A Workbook Prepared to Support the Master of Public Administration Capstone Course (Revised March 1, 2009)

Transcription

1 A Workbook Prepared to Support the Master of Public Administration Capstone Course (Revised March 1, 2009) Students will interpret, synthesize and apply core course concepts, methods and processes to effectively manage public agencies, analyze complex public sector issues and identify potential solutions John E. Dunning 1

2 Contents Topic Introduction Case Analysis 3 MPA Curriculum and Case Analysis 4 The Case Study Model 7 Chapter 1 Discussion of the Situation Preliminary Analysis of the Case 10 The Five Steps 10 Chapter 2 Application of Core Course Concepts Research Methods 13 Organizational Behavior 15 Theory of Organizations 16 Public Human Resource Management 17 Administrative Law 19 Governmental Budgeting and Financial Management 19 Ethics in Public Administration 21 Public Policy 23 Chapter 3 - Alternatives for Action Change Management Strategies 27 Chapter 4 - Selection of Recommended Alternatives The Decision Matrix 32 Chapter 5 - Implementation and Evaluation Implementation 35 Evaluation (Program Evaluation) 35 Summary 35 Appendix A The Case Analysis Matrix 38 Appendix B Course Design Matrix 39 Appendix C - Exercises 40 Appendix D - Assessment 43 2

3 Introduction Case Study Analysis What is a Case Study? A case study describes a situation requiring a decision, a problem or set of problems that must be solved. It can be a real situation that happened as described or a slightly altered situation to preserve the privacy of those involved. Some of the most effective case studies are written in such a way that the reader takes on the role of the manager charged with the responsibility of making the decision or solving the problems presented. In a capstone course, case studies will be selected with multiple issues or problems that require the reader to apply concepts from the majority of the core courses. Ideally the case will have issues involving research methodologies, human resource management, budgeting and financial management, organizational theory and behavior, administrative law, ethics, public policy analysis and program evaluation. Why a Case Study? One of the most effective ways to learn is to be in a real organizational situation, make decisions and then deal with the consequences of those decisions, learning from the positive actions and mistakes. Cases allow us to simulate real situations and make decisions without the negative consequences. The intent is to prepare the student for similar organizational situations by providing basic problem solving and critical thinking competencies. The student will gain greater understanding and improved skills in judgment when working through a problem as opposed to a lecture based on theory and discussion. In summary cases help us to learn how to apply theories and solve problems. Case Analysis Models While there are a variety of case analysis models, there is a common problem solving theme: Step One: Review the Case Situation Step Two: Define the Problem Step Three: Identify the causes Step Four: Generate Alternative Solutions Step Five: Make the Decision Step Six: Take Action The model described in this workbook expands on the basic problem solving model enabling the student to integrate key concepts and theories from the core courses taken in the MPA program. Theories, Models and Concepts A theory is a set of statements organized in a way to allow us to explain, predict, or control events. Descriptive theory describes phenomena as they are hypothesized to exist. Many learning theories describe how learning occurs. Prescriptive theories give directions or guidelines for actions to take that will lead to certain results. Using organizational behavior as an example, Maslow s hierarchy of needs describes how 3

4 human behavior is hypothesized to exist (descriptive theory). On the other hand Vroom s expectancy theory prescribes actions that will lead to certain results (prescriptive theory). A model is a simplified representation of how a structure or system works and the interaction between the various parts. Examples of models studied would be Dye s public policy conceptual models (incremental, group, elite, etc.) A concept is an idea derived or inferred from a specific instances or set of occurrences. An example would be performance based budgeting. Observations have shown that organizations using performance budgeting have achieved a greater level of accountability and efficiency. Therefore if we wish to achieve greater accountability and efficiency we apply the concept of performance budgeting.. For case study analysis we alternate between the descriptive and prescriptive approaches. As we first study the case, we want to understand and describe what is happening. Following this we want to prescribe actions based on theories, models or concepts that will lead to achieving the desired results. MPA Curriculum and Case Analysis The National Association of Schools of Public Policy and Administration (NASPAA) specifies the common curriculum components required in a Masters of Public Administration Program. The following is extracted from their Standards For Professional Masters Degree Programs in Public Administration which can be found at: Common Curriculum Components. The common curriculum components shall enhance the student's values, knowledge, and skills to act ethically and effectively: In the Management of Public Service Organizations, the components of which include: - Human resources - Budgeting and financial processes - Information management, technology applications, and policy. In the Application of Quantitative and Qualitative Techniques of Analysis, the components of which include: - Policy and program formulation, implementation and evaluation - Decision-making and problem-solving With an Understanding of the Public Policy and Organizational Environment, the components of which include: - Political and legal institutions and processes - Economic and social institutions and processes - Organization and management concepts and behavior These area requirements do not prescribe specific courses. Neither do they imply that equal time should be spent on each area or that courses must all be offered by the 4

5 public affairs, public policy or public administration programs. Nor should they be interpreted in a manner that might impede the development of special strengths in each program For this workbook these core curriculum will be referred to in the following courses with competencies as indicated: PA 6601 Research Methods Students will be able to conduct their own research and interpret the research of others. PA 6603 Economics for Public Management Students will be able to analyze public problems from an economic perspective. PA 6610 Foundations of Public Administration Students will be able to discuss the interaction of political and administrative processes, the roles of administrators, and how theories and concepts can be applied in resolving public problems. PA 6620 Theory of Organizations Students will be able to analyze and improve organizational effectiveness and articulate change management strategies. PA 6622 Public Policy - Students will be able to explain how public policies are developed and implemented and apply different approaches to analyze public policies. PA 6624 Public Human Resource Management Students will be able to perform key personnel functions as managers of personnel resources within their agency. PA 6631 Program Evaluation Students will be able to identify, design and interpret a formative, summative and confirmative evaluation conducted in a public setting. PA 6640 Intergovernmental Relations Students will be able to describe the fiscal and legal issues that govern relations between agencies and effectively use collaborative processes to achieve better intergovernmental program management results. PA 6644 Administrative Law Students will be able to analyze, understand and articulate the relationships and legal limitations of each of the branches of government and how they impact their agency PA 6646 Organizational Behavior Students will be able to apply basic organizational theories and concepts to enhance their work environment, employee productivity and quality, and the quality of the employee s work-life. PA 6650 Governmental Budgeting and Financial Management Students will be capable of reviewing, analyzing, understanding and developing budgets in an organizational context. 5

6 PA 6674 Ethics in Public Administration Students will be able to define, describe and apply the various bases for decision making in a public setting and be able to analyze and describe the impact of organizational values upon their agency. PA 6699 Capstone in Public Administration Students will be interpret, synthesize and apply core course concepts, methods and processes to effectively manage public agencies, analyze complex public sector issues and identify potential solutions. Application of the Courses to the Case Study Methodology The case study methodology allows the student to demonstrate their competencies as they work through the case. The following chart demonstrates the relationship between each core course and how it is applied to case analysis. Summary of the Case Analysis Model Section I Step Action Description Course 1 Analyze the Situation What is going right, wrong & why PA 6610 & select courses depending on case 2 Define the Problem Identify the most important problem/s PA 6601& PA 6631 and write problem statement/s 3 Establish Objectives Identify objectives that must be achieved to resolve the problem/s PA 6601 & PA 6631 Section II 4 Generate recommendations based on core courses Section III 5 Identify Change Management Strategies Section IV Prepare a list of prescriptive actions to meet objectives and resolve problem/s Identify an organizational change strategy to support selected alternatives from step 4 All core courses PA 6620 and PA Establish Criteria Identify and rank decision criteria PA 6620, PA 6646, PA6622, PA Evaluate Strategies Analyze the effectiveness of each PA 6610, 6620 & 6631 strategy 8 Select a Strategy Decision Making PA 6622, PA 6631 Section V 9 Implement the Change Organizational Change PA 6620, PA Evaluate the Change Program Evaluation PA

7 The model supports the PA 6699 Desired Competency: Students will interpret, synthesize and apply core course concepts, methods and processes to effectively manage public agencies, analyze complex public sector issues and identify potential solutions The Case Analysis Model (applied) For PA 6699 the following format for case analysis was developed to allow the student to apply the MPA Program course competencies, and the faculty to assess student mastery. Use these headings when you write your case analysis. Section 1 - Discussion of the Situation Introduction to the case Include a brief summary of the case leading to the central issue. Key Actors Identify the key players and make a one sentence statement of their agenda as it relates to the central issue(s). Central Issue Identify the central problem(s) or issue(s) in the case to include the objectives that must be achieved for resolution. A good way to do this is to write a problem statement. (What actions can be taken to.?) Following this write a series of objectives that must be met to address or resolve the central problem. Think in terms of course courses. Significant Organizational Conditions In this section include factors that will impact the solution, or problems internal to the organization that you are not addressing in the problem statement. Significant Environmental Conditions In this section include items that are external to the organization that could influence your implementation plan. Relevant Time Frames In this section tell when the problems or issues must be resolved think short and long term. Section 2 Application of Core Course Concepts In this section, for each core course concept, you should construct your responses using three separate paragraphs. (1) Identify the problem, issue and related objective from Section 1 that is the focus of the application and explain it in a manner that makes a connection to the concept you plan to discuss in the next paragraph. (2) Explain the concept you are and, cite your source (text and page). Then describe how you would actually apply the concept in the case scenario. (3) Explain how the concept will solve or lessen the impact of the problem. Write a minimum of two concepts per core course. Before you write this section, prepare a Case Analysis Matrix see Appendix A. Research Methods (PA 6601) Identify the research issue, the concepts to be applied and the expected outcome. 7

8 Organization Theory and/or Organizational Behavior (PA 6620 or PA 6646) Identify the organizational/behavioral issue, the concept/s to be applied and the expected outcome Public Human Resource Management (PA 6624) Identify the personnel issue, the concept/s to be applied and the expected outcome Administrative Law (PA 6644) * write on either PA 6644 or PA 6674 Identify the legal issue, the concepts to be applied and the expected outcome Ethics in Public Administration (PA 6674) * Identify the ethical issue, the concepts to be applied and the expected outcome Governmental Budgeting and Financial Management (PA 6650 Identify the financial issue, the concept/s to be applied and the expected outcome Policy Analysis (PA 6622) Identify the policy issue, the concepts to be applied and the expected outcome Other Courses (PA 6602, PA 6603, PA 6640)* Indentify the issue, the concepts to be applied and the expected outcome. *Note: You only need to write on those courses taken to meet the Tier I and II core course options. Section 3 Alternatives for Action Identification of Alternatives Discuss three different change management strategies that you could use to implement the core course concepts identified in Section 2. The alternative strategies need to be consistent with the central issue in the case. The alternative could be one of the concepts you listed in Section 2, or it could be a change management strategy not previously discussed Alternative One o Explain the alternative strategy using necessary references o Discuss the relationship with the central issue. o Discuss the strengths and weaknesses of this alternative and compare/contrast with the other alternatives Alternative Two o Explain the alternative strategy using necessary references o Discuss the relationship with the central issue o Discuss the strengths and weaknesses of this alternative and compare/contrast with the other alternatives Alternative Three o Explain the alternative strategy using necessary references 8

9 o Discuss the relationship with the central issue o Discuss the strengths and weaknesses of this alternative and compare/contrast with the other alternatives Section 4 Selection of Recommended Alternatives Criteria for Selection Identify three criteria that you would use in selecting the recommended alternative. Explain why each of the criteria is relevant to the central issue. Selection of Alternative Use a Prioritization Matrix, such as the Multiple Attribute Utility Model (MAUT), select an alternative. Attach a copy of the decision matrix. Section 5 Implementation and Evaluation (1) Restatement Briefly restate the selected change management strategy selected in Section 4 and how you intend to obtain support or buy in from key players. (2) Implementation Plan Discuss the implementation of the selected actions from Section 2 not the change management alternative o What will be implemented and when, o How it will be implemented, and by whom Potential Obstacles Briefly identify the situations (key players, organizational conditions and environmental conditions) that might be an obstacle for successful implementation. Following each obstacle include a comment on how it could be overcome. Evaluation Plan Base the plan on the quantified objectives from Section I. Discuss how you will know that the problem(s) have been resolved or the objective met? As an example you could discuss: o Who will participate in the evaluation process? o What measures will you use? (could be surveys, etc.) o What type of evaluation will be provided? Summary As a minimum, restate the central issue, identify the change management strategy, and mention one or two of the key core course concepts. 9

10 Preliminary Analysis of the Case: Chapter 1 Discussion of the Situation Most cases contain one or more problems, defined as a gap that exists between what ought to be occurring and what is actually occurring. Read through the case and make a list of all the key issues or problems you see. At this point we are focusing on understanding what is happening in this case. As in the real world your organization of others may have a significant number of issues or problems. The key ones normally those directly impacting the mission need to be fixed first. From the list, identify those problems that must be fixed in order for the organization to effectively execute their mission. The other issues you identified could be classified as conditions that exist that may or may not influence the resolution of the primary problems you identified. You should then to separate these issues/problems into three categories (1) problems you intend to resolve (2) problems/issues that exist within the organization that you do not intend to resolve initially. Examples of this may be morale, or previous events that occurred. (3) problems/issues that exist in the environment external to the organization. Examples of this may be legislation or media relations. The Five Step Process Step One: Prepare a brief summary of the case emphasizing the actions that led to or may have caused the problems that need to be resolved. Normally this can be done in three or four paragraphs. The intent is to set up or justify your problem statement. Step Two: Identify the Key Players in the case. In any given situation individuals in key positions can influence the course of action you intend to take to fix the problems. Some key players will be supportive and others will work against change. As part of your analysis you need to identify the key players and their agenda as it relates to the central issue in the case. State the individual s name, position and their motivation for past or future behavior. Step Three: The most critical problem (or central issue) in a case should be related to the mission of the organization. Normally the case will identify a major barrier or set of barriers that are preventing the organization from effectively accomplishing its mission. How you define a problem will determine the outcome of your case analysis. 10

11 Write the problem statement. Consider the following criteria for writing the statement. (1) The problem statement should be overarching and relate to the mission of the organization. (2) The problem should be stated in question form. (3) The statement should imply the possibility of empirical testing. (4) Once the primary problem is stated, you need to look for causes. These will be incorporated into the supporting objectives listed below. Write supporting objectives. The causes of the problem may relate to personnel shortages, insufficient revenue, poor customer service, or inefficient work processes. Objectives should be written, that if achieved, would resolve the problem. An example of an objective dealing with the personnel problem would be To recruit and hire a sufficient number of qualified customer service representatives to achieve and maintain 100% staffing levels within three months. Case problems statements usually require four or five supporting objectives that must be achieved to resolve the problem. See the following example: Problem Statement: What actions can the Department of Health and Human Services (DHHS) take to provide timely and effective drug and alcohol treatment services to the Sacramento Community? Objectives: To establish case and workloads consistent with best practices within 12 months. To obtain sufficient funding for peer, primary and residential treatment for DHHS and CBO s within 24 months. To reduce the 800 backlog and 9 week waiting time to less than a 2 week waiting time within 6 months. To insure all DOA counselors and staff have the necessary skills to provide effective counseling services within 6 months Step Four: As part of the analysis, identify and discuss the organizational and environmental conditions that relate to or could possibly impact the central issue in the case. Going back to your preliminary analysis of the case use the issues that are not included in your problem statement or objectives. Those that are internal to the organization are organizational conditions, and those external are environmental conditions. List the condition and include at least one or two statements justifying their selection.. Step Five Identify the time frame (months) in which the central issue has to be resolved. Tell when the problems have to be solved. Consider using the categories of: immediate, short term and long term. Do not list actions or solutions these will be discussed in Section 2. When do the problems have to be resolved? 11

12 Notes: 12

13 Chapter 2 Application of Core Course Concepts In this section you demonstrate your ability to apply the core course theories and concepts that you have studied in your master s program. Focus on the root causes of the problems and the actions that need to be taken to address the problem statement and the associated objectives. You are required to address at least two concepts or theories from each course. However, you are also required to solve the problem, so more than one concept may be required. As an example, if the case has serious human resource problems, more than two concepts would be required from Public Human Resource Management (PA 6624). The core course concepts may address one of more of the objectives, or may relate to central issue. For each core course concept used, you need three paragraphs. In the first paragraph identify the objective(s) you are addressing and the issue/problem you plan to fix. In this paragraph you need to set up the selection of the concept or theory you plan to use. Explain the problem in such a way that the concept you plan to use fits. If you plan to use Adam s Equity Theory of Motivation in the second paragraph, you would have to explain the equity implications of the problem. In the second paragraph, explain or define the concept you are applying (in your own words) in sufficient detail to demonstrate your knowledge of how the theory or concept works, provide a citation (text and page) and then discuss how you intent to put it into action. In the third paragraph, explain how the concept will solve or lessen the impact of the problem and why. Some actions will be an initial step, such as information gathering for decisions making, some will be a key step in solving the problem or meeting an objective but are also dependent on other actions being taken. Some actions will completely resolve the problem or be sufficient to meet one of the objectives. The following comments are designed to help you think through the relation of the core courses to the central issues in the case. At this point recommend you use a Case Analysis Matrix to outline the concepts you plan to apply. See Appendix A. Research Methods (PA 6601) The primary reason we conduct research is to gather information for decision making. Look at the statement of the problem and the objectives. What data is required for each? In research methods start with the design, not the method of data gathering. Do you want a design for description? Descriptive data is most commonly used for planning, monitoring or evaluating. After discussing the design, then discuss the data collection method and how you plan to analyze the data. Some questions that public administrators ask: 1. What information is needed to make current decisions about a program? 2. How much information can be collected and analyzed in a low-cost and practical manner, e.g., using questionnaires, surveys and checklists? 3. How accurate will the information be? 4. Will the proposed method get all of the needed information? 5. What additional methods should and could be used if additional information is 13

14 needed? 6. Will the information appear credible to decision makers? 7. Will the nature of the audience conform to the methods, e.g., will they fill out questionnaires carefully, engage in interviews or focus groups, let you examine their documentations, etc.? 8. Who can administer the methods now or is training required? 9. How can the information be analyzed? In the ideal situation a researcher will use a combination of methods. As an example the researcher may start with a literature review to get preliminary ideas and then look for some secondary data (collected for other purposes) to see if this provides sufficient information for decision making. If not, the researcher will prepare a research design. In public administration research the descriptive design is most common. The descriptive design is useful for gathering the data needed for planning, monitoring, and evaluating. Designs for description answer the following questions: How many? How much? How efficient? How effective? How adequate? Descriptive designs also find relationships. Cross-sectional designs show relationships at a single point in time. These studies normally use surveys to collect data to show people s attitudes and behavior and to uncover relationships. Cross-sectional designs are best for studies that involve collecting data on many variables from a large group of geographically dispersed subjects. Descriptive designs can also be used to show trends. There are time series designs that measure changes in variables over time. The describe changes over time, keep track of trends and forecast future trends. When doing these studies the researcher looks for four types of variations: long-term trends, cyclical variations, seasonal variations and irregular fluctuations Descriptive designs can also be used to fill in the details. Focus-group Interviewing obtains detailed information for decision making from a small group of individuals. Meta-analysis attempt to form a single data set from a group of similar studies. One group pre-test - post test looks at impact of an intervention. Designs for explanation look for causal relationships. The typical designs are Experimental and Quasi-Experimental. Some points on each: Experimental Designs Need a control group and random assignment Two-Group Pre-test/Post-test Two- Group Post-test Only Solomon Four-Group Design Quasi-Experimental Designs 14

15 Nonequivalent Control Group Design Time Series Design After you determine your research design, then you need to consider data collection strategies. Most common are: Physical measurements (observation) Mail surveys Telephone surveys Intensive interviewing Focus groups Secondary data Important: When writing the Research Methods Application, use the following format: In the first paragraph Identify the problem or objective you are working on from Section One and do so in such a manner that will logically lead to your research design and data collection strategy In the second paragraph identify the type of data needed, your design (how you plan to go about getting the data) and data collection method. In this paragraph you will define your data collection strategy using a paraphrase from the text and then list the text and page number) In the third paragraph State the expected outcome from collecting this data (you will be able to make a decision regarding or your will obtain benchmark data,,, Organizational Behavior (PA 6646) In most cases the behavior of the individuals or groups need to be changed to achieve organizational effectiveness. Consider individual (motivation, job enrichment, etc.), group (cohesion, conflict, etc) and organizational (culture, design, development, etc) interventions. These actions normally provide a good link to other core course concepts). Organization theory and organizational behavior cover a broad array of topics and concepts. The most common areas are: Organizational Culture (sustain or change) Motivation (expectancy, goal setting, equity and rewards_ Job Design (apply job characteristics model or job enrichment) Group Behavior (cohesion, team building, conflict resolution) Communications (removing barriers to effective communications) Organizational Design (components of design decisions, and alternate models) Organizational culture problems arise when the shared expectations, values and attitudes of the employees do not match those needed by the organization to efficiently execute the mission. While changing a culture is difficult there are five common intervention points 15

16 that can be implemented. There are also some methods that can be use to create and sustain a positive culture. An important aspect of changing and sustaining a culture is the process of organizational socialization. Employee motivation seems to be an issue in most cases. The content theories such as Maslow s hierarchy of needs, Aldefer s ERG and McCellend s Learned Needs Theory are more descriptive in nature. The process theories such as Vroom s Expectancy Theory, Adam s Equity Theory and Locke s Goal Setting Theory are prescriptive and can be used to change individual behavior. Many motivation theories complement compensation practices. This includes the rewards generated under Reinforcement Theory. Quality of work life relates to job design. Job design is the result of job analysis. Often job range, depth and relationships need adjustment. Morale can often be improved through the steps involved in job enrichment. A related theory is Hackman s Job Characteristic s Model, The characteristics are skill variety, task identity, task significance, autonomy and feedback. This model is based on improving motivation and production. One aspect of group behavior deals with intergroup conflict and organizational performance. In case analysis we must often look for the causes of group conflict. The causes fall into the broad categories of work interdependence, goal differences and perceptual differences. There are actions that can be taken to lessen conflict and also actions that can be take to resolve conflict. The conflict resolution grid provides guidance on resolution strategies. Many organizations face barriers to effective communication. Most text books identify nine common barriers and ten methods to improve communications. Use of these guidelines to deal with communication problems is often appropriate in conjunction with other actions. At times organizations are ineffective because of flaws in their basic design. Theory of Organizations (PA 6620) A course in organization theory covers organizational level phenomena such as organizational change and growth, effectiveness, planning, design, politics and culture. Organization theory is useful as it can answer questions such as: 1. How should we analyze and describe organizational phenomena? 2. How should we organize? 3. How can we bring about change? 4. How can we measure and improve organizational effectiveness? If you have taken Theory of Organizations in place of Organizational Behavior, recommend you focus on the concepts of design, culture, and effectiveness. Another approach is to focus on the four theoretical frameworks.. These are the structural, human resource, the political or symbolic frameworks. Each prescribes a to analyze the situation 16

17 and apply appropriate strategies. A fairly extensive summary of each framework and the contributing scholars is found under the core course point papers on Blackboard. Important: When writing the Organizational Behavior or Organizational Theory applications consider the following: In the first paragraph Identify the problem or objective you are working on from Section One and do so in such a manner that will logically lead to the set of theorie or concept that you discuss in the second paragraph. In the second paragraph Write a separate second paragraph for each theory or concepts. Start out with a definition of the theory of concept. (cite the source). Describe how you will go about implementing the concept dealing with the specifics of the case. As an example if you decide to apply Vroom s Expectancy Theory, insure you apply all of the relative constructs of the theory such as expectancy, valence, instrumentality and first and second level outcomes. In the third paragraph State the outcome you expect to achieve from applying the concept or theory. Be realistic! Research shows that most social theories demonstrate a 30-40% correlation between the dependent and independent variables. Don t overestimate the impact. Public Human Resource Management (PA 6624) There are normally several human resource issues in any given case. As we are in a proactive mind set (fixing problems) and not in a reflective mind set (the history of the civil service system), focus on the basic HR functions of planning, staffing, compensation, performance management, etc. In our current textbooks there is a focus on the critical role that human resources play in organizational performance. One approach in conducting case analysis is to look at the human capital standards established by the Office of Personnel Management. Consider applying one of the following standards: The strategic alignment standard. This requires that the human resource strategy is integrated into agency strategic plans, performance plans, and budgets. The workforce planning and development standard. This requires a focus on citizens, results, e-government, and to consider contracting out or competitive sourcing. Many of the cases used in the Capstone course require this focus. The leadership and management standard. Among other things, this requires the establishment of a learning or developmental environment that will sustain continuous improvement. The results oriented performance culture standard. This requires a focus on building a high-performance workforce. This requires the implementation of a performance management system that ties performance on the individual, team and unit level to organizational goals and objectives. 17

18 The talent standard. This requires closing the gap between existing and desired skills, knowledge and competencies. This could be achieved by recruiting, training or development. Textbooks also cover the fundamental human resource functions of: Recruitment and selection. A strategy must be in place to identify, recruit and retain personnel who are well qualified, productive, receptive to organizational incentives and able to develop new skills. Job analysis and evaluation. Job analysis looks at the required tasks, knowledge and skills associated with a position. After the analysis is completed the job description can be written and the job can be evaluated and categorized or classified. Job analysis is the foundation of the entire personnel system compensation, performance, training, and development. Performance appraisal and pay for performance. If performance ratings are to be the determining factor in pay, they must be accurate and actually discriminate between levels of performance. Training and Development. Remember to start with a needs assessment. The acronym ADDIE, stands for Assess, Design, Develop, Implement and Evaluate. Collective bargaining. Under the traditional merit system the rules of the work place are set between the employer and the individual. Under collective bargaining management is required to negotiate these rules with another organization. This often results in power sharing with those responsible for the welfare of the worker. Employee rights and responsibilities. We must be aware of the Constitutional rights of employees under the First, Fourth, Fifth and Fourteenth Amendments. These rights include: o Procedural due process o Freedom of speech and expression o Freedom of association o The right to privacy o Equal protection under the law. The characteristics of the civilian workforce have changed significantly. An effective organization responds to these changes with responsive programs such as: o More flexible and cost conscious employee benefit plans o Flexible work programs o Flexible work places o Part time work o Family leave policies o Child care programs o Elder care programs Important: When writing the Public Human Resource Management concepts consider the following: In the first paragraph 18

19 Identify the problem or objective you are working on from Section One and do so in such a manner that will logically lead to the set of theories or concepts that you selected in paragraph two. In the second paragraph Write a separate second paragraph for each concept. Remember that many of the HRM concepts can be tied to other core course concepts in the field of organizational behavior, budgeting and financial management, and administrative law. Start out with a definition of the concept and cite the source. Then describe how you will go about implementing the concept dealing with the specifics of the case. As an example, if you decide to apply recruiting and selection, insure you discuss the validity of the need, finding and attracting qualified applicants, the selection process and how you will retain them. If you are applying the concept of training insure you cover the entire process of organizational analysis, task analysis, person analysis, determining training priorities, setting training objectives, implementation and evaluation. In the third paragraph State the outcome you expect to achieve from applying the concept or theory. If the concept ties in or supports another concept in HRM or other course mention this. Administrative Law (PA 6644) Cases usually have at least one underlying problem that relates to administrative law. Usually something in the case will involve rule making, regulation, due process, property rights, or the law of public employment. Rule making and administrative law. Some of the requirements that apply to rule making are: o Public participation is considered essential to make that possible, o Public notice of proposed rule making is required. This leads to, o The opportunity to present views. o Posting effective dates of newly issued rules. The Law of Public Employment. Permanent public employees have property interests in their jobs. Pre-termination hearings are contingent upon: Establishing either a property or liberty interest A liberty interest deals with one s reputation or ability to secure future employment Freedom of Information Act. The principle is that timely provision of information to the American people, upon their own petition, is a requisite and proper duty of government. The policy limits the discretion of agencies to restrict public access to government information that is in the public interest. Sunshine laws (open meeting) have been enacted for administrative agencies at all levels of government Civil Rights and Liberties. These deal with Religious Freedom and Nonestablishment, Freedom of Expression, Equal Protection Rights, Due Process Rights and Privacy Rights 19

20 Important: When writing the Administrative Law concepts consider the following: In the first paragraph Identify the problem or objective you are working on from Section One. (Often administrative law applications are difficult to find and they may not relate to a specific objective in Section One. If this is the situation, you can relate this to the central issue in the case. Your primary interest is to demonstrate your understanding of the course and your ability to apply the concept.) In the second paragraph Write a separate second paragraph for each concept. Start out with a definition of the concept and cite the source. Then explain how this concept is relative to the case and the actions the organization must take to implement the concept. As an example, if you select due process explain the situation that makes this concept relevant, and then describe the actions necessary to insure due process is provided. In the third paragraph State the outcome you expect to achieve from applying the concept. Governmental Budgeting and Financial Management (PA 6650) In most cases you can assume that the organization has a line item budget. So changing to a different budget process may be appropriate. Think beyond budgets to all related concepts such as audits, revenue, reprogramming, capital budgets, contracting out, etc. Consider solving the financial issues through the use of Performance, Program or Zero-based budgets o Performance Budgeting: This is budgeting for efficiency; it shows what you are getting for your money and is useful to help manage activities. Pro's - control costs, measure efficiency of activities, estimate future expenditures Con's - Need to distinguish between fixed and variable costs, efficiency is not the only measure. o Program Budgeting: This is budgeting to achieve goals and provide choices from alternative strategies. Pro's - allows officials to evaluate goals, weigh alternative programs, choose policy strategies that best meet public purposes. Takes decision making past efficiency. Con's - No single method to sort our alternatives, places heavy demands on officials, very time consuming o Zero-Base Budgeting This is decentralized budgeting for priorities, where decision units and packages are prepared and ranked. Con's - creates massive amounts of paper, undercuts strategy that all programs are equally crucial, managers must prioritize programs 20

21 Pro's - will develop operating data for managers, gives consideration to other methods of service delivery, once funded - a line can be drawn for unfunded priorities, Budget related strategies for dealing with financial issues: o Revenue o User fees, bonds, grants, taxes, sales o Audits (financial and performance) o Capital Budgeting o Cash Management o Accelerating collections, controlling disbursements, consolidating balances o Investing idle funds, linkages Public Choice Economics o Changing behavior through tax exemptions, user fees, taxes, etc. Managing Funds Reprogramming, supplemental appropriations Contracting out, privatization, cost-benefit analysis, Important: When writing the Budgeting and Financial Management concepts consider the following: In the first paragraph Identify the problem or objective you are working on from Section One and do so in such a manner that will logically lead to the budgeting concept that you intend to use.. In the second paragraph Write a separate second paragraph for each concept. You will identify a concept that will aid in resolving the organization s financial problems or achieving one or more of the objectives identified in Section One. Start out with a definition of the concept and cite the source. Then explain the actions the organization must take to implement the concept. (Make sure the concept fits with the needs of the case. As an example program budgeting supports the achievement of long range organizational program goals and the concept of strategic planning. Performance budgeting supports management efficiency and measuring the achievement of specific performance measures. ) In the third paragraph State the outcome you expect to achieve from applying the concept. Ethics in Public Administration (PA 6674) Managers need to know how to create and maintain ethical organizations. Those students who used the Cooper text, The Responsible Administrator usually have less difficulty in applying the concepts. His text presents a model of responsible administration that serves as a guide for managers to construct an organizational environment that is conducive to responsible conduct and supportive of professional ethics. In promoting ethical organizations Cooper discusses the following criteria: 21

22 Enhance open communications, creativity and dedication Ensure the public good takes precedence over organizational loyalties Promote ethical behavior and hold individuals and organizations accountable. Provide members with administrative means for dissent, assure due process and safeguard against reprisal Promote merit principles that protect against arbitrary and capricious actions Promote organizational accountability through established controls and procedures Adopt, distribute, and periodically review a code of ethics as a living document Cooper presents three models for consideration: Ethical Decision Making Model Training persons in the decision process Hindrances to Ethical Decision Making Modern Societal Hindrances Organizational Hindrances Desired Outcomes of Training Components of Responsible Conduct While the ethical decision model and ethical training is important the concepts usually are included in actions covered by the other two models. The model, Organizational Hindrances to Ethical Decisions discusses the following: Authority is hierarchically ordered. There is emphasis on efficiency means instead of ends. Work roles are isolated from other roles. Income and status is important and tied to individual roles. There is a focused authority coming from above. There is a high degree of specialization and division of labor. The model dealing with Components of Responsible Conduct deal with Individual Attributes Provide members with training on ethical decision making Encourage a system of professional values Organizational Structure Establish procedures and controls for accountability Encourage collaboration Establish administrative procedures for dissent Encourage participation Organizational Culture Encourage participation in professional activities and associations. Encourage others to keep up to date on emerging issues and potential problems Stress serving the public beyond serving oneself Demonstrate and exemplify integrity and high standards Societal Expectations Involve citizens in policy decision-making 22

23 Assist citizens in dealing with your organization Respect, support and study the Constitution and the law. Most cases will have problems caused by unethical decisions. When analyzing the cause of these decisions, the student finds significant compatibility with the models discussed and the corrective courses of action are fairly clear. Important: When writing the Ethics concepts consider the following: In the first paragraph Identify the problem or objective you are working on from Section One and do so in such a manner that will logically lead to the concepts that you select. Often the ethics intervention will not fit with a specific objective. In this instance relate to the central issue or problem statement found in Section One. In the second paragraph Write a separate second paragraph for each concept. Start out with a definition of the concept and cite the source. Then explain how this concept is relative to the case and the actions the organization must take to implement the concept. As Ethics is one of the last core courses used in the case, there is a tendency to discuss a set of actions as if they were independent from all other previously applied concepts. As an example look at the ethics based actions associated with organizational culture and organizational structure. These actions are all consistent with the organizational behavior and theory concepts. Make sure the actions taken to promote an ethical organization fit with the other actions recommended. In the third paragraph State the outcome you expect to achieve from applying the concept. Public Policy(PA 6622) This is usually a difficult course to apply for students who used only the Dye text for their course in public policy. Those using the Kraft and Furlong text have a broader view of the application to cases. This discussion will attempt to bridge the gap. There is an important distinction between organizational policy and public policy. Organizational policies cover the general administration and employee behavior of a specific organization. This type of policy usually falls under either organizational behavior or theory concepts of organizational design or communication. Consider public policy as a course of government action in response to social problems. When conducting case analysis from a public policy perspective it is useful to consider three categories of action. The first is the use of policy models in a prescriptive vs. descriptive manner. Second, think of the actions governments can do to respond to social problems. Third, look at the steps involved in the policy analysis process. Usually one of these three categories can be used to resolve the major issues presented in a case study. 23

24 Of the models discussed, you will probably find the group, the institutional, the incremental, and the public choice models to be the most useful. Under the group theory, political activity is described as the struggle between groups. Public policy at any given time is the equilibrium reached between competing groups. Changes in the influence of any particular group will result in a change in public policy. The response to a case problem may be to develop a strategy to increase the influence of one group, resulting in a change in public policy. The institutional model emphasizes the formal and legal aspects of government structure. Government institutions give public policy legitimacy, universality and the power of coercion. In some cases, the power of an institutional policy may be necessary to resolve the central issue. The incremental model or incrementalism considers public policy as a continuation of past activities with the best course of action being incremental changes over time. Some conditions make this the best course of action. One condition would be insufficient time, funds or information to investigate all possible alternatives of action. Another condition is when there is disagreement over the actual goals or values that are at stake. Incrementalism is also and expedient approach when current policies are considered legitimate and the outcomes of alternatives are unclear. The public choice or rational choice model is useful in changing public behavior. Public choice theory is based on the economic study of non-market decision making. Stated in another way, this is based on the assumption that selfinterested actors (the public) will seek to maximize personal gain or benefits. For case issues consider policies such as taxes, tax exemptions, fees, tolls and other actions that will change public behavior to promote the public good. The second approach to the use of public policy to resolve issues is to think of the actions that governments can take to deal with social problems. Some of these actions include regulation, subsidies, taxation, spending, fees, incentives, education, contracting out and privatization. The third approach is to consider the application of the steps in the policy analysis process. This is also consistent with the rational model of decision making. The steps include: Define the problem Assemble the supporting evidence Construct policy alternatives Develop and select evaluative criteria Project the outcomes Decide Important: When writing the Public Policy concepts consider the following: In the first paragraph 24