Concepts 364 m Bibliography 365 m Recommended Books 366 Related Web Sites 366 Chapter 10 Leadership 367 Keynote: The Hedgehog, the Fox, or Henry V 367 Leading for Performance 370 Defining Leadership 371 Leadership and Management 372 Trait Theories 374 Transactional Approaches 375 Contingency Approaches 377 Transformational Leadership 379 Too Much Leadership 380 Micromanagement 381 Overmanagement 382 Moral Leadership 382 The Bully Pulpit 382 Rhetorical Leadership 382 A Case Study: Transforming the Postal Service 384 Summary 387 Review Questions 387 Key Concepts 388 m Bibliography 388 Recommended Books 389 m Related Web Sites 389 Chapter 11 Personnel Management and Labor Relations 390 Keynote: The Adventures of a Young Man as a Personnel Technician 391 The Personnel Function 396 Recruitment 397 Merit Selection 398

11 xii Position Classification and Pay 400 Performance Appraisal 402 Training 404 Management Development 406 The Bittersweet Heritage of Civil Service Reform 407 The Netherworld of Public Personnel Administration 407 From Spoils to Merit 409 The Pendleton Act 410 State and Local Reform 411 The Rise and Fall of the Civil Service Commission 412 The Civil Service Reform Act of Reinventing Public Personnel Administration 416 Privatizing Public Personnel 417 Contracting Out Personnel 418 Patronage Appointments 419 The Constitutionality of Patronage 421 Veterans Preference 422 Patronage Gone Bad 422 Public Sector Labor Relations 423 The AFL-CIO 424 Administrative Agencies 425 Collective Bargaining 426 Strikes 429 A Case Study: The Air Traffic Controllers Strike 430 Summary 431 Review Questions 432 Key Concepts 433 Bibliography 434 m Recommended Books 434 m Related Web Sites 435 Chapter 12 Social Equity 436 Keynote: Three Thousand Years of Sexual Harassment 437 What Is Social Equity? 438 Mandating Social Equity 439 The New Public Administration 440 The Challenge of Equality 441 Racism 441 The Bitter Heritage of Slavery 443

12 xiii From Reconstruction to Second Reconstruction 444 An Administrative Fix for Racism 445 Equal Employment Opportunity 446 Origins of Affirmative Action 446 The Case for Affirmative Action 449 The Case Against Affirmative Action 450 Representative Bureaucracy 451 Reverse Discrimination 452 Justifying Diversity 454 The Ongoing Role of Race in Public Administration 457 Nonracial Discrimination 458 Sex Discrimination 458 Sexual Harassment 459 Pregnancy Discrimination 460 Age Discrimination 461 Disabilities Discrimination 462 Sexual Orientation Discrimination 463 A Case Study: Social Equity Through Social Insurance 465 Summary 470 m Review Questions 470 m Key Concepts 471 m Bibliography 471 m Recommended Books 472 Related Web Sites 473 Chapter 13 Public Financial Management 474 Keynote: Arnold Gets Terminated: A Hollywood Icon Sees His Political Fortunes Collapse Under the California Budget Crisis 475 The Importance of Public Financial Management 478 Six Principles 478 " Balanced Budgets 480 The Fiscal Year 480 Budgeting Theory and Practice 481 The Taft Commission 481 The Influence of Keynes 483 The Objectives of Budgeting 483 The Two Types of Budgets 485 Waves of Innovation in Budget Making 485 The Executive Budget 485 Line-Item Budgeting 486

13 xiv Performance Budgeting 487 Program Budgeting Versus Incrementalism 488 Zero-Based Budgeting 490 Contemporary Budget Reform 491 Integrated Budgets 491 Multiyear Budgets 492 Financing Public Expenditure 492 Taxation 495 The Ability-to-Pay Principle 496 The Flat Tax 497 User Charges 497 Grants 499 The Problem of Debt and Budgetary Manipulation 499 Abuse of Public Debt 500 Municipal Bonds 501 The Rating Agencies 501 Debt and Economic Recovery 502 Bonds, Debt, and Emergency Recovery 503 Stealth Budgeting: Hiding the True Costs of the Iraq War 505 Economic Policy 507 Monetary Policy 508 Fiscal Policy 508 A Case Study: Social Security Reform from Clinton to Obama 510 Summary 512 M Review Questions 513 Key Concepts 514 Bibliography 514 Recommended Books 516 Related Web Sites 516 Chapter 14 Program Audit and Evaluation 517 Keynote: Captain Bligh's Program Evaluation of the Mutiny on the Bounty 517 What Is an Audit? 525 Multiple Applications 525 A History of Auditing 526 The Government Accountability Office 527

14 XV Glossary 547 Types of Audit 529 Compliance Audit 531 Performance Audit 532 Internal Audit 532 Program Evaluation 533 Policy Analysis Is Not Program Evaluation 534 Legislative Program Evaluation 536 Types of Evaluation 537 Evaluation Standards 538 Management Control: Evaluation in Microcosm 540 Evaluation and the Democratic Process 541 A Case Study: Jeremy Bentham, the Philosopher of Policy Analysis and Program Evaluation 542 Summary 544 m Review Questions 544 m Key Concepts 544 m Bibliography 545 m Recommended Books 546 m Related Web Sites 546 Appendix: Additional Sources 554 Index 555