Woodrow Wilson, The Study of Administration
The big question for Wilson was how Americans could incorporate Public Administration into the Constitution which did not mention it. Also in developing Public Administration, Wilson’s basic difficulty was how to reconcile the differences in notions of democracy (popular rule) and the systematic rules. To do this he says there are two spheres: “Politics” and “Administration” Politics = choices of government are made by the elected and Administration = carries out the choices by the (popular consent) free of political meddling> “politics-administration dichotomy”
Before entering into the science of administration Wilson felt it was needed that first there should be some account of the history of what others have done in the field, secondly there should be an ascertainment of its subject-matter, and thirdly the it should be determined the best methods to develop it and the most clarifying political conceptions to carry into it. Without knowing these first, he feels that there should be no compass or chart to go by.
The question was always: Who shall make the law, and what shall the law be? The other question, how law should be administered with enlightenment, with equity, with speed, and without friction, was put aside as practical detail to be determined by clerks after the “doctors” determined the detail.
The reason administration has come into context
only now is because now there appears to be trouble in it, the big constitutional
questions on the right of government have been answered for now.
The Science of Public Administration= seeking to straighten the pathos of government to make its business less un-business like; to strengthen and purify its organization, and to crown its duties with dutifulness—all in order to all the government to see more clearly how it ought to do the things it sees it should do.
This science originated overseas in foreign lands such as France and Germany but from it must be adapted to not a simple and compact state but a complex and multiform state to fit highly decentralized forms of government, it must of course learn to be “Americanized”
England and America has been making government just and moderate rather than well-ordered and effective. We need to be free in spirit and proficient in practice according to Wilson.
Organizing rule is difficult for popular sovereignty unlike the ease of a monarch who could declare with one mind/opinion a simple plan.
It takes years and scarcely 3 generations to get public opinion to curve
Though Wilson says that Administration is for the most part separate from Politics, he also says the administrator to the politician relationship is not exactly a Will to Deed relationship because the administrator has a will of his own—how he will accomplish his work. The administrator is not a mere passive instrument.
Administrative study is based constitutionally in one respect, according to Wilson, concerning the distribution of powers. If administrative study can determine which powers should go to which administrators without hampering the authority (splitting it into shares), the responsibility, and also not obscuring the power (who gets praise or blame for actions) then the study of administration has done an invaluable service.
Public opinion should play the part of and authoritative critic in the conduct of administration
Self-government does not need a hand in everything like a cook does not cook entirely with her hands, but with stoves, pots, utensils. We should not raise everything up to a vote, but rather give large discretions to public officials, according to Wilson. It must at all points sensitive to public opinion however.
The duty of administrative study should teach the people what sort of administration to desire and demand, how to get it and it should also drill candidates for the public service.
In conclusion Wilson states that our governmental
study should be comparative, we can borrow a murderers idea to sharpen
his knife without his motive to kill.
“Statism” – doctrines and ideas that advocate strengthening
the role and sovereignty of the state institutions in society
“Antistatism” – ideas and doctrines expressly hostile to these central governing institutions in society, which argue for reducing, limiting, even elimination their roles and activities.
The Constitution was created with a “night watchman” style government—provided for the people courts, defense, foreign affairs, trade relations, money—and little else.
America at the time of the Constitution had a belief in Antistatism due to many of them having come from oppressive regimes
Paraphrased, America in the early stages was not so much a country with a post office but a post office with a country. 85% of the growth of the government was within this department until the Civil War.
This antistatism led to a late development of public administration study within the United States, why did we need it without administration? Training and research did not truly gain significance until the 30s and 40s. The development of civil services (professional), military and diplomatic corps became our needed administrative enterprise due to migrations, technology, clashes between labor and management, economic rises/falls, drive for international markets, etc.
The intense antistatism caused the American process to occur in reverse—the Constitution, next the state, then the study.
American PA bubbled up through grassroots reforms quietly—by adding a civil service system, executive budget, etc here and there.
The 20th Century saw progression away from machine politics, to social services and the like extending the fingers of government
The four eras of public administration: 1926-46,
47-67, 68-88, 89-present.
POSDCORB Orthodoxy, 1926-46:
First American textbook appeared in 26—the year for the intellectual birth of PA in AmericaSocial Science Heterodoxy 1947-67:
Leonard White’s Introduction to the Study of Public Administration—earliest volume to label the subject PA (In America)
Succeeded in pulling together different aspects of administrative innovations
POSDCORB—acronym for logical sequence of steps for practicing “good” administration, in the order they should be accomplished—planning, organizing, staffing, directing, coordination, reporting, and budgeting. –allowed the field to grow and flourish with some national prominence. The POSDCORB was full of contradictions, unscientific, value-laden, time-bound, and rigid—but yet it had good points that were needed during the Great Depression and WWII that helped with organization.
The Cold War had profound influence on American society and AdministrationThe Reassertion of Democratic Idealism, 1968-88:
Massive military buildup, the space program, educational assistance, scientific research and the National Defense Highway Act all became part of our PA (just to beat the Russians)
POSDCORB seemed inadequate to fulfill the problems that now faced the nation
Robert Dahl challenged normal assumptions on the dichotomy between PA and politics also to expand conception of human behavior to understand how the man really acts within organizations and to embrace broader historical, economic, and social conditions—it stressed therefore: realism, behavioralism, and scientific rigor
All in all during this time American PA became more respectable, broader, and more theoretical with new ideas and data/facts. Realism, science, and behavioralism became important in the study of PA.
During this time America saw its harshest and greatest outcry against statism. It was considered by Herbert Kaufman a “fear of bureaucracy”The Refounding Movement, 1989-Present:
Minnowbrook and Ostrom best symbolized the temper of the times, seven distinct marks are left by literature of the time:
• Clashing moral absolutes
• new values were important—ethics, law, and economics compared prior economy, efficiency, and effectiveness
• A cry for relevancy—old texts seemed outdated
• Fragmentation/decline of generalist PA—more specialization of study came about
• The proliferation of subfields and techniques—new fields emerged
• Field in Intellectual Crisis—what defined PA became more problematic as it grew, just what defined it?
• Widening gap between theory and practice
The study still has many unanswered questions but there are seven identifiable clusters of thought with shared perspectives:
• The Reinventors: (Osborne and Gaebler) more of advisors which focus on pragmatic administrative reforms to enhance “efficient entrepreneurial” government operations for “customers”
• The communitarians: wrestle with rebuilding citizenship and community
• VPI refounders: Virginia Polytechnic Institution—senior scholars that seek a fundamental philosophical, institutional, and theoretical refounding of the entire field.
• The Interpretivists: oriented toward phenomenology or “subjective-intersubjective relations”, they explore values, assumptions, and ideas that concern the very nature of being
• The Tool-makers—offer new ways of analyzing PA
• New bureaucratic analysts—influence the field in the broadest and most profound political issues of the field—ethics and how good policy made
• From management to governance—emphasizes the importance of managerial effectiveness for delivering “public goods” – based upon extensive empirical evidence, diverse contemporary literature and date, and with far less rigid models compared to those such as POSDCORB
Characteristics of Bureaucracy
I. Activities required within structure are distributed as official duties
II. Authority and delegation power is given to officials to properly complete duties
III. Provisions are in place to have continuous fulfillment of duties and persons in charge of duties are qualified
a. In public, these 3 characteristics make up the “bureaucratic authority”
b. In private, bureaucratic “management”
c. Bureaucracy can only be developed in modern states or most advanced institutions of capitalism.
IV. In bureaucracy, there is a system of hierarchy where authority is distributed in a manner which the lower offices are supervised by higher offices.
a. In full development, hierarchy is monocratically organized
b. Once established an office tends to continue even after fulfilling task and be held by another incumbent
V. The management of the modern office is based upon written documents, which are preserved in their original form.
a. Bureaucracy separates public and private life, business from home, in all aspects.
VI. Most specialized office management has expert training before employment
VII. Bureaucratic offices when fully developed are a full time job
VIII. Authority within modern public administration gives the power to regulate not for each case of a matter, but to regulate that matter abstractly
The Position of the Official
I. Office holding is a vocation which requires training, an ability to work for long periods of time, and requires examination before employment
a. Entrance into an office, including one in the private economy, is considered an acceptance of a specific obligation of faithful management in return for a secure existence.
b. A political official isn’t the personal servant of a ruler.
II. Public or private, officials strive to obtain distinct social esteem as compared to those governed
a. Educational certificates are linked to not only qualification for office, but serve to enhance the “status element” in the social position of the official.
b. The pure type of bureaucratic official is appointed by a superior authority.
c. The official who is not elected but appointed by a chief normally functions more exactly, from a technical point of view, because, all other circumstances being equal, it is more likely that purely functional points of consideration and qualities will determine his selection and career.
i. Judges appointed in US as opposed to quality of elected
1. Appointed are generally more qualified
2. The monocratic rule within bureaucracy contradicts the formally “democratic” principle of a universally elected officialdom.
d. As a factual rule, tenure for life is presupposed, even where the giving of notice or periodic reappointment occurs
i. Where legal guarantees against arbitrary dismissal or transfer are developed, they merely serve to guarantee a strictly objective discharge of specific office duties free from all personal considerations.
ii. Those officials with more dependence on the master are more likely to conform with status conventions
e. Officials usually receive a fixed salary with old age security provided by pension
i. This security of income and rewards of social esteem make the office a sought after position
f. Officials become involved in their office as a career within the hierarchal order of public service.
i. General personal and intellectual qualifications are taken into consideration over education with regards to the highest political offices.
Technical Advantages of Bureaucratic Organization
I. Precision, speed, unambiguity, knowledge of the files, continuity, discretion, unity, strict subordination, reduction of friction and of material and personal costs----these are raised to the optimum point in the strictly bureaucratic administration, and especially in its monocratic form.
a. Bureaucratic work is more precise and cheaper than honorific service on complicated tasks
b. Work organized by collegiate bodies is inefficient because of delays and compromises which lead to less precise, more independent, slower work
c. Very large, modern capitalist businesses are unequalled models of strict bureaucratic structures.
d. Individual performances are allocated to specialists who have specific training and constant practice
e. Bureaucracy produces calculable results which are needed by modern culture
f. Bureaucracy is dehumanized, eliminating personal feelings, the special nature of the organizational theory
i. It demands the personally detached and strictly “objective” expert
The Permanent Character of the Bureaucratic
I. Bureaucracy has been and is a power instrument of the first order for the one who controls the bureaucratic apparatus.
a. Officials are entrusted with specialized tasks, so the general mechanism cannot be disrupted except by the very top of the hierarchy
b. Bureaucracy rests upon expert training, a functional specialization of work, and an attitude set for habitual and virtuoso-like mastery of single yet methodically integrated functions.
c. The fact that the bureaucratic structure is impersonal allows for anyone who knows how to gain control over it to use it by simply replacing a few top officials.
Economic and Social Consequences of Bureaucracy
I. The legal leveling and destruction of firmly established local structures ruled by notables which takes place with bureaucratization has usually made for a wider range of capitalist activity.
II. The mere fact of bureaucratic organization does not unambiguously tell us about the concrete direction of it economic effects, which are always in some manner present.
III. Bureaucracy strives merely to level those powers that stand in its way and in those areas that, in the individual case, it seeks to occupy.
IV. Democracy is opposed to rule of bureaucracy
The Power Position of Bureaucracy
I. The drawing in of economic interest groups or other non-official experts, or the drawing in of non-expert lay representatives, the establishment of local, inter-local,
or central parliamentary or other representative bodies, or of occupational associations---these seem to run directly against the bureaucratic tendency.
a. Under normal conditions, the power position of a fully developed bureaucracy is always overtowering.
Max Weber "Bureaucracy" (Stillman Ch 2 or
Max Weber was a German lawyer who was influenced by the teachings of Karl Marx. He was also a historian and economist. Weber was the first to really examine the bureaucratic organization and its officials.
Characteristics of Bureaucracy
is in the public sector.
Bureaucratic Management is displayed in the private (economic) sector.
authority has guidelines that make the activities, authority, duties taken
out in a fixed manner. To have the existence of authority within
the agency the duties must be established.
2. The heirarchy office type is found in all bureaucratic structures--public and private. Weber claims that the character of the bureaucracy remains unchanged if its authority is public or private. The authorities at the lower levels are able to examine others actions.
3. Documents and files that have been all kept on record are the means for management of the organization. The rules are
written for specific reasons and should not be changed. Rules guarantee guidance in the organization.
4. Thorough and expert training are essential for good, specialized office management. An office manager is expected
to be familiar with all rules and regulations.
5. The full working capacity of the official is a must for official activity. The official is responsible for fulfilling his or her job
once the duties have been established and the office has totally developed.
6. The office management follows general rules that do not change and can be learned.
The Position of the Official
A true bureaucratic official
is appointed by an authority that is superior. An elected official
is not a true bureaucratic official.
The official must be effective and efficient to survive in office.
Appointed officials (especially judges) are chosen for superior qualifications and integrity.
Civil Service agencies tend to protect employees and put pressure and constraints on officials.
Most officials want a law for the Civil Service that protects them from being removed.
Techincal Advantages of Bureaucratic Organization
A developed bureaucracy
is like a machine.
The bureaucratic administration can provide the best precision, speed, clarity of issues, knowledge of issues and information, continuity, discretion, unity, and so on.
Bureaucratization allows for specializing administartive functions.
Bureaucracies are made up of "calculable rules" which provides stability and efficiency.
"The great virtue of bureacracy-indeed, perhaps its defining characteristic-was that it was an institutional method for applying general rules to specific cases, thereby making the actions of government fair and predictable."
Chap. 3: Environment, Ecology of Public Admin.
by Charles U Walters, Spring ‘07
John M Gaus, "The Ecology of Public Administration"
Walker Garrett (2005)
Ecology deals with all interrelationships of living organisms and their environment.
There is a lineage between physical area, population, transport, and government.
1. Continuous, efficient discharge of government is necessary to a great society
2. As complexity grows, so do functions of the
government and the relationship between those
functions and the people.
3. Government is strong in proportion to its capacity to deliver functions for the people
4. Legislation respecting functions is easy, but enforcement of that legislation is not
5. Effective and wise administration is the central prerequisite for survival of government and society
6. Administration should be drawn from different
classes, talents, prepared with education, and
subjected to constructive internal and external criticism or a bureaucracy dangerous to society may develop
7. Administrative system must operate to keep alive
local and individual responsibilities, not just
Eco approach elements: from ground up- soils, climate, location
Factors of ebb and flow of government: People,
Place, Physical Technology, Social Technology,
Wishes and Ideas, Catastrophe, Personality
People and Place
Movement from Farms to Cities from 18th Century to 20th Century led to no jobs for the
old. This created a pension society.
City to Suburbs
Values of lands and buildings changed, and transport and utility had to be adjusted to meet
growing demand in country.
Where there is an exhaustion of resources, there must be renewal and restoration and it
takes a long time to restore sources of production. Ex. Forest replanting for timber
Changes in place, or the use of the resources and
products of a place are coercive in their effect
upon public administration.
Changes in physical technology, however slowly
their institutional influences may spread, are more
obvious even to the point of being dramatic, to the citizen.
Pooling and application of the savings of many
through the invention of the corporation has set new
forces to ripple through the social order, disarranging human relationships and creating new
possibilities of large scale enterprise financially capable of utilizing extensive equipment and
personnel and creating new relationships between buyer and seller, employer and employee-from
which coercions for a new balance of forces, through consumer, labor, and investor standards have resulted.
The originators of ideas and of social as well as physical invention are persons.
Preparation and training are essential for coming through a catastrophe and evolving from it.
Similar to a forest fire where the soil is enriched and produces better growth than before, a
Catastrophe can shake up popular opinion and awaken administration to the reality of things or
improve previous ideas. In many ways, catastrophes are an adapting time of the ecology of public
administration. When the terrorists struck the World Trade Center Towers on 9/11, the government
had to change its way of thinking and adapt with new policies. This is part of the ecology talked
about with public administration.
It is through growth and formulation of public
policy from environmental change that the
administration is linked to the environment.
John M. Gaus, "The Ecology of Public Administration"
by Amy C. Garrett
as defined by Webster's dictionary "is the mutual relations, collectively
between organisms and their environments"
Charles A. Beard created 7 axioms in which environmental changes are linked with public administration (found on pg 83)
the ecological approach builds from the ground up, it studys the roots of government functions, civic attitudes, and operating problems
7 Factors effecting the Ebb and Flow of ecological public administration
1. Peoplethe ecological approach is difficult because you must observe
3. physical technology
4. social technology
5. wishes and ideas
Stillman Chap. 4: Political Environment & Power.
Norton E. Long, "Power And Administration"
by: Jessica R. Fails
-Administration is power
-the sources of power is derived and limited
-the top of hierarchy of the administration structure of power is irrelevant
- the power of a hierarchy flows down the chain of command
-Congress or the President can impart power as a form depends on the line-up of forces in particular case
-focus on general political energies of the communities
-power is not concentrated by the structure of government or politics in the hands of a leadership with a capacity to budget it among a diverse a set of administration activities
-to deny that power is derived from superiors in a hierarchy is asserted that subordinates stand in a feudal relation to a degree they fend for themselves and acquire support particularly their owns.
-this structure is important to determine the scope of possible action.
- a source of power and authority is a
competitor of a formal hierarchy
- power flow in from the up the organization to the center
- the American system of politics does not generate enough power at any focal point of leadership to provide the conditions for an even successful divorce of politics from administration
-the theory of administration has neglected the problem of the sources and adequacy of power
- the bureaucracy under the American system has a large share of responsibility for the public promotion of policy and more in organizing political basis for its survival and growth
-a major time consuming aspect of administration consists of a wide range of activities designed to secure enough acceptance to survive
- the balance between executives and legislative is constant subjected to a shift of public support
- the unanswered question of American Government " who is boss?" constantly plagues administration
Stillman Chap. 5: Intergovernmental Relations.
by Charles U Walters, Spring ‘07
Laurence J. O’Toole Jr., “American IGR”
IGR is how our varied and numerous governments
in America deal with each other and what their relative roles, responsibilities,
and levels are and should be.
The Federal-State relationship is interdependent upon each other and must deal with each other
There are several levels of government: National, State, and local; local consists of: counties, municipalities, townships, school districts, and special districts (special districts are those which manage specific functions such as the formation of bridges, supplying water and sewage, etc.)
The Founding and the Framework: founders wanted to minimize instability, injustice, and confusion—but they created a system built on two levels of government which insured state autonomy (needed for ratification) and also created a relatively strong federal state to provide unity (its duties where limited however)—dual federalism
Conflict and cooperation in Earlier Times: labor, social welfare, and economic regulation were only some of the matters that national and state government quarreled over. IGR loopholes—joint stock companies, land grants to the states
Developments in the Early Twentieth Century: society and economy could not tolerate a completely unregulated free market (limited natural resources, powerful corporations, some states refused social welfare legislation)
Federal Financial Aid—income tax in 1913 created a large steady income for the government where they could supply aid to states (grant-in-aid given for specific purposes)
Validation of Grants in Aid—federal grants=coercive inducements and violated the notion of separate spheres for the two levels of government. The Supreme Court ruled that they were voluntary agreements and acceptable
Basic types of Assistance: block grants, revenue sharing, categorical grants, formula grants, project grants, etc.
There is the Legacy of the New Deal
Creative Federalism and Its Implications: Johnson proposed “creative federalism” in order to assist states, localities, individuals to solve domestic issues, as a result many cities became relying more and more on the federal government for aid than their states.
Intergovernmental Activism—the grant system required up-to-date procedures and professional personnel, created an interest group explosion in order to influence Congress, state and local officials found it crucial to know more about Washington and the decision making process
Tensions and frustrations emerged from changes, duplicated grants, patterns become complex.
Interdependence, Complexity, and Intergovernmental bargaining: actions need mutual consent between levels of government, no part can work alone.
Nixon’s New Federalism: shifted power from Washington to field offices trimming red tape, believed in revenue sharing, block grants, and administrative initiatives
Reagan: proposed additional block grants, simplified intergovernmental aid dramatically, devolution of responsibilities for many policies from the national level to the states, created more simplified administration
Struggles for Reform, Pressures toward Globalization: UMRA (Unfunded Mandates Reform Act) sought to impose tight budgets and cut many programs drastically, TANF (Temporary Assistance to Needed Families) put an end to long-term welfare assistance, designed to encourage welfare recipients to move permanently into the workforce, NPR (National Performance Review) called for a rationalizing of the nation’s approach to IGR and trumpeted an need to end unfunded mandates to the state/local governments
Laurence J. O’Toole, "American Intergovernmental
Relations: An Overview"
by Walker Garrett (2005)
-Types of Governments
-Counties: General-purpose governments originally created throughout most of the
country to administer state services at the local level.
-Municipalities: local governments established to serve people within an area of
-Municipalities have sometimes have bad relationships with parent state
because they lack independent status similar to the states within the US
-Municipalities have often develop defensive and somewhat conflictual
relations with both state and national authorities---as they have also
sought to develop additional revenue sources and less one-sided
dependence on the other levels.
-Special districts are currently responsible for managing public housing; building
and maintaining bridges, tunnels, and roads; supplying water and sewage
services to residents; assessing and regulating air quality; and caring for the
district’s mass transit needs.
The Founding and the Framework
-The framers of the US Constitution sought a way to combine the several states into a structure
that would minimize “instability, injustice, and confusion,” in the words of James Madison
-American states had agreed on a formal arrangement that is now called a confederation (states
loosely joined for certain purposes).
-Suggested that states themselves remain independent governments with
correspondingly independent jurisdictions.
-Divides responsibilities between the two levels of government according to subject.
-10th Amendment: “the powers not delegated to the United States by the Constitution,
nor prohibited by it to the States, are reserved to the States respectively, or to the
-National Congress given authority to “provide for the…general Welfare” and to “make
all Laws which shall be necessary and proper.”
-Founders established overlapping two level structure where states and central
government are not independent of each other.
The Idea of Dual Federalism
-Dual Federalism involves each of the two levels of government operating independently within
its separate jurisdiction without relying on the other for assistance or authorization.
Conflict and Cooperation in Earlier Times
-The Civil War is the prime example of disagreement over the limits of authority between
National and State Government.
-Joint Stock Companies
-Part public and part private entities created to surmount the restrictions on
direct participation by the national government.
-The Federal government would offer some of its land to the states for specified
-Land grants were intended to help achieve goals in the fields of education,
economic development, and social welfare.
-It was not until the 20th century that the dual federal perspective declined in significance and
American intergovernmental relations developed into a system with sustained high levels of
interdependence and consequent complexity.
Developments in the Early 20th Century
-Power concentrated in large corporations, regulation needed
-Natural resources limited, must be conserved
-Newly developing and professionalizing state bureaucracies, which saw in federal involvement
opportunities for upgrading and expanded funding
-With the income tax, the federal government created a source of money that they could
repeatedly use, such cases were called grant-in-aid.
-These grant-in-aids are a transfer of money from one government to another for a certain
reason. There very fine details of each transaction that stipulate how the money will be
-Federal aid is large, new, and has the capacity to produce large-scale alterations. Because of
this, they are considered an extremely significant part of America’s fiscal federalism.
Validation of Grants-in-aid
-A pair of landmark decisions in 1923 by the Supreme Court greatly expanded the grant
system. The court asserted that grants were voluntary arrangements and the federal government
was not violating the constitution.
Basic Types of Assistance
-Grants come in many shapes and sizes, and the donor can structure the purpose to whatever it
feels like. These are called categorical grants
-The donor may also design an intergovernmental program for many purposes in a particular
field, and this is called a block grant.
-1970s, a new form of aid called revenue sharing was created to make sure that one
government could offer financial aid with virtually no restrictions.
-Some grants specify a precise formula, these are called formula grants. The formula largely
depends on the purpose of the grant.
-Project grants allocate funding on a competitive basis, and potential recipients have no
advanced knowledge about the size of the grant.
Why do we distinguish between different types of
The answer is that the different grants are designed to produce different relationships between
the governments that are involved.
The Legacy of the New Deal
-During the time of the New Deal, the grant-in-aid was repeatedly used.
This time period also saw an increase in the importance if intergovernmental relationships. This
continued to grow under President Dwight D. Eisenhower.
-Efforts to reduce the interdependence and complexities of the intergovernmental system have
-Mandates, however, have been a major issue in our most recent decade.
Creative Federalism and Its Implications
-Johnson proposed creative federalism which was designed to signify multiple national
committees to assist states and such. The efforts of this administration were directed primarily
at the problem of racial discrimination. Most new programs were categorical grants.
-Increased governmental help was welcomed by state and local governments. Johnson’s
administration greatly increased the role of government grants, but with this came many
Emergent Frustrations and Tensions
-Interagency competition for clients led to loosening of federal requirements
-Grants for same basic things have different requirements and approval processes
-Instead of spending on local needs, cities work
to get matching funds for national priority
-Greater number of specialists within governmental levels in administrative duties
-When responsibility becomes diffused, the mechanisms of democratic government cannot
readily ensure that policy reflects the will of the people or their representatives
-Creative Federalism while bringing energy and inventiveness, also bring escalating costs and
Interdependence, Complexity, and Intergovernmental
-Interdependence means that power is shared among branches of government
-Complexity means that the intergovernmental network is large and differentiated
-These two things led to a system of bargaining under conditions of partial conflict among
-Unfunded mandates used in recent years as mechanism of coordination across governments.
-Shift over last two decades+ have led to alteration in the types of bargaining and issues subject
-No matter how much the intergovernmental relationships change, value and conflicts with exist
Nixon’s New Federalism
-Revenue Sharing: Federal to state and local governments. All state and local governments
eligible for aid on basis of complex formulas
-Block grants: proposed by Nixon with set of enactments in six policy fields along with the
elimination of a series of closely related categorical grants.
-Administrative initiatives- Reforms to simplify and expedite the grant application and review
process, still subject o criticism from all directions
The Carter Period
-Worked on developing links among PIGS with state and local governments, advancing
administrative reforms, and getting attention to economic problems of cities
-Carter did not propose or recommend and major changes
-Federal spending increased slowly and reversed direction in 1978, limited at a time when many
units of government depended on the funding
-Congress held tightly onto other units of government during this period
Reagan’s Attempted Revolution
-Believed in strong state power, limited national government power
-Priorities of tax reductions and defense renewed vulnerability of intergovernmental aid to sizable cuts
-Additional block grants
-Dramatic Simplification of the system of intergovernmental aid
-A devolution of responsibilities for many policies from the national level to the
states, new programs suggested
-Administrative simplification-trim red tape and lighten burden of federal
Crosscurrents at Century’s End: Struggles for Reform, Pressures toward Globalization
-Complexity and interdependence, will continue
to shape the details of intergovernmental
bargaining and frustrate the efforts of reformers to impose or craft a clear and coherent design
-Temporary Assistance to Needy Families TANF
-TANF put an end to long-term welfare assistance, a frequent occurrence under the
older program, and was designed to encourage welfare recipients to move permanently into the
-Both political parties find reasons to support mandating, even if the mandates and policy
sectors vary. Using legislation is a way of trying to prevent intergovernmental regulation and
bargaining doesn’t address the more fundamental sources of these ties.
-Under Clinton, the growth in federal aid was concentrated in a few sectors and devoted
primarily to big increases in spending for transfer payments.
-Increasing economic pressures toward globalization have now added another set of actors and
considerations to the constraints and opportunities in the intergovernmental system.
-The overall system is, furthermore, even less transparent to citizens---with potential
implications for responsiveness and the quality of democratic life.
-The most fundamental aspects of American intergovernmental relations, including the strengths,
weaknesses, frustrations, and dilemmas of the pattern, have remained prominent
-The choices made centuries ago created opportunities for dramatic shifts toward new forms of
interdependence and complexity in the intergovernmental network
·Mayo begins by describing an experiment
involving the changing of
illumination and how it affected work production.
·Results were not expected. Work production increased when illumination
was decreased, increased, and even when it remained the same.
·There must have been other factors affecting the experiment
·In modern large scale industry the three persistent problems of management are
1.The application of science and technical skill to some material good or product.
2.The systematic ordering of operations.
3.The organization of teamwork - that is, of sustained cooperation.
·If these are out of balance, the organization will be unsuccessful.
·The first two make the industry effective. The third makes it efficient.
·Experimenting was conducted to show that in the same conditions, a
group that has sustained cooperation, or teamwork, will work more
efficiently than a group of individuals, and they will also feel less
tired, stressed, less under pressure, etc.
·The Interview Program was seen to be ineffective when done is a question-answer style. Workers wished to talk freely.
·Rules for an interviewer
1. Give your whole attention to the person interviewed, and make it
evident that you are doing so.
2. Listen - don't talk.
3. Never argue; never give advice.
4. Listen to a) What he wants to say, b) What he does not want to say,
and c) What he cannot say without help.
5. As you listen, plot out tentatively and for subsequent correction the pattern that is being set before you. To test this, from time to time summarize what has been said and present for comment. Always do this with the greatest caution, that is, clarify but do not add or twist.
6. Remember that everything said must be considered a personal confidence and not divulged to anyone.
·It is impossible to relate oneself to a working group one by one; it is easy, however, if that group are already a fully constituted team. Communication will flow from the supervisor to one person who will then relate it to the rest of the team.
·Experiments stressed the need for people to have an "emotional release," to be able to vent or pour out emotion in confidence. This ability to be free and open will better open the lines of communication between management and the crew.
·Failure of free communication between management and workers leads to
the exercise of caution by the working group until such time as it knows
clearly the range and meaning of changes imposed from above.
·The interviewer must be able to distinguish between personal matters
and group matters when talking to individuals.
·Through experiments, the third part of a management's problems,
teamwork, is the most important.
·5 summarized points
1. The early discovery that the interview aids the individual to get
rid of useless emotional complications and to state his problem clearly.
2. The interview has demonstrated its capacity to aid the individual
to associate more easily, more satisfactorily, with other persons.
3. The interview not only helps the individual to collaborate better with his group of workers, it also develops his desire and capacity to work better with management.
4. The interviewing possesses immense importance for the training of
administrators in the difficult future that faces this continent and the world.
5. The interview has proved to be the source of information of great objective value to management.
Stillman Chap. 7: Decisionmakers & Subsystems.
Chapter 7: Stillman, "Key Decision Makers Inside Public Administration:
The Concept of Competing Bureaucratic Subsystems"
(Amy Halpin & Anna Michelle Cox)
"Our public bureaucracy is composed of identifiable clusters of individuals who work and act in influential ways inside bureaucracy. Each of these subsystems shapes the broad outcomes of bureaucracy." -Richard J. Stillman II
The Subsystems are:
1. Political Appointees
2. Professional Careerists
3. General Civil Service
4. Unionized Workers
5. Contractual Employees
-Subsystems have certain important similarities and differences in their roles, values, missions, power, status, functions, activities, and influence within public organizations.
The Political Appointee Subsystem: The Birds of Passage
Most political appointees
fill the top level policy making posts within federal, state, and local
Most political appointees have limited background in government. Very few serve repeated spells in government; few work for more than one administration.
The roles of a political appointees in a bureaucracy can be conceived as rings that circle the office of the elected chief executive--a president, governor, or mayor. The first ring is the inner cabinet. Second is outer cabinet. Third is the sub-cabinet. Fourth are advisors to the secretaries and directors of agencies. And finally there are the individuals occupying limbo land between quasipolitical and non-political territory.
Seven Influences of the Political Appointee
1. Appointees occupy the highest, most prominent posts within public organizations.
2. Influences depends upon the policy positions they hold, the length of their government service, their connections with top elected officials, their own personalities, their support from outside groups, the immediate tasks at hand, and whether these lend themselves to imminent solutions.
3. As one moves down the hierarchy of political officials, one finds greater degree of specialization.
4. Battles occur between different levels of political appointees due to differences in perspectives.
5. Close ties or friendships develop between top officials and the chief executive.
6. Degree of loyalty results from job instability.
7. Despite operating in an ambiguous world, ultimately they are central to the governing processes at all levels of government.
The Professional Careerist Subsystem: Permanent Clusters of Powerful Experts
-Professional Elites comprise the core group of experts. These are the senior and most prestigious and respected members of the profession.
Elites proved the leadership
as well as set the work standard, the qualifications for entrance and advancement,
and the overall values for the profession.
Line Professionals, who fall just below the level of the senior elites, actually carry out the day-to-day functions of the public agency.
Staff Professionals include a wide assortment of specialists and technical assistants who have unique and specialized expertise that may not be directly connected with the central tasks of the agency.
Administrative Professionals are critical to the activities of the agency because they essentially serve as "the directing brain" of the organization.
Paraprofessionals are paid substantially less but still play a vital role in achieving the assigned tasks on the organization.
Six Influences of Professional Careerist
1. They are essential to the performance of the central mission of public agencies.
2. Careerists have a large longevity within agencies compared to appointees.
3. They are part of well established pecking order, from elites to "paras".
4. Continuing political strength and popular support of professionals ultimately rest upon their recognized expertise and competence as well as on their ability to exercise these skills in a regular, uniform manner in the public interest.
5. Professionals influence policies by moving upward and outward beyond the contours of their roles within agencies.
6. Conflicts are hidden from public because they arise from disputes between clusters of key professionals.
The General Civil Service Subsystem: Ladders
of Bureaucratic Specialists, Generalists, and
Civil Service Members
are the bulk of government personnel.
Civil Service is based on the merit system, where rank is inherent in the job, not the person.
It was built on a negative moral reaction to what was perceived as "evil" rather than on a positive and deliberate design.
The federal civil service work force has stayed fairly constant in size over the past 40 years, but the local and state work force has nearly tripled.
Members of the general civil service subsystem generally lack the cohesiveness and unity found among professionals. This is due to the lack of mobility within the civil service.
In comparison with appointees, civil servants are more realistic and conservative due to worth of incrementalism.
In 3 studies, the following were points were all
stressed as areas needing attention in civil service:
1. Poor Public Image
2. Competence Crisis
3. Removing Barriers to a High Performance Work Force
The Unionized Subsystem: Cadres of Workers Inside Bureaucracy
Today there are three prominent and powerful public service unions that speak for many, through certainly not all, public employees: the American Federation of State, County and Municipal Employees, the American Federation of Government Employees and the American Federation of Teachers.
Five Significant Aspect of Union Involvement:
3. Some unions have matured, but not become dominant
4. Won Positive Reforms
5. "Civil Service-like" practices and philosophy suffers
Contract Employment: The Newest, Fastest-Growing Bureaucratic Subsystem
-Only slightly more than one-eigth of Th. total
federal budget is spent on directing activities that the government performs
Therefore, almost 60 percent of Th. total obligation for goods and services is contracted out.
Contracting Out effects on political agencies
and their outputs:
1. The growth of the contractual subsystem makes it increasingly hard to tell where government bureaucracy begins and ends. (Contracting out enables politicians to gain services for their constituents and then claim that they have "kept the lid on government personnel costs.")
2. Some sectors of +government are controlled by their contractors.
3. There is less and less use for traditional bureaucratic techniques.
Stillman Chap. 8: Decisionmaking & Incremental Choice.
Stillman's Introduction to Incrementalism: [SPS notes]
by Bill Butler, Spring 2011
Rational Comprehensive method:
-the administrator lists the desired aspects of an objective in order of importance. Then comes the formulation of multiple alternatives that attain said aspects. The administrator then chooses the best alternative that maximizes the number of aspects met.Successive Limited Comparisons method: [incrementalism]
-deemed to be rational because of the selection and weight of the objective aspects and the possible solutions.
-root method assumes that there are absolute values on all sides to agree on.
-the objective is determined, but often gets amended or added to, widened or narrowed.Lindblom also makes several observations about the actuality of administrative decision-making.
-administrators often outline a wide range of possible alternatives, but rarely stray from trusted small steps history has said are acceptable.
-allows for administrators to avoid serious mistakes.
-works with our system
-decisions are incremental
-limited scope of options open to taking
-must be flexible because of the mutability of policy.
-decisions are usually to determine what 'gets us by'
-many different entities have a hand in the making of government policy.
The first executive function is to develop and maintain a system of communication.
Dr. Garnett's beliefs
Stresses the importance of communication within administration.
Cites several cases within this book that show the importance of communication.
Although communication is important in life and death situations, the larger
consequences of miscommunication occur in the countless daily interactions
among public servents, citizens, officals, etc.
Communication is not a universal remedy.
Central public Sector Communication Processes
Centering around news making process is a detriment of our understanding of
key communication processes.
Revolutionizing the news making process.
* increasing demand for direct interaction
with public officials rather than media filtered.
* the result is direct interaction through broadcasted live speeches from the official
* televised "town meetings"
* need for combination of communication skills and ethics
Communication specialists of today are being demanded to play a more involved
managerial role than before.
The internal communication process is important because of the effect the whole system.
"communication is too critical to managerial success to be left solely to
the professional communicators."
Internal communication can be thought of as downward, upward or lateral.
* Downward is issuing task directives,
giving task-related information
feedback on performance and conveying an overall sense of mission.}
* Upward is feedback on whether downward
messages are received, understood
, and acted upon; warnings about problems needing attention; intelligence
gleaned by subordinates about key stakeholders; soundings about
organizational morale and performance.}
* Later communication is the communication
among organizational peers in
the same or different unit. Key functions include task coordination,
information sharing, multidisciplinary problem solving, and mutual emotional
support. They tend to be more honest and accurate because they are shared
among equal status
Three factors contributing to the rise of the interorganizational dimension in public management
* economic interdependence--globally and locally
* networks through which political
policy decisions are made have tended to
become larger and more diverse
* greater access to information communication
technology and liberalizing
of many political economic and service institutions have enabled looser coupling in various ways.
Gaining and maintaining credibility is hard if not impossible in the American system.
Linking diverse audiences , using diverse media are important elements of communication.
Communication ethics involve accuracy, usefulness, openness, and fairness,
violations tend to damage credibility.
Stillman Chap. 10: Executive Management & Effectiveness.
Charles U Walters Spring ‘07
Understanding of modern organizations comes from different theoretical perspectives, such as the analogy of blind men touching an elephant—they are all touching one elephant but in different places thus producing a radical difference in opinion to the nature of the beast.
There is a tendency to identify good government management with good business management. (apply entrepreneurial talent to public enterprises)
The Brownlow Committee Report (1937) — considered high point of influence on public administration, mirrored business practices of the day (continues with performance budgets, cost-benefit analysis, management by objective, etc).
The Three E’s—efficiency, economy, and effectiveness
(root of making government run like a business)
*Like elephants, our bureaucracies contain seeming paradoxes. They are large, cumbersome, and bungling, however, they perform very well. Likewise, despite being seen as unresponsive, they are quite sensitive and responsive to needs of individuals. Recent research indicates that typical assumptions of bureaucracies may be false and the evidence indicates bureaucracies have displayed entrepreneurial, innovative, and effective performance.
*Social Security Administration is administratively efficient (costs run at .08 % of benefits). These numbers have been getting better since the 80’s. During the 80’s SSA cut 17,000 employees. They have improved storage and also computerization of claims. It ranked #1 in telephone service, beating out private companies.
*Dept. of Defense showed tremendous improvement from Vietnam to the Gulf War. Low number of casualties and success in operations were striking improvement.
*Centers for Disease Control receive favorable assessments of performance/professionalism. U.S. Forest Service, U.S. Customs Service, U.S. Passport Office and some city governments identified as well managed and successful.
*Limited success of privatization. Success of privatization depends heavily on sound management by government employees. Business is not the perfect model as it produces waste, inefficiency, blundering, and fraud. Business (private) does not necessarily mean efficient and bureaucracy (public) does not necessarily mean inefficient.
*Bureaucracies must focus on leadership, mission, and organization culture. Definition of agency effectiveness: The agency performs well in discharging the administrative and operational functions pursuant to its mission.
*Stakeholders for bureaucracies are executive, legislative, and judicial oversight, constituent groups, and the general public. Effective agencies will have supportive, delegative, and attentive oversight authorities. Authorities who devote attention to agency demand higher performance. Example of Congressman Wilbur Mills who led to have problems with SSA fixed in the ‘70s. Agencies also need diverse and mobilizable interest groups on their side. Favorable perception by the public is also influential towards effectiveness (this is perhaps also a chicken and egg type thing). While oversight authorities need to be involved, autonomy is crucial for an agencies success.
*The higher the value of the mission the more likely the agency is to have success (more likely to be supported, get funding, have motivated workers etc.)
*Strong organizational culture is important. However, this culture does not need to be insular, isolationistic, or arrogant (FBI). Leadership is also important for organizational culture success. Leadership qualities include: creativity, innovation, motivation, conflict management, team building, business acumen, communication skills, political savvy etc. Stability is also important factor for agency leadership. Commitment to agency mission is a very important aspect of leadership.
*Extrinsic rewards- coming from employer in the form of pay, promotion, benefits etc.
*Intrinsic rewards- involve psychology of worker such as enjoyment of work, sense of purpose, growth and development etc.
*Agencies need to maximize intrinsic rewards since
extrinsic rewards are not easy to do in government. Task design is crucial
to this. Likewise, keeping a professional workforce is key to success.
Workforce’s productivity also increased by patriotic, purposeful, and mission
Hal G. Rainey and Paula Steinbauer, “Galloping
Developing Elements of a Theory of Effective Government Organizations”
Charles U Walters Spring ‘07
The authors compare bureaucracy to an elephant by saying it is large, cumbersome, though thick skinned—it can display sensitivity and responsiveness to needs, and they also can perform very well.
Motivation is vital whether it stems from: public service motivation, motivation by mission, specific task-related motivation, or work in the tasks themselves motivation, or is it for the pay/benefits?—all of these can contribute to performance, especially if they are seen as linked together.
An example of agency effectiveness is the Social Security Administration—their administrative costs dropped from $1.30 out of every 100 dollars to $ .80 out of every 100 dollars from the early eighties to the 1998. In the 80s they cut 17000 employees many of whom were replaced by computers.
Privatization—it seems the more carefully the study is performed on privatization the smaller reported savings. It depends heavily on sound management by government employees on the contracting and the level of competition between companies. Privatization can also decentralize the seemingly monolithic entity spreading its power among others.
Business blunders and fraud in the market place lead to the questioning of whether or not they actually out perform government agencies—one attribute that leads to effective PA is dedicated public servants not motivated by economic self-interest but by loyalty and identification.
Agencies are more effective when they are allowed a certain level of autonomy. It is best for an agency to have diverse stakeholders (people/groups/institutions with interest in organization’s outcome/activities) –they need to be attentive, interested, geographically dispersed, mobile, and multiple.—and favorable public support increases effectiveness
The higher the mission valence of an organization—the higher it will perform
Effective leadership is vital, along with an organizational culture that includes the ability to adapt, surveillance of the environment, and responsiveness.
Tasks need to be specific providing extrinsic and intrinsic rewards to employees and groups (extrinsic—pay, promotion, physical conditions; intrinsic—interest in work, sense of growth and development, and worthwhile accomplishment).
Organizations need to use professionalism
and continue to utilize technology and develop their human
Hal Rainey & Paula Steibauer, "Galloping
Developing Elements of a Theory of Effective Government Organizations."
Vance McBrayer, 2003?
·Government organizations are like elephants:
they seem large, cumbersome, and lumbering, yet actually they are very
fast animals; they thick-skinned, yet they are very sensitive.
· More and more authors are beginning to defend public bureaucracies and
debunk stereotypes and negative allegations about them
Examples of Agency Effectiveness
·Social Security Administration (SSA) - administrative costs are only 0.8 percent of benefits; in the 80's, only $1.30 of every $100 in the SSA program goes to administrative expense; stores files in large industrial storage facilities built into old caves, saving on building costs in cities; computers are now doing many of the functions that employees once performed; SSA ranked #1 in a survey of customer satisfaction; downsized workforce to be more efficient
·U.S. Department of Defense - extremely efficient in Gulf War; achieved goals with minimum casualties
·Centers for Disease Control, U.S. Forest Service, U.S. Customs Service, U.S. Passport Office are also others
Mixed Results of Privatization
·An indication of effective performance by public agencies comes form the limited success of privatization initiatives
·Public organizations can and often do perform as well as private firms
Power Sharing and the Hollow State
·The increasingly networked or hollow state character of many public programs strain the depiction of the public bureaucracy as a centralized, retentive, monolithic entity
Business Blunders and Generic Theories of Management
·The prospects for effective public organizations is attributed to the presence of dedicated public servants who are motivated not by narrow economic self-interest buy by organizational loyalty and identification
Models of Excellence in Government Orgainzations
·See page 304 for a list of Propositions About Effective Public Agencies
The meaning of Effectiveness
·Effectiveness - The agency performs well in discharging the administrative and operational functions pursuant to the mission. It achieves the mission as conceived by the organization and its stakeholders, or pursues achievement of it in an evidently successful way
Relations with Stakeholders
·Stakeholders - persons, groups, and institutions that have an interest in the activities and outcomes of the organization sufficient to draw their participation and attention to the agency
·Effective agencies will have oversight authorities that are supportive, delegative, and attentive to agency mission and accomplishment
·An agency is better able to obtain resources and autonomy of operations when it has interest groups that, in addition to being attentive and interested, are geographically dispersed, diverse along various dimensions, movilizable, and multiple
·Government agencies will be more effective when they have higher levels
off autonomy in relation to external stakeholders, but not extremely high levels of autonomy
·Autonomy to manage its mission and tasks tends to enhance an agency's
performance of the mission and tasks
·Autonomy does not mean leaving out stakeholders
·The higher the mission valence of the agency, the more effectively the agency will perform
·The more engaging, attractive, and worthwhile the mission is to people, the more the agency will be able to attract support from those people, to attract some of them to join the agency, and to motivate them to perform well in the agency
·Effective government agencies have a strong organizational culture, effectively linked to mission accomplishment
·The more effective the leadership of the agency, the more effective the agency. More effective leadership is characterized by more stability, multiplicity, commitment to mission, effective goal setting, and effective administrative and political coping
·Leadership has long been treated as an important determinant of an agency's power and influence
·The more the task design in the agency provide extrinsic and intrinsic rewards to individuals and groups, the more effective the agency
·Effective government agencies have high levels of motivation among their members, including high levels of public service motivation, mission motivation, and task motivation
·Public Service Motivation - a general altruistic motivation to serve the interests of a community of people, a state, a nation, or humankind
·Mission Motivation - developing a sense of mission for the agency and incorporating it into the culture of the agency through goal setting, symbolic actions, and other techniques
·Task Motivation - See section on Task Design above
-1961, President Kennedy said to the country “Ask not what your country can do for you but what you can do for your country.”-What Do We Know? -There are four questions that this piece addresses.
-During the 1960s and 1970s interest in public service was very high; because people felt that they not only could make a difference but that it was their duty to.
-Since then times have changed, people began moving to jobs in the private sector for higher pay.
-What are public service motives?-What are Public Service Motives?
-What are the operating conditions of public service motivation?
-Is public service motivation more prevalent in the public sector?
-Seeks to explore the significance of public service motives.
-Public service motive is a type of human need.-What are the Operating Conditions of Public Service Motivation?
-People have many types of needs and the desire to fulfill these needs influence behavior. These different needs are in constant competition with each other and are sometimes conflicting.
-People with public service motive can typically be found in public work because governmental jobs usually focus on public services.
-Public service motivation relates to the process that causes an individual to perform acts that contribute to the public good to satisfy their own personal needs.
-Public service motives can be organized into three categories:Affective- are based in an individual’s emotions, a deep belief in the importance of certain programs for the benefit of society.
Normative- Involves sense of duty to the community, loyalty to government, and a desire to serve the public interest.
Rational- involve a desire to represent a special interest and personal identification with a program or policy goal, along with desires for personal gain and personal fulfillment. Rational motives are not truly public service motives because they don’t prioritize the public good over individual interests.
-Human behavior is based on a mix of motives. These motives can change as certain needs are fulfilled or if new needs arise. Motives can also change due to an individual’s environment (workplace, country, geographic region, etc.).
-Are Public Service Motives Exclusive to the Public Sector?-For example, when a government organization has to downsize or make pay cuts, job security and monetary rewards overpower the public service motives.-The strength of the public service motives may give individuals the strength to resist organizational norms or peer pressure that may conflict with their interpretation of the public good.
-These tensions that occur daily in their work may develop into habitual behavior which will lean more toward the individual interest than the public good.
-Public service motives cannot be found exclusively in the public sector for two main reasons:-Of What Significance Are Public Service Motives?
-There is nothing to test individuals and then place them into specific sectors based on their motives.
-Second reason is that the boundaries between different sectors are vague.Ex. Healthcare industry in the U.S. can be found in public, private, and nonprofit sectors.
-They anchor bureaucratic behavior and action, and provide a value basis for governance.-Working beyond contract- means doing more than the minimum the job requires.
-Educating the citizenry contributes to the responsibility for involving the public in the democratic and administrative process. Educating public causes tensions with efficiency and professionalism.
-Shared values can provide a solid foundation for organizations; they give individuals a common goal, causing them to be more motivated to reach their individual goals, which in turn cause the organizational goals to be reached. Individual public service motives can also save an organization falling into “group think” when faced with a problem. This thought directly conflicts with the norm of neutrality, which means that administrators in a bureaucracy should remain neutral.
-Engagement means public service officials should “…think about what ought to be done instead of merely doing what must be done”.-Ex. Public servants should never take a passive role in policy implementation.
-Public service motives have potential for advancement within the democratic state, but they are at the heart of a fundamental tension with some of the key parts of administrative behavior.
-These motives do, however, set the culture of the public service sector apart from other sectors by making them operate for the common good in reference to values, engagement of work, educating of citizens, and selflessness.
Stillman 11 Lois Recascino Wise, "Public Service Culture”
By: Walker Garrett (2005)
Note: Dr. Wise sent an email complimentary of the quality of this page, 29 Sep. 05. Congratulations, Amy & Walker!
Lois Recascino Wise, "The Public Service Culture"
by Amy Garrett
1. Affective: rooted in emotion*Some do not see this as a true service motive as it is self serving
2. Norm Based: based on social values and norms of what is proper
appropriate and include a desire to serve the public interest; fulfill a sense of duty;
and to express a sense of loyalty to the government
3. Rational: represent some special interest or personal identification
as well as sdesires for personal gain and personal need fulfillment
*people that have public service motives also have other motives and human needsAre Public Service Motives Exclusive to the Public Sector?
*Contextual factors are also an important part of why people join the
public sector such as job security
* Situational factors: motives may be dominant in individual behavior or
behavior occurs as a consequence of other motives
*Many people do not consciously choose a sector of employment and mayThree Central Ideas in conflict:
not be fully aware of their own motives for joining a particular organization.
*Boundaries between the sectors are vague and tasks overlap
1) Education: educate the citizens on the issues but it costs too much
(efficiency vs professionalism)
2) Values: using individual values vs remaining neutral
3) Engagement: taking an active role in policy vs “structure” not being
held morally responsible
are contracts agreed upon by goverments to raise/spend
money (normally through a fiscal year, July 1-June 30)
*Budgets are efficient in leading coordination between different groups
*Tend to reflect current attitudes/ways of thinking of
economy/social orders; can show priorities or current beliefs
*Influences economy-more money saved through budgeting and not
wasted means more jobs created to spend money, and less layoffs when
monetary waste is found.
*Budgets must balance, or become ineffecient (borrow and pay
back, save and spend later)
*Cannot compare budgets (no too alike, too many variables)-can
only find similarities and make predictions
*Must have process's- what must be included, what is included,
and what can't/doesn't need to be included.
*Office of Management and Budgeting- once hoarded money, didnt
want it spent, now is not so stingy with gov. funds.
*Special Interest groups, individuals can influence budgets (Pres., boss, parents)
*Must be able to bend to outside influence, flexible to times and crisis.
Stillman Chap. 13: Implementation.
Stillman 13: Implementation: The Concept of an Ambiguity-Conflict Model
Charles U Walters, Spring ‘07 (another is below)
• Sound implementation is the bottom line of administrative enterprise
• Policy implementation must be judged to be effective and not ambiguous (The failure of the Great Society was not that legislation wasn’t passed—it just wasn’t carried out)
• Implementation was at one time considered the “missing link”
• Top downo Three general factors• Bottom up
? Tracked ability of the problem
? Ability of statue to structure and implementation
? None statutory variables affecting an implementation
o Lack of parsimony
o Common advice is make policy goals clear and consistent
o Minimize the number of actors
o Limit the extent of change necessary
o Place implementation responsibility in an agency sympathetic with the policies goalso Macroimplementation• Forward and Backward Mapping—an attempt to combine top-down and bottom-up perspectives
? central actors devise a government program
? local organizations react to the macro’s plans, develop their own programs and implement themo Forward Mapping-stating precise policy objectives, elaborating detailed means-ends schemes, and specifying explicit outcome criteria• Successful Implementation can be defined as agencies complying with directives’ statutes, agencies held accountable for reaching indications of success, statute goals achieved, political climate improved around the program
o Backward Mapping-precisely the behavior to be changed at the lowest level, describing operations that can insure the change, repeating the procedure upwards by steps until the central level is reached• Policy Conflict—for conflict to exist there has to be some interdependence of actors, often process results in no action because no agreement is made.• Comprehensive Model
• Policy Ambiguity—characterized by an ambiguity of goals and meanso Administrative Implementation—low policy ambiguity and low policy conflict• Conclusion
? Outcomes are determined by resources
o Political Implementation—low policy ambiguity and high policy conflict
? implementation outcomes are decided by power
o Experimental—high policy ambiguity and low policy conflict
? contextual conditions dominate implementation process
o Symbolic—high policy ambiguity and high policy conflict
? coalitional strength determines the outcomeo Article tries to give a theoretical approach to implementation
o Top down models—present accurate descriptions of implementation process when policy is clear and conflict is low (new models emphasize importance of structuring access and providing resources aware of political atmosphere)
o Bottom up models—present accurate descriptions when policy is ambiguous and conflict is low
o Ambiguity should not be seen as a flaw in policy, it can ease agreement, opportunity to learn new methods, technologies, and goals. Neither evil or good, but a characteristic
Matland: The Ambiguity-Conflict Model of Policy Implementation
By Samantha Mosier, Spring 2007
o Top-down (Macro)- see policy designers as the central actors and concentrate their attention on factors that can be manipulated at the central level. Tend to choose relatively clear policies• Most agree that some combination of these 2 is ideal
o Bottom-up (Micro)- emphasize target groups and service deliverers, arguing policy really is made at the local level. Study policies with greater uncertainty inherent in policy
o Top-Downers? Mazmanian and Sabatier present 3 general sets of factors which they argue determine the probability of successful implementation.o Bottom-up Model
• Tractability of the problem
• Ability of statute to structure implementation
• Non-statutory variables affecting implementation
? Top-downers have exhibited a strong desire to develop generalizable policy advice.
• Make policy goals clear and consistent
• Limit the extent of change necessary
• Place implementation responsibility in an agency sympathetic with the policy’s goals
? 3 sets of criticism for top-downers• top-down models take the statutory language as their starting point. This fails to consider the significance of actions taken earlier in the policy-making process. May fail to consider broader public objectives
• Have been accused of seeing implementation as purely administrative process and either ignoring the political aspects or trying to eliminate them.
• Top-down models have been criticized for their exclusive emphasis on the statue framers as key actors.o One side argues from a normative perspective that local service deliverers have the expertise and knowledge of the true problems, therefore they are in a better position to propose policy.
o Second side argues from a positive perspective that discretion for street-level bureaucrats is inevitably so great that it is simply unrealistic to expect policy designers to be able to control the actions of these agents.? Sees policy implementation on the microimplementation level in which local organizations react to the macrolevel plans, develop their own programs and implement themo Previous attempts to combine the 2 models
? Have placed emphasis on describing what factors have caused difficulty in reaching stated goals.
• Allows for adaptation to local difficulties and contextual factors
? 2 criticisms
• normative criticism is that in a democratic system policy control should be exercised by actors whose power derives from their accountability to sovereign voters through their elected representatives
• it overemphasizes the level of local autonomy? Elmore’s Concept (early 1980s) – forward and backward mappingo WHAT IS SUCCESSFUL IMPLEMENTATION• Argues that policy designers should choose policy instruments based on the incentive structure of target groups? Sabatier (1980s-1990s)
• Forward mapping consists of stating precise policy objectives, elaborating detailed means-end schemes and specifying explicit outcome criteria by which to judge policy at each stage.
• Backward mapping consists of stating precisely the behavior to be changed at the lowest level, describing a set of operations that can insure the change, and repeating the procedure upwards by steps until the central level is reached. By using this method you might be able to find more appropriate tools than originally planned.• Argues how policy needs to be analyzed in circles of more than ten years. The longer time allows for an opportunity to consider policy learning.? Goggin (1990)- communications model of intergovernmental policy implementation
• Policies operate within parameters most easily identified by using a top-down approach- includes socioeconomic conditions, legal instruments, and basic government structure.
• Advocacy coalitions should be the main unit of analysis in the study of these actions. Coalition comprised of policy advocates from both public and private organizations who share same beliefs and goals.• Sees state implementers as the means of connection between several communication channels. There are 3 clusters of variables that affect state implementation:? Berman (1980)
o Inducements and constraints from the top (federal level)
o Inducements and constraints from the bottom (state and local levels)
o State specific factors defined as decisional outcomes and state capacity• Argues implementation plan should be developed using either the top-down or bottom-up approach depending on a set of parameters that describes the policy context.
• Argues that these situational parameters are dimensions that implementation designer cannot influence. It includes scope of change, validity of technology, goal conflict, institutional setting, and environment is stable, goal conflict is low, and institutional setting is tightly coupled.? Top-down theorists desire to measure success in terms of specific outcomes tied directly to the statues that are the source of a program.o A COMPREHENSIVE MODEL OF IMPLEMENTATION: THEORETICAL BASES
? Bottom up theorists desire a much broader evaluation, in which a program leading to positive effects can be labeled a success.
? Failure to specify what is meant by successful implementation causes considerable confusion
• Ingram and Schneider note several plausible definitions of successful implementation including agencies comply with the directives of the statues, agencies are held accountable for reaching specific indicators of success, goals of the statute are achieved, or there is an improvement in the political climate around the program. Deciding which one is appropriate hinges on whether the statutory designer’s values should be accorded a normative value greater than those of other actors (esp local actors if the designer is an elected official)
? Policy conflict• Plays central role in distinguishing between descriptions of the implementation process? Policy Ambiguity
• Rational and bureaucratic politics models of decision making assume the individual actors are rationally self-interested.
• Rational model assumes goals are agreed upon and therefore one can max individual or social welfare functions, subject to a set of situational constraints. Makes conflict not exist
• Bureaucratic politics models on the other hand lay that a utility function cannot be written because there is no agreed-upon set of goals. Make conflict primary emphasis
• Policy conflict will exist when more than one organization sees a policy as directly relevant to its interests and when the organizations have incongruous views.• Arises from a number of sources but can be sorted broadly as falling into 2 categorieso A COMPREHENSIVE IMPLEMENTATION MODEL: EXPOSTION OF THE 4 PERSPECTIVES
o Ambiguity of goals- leading to misunderstanding and uncertainty and therefore often is culpable in implementation failure. The clearer the goals are the more likely they are to lead to conflict.
o Ambiguity of means- - are ambiguous when there are uncertainties about what roles various organizations are to play in the implementation process or when a complex environment makes it difficult to know which tools to use, how to use them, and what the effects of their use will be.? Administrative implementation:• Low policy ambiguity and low policy conflict provide conditions for rational decision-making? Political Implementation
• Central principle-outcomes are determined by resources
• Low levels of ambiguity make it clear which actors are active
• 3 mechanisms for gaining compliance from an actor:
o normative- mutually held goal or to the legitimacy of person requesting action
o coercive-threatens sanctions for failing to comply with a request for action
o remunerative- sufficient incentives to make desired course of action
• ex: Emergency Energy Assistance- this policy theory was to allow market prices on energy, tax windfall energy, tax the profit, of energy companies, and recycle money back to the citizens via emergency energy rebate.• low policy ambiguity and high policy conflict? Experimental Implementation
• actors have clearly defined goals are incompatible.
• Central principle is that implementation outcomes are decided by power
• An actor of coalition or coalition of actors have sufficient power to influence. Such system is more open to influences from the environment
• Coercive and remunerative mechanisms will dominate
• Ex: Where EPA sanctions threatened TVA’s central mission, compliance was quickly forthcoming. Where controversy didn’t threaten it took awhile for TVA compliance• High policy ambiguity and low policy conflict? Symbolic Implementation
• Central principle is contextual conditions dominate the process. Outcomes depend heavily on resources and actors
• Defines cases where preferences are problematic and technology is uncertain. Lack of conflict is likely to open arena for large # of actors. Policies and goals are agreed upon yet means of reaching that goal remain unclear.
• Examples: Clean Air Act of 1970- technology did not exist before policy was passed. & Headstart
• 2 pitfalls:
o process should not be forced into an artificially constrained form
o demanding uniformity when processes are poorly understood robs us of vital info and limits the street level bureaucrats use of their knowledge• High policy ambiguity and high policy conflict
• Local level Coalitional strength is important towards its goal in confirming new goals, reaffirming a commitment goal, or in emphasizing important value principles. Differing perspectives will develop as to how to translate the abstract goal into instrumental actions.
• Professions likely to play important role.• EX: Youth Employment Program may have goal of improving opportunities for disadvantage youths. This referential goal may include any of the following subgoals: decreased crime, increased educational opportunities, and on-the-job training.• Actors are intensely involved and disagreements are resolved through coercion or bargaining. Any actor’s influence is tied to the strength of the coalition he or she is a part of.
The Relationship between Politics and Administration:
The Concept of Issue Networks
Charles U Walters, Spring ’07
widening requirements for Senate approval of presidential appointees to executive office, Congressional Budget Office (fiscal watchdog), passage of the Freedom of Information Act (allow Congress and public more access of executives activities), War Powers Resolution (restricted presidential initiative in foreign military involvements).
fashionable argument in 60s and 70s of a “three-way” interaction between Congress, bureaucrats, and special interest lobbies where: Congress writes and passes legislation, bureaucrats implement for bigger budgets, and interest groups help congressional members get elected (monies and support).
Hugh Heclo, "Issue Networks and the Executive Establishment"
Looking for the “closed triangles of control” we miss the networks that increasingly impinge government they more likely are these: Growth in mass of government activity, loose-jointed play of influence from this growth, and layering and specializing that has taken over the government work force
the beginnings of these are hard to determine, they vary in degree of dependence on others in their environment; they are straight out—shared knowledge groups having to do with some problem of public policy. The “true experts” in the networks are the “issue-skilled” –those informed on a particular policy debate. Knowing what is right is impossible anymore which makes knowing those deemed knowledgeable crucial. Shared-action groups and shared-belief groups are not as crucial for it is those who are knowledgeable networking to get policy issues refined, debated, and alternative options worked out.
Three advantages in the emerging issue networks system: reliance on issue networks and policy politicians consistent with larger societal changes (party-based politics to issue-based politics), the issue networks link Congress and the executive branch in ways that political parties no longer can, increased room to maneuver offered to executives by loose-jointed play of influence. There is a lack of democratically based power which weakens the executive level below the president. Political technocrats make this worse. The more specialized the networks the more separation from the average citizen. Issue Networks have to become known as knowledgeable, make simple choices complex so that policy objectives don’t become vague and so that results become measurable. They provide a way to process dissension and better allow for consensus (though understanding the issue is more important than a consensus. New leaders can’t take blame and they can’t spread blame, rather vagueness is key in order to allow policy problems to be dealt with by policy specialists’ opinions.
Hugh Heclo, "Issue Networks and the Executive Establishment"
by Marie Wilkerson
The lack of interest in political administration
is rarely found in other democratic countries, and it has not always prevailed
in the United States. In the U.S. the 19th century between politics
politics and administration ,or party spoils, frequently ovrwhelmed any motion of presidential leadership
Control is said to be vested in an imformanl but enduring series of "iron triangles" linking executives bureaus, congressional committees, and iterest group clienteles with a stake in
particular programs. The iron triangle concept is not so much wwrong as it is disastrously incomplete.
Factors at work
1. growth in the sheer mas of government activity and associated expectation.
2. the peculiar, loose-jointed play of influence that is accompanying this growth
3. the layering and specialization that have overtaken the government work force, not
least the political leadership of the bureaucracy
-Issue networks are almost the reverse image in each respect. Participants move in and out of the networks constantly.
-An issue network is a share-knowled group having to do with some aspector public policy.
-It is through networks of people who regard each other as knowledgeable, or at least as needing to be answered, that public policy issues tend to be refined, evidence debated, and
alternative options worked out - thogh rarely in any controlled, well-organized way.
*Technocrats an other people in white coats
will expropriate the policy process. If there is to be any expropriation,
it is likely to be by the policy activists, those who care deeply about
a set of
issues and are determined to shape the fabric of public ploicy accordingly
The Executive Leadership Problem
E.E. schattschneider put it better when he observed that "new policies create new politics"
There are at least three important advantages
found in the emerging system.
1. the reliance on issues networks and policy politicians is obviously consistent with some of the larger changes in society.
2. they link Congress and the executive brance in ways that political parties no longer can.
3. the increased number maneuvering room offered to political executives by the loose -jointed play of influence.
*The first and foremost problem is the old one of democratic legitimacy. Weaknesses in executive leadership below the level of the President have never really been due to interest
groups, party politics, or Congress.
Policy activist have little desire to recgnize
an unpleasant fact: that their influential systems for know ledgeable policy
making tend to make democratic politics more difficult
There are at least four reasons.
*It is not easy for a society to politicize itself and at the same time depoliticize government leadership
Stillman Chap. 15: Public Interest & De-Regulation.
Armies: Putting their best people in specialized units and leaving “leftovers” to the infantry
Prisons: Observers most favorable to prison execs with good intentions (fresh ideas) such as rehabilitation, prison self- governance etc. over accomplishments such as safe and decent facilities
Schools: Spend much time on reports and robotic efforts rather than stimulating performance
These groups are attempting to manage situations in which they have little control. Outside groups (politicians (“legislative micromanagement”), interest groups, media, courts etc.) close in on their control. Expectations and the past also confine those who seek more autonomy.
Herbert Kaufman: Whit House has feared agency independence more than agency paralysis
Regulations define job for agencies. Today such regulations stifle creation of such effective agencies (FBI, Marine Corps, Forest Service) as had been in the past. These agencies had a single focused mission.
Bureaucrat bashing doesn’t solve anything.
Deregulating government will improve matters. This liberates the entrepeneurial energies of its members. This has a drastic effect on the morale of workers who don’t like every initiative stifled and every action second guessed.
How can government be deregulated and accountable??? Deregulation cannot be zealous but modest. Must rely on strong leaders. Leaders must be inspiring, understand organizational culture, delegate responsibility effectively, give workers the opportunity to make judgements, infuse agency with a sense of mission. However, they must take steps to ensure that important tasks that may not be apart of the core mission are not overlooked. Must also negotiate with political superiors on what regulations can be removed. Must also distribute authority effectively.
Organizations should be judged by results. Problem is legisltures etc. can be unhappy with performance even then 9may not even realize what good results are). Results are often hard to assess (education).
Experimentation: First, must identify a course of action that can be tested. Second, detemine desired effect. Third, give action/ treatment to one group and withhold from another (control group). Fourth, assess condition of each group prior to test. Fifth, have outside evaluation
Only less bureaucracy if less government. Problems with bureaucracy comes from fragmented and open system. They must say “no” and this can often lead to problems for their growth.
Chapter 15: The Relationship Between Bureaucracy
and the Public Interest” The Concept of Public Sector Deregulation,
by Charles U Walters Spring ‘07
Makes a few parallels to Bureaucracy and the Public
-German Army beat the French army in 1940
-Texas prisons did a better job than Michigan prisons
-Carver High School in Atlanta became a better school under Norris Hogans.
All successes resulted from:
Armies: Pentagon in the U.S. is filled with generals who want to control combat from headquarters or from helicopters using technology. The U.S. does not concentrate on infantry fighting as much as putting qualified people into specialized units (intelligence, engineering, communications.
Prisons: Many observers give favor to those who seem to voice the best intentions rather than accomplishments. Rehabilitation rather than better facilities
Schools: Many administrators keep principals weak and teachers busy filling out reports, in order to minimize complaints from parents and such.
There has been a rise in legislative and presidential micromanagement with hearings, reports, investigations, statutory amendments, and budgetary adjustments.
A recent trend has been for executives to focus less on the tasks that their organization is doing, and more on the constraints and rules that must be abided by, no matter how many or what tasks are being performed.
From time to time, there is a gifted executive
that makes things happen differently. Every once in a while an administrator
can effectively govern as well as abide by the rules. Some examples:
-The Army Corps of Engineers
-The Social Security Administration
-The Marine Corps
-The Forest Service
These agencies have been notable exceptions to the stereotype that "all bureaucrats are dim witted paper shufflers."
To do better, Wilson, suggests DEREGULATION. This would liberate the entrepreneurial energies of members of the free market, deregulation could lead to energizing of business and results.
Small staffs and a high level of delegation based on trust, are methods that have made the private sector successful, that could work in public bureaucracies.
In the public sector, procedure and rules stand in the way of action and results.
Successful agencies in the past have all been forged the same way, by strong leaders who were able to command personal loyalty, define and instill a clear and powerful sense of mission, attract talented workers who believed they were joining something special.
No one agency, no matter how efficient can control a truly diverse set of tasks. But a good executive will delegate these neglected tasks to another agency, or create a new one.
3 principles are important:
1. Delegate neglected tasks to another agency.
2. Negotiate with one’s political superior as to which constraints or rules are essential to keep.
3. Match the distribution of authority and the control over resources to the task your organization is performing.
4. Judge organizations by their results.
You will have less bureaucracy only if you have less government.
BUREAUCRACY AND THE AMERICAN REGIME
The Central theme of the American constitutional system-the separation of powers, makes problems worse for the bureaucracy.
The US governments were not designed to be efficient or powerful, but tolerable and malleable.
The centralization of power ensures that the public organizations will be more efficient.
America has a paradoxical bureaucracy unlike any other.
The paradox is the existence in one set of institutions of two qualities ordinarily quite separate: the multiplication of rules and the opportunity for success.
We have a system laden with rules, we also have a system suffused with participation. The fact that these two traits can exist, rules and openness, puzzles many contemporary students of the discipline.
Public bureaucracy in this country is neither as rational and predictable as Weber hoped that it would be, but neither was it as crushing and mechanistic as he feared.
We live in a country that despite all of its trivial
rules, some people still use government to rationalize society
And services are provided to the people regardless of this fact, more efficiently than many countries.
(Courage is capacity to act when inaction is easier, Optimism is ability to deal w/morally ambiguous situations w/confidence and purpose, fairness allows for justice maintenance). The best solutions most always have costs.
- The concept of moral or ethical behavior in public administration is a complicated matter, indeed, chaotic.
Dwight Waldo, “Public Administration and Ethics: A Prologue to a Preface”
By Chrys Lake, spring 2007
Public Morality- decisions made and action taken directed toward the good of a collectivity which is seen or conceptualized as “the public”, that is, an entity or group larger than immediate social groups such as family and clan.The State and Higher Law:
Private Morality- decisions made and action taken directed toward the good of the private sector, including economic, political, and global influence.
Higher Law: (claims it is essential in understanding the conflicting moral principals) is a source and measure of rightness that is above and beyond both individual and government.Two Important Issues:
- Higher law does not equate with or relate only to private morality as against public. Its sanction can be claimed by the polity if the polity represents the sacred as well as the secular.Means By Which To Determine Private and Public Values Within the Administration Process: Obligation to [some points combined]
- Public-private distinction is but one example of a class of relationships that can be designated collectivity-person. (ex. People as a part of nation, party, union, family—which a person can not unidentified himself with)
1. the Constitution, Law, Nation, Democracy• Waldo points out that he did not attempt to order the 12 obligations by importance—because of the untidiness of the ethical universe. He points out that until the people know what issues they are arguing on, no progress can be made.
2. Organizational-Bureaucratic Norms, Profession and Professionalism
3. Family and Friends, Self
4. Middle-Range Collectivities
5. the Public Interest or General Welfare,
6. Humanity or the World, Religion, or to God
- History, Implication, Consequences, Self-awareness, Growth, Duty, Organization,The Role of Hierarchy in Ethical Administration:
- Personal Philosophy
Hierarchy is represented both as a force of morality and a source of immorality, the soft values of democracy and the hard values of effectiveness, efficiency, and economy are considered a single thing.
Democracy is, realistically, achievable only if power is concentrated so that it can be held accountable, which is possible only through hierarchy.
Responsibility for moral and ethical behavior begins at the top of the hierarchical pyramid and filter down. Authority is considered to move upward through employees and officers.