B 49701 Public Administration Clashing Values in the Administration of Public Policy Michael C. LeMay California State University, San Bernardino WADSWORTH THOMSON LEARNING Australia Canada Mexico Singapore Spain United Kingdom United States
List of Boxes, Cartoons, Figures, Photos, and Tables XI Preface xiii Chapter 1 Balancing Values in the Administration of Public Policy 1 Introduction 2 The Clash of Values in the Administration 5 of Public Policy Efficiency versus Responsiveness 5 Public versus Private 6 Neutrality versus Tolerance 6 Economic Capitalism versus Individual Rights 7 Limited Government versus Popular Sovereignty 7 The Study of Public Administration 7 Key Concepts in the Study of Public Administration 7 Line versus Staff Agencies 12 The Structures of Government in the Executive Branch The Executive Office of the President 13 Cabinet-Level Departments 14 Independent Agencies 17 Government Corporations 18 12 Intergovernmental Agencies 20 Evolving Approaches to the Study 22 of Public Administration The Era of Representativeness 23 Neutral Competence and the Period of Reform 23 The Principles of Administration 24 The Executive Leadership Era 25 The Systems Framework and the Ecology of Public Administration 25 Reading 1.1 Neutral Competence and AIDS 26 Net Assignment 26 Summary 27 Glossary of Key Terms 27 Review Questions 28 Surfing the Net 29 Chapter 2 The Social, Political, Economic, and Environmental Context of Administration 31 Introduction 32 The Political System, Values, and Social Change 32 The Concept of Administrative Agencies 32 in the Political System The Systems Model, Public Administration, 33 and Transportation Policy Developing Value Conflicts 35 Social Change and Value Conflict in Administration 36 Abortion 36 Affirmative Action 38 The Development of the Political Party System 40 The Role of Third Parties as Value Sources 41 Interest Groups and Values in Public Administration 43 Relationships between Regulators and the Regulated 44 The Economic Context of Public Administration 46 Industrialization and Changing Economic Values 46 Value Shifts and Technology Changes 48 in the Postindustrial Era Environmental Concerns and Value Conflicts in Public Administration 51 Reading 2.1 The Struggle to Stay Diverse 53 in a Post-Affirmative-Action Era Net Assignment 55 Summary 55 Glossary of Key Terms 55 Review Questions 57 Surfing the Net 57
vi Public Administration Chapter 3 The Anatomy of Public Organization: Bureaucratic Power and Politics 59 Introduction 60 Organizational Effects on Cognitive Processes 67 Internal Sources of Values 60 and Value Systems The Concepts of Organizational Culture 61 Special Uses of Jargon 67 and Bureaucratic Ideology The Foundations of Bureaucratic Power 68 The Organizational Culture 61 Internal Sources of Values 74 Groupthink 62 Reading 3.1 Untangling Albany 78 Functions of Organizational Culture 63 The Use of Symbols 64 Net Assignment 81 The Bureaucratic Ideology 65 Summary 82 Bureaucratic Symbols 65 Glossary of Key Terms 82 Symbolic Management 66 Review Questions 83 Surfing the Net 83 Chapter 4 Administration in the Federal System: Intergovernmental Relations 85 and Constitutional Sources of Values Introduction 86 Fiscal Federalism 97 The Backdrop of Federalism 88 Types of Governmental Grants-in-Aid 99 Models of U.S. Federalism 89 Coercive Federalism and the Use 102 The Layer-Cake Model 89 of Unfunded Mandates The Marble-Cake Model 91 Intergovernmental Relations 103 The Picket Fence Model 91 and Public Administration Approaches to Federalism 92 Reading 4.1 Big Rigs and Beat-Up Roads 107 Dual Federalism 92 Net Assignment 108 Cooperative Federalism 94 S(/m m Creative Federalism 95 Glossary of Key Terms 109 y y New Federalism 95 ' j r J r nr Review Questions 111 Renewed Federalism 96 * Surfing the Net 111 Chapter 5 Alternative Theories of Organizational Behavior: Classic Models 113 and Ideological Sources of Values Introduction 114 Reading 5.1 Finding, Sharing and Building 130 Schools of Organizational Theory 114 tne Best Cooperation over Competition The Classical School of Organization Theorists 115 Net Assignment 130 The Human Relations School of Organization Theorists 118 Summary 131 The Neoclassical School of Organizational Theorists 125 Glossary of Key Terms 131 The Systems School of Organizational Theorists 127 Review Questions 134 Surfing the Net 134
Contents vii Chapter 6 Decision Making in the Administration of Public Policy 135 Introduction 136 Time 150 Models of Decision Making in Administration 137 Uncertainty 151 Rational-Comprehensive Model 137 Distortion of Information 151 Bargaining Model 140 Crisis 153 Incremental Model 141 Reading 6.1 ERP System: Government Out 154 Participative Model 143 of the Box Public Choice Model 145 Net Assignment 156 The Ethical Dimensions of Decision Making 147 Summary 156 Institutional Ethics 148 Glossary of Key Terms 156 Personal Ethics 149 Review Questions 157 The Limits of Decision Making 149 Surfing the Net 158 Chapter 7 Management of Bureaucratic Organizations: The Strategic Use of Values 159 in Policy Making and Administration Introduction 160 Strategic Factors in Management 172 Management and Managerialism 160 Challenges to Strategic Management 174 Approaches to Management 163 Mandates 174 Management by Objectives 163 Efficiency 176 Organizational Development 164 Competitiveness 176 Operations Research 164 Boundaries 176 Program Evaluation and Review Technique 165 p u blic versus Private Interests 177 Quality Circles 165 Service 178 Total Quality Management 165 Reading 7.1 The Dilemma of Public Schools 179 Entrepreneurialism 166 Privatization Performance Management 166 Net Assignment 182 Contracting Out 167 Summary 182 Exploring TQM 167 Glossary of Key Terms 182 _...... _ Review Questions 184 Strategic Management 170 Capabilities and Environmental Constraints 171 Surfing the Net 184 SWOT Analysis 172 Chapter 8 Personnel Administration and Unionism in Public Administration 185 Introduction 186 Recruitment 191 Affirmative Action and Reverse Discrimination 188 Collective Bargaining 193 The Functions of Personnel Administration 188 Performance Appraisal 195 Position Classification and the General Schedule System 189 Common Performance Appraisals 196 Senior Executive Service 189 Training and Development 196
viii Public Administration Public Employee Strikes and Job Actions 197 Rights of Employees 198 The Historical Development of Personnel 199 Administration ThePendletonAct 199 Civil Service Reform Act of 1978 200 Affirmative Action and Comparable Worth 200 National Performance Review 201 The Ebb and Flow of Union Strength 201 The Evolution of Collective Bargaining 202 Reading 8.1 Pocket Change 204 Net Assignment 207 Summary 207 Glossary of Key Terms 208 Review Questions 209 Surfing the Net 209 Chapter 9 Leadership: The Chief Executive, the Bureaucracy, and the Search for Accountability 111 Introduction 212 Defining Authority and Leadership 213 Personality Types 213 Micromanagement 216 Approaches to Leadership 218 Leadership and Management 219 The Search for Leadership Traits 222 Transactional Leadership 224 Transformational Leadership 226 Styles of Leadership 227 The Director 227 The Motivator 227 The Coordinator 228 The Catalyst 230 The Spokesperson 230 The Crisis Manager 230 Accountability in Public Administration 231 Constitutional and Legal Constraints 231 Casework 233 Political Values Versus Organizational Goals 233 Reading 9.1 The Czar of Gridlock 235 Net Assignment 237 Summary 238 Glossary of Key Terms 238 Review Questions 239 Surfing the Net 239 Chapter 10 Communication Flows in Administration: The Fuzzing of Values 241 Introduction 242 Communication in Administration 242 Value Content in Communication 243 Types of Communication 243 Formal Communication 243 Informal Communication 245 Communication's Role in Organizations 249 Communication Networks and Efficiency 249 Small Groups in Organizational Communication Channels The Flows of Communication 251 Downward Communication 251 251 Upward Communication 255 Horizontal Communication 257 Diagonal Information 258 Communication Technology 260 Reading 10.1 Information for Control: Another 261 Management Proverb? Net Assignment 264 Summary 264 Glossary of Key Terms 264 Review Questions 265 Surfing the Net 265
Contents ix Chapter 11 Financial Management: Taxing, Budgeting, and Spending Introduction: Placing Monetary Values on Priorities 268 Values and Financial Planning 268 The Functions of Financial Management 269 The Taxing Function 269 The Tax Burden 270 The Budget-Making Function 271 Types of Budgets 271 The Auditing Function 275 Types of Audits 275 Auditing Agencies 276 The Accounting Function 276 Types of Accounting 276 Accounting Practices 277 The Evaluating Function 278 Fiscal Policy Outcomes and Electoral Accountability in U.S. States The Politics of the Budgetary Process 278 Sources of Revenue 279 Areas of Expenditure 280 Education Spending 282 278 267 Other State and Local Spending 282 Budget Theories and Practices 284 Keynesian Theory 284 Supply-Side Economics 285 Budget Authorization and Appropriation 286 Budget Execution and Implementation 287 Budget Strategies 288 Budget Reforms 288 Congressional Influence 289 Problems of Debt 290 Economic Policy 292 Fiscal Policy 292 Monetary Policy 293 Privatization 293 Reading 11.1 The Town That Loves to TIF 295 Net Assignment 296 Summary 297 Glossary of Key Terms 297 Review Questions 299 Surfing the Net 300 Chapter 12 Administrative Law and the Control of Public Agencies 301 Introduction 302 Law and Ethics as Sources of Public Values 302 Courts, Democratic Ideals, and Administrative Law 302 Accountability 303 The Rise of Regulation 304 State and Local Regulation 304 The Upward Expansion of Regulation 305 Regulation and the Courts 308 Technology Issues 310 Privacy Versus the Public's Right to Know 311 Administrative Law and Regulatory Agencies 311 The Limits of Administrative Law 312 Discretion 313 Regulatory Procedures and the Adjudication Process 314 The Expanding Role of Administrative Judges 315 The Influence of Social Change 316 The Influence of Economic Changes 317 External and Internal Controls 317 The Role of the Whistle-Blower 319 The Regulatory System and Competing Values 320 Reading 12.1 Balking on Air 321 Net Assignment 322 Summary 323 Glossary of Key Terms 323 Review Questions 324 Surfing the Net 324
X Public Administration Chapter 13 Clientele Pressure and Government Policy: Interest Groups as Sources of Values 325 Introduction 326 Societal Values and What Government Regulates 327 Economic Regulation 327 Social Regulation 328 Subsidiary Regulation 328 Regulatory Agencies and Clientele Groups 328 Captive Agencies 330 Types of Rules and Stages of Rule Making 331 The Twelve Stages of Rule Making 331 Clientele Groups and Captive Agencies 334 The Unorganized Lose Out 337 Strategies of Support 337 Advisory Positions and Task Forces 338 Public Hearings 339 New Public Management 340 What Makes a Clientele Group Effective? 341 The Current and Future Directions of Regulation 342 Government Support for Groups 343 Economic Development Support 344 Reading 13.1 The State and the Kitchen 346 Net Assignment 348 Summary 348 Glossary of Key Terms 349 Review Questions 349 Surfing the Net 350 Chapter 14 Evaluation of Public Policy: Swinging the Pendulum of Administrative Politics 351 Introduction 352 Values and the Public Policy Process 352 The Example of Head Start 353 The Role of Elites 353 Results- and Process-Oriented Management 355 The Policy-Making Process 357 The Bureaucratic Politics Model 358 Stages in the Policy Process 361 The Feedback Effect 361 The Influence of Administrators 362 Values and Implementation 362 The Pathfinder Program Example 363 The Welfare Reform Example 363 Administrators and Measuring Policy Results 366 Program Evaluation and Policy Development 368 Program Evaluation Standards 370 Reading 14.1 Critical Condition 374 Net Assignment 377 Summary 377 Glossary of Key Terms 377 Review Questions 378 Surfing the Net 378 Chapter Notes Suggested Readings 379 Bibliography 395 Index 406 420