PADM Notes

CHAPTER ONE: DEFINING PUBLIC ADMINISTRATION
LEARNING OBJECTIVES
After reading Chapter 1 in the textbook, the student should be able to:
1. Define public administration within the context of its four frames:

a. Political
b. Legal
c. Managerial
d. Occupational
2. Locate public administration within its interdisciplinary context.
3. Define the subject matter that forms the core of public administration.
4. Provide a brief background of the study of administration and its key early players.
5. Explain the real meaning of the politics-administration dichotomy.
6. Understand the cycles of reform in public administration.
7. Define key terms at the bottom of the pages and at the end of the chapter.
8. Write short critical essays on major issues covered in the chapter.
SUGGESTED LECTURE
LECTURE ONE
I. Defining Public Administration: The term “public administration” encompasses a

complex set of interrelated concepts, thus a simple definition will not suffice. It draws from
many different academic disciplines, includes a variety of agencies, and is linked closely to
several distinct professions. The text has accordingly provided 18 definitions to capture the
intrinsic richness and subtlety of the broad phrase “public administration.” These are clustered
into four main categories: 1) political, 2) legal, 3) managerial, and 4) occupational.
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II. Analyzing the Definitions of Public Administration: Political—Public
administration is what government does. It exists within a political environment, and it is this
political context that makes it “public.” Public administration is about implementation of the
public interest. It is also about doing collectively what cannot be done as well individually.
Legal—The foundations of public administration in the United States are legal ones and are
bound by instruments of law. Public administration is law in action in the form of statutes,
regulations, ordinances, codes, etc. Managerial—The executive nature of public administration
enables the public will to be translated into action by the people responsible for running the
public bureaucracy. Occupational—Public administration includes many occupational fields—
medicine, engineering, social welfare, economics, etc. It is within the framework of each of
these fields that the political, legal, and managerial aspects of public administration are
transformed by public administrators into the work of government.
III. Public Administration is an Academic Field: Public administration within an

academic interdisciplinary context draws primarily from political science, law, and
management. It also incorporates other fields in the social, behavioral, and natural sciences,
including economics, sociology, anthropology, criminology, psychology, engineering, medicine,
and social work. At the heart of public administration lies its core content: administrative
theory, bureaucratic behavior, public finance and budgeting, policy analysis, program
evaluation, and administrative ethics. Public administration is also a cross-governmental field:
it deals with what the federal, state, and local governments do, such as the federal government
providing national defense and local governments maintaining city and county roads.
IV. Public Administration is Both an Old and a Young Discipline: The practice of
public administration has been with us from the earliest civilizations. The Egyptians,
Babylonians, Chinese, Greeks, and Romans provided guidance on the art and science of
management. Our focus in this textbook, however, is on the occupational specialty and
academic discipline of American public administration in recent times. As a scholarly
discipline, public administration is relatively young. We chart its beginning with the seminal
article “The Study of Administration” by Woodrow Wilson in 1887. His famous politics-
administration dichotomy which lay at the core of this study was misunderstood. It was taken
to mean that politics and administration should be separate. However, in reality, Wilson meant
“partisan” politics must be kept separate from public administration. This is not easy, for public
administration is closely tied to its political environment.
V. Public Administration and the Cycles of Reform: Public administration is

continuously reforming itself depending on the prevailing political climate and theories within
the academic disciplines that bear upon it. Some presidents have seen government as the
problem in society and not as the solution to public problems. In the 1990s, and specifically
linked under the Clinton administration, reform of government has come to be known as the
“reinventing government” movement. In recent times the public and the media have become
increasingly focused on a broad form of governmental reform—the issue of ethics in
government. Its proponents believe this will go far in helping to restore the diminished public
faith in public administration.
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Class Exercise
THE REINVENTING GOVERNMENT EXERCISE
Team A: Bureaucrats and Citizens (Con: Keep status quo)

Team B: Bureaucrats and Big Business (Pro: Make change)
Issue: Privatization of the Department of Public Services of the city of White Bluff, Oregon.
Organizational chart for areas of service attached.
Moderators: 2
Moderators: Toss coin to see which team begins. Each team presents for 5–8 minutes. Another
5 minutes for rebuttals of additional arguments. Keep order. Keep proceedings civil.
Teams: Choose a recorder to keep notes of your meeting and a spokesperson to present the
arguments. Everyone else on the team, be alert to assist the spokesperson as needed. Use the
board as needed.
Important concepts from Shafritz and Russell, Public Administration.

Some suggestions to get you started.
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4
ARGUE FOR PRO AND CON
Politics-Administration Dichotomy—Can politics and administration really remain separate in

public bureaucracies? (Pro and Con)
Power Issues in the Bureaucracy—Special interest power versus public interest power issues
(Pro and Con)
Ethics Issues—Is it ever acceptable for public administrators to “dirty their hands” for the public
good? (Pro and Con)
Arguments: Speak to the benefits of your position; costs of the opposing position.
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CHAPTER TWO: THE POLITICAL AND CULTURAL ENVIRONMENT OF
PUBLIC POLICY AND ITS ADMINISTRATION
LEARNING OBJECTIVES
1. Identify the concept of public policy.
2. Distinguish public policy from public administration and link the two constructs together.
3. Explain how public policy is made in a democratic republic like the United States.
4. Identify and explain the five key stages of the policymaking process:
a. Agenda setting
b. Decision making
c. Implementation
d. Evaluation
e. Feedback
5. Explain the characteristics of power as a structural concept in the policymaking cycle.
6. Explain how power invariably enters the policymaking process through external and
internal “force fields” that affect the public organization:
a. The impacts of external power resulting from pluralism and social group power
in the United States
b. The impacts of internal power resulting from relationships, coalitions, negotiations,
and bargaining within American public organizations
7. Understand the meaning of “organizational culture” as it relates to public administration.
8. Explain how the following impact the cultures of public organizations:

a. External societal cultures
b. Internal cultures and subcultures of organizations
c. Professional socialization
d. Symbols, dramas, gestures, values, etc.
10. Write short critical essays on the major topics covered in the chapter.
SUGGESTED LECTURE
LECTURE TWO
I. Public Policymaking: Public policymaking is hierarchical in nature. The broadest policy

is made at the top, but officials at lower levels, also known as street-level bureaucrats, have
discretion in interpreting and even making policy. In the United States the people are considered
sovereign; they (through their elected representatives) make public policy, and this concept is
known as democracy. The legislative branch of government has the greatest number of
enumerated powers and makes the law. The executive branch administers and enforces these
laws, and the judicial branch interprets and enforces them. Each level of government—federal,
state, and local—involves these three distinct entities, or branches, of government.
II. The Role of Executive Power in a Republic: The authors provide us with three views
of executive power. The conservative view maintains that the president, governor, or mayor is
an agent of the legislature. Thus, his/her powers are restricted by it. A more liberal view is the
one of executive prerogative, which holds that under certain circumstances the chief executive
possesses and can use extraordinary powers to safeguard the nation. The stewardship theory of
executive power is based on the belief that the president is a trustee of the people and can take
any actions not specifically forbidden by the Constitution on their behalf. All presidents assume
one of these three executive models.
III. The Policymaking Process: The policymaking process is a complex group of

activities. In our textbook these are explained as: 1) Agenda setting or identification of the
policy issue, where the citizens produce ideas for change or improvement. These bubble up
through the various political channels for consideration by the legislature or the courts. 2)
Decisionmaking: Here a decision is made, either rationally (based on complete information) or,
more often, incrementally (bit-by-bit at the margins of problems). 3) Implementation involves
putting a government policy into effect. Implementation is an inherently political process.
Frequently the agendas of those implementing the program seep into the implementation process
itself. 4) Evaluation is the appraisal process of policymaking to determine the effectiveness and
the efficiency of a given program. Generally, the executive branch of government undertakes the
evaluation, but courts also do so in their analysis and judgment of cases. 5) Feedback: This
stage of the policy process completes the cycle, and new agenda items evolving from the
completed process start the policymaking cycle all over again.
IV. The Role of Power in the Policymaking Process: The theory of force fields helps
explain the role of external and internal power that is brought to bear on an agency and its key
players from many directions. a. External Power Forces: Pluralism is a concept that begins in
the government itself. The three branches of government—legislative, executive, and judicial—
exert power over each other. Additionally, American society is made up of competitive groups,
and power shifts from one to the other in time. Some hold the view that groups of interested
individuals with shared attitudes and special interests, not government, are the mechanism by
which social policies are formulated. Elite theory states that key members of the group have the
lion’s share of power in policymaking. The metaphor of the salad bowl explains that each socio-
political group is a distinct power entity. Others believe that government itself is a group that
competes with other groups. b. Internal Power: Within organizations, coalitions jockey for
power to secure scarce resources. Dependency power explains that individuals or groups who
have control of key products and services make others dependent upon them. Those from the
rational-structural school believe that power resides in legitimate authority, while others suggest
that even those in authority are relatively powerless because their actions are invariably limited
by others.
V. The Role of Culture in Public Policymaking: Organizational cultures are about the
norms, values, symbolic behaviors, artifacts, and other tangible and intangible things that exert
influence upon a group and link it to its environment. a. Impacts of the External
Environment: In a diverse land like America, local and regional cultures impact in different
ways on the culture of public organizations. In this way, organizational culture reflects the
overall values of society. b. Impacts of the Internal Environment: The internal culture of an
organization is transmitted by socialization or enculturation processes. The professional
socialization of organizational membership helps maintain and enforce the organizational
culture. The conscious use of symbolic management, through dramaturgy, rituals, and emblems,
preserves or develops the kind of culture that organizational leaders find desirable.
Individual Exercise
Think Piece
“The American Democratic Republic”
Explain the meaning of the “democratic republic” as we know it in the United States of
America. Go to the library and search out why the Founding Fathers chose this form of
government. How does the constitution guarantee checks and balances between the
branches of government—executive, legislative, and judiciary? Do you agree with Thomas
Jefferson that given the nature of judicial review, the Constitution is ultimately what the
judges of the Supreme Court say it is, and thus is “a mere thing of wax in the hands of the
judiciary, which they may twist and shape into any form they please.”
AFFIRMATIVE ACTION IN EMPLOYMENT
To remind students of issues covered so far in the textbook Public Administration, by Shafritz
and Russell, use a current example from world affairs to discuss the pertinent issues. We
suggest using the issue of California’s Proposition 209 as a springboard for discussion of a
public policy.
Californians passed Proposition 209 to end affirmative action in 1997. Subsequently, in fall
1997, the Supreme Court upheld the legality of Proposition 209. These actions have potential
ramifications
for other states that struggle with affirmative action statutes, case laws, regulations, and other
public policies.
Discussion Issues
1. Pluralism and multiculturalism in our society and increasing diversity due to
globalization of work.
2. Voices of special interests in America.
3. Expressions of dissent from those who have suffered “reverse discrimination.”
4. Elite interests versus minority interests.
5. Compensatory justice for underprivileged groups.
6. The meaning of a “color-blind” society.
FORCE FIELD EXERCISES—POWER AND CULTURAL FORCES

(Designed for Individual Players)
1. POWER INFLUENCES ON PUBLIC ADMINISTRATION:
Draw a circle representing a public organization—for example, the Environmental Protection

Agency (EPA), federal government level; or the State Department of Transportation, state
government level; or the County Jail, local government level. [Class or Instructor chooses one.]
Draw power forces from fields that impact on this agency as follows:
a. Straight line arrows for negative power influences.
b. Dotted line arrows for positive power influences.
c. Explain your model.
2. CULTURAL INFLUENCES ON PUBLIC ADMINISTRATION:
Draw a circle representing a military organization such as the army, navy, air force, marines; or
a paramilitary organization such as the police, jail security guards, or coast guard. [Class or
Instructor chooses one.]
a. What sort of organizational culture is your chosen organization likely to have?
b. Describe what symbols, artifacts, and emblems reinforce the culture of this organization.
c. What, if any, is the local, state, or regional impact on this organization’s culture?
CHAPTER THREE: THE CONTINUOUS REINVENTING OF THE
MACHINERY OF GOVERNMENT
LEARNING OBJECTIVES
l. Understand the concept of reinventing the machinery of government.
2. Understand the administrative structure of the federal government, in particular the

executive branch machinery.
a. Executive Office Agencies
b. Executive Departments
c. Independent Public Bodies
3. Understand the administrative structure of state and local government, in particular:

a. State Government
b. County Government
c. Municipal Government
d. Towns and Special Districts
4. Understand the major government reform movements in this century, in particular the
implications of:
a. The Brownlow Committee
b. The Hoover Commissions
c. The Ash Council
d. The Grace Commission
e. The Reinventing Government Movement
f. The Gore Report
g . Reinventors versus Micromanagers
5. Define key items listed at the bottom of the pages and at the end of the chapter.
6. Write critical essays on topics covered in the chapter.
SUGGESTED LECTURE
LECTURE THREE
I. The Machinery of Government refers to all of the structural arrangements that allow
government to function at the federal, state, and local levels. In time, after a process of internal
evaluation, and, more often, after suggestions or demands from their external environment, all
organizations come to realize that deficiencies and errors exist within their systems. They may
then undertake the process of reorganization or reinvention of government. The first such
reinvention was the Constitutional Convention of 1787, but the actual phrase entered our lexicon
around the time of the first Clinton presidential campaign in the early 1990s and the publication
of Reinventing Government by Osborne and Gaebler (1992). Government is in a constant state
of fine-tuning its machinery. Each time the government makes new public policy or amends an
old one, government must put into place new machinery to implement it. On a less frequent
basis, government may also retire outdated machinery.
II. The Administrative Machinery of Government: The U.S. Constitution structures the
political, economic, and social lives of the people, and so, appropriately, it begins with the
opening phrase, “We the people.” This puts the decision-making control into the hands of the
citizens. The Constitution assigns powers to various branches of government and establishes a
system of checks and balances.
III. Executive Branch Machinery: The most complex machinery of public administration
resides in the executive branch, which contains a variety of organizational categories: a. The
Executive Office of the President (EOP) is a collective term that includes the top presidential
staff agencies, which provide advice to the president in a variety of administrative areas and on
issues of significant national priority. b. Executive Departments: The president’s cabinet is a
collective phrase for a group of 14 executive departments that advise the president. c.
Independent Public Bodies: There are two entities here: First there are government
corporations, such as the U.S. Postal Service; second, there are regulatory commissions set up
by Congress to regulate some aspect of the U.S. economy, such as the Securities and Exchange
Commission. The administrators of these bodies are appointed by the president and confirmed
by the Senate. Some regulatory functions are also provided by traditional cabinet departments.
IV. State and Local Government Machinery: State and local governments parallel the
national model. The Tenth Amendment to the Constitution provides that powers not delegated
to the federal government by the Constitution, nor prohibited by it to the states, are reserved to
the states respectively or to the people. The Constitution does not specifically mention local
governments. Hence, their powers are derived from state law. Dillon’s rule outlines criteria
developed by state courts to determine the nature and extent of powers granted to local
governments. State government: The elected chief executive of the state is the governor,
assisted by agencies and individuals similar to the federal model. Local government is a broad
term that includes a hierarchy of levels: county government, municipal (or city) government,
towns, and special districts.
V. Reforming the National Machinery of Government: The twentieth century witnessed a
number of major reform committees and commissions that scrutinized government machinery.
a. The Brownlow Committee: Government grew rapidly and haphazardly during the New
Deal. To help the president manage his assignments, the Brownlow Committee substantially
increased the size of the presidential staff in 1936. b. The Hoover Commissions were set up
following World War II in an attempt to reorganize the federal government. c. The Ash
Council: During President Nixon’s term of office, this council called for a major restructuring
of cabinet agencies. d. The President’s Private Sector Survey on Cost Control (PPSSCC)
(the Grace Commission): Undertaken during the Reagan administration, this commission
produced a report which was too detailed and not very useful.
VI. Reinventing Government: By 1980, the tax revolt movement in 38 states forced the
government to reduce or stabilize tax rates. Then the Reagan revolution came along, with its
slogan “government is the problem.” The deficiencies apparent in government were taken up
again in the 1990s with the “reinventing government” movement and its reports, such as the
National Performance Review (the Gore Report), that spoke to the mushrooming national debt,
the enormous waste in government, the diminishing of public trust, and a variety of ills.
VII. Micromanagers—A Consequence of Government Reform: A variety of other

executive branch reforms that tinkered with the machinery of government took place besides the
ones mentioned above. The combined effect of these laws was to unleash a mob of
micromanagers in government. Nowhere is this more prevalent than in Congress, where
members spend inordinate amounts of time micromanaging issues that make them look good to
their constituents rather than focusing on public policymaking.
Group Exercise
Think Piece
“The Role of Government in the Twenty-first Century”
Divide the class into two groups. Group 1 is the “Invisible Hand of Government” Group.
This group will argue for a lesser role for government in the twenty-first century. Group
2, “Visible Hand of Government” will argue that government appropriately has a much
broader role to play in the lives of its citizens in the twenty-first century.
Class Exercise
You are a senior analyst in the firm of Quick and Devoe Associates, a management consulting
firm in Cannonsville, California. Cannonsville is basically a university town with the large
Cannonsville University as its core enterprise—an organization that has special expertise in
veterinary medicine and in the management and biological sciences.
Your assignment concerns the local Cannonsville City Zoo. This is a local government entity
that has been having difficulty for several years. It has already been determined by a preliminary
study that if the zoo management could be turned around, the facility could be made profitable
because of its strategic location, which is close to several major metropolitan areas in southern
California, its spectacular scenic vistas, and its unique population of tropical animals.
PROBLEMS
- low revenues due to lack of visitor interest, development funding, and other funding
options—retail sales, special programs, and exploration of government grant monies
- high expenses in the areas of animal diets, horticulture, and grounds management
- a seasonal employment workforce made up of part-timers who are difficult to manage
- animal health problems
- interference by political elites in government who use the zoo for political purposes and
for patronage appointments
GOALS
The zoo needs to be updated in terms of its three strategic goals:
- Recreation
- Conservation
- Education
You have been asked to look at several options for “reinventing” the zoo. Should it be
privatized? Should it become a non-profit entity? Could it remain a public entity, with some
functions outsourced to private vendors? The analysis is up to you. Based on the readings in
Chapter 3, what would you suggest? Back up your recommendations with strong arguments.
Provide a one or two page executive summary of your recommendations.
CHAPTER FOUR: INTERGOVERNMENTAL RELATIONS
LEARNING OBJECTIVES
1. Understand the evolution of the U.S. federal system of government.
2. Comprehend the dynamic structure of U.S. intergovernmental relations:

a. Dual Federalism
b. Cooperative Federalism
c. Creative Federalism
d. New Federalism
e. New New Federalism
3. Make connections to the various types of intergovernmental management:

a. Picket Fence Federalism
b. Councils of Government (COGs)
c. Costs of Compliance
4. Discern the many ways in which fiscal federalism works.
5. Know what the “devolution revolution” means and how it came about.
7. Write critical essays on topics covered in the chapter.
SUGGESTED LECTURE
LECTURE FOUR
I. The Evolution of the U.S. Federal System: The United States was originally a loose
confederation of independent states that delegated powers on selected issues to a central
government. By its very nature, this kind of central government is inherently weak and has few
independent powers. The Constitutional Convention of 1787 was assembled to address the
inadequacies of the system. In 1789 the United States provided itself with a Constitution which
has been continuously in force since then. A true federal system, such as ours, is one that has a
written constitution that divides government between the central government and constituent
subnational governments,
assigning powers to each. Such powers cannot be changed unilaterally or by ordinary processes
of legislation. Today we see three main categories of governments around the world: 1) Unitary
governments, such as the United Kingdom, 2) Federal governments, such as ours, and 3)
Confederations, such as the European Community, a commonwealth of sovereign states. There
are advantages and disadvantages to each.
II. The Dynamic Structure of Intergovernmental Relations: Intergovernmental relations

are like a marble cake, with the levels of government intermingled within each other. The
relationships have evolved over the years via various understandings of the term “federalism.” a.
Dual Federalism: this configuration no longer exists; however, in the last century, branches of
government could, and did, pretend that they were functionally separate and working
independently, but not against each other. b. Cooperative Federalism: As its name suggests,
this is a more collaborative relationship between federal and state governments. Cooperative
federalism also has an interstate dimension, as participatory programs were undertaken among
several states and the federal government—such as prisoner extraditions, parks and wildlife
activities, etc. c. Creative Federalism: This came about in President Johnson’s vision for the
Great Society of integrating the poor into mainstream America through programs such as Head
Start, whereby the federal government gave direct grants to local governments, bypassing the
state entirely. However, the notion that all wisdom rested at the federal level angered many
states. d. New Federalism: President Nixon attempted to return autonomy to the states that was
taken away in prior eras. Yet at the same time, President Nixon hoped to retain a strong national
government. e. New New Federalism was about revenue-sharing—to arrest the rising fiscal
burdens of many state and local governments, to help offset the fiscal imbalances between states,
and to use the accumulated budget surpluses. When budgets became tighter and deficits
increased, the policy was curtailed. Because of this curtailment of federal funding, the
subnational governments had no choice but to cut back and to simultaneously try their hands at
new ways to cut budgets, enhance, or save money by privatization, outsourcing, etc. The
reinventing government movement stems from this. In 1994 the “Republican Revolution” came
along with yet another spin on the notion that Washington ought to do less and states ought to do
more—a concept called devolution.
III. Intergovernmental Management: There are various concepts that illustrate

intergovernmental management. a. Picket Fence Federalism: Bureaucratic specialists represent
the horizontal pickets in the picket fence metaphor. They operate all along the federal, state, and
local levels and they interact constantly with each other on occupational levels. They are thus
more in touch and accord with each other than with their bosses, who are the elected officials—
such as the president, governors, and mayors---who represent the vertical slats of the picket fence.
b. Councils of Government (COGs): Any multi-jurisdictional arrangements across governments
to provide for transportation, water, etc., that affect a region as a whole are called COGs.
Sometimes the COGs amount to special districts with their own taxing authorities. Mandates
from higher levels of government to lower levels of government, linked to grant monies, are
often an impediment to smooth intergovernmental relations because they usually express
restrictions of authority to states. c. Cost of Compliance: Complying with the mandates of
higher levels of governments and other micromanagers can be costly. To address this issue
Congress passed the Unfunded Mandate Reform Act of 1995, which declares that any future bill
might be out of order if it imposes a financial mandate of more than $50 million on any one state
or local government.
IV. Fiscal Federalism: Following the money: In the beginning of our federal system, states
tended to have more autonomy due to geographic distances between them and the center. The
picture changed with advancements in technology and industry that overcame such difficulties.
The scene changed again due to program increases during the New Deal and with social laws of
the 1960s, such as the Civil Rights Act of 1964. These laws and programs had mandates that had
to be uniformly applied across the nation (busing, welfare, etc.). One way to make the new
programs palatable to recalcitrant states and local governments was to provide grants-in-aid to the
programs, with strings attached. In the past, most of the grants were categorical, but since the
Nixon administration, multi-category grants, called block grants, have become popular. This
allowed the states and local governments more discretion on how the money would be spent, and
it was an attempt to give back to the states their appropriate statuses of governments in their own
right.
V. The Devolution Revolution: In 1994, Republican governors held a convention at

Williamsburg, Virginia, to call for return of power from the federal government to the states in a
document known as the “Williamsburg Resolve.” It passed by an overwhelming majority.
Across the nation, however, many saw the “resolve” as somewhat hypocritical. It appeared that
the Republican governors were saying that they wanted federal money without federal mandates!
Many states could not have been settled with their present density without immense expenditures
by the federal government on water and engineering. a. The Public Choice Solution: Public
choice theory rejects the welfare economics that arose out of the New Deal. It questions whether
such federal intervention really is the intent of the citizens. Its exponents feel that governmental
action and expenditures should be placed at the lowest level of government because at that level
more experimentation, competition, and innovation can be achieved. Citizens are better able to
compare their taxation to the level of service provided and then vote out irresponsible
governments. Public choice advocates want to increase the discretion of the individual voter and
maximize “user pays systems” (fees for services). b. Race to the Bottom: The ultimate
devolution objective is to privatize goods and services. However, who is to make up the gap that
inevitably exists when private enterprise cannot or will not provide goods and services to certain
segments of our society? In such a climate of devolution, it is evident that many state and local
governments, depending on the power-elite structure and available resources, have gradually
diminished services to their own people, or may have denied services to people not from the state,
creating a whole new range of intergovernmental problems.
A Team Exercise
Read pages 159–163 in Chapter 4 of your textbook.
GROUP 1: The Thesis

“Less is More!
Washington must do less! States should do more!”
A group of lieutenant governors of midwestern and western states have come together at the
Sheraton Hotel in Scottsdale, Arizona, to formulate the “Publius Resolve.” The resolve is about
returning power from the federal government to the states. Among other things, they say they are
tired of going to Washington “to kiss the ring.” They claim that they are not often treated as
governments in their own rights. They resent Washington bypassing them in dealing with local
governments, especially when providing grant monies.
GROUP 2: The Antithesis
“The United States is a Republic”1

A number of states and special interest groups disagree with this position and have asked for a
debate to precede the actual meetings. This was approved by the “Publius” group. Thus, another
group of lieutenant governors from opposing states and leaders of public interest groups have
arrived to present the opposing view. They say that many of the very states that want more
autonomy were beneficiaries of the federal system. They just want money without strings
attached and, hence, are really the “Welfare Queens” of the federal system. Public interest
groups argue that if it is to be left up to the states to determine certain social policies, then the
power-elites in the system will gobble up even more of the benefits. Who, they ask, will protect
the rights of the poor and disadvantaged if the federal government is taken out of the picture?
1) Divide into two teams. 2) Take the thesis and antithesis positions. 3) Elect a speaker. 4) Elect
a note-taker. 5) Caucus for about 12–15 minutes. 5) Each side presents for 5 minutes. 6) There
is a 2-minute rebuttal time between presentations. 7) Sum up for 3 minutes.
1See page 137 in the textbook on why today "the United States" is a singular noun.
CHAPTER FIVE: THE EVOLUTION OF MANAGEMENT AND
ORGANIZATION THEORY
LEARNING OBJECTIVES
After reading Chapter 5, the student should be able to:
1. Understand the origins of public management:

a. The Military Heritage of Public Administration
b. The Continuing Influence of Ancient Rome
2. Comprehend the significance of administrative doctrine.
3. Understand the evolutionary nature of organization theory:

a. Classical Organization Theory
(1) Scientific Management
(2) Henri Fayol’s General Theory of Management
b. The Period of Orthodoxy
c. Theories of Bureaucracy
d. Neoclassical Organization Theory
e. “Modern” Structural Organization Theory
f. Systems Theory
SUGGESTED LECTURE
LECTURE FIVE
I. Early Influences upon Public Administration: The Roman military had the earliest and
most pervasive impact on public administration. Today, the lexicon of public administration
employs many words, phrases, and symbols reminiscent of this heritage. Regular pay and
pensions, concepts of loyalty to the legion, livery, and pride in the profession kept the military
motivated and disciplined. The Roman state government was a depersonalized entity—not owned
by any monarch. It was divided into units of command in a centralized hierarchical structure. Tax
money kept the army strong.
II. The Significance of Administrative Doctrine: The management principles from the
military relied on span of control and unity of command. This kind of authoritarian governance
demands order, precision, and obedience. A core set of principles promotes goal achievement,
coordinated actions, morale, loyalty, and staying power in public administration. However, the
administrative policies generally also permit flexibility and growth. Thus, administrative
doctrines are models that are constantly evolving. The “principles” approach to management is
important because it sought to make an art as well as a science of administration. It also sought to
show that management was a skill that could be taught.
III. The Evolutionary Nature of Organization Theory: We have seen many theories of
organizations live and die, as well as be changed and modified. The major groupings are: a.
Classical Organization Theory: While organization theory began with the authoritarian model
offered by the military, it came into its own during the industrial revolution when workers had
few “rights,” which explains why its tenets seem harsh. Adam Smith—the father of the discipline
of economics—was the first to set forth guiding principles for division and specialization of
labor. 1) Scientific Management: As the organization function became more complex, industrial
engineers sought the best way to keep people working while trying to come up with more
scientific designs of work. Frederick Taylor’s “scientific management,” with its time-and-motion
studies, had its genesis in such thinking. 2) Henri Fayol’s General Theory of Management was
a theory that he believed applied to all organizations: production of goods and services,
commerce, finance, security, accounting, managerial coordination and control, equity, scalar
chains, and esprit de corps. b. The Period of Orthodoxy: At the time of the New Deal, it was
finally understood that decisions in public policy and administration were blatantly political in
tone. The second tenet of the orthodoxy movement was a return look at the principles of
management approach. Luther Gulick’s famous POSDCORB—planning, organizing, staffing,
directing, coordinating, reporting, and budgeting—held center stage and harkened back to
Taylor’s “one best way” of management. c. Theories of Bureaucracy: “Bureaucracy” has
multiple meanings—from public offices and public officials to red tape and waste. Max Weber's
bureaucracy described an “ideal type” of bureaucracy—rational, classical, conservative. It
included the Protestant work ethic, the need for a charismatic leader, and a value-free approach to
social research. d. Neoclassical Organization Theory was a later variation of the classical
rational-structural form. Its exponents sought to modify the mechanistic, oversimplistic views of
the classical school. Herbert A. Simon was the first to challenge the rational-structural approach
with his “bounded rationality” theory; he argued that human beings have cognitive limits on
rationality and, furthermore, the decision-making environment can never include all information
in a comprehensive way. Also at this time, from Philip Selznick and sociological research, we
learned that organizations did not exist like islands isolated from their environments. e.
“Modern” Structural Organization Theory: Thomas Burns and G. M. Stalker identified two
organizational types: “mechanistic systems” (reminiscent of the “one best way,” useful in stable
conditions) and organic systems (more evolutionary, like biological organisms, useful in more
dynamic conditions). f. Systems Theory: Systems thinking is important to organizational theory
because the whole world is made up of interrelated organic and dynamic systems. James Gleick
made his famous observation of this in “the Butterfly Effect,” i.e., the fluttering of a butterfly’s
wings in Tokyo may influence the New York stock market because systems theory views
organizations as constantly acting and reacting to their internal and external environments. Thus
with decision making, unexpected and unanticipated outcomes may occur throughout the system.
Norbert Wiener argued that organizations strive to maintain a state of dynamic equilibrium
through a process of adaptation. Wiener explained that organizations self-regulate and adapt to
survive. “The learning organization” was a concept developed by Peter Senge, who sought to
destroy the illusion that the world is compartmentalized, separate, and made up of unrelated
forces. His “learning organization” is about how organizations as organic entities adapt and learn
and survive by making better and better adjustments.
Class Exercise
THE LARGE CONSEQUENCES OF SMALL COURSES
1) “For the want of a nail the shoe was lost,

For the want of a shoe the horse was lost,
For the want of a horse the rider was lost,
For the want of a rider the battle was lost,
For the want of a battle the kingdom was lost,
And all for the want of a horseshoe-nail.”
Benjamin Franklin
Poor Richard's Almanac, 1758
2) The Butterfly Effect

James Gleick
Chaos: Making a New Science, 1987
Using Benjamin Franklin’s well-known poem (above) and Gleick’s concept of the Butterfly
Effect explain:
1. The basic tenets of systems organization theory.
2. The modern organization as an “organic” system.
3. How does technology have a systems impact on the modern organization?
4. How does a more educated workforce have a systems impact on the modern
organization?
5. How can leadership affect “dynamic equilibrium” in the organizational system?

CHAPTER SIX: ORGANIZATIONAL BEHAVIOR
LEARNING OBJECTIVES
1. Understand the meaning of organizational behavior and, in particular:

a. Group Dynamics
b. Groupthink
c. Formal and Informal Groups
2. Recognize the concept of organizational development.
3. Comprehend the relationship between human personality and organizations.
4. Grasp the impact of bureaucratic structure on organizational behavior, in particular:

a. Bureaucratic Dysfunctionality
b. Bureaucratic Impersonality
c. Bureaucrat Bashing
5. Learn the prevailing theories of motivation, in particular:

a. The Hawthorne Experiments
b. The Needs Hierarchy
c. The Motivation-Hygiene Theory
d. McGregor’s Theory X and Theory Y
6. Understand the future of organizations, in particular:

a. The Postbureaucratic Organization
b. Postmodernism
c. The Feminization of the Workplace

SUGGESTED LECTURE
LECTURE SIX
I. Organizational Behavior: Hugo Münsterberg pioneered the application of psychological

findings from laboratory experiments to organizational behavior with the goal of matching
employees’ abilities to job tasks, and to understand the impact of psychological conditions on
productivity. In the 1960s a more humanistic form of thinking came into vogue, in which it was
believed that organizational growth and development would flow from employee creativity and
prosperity, and organizational discourse moved from organizational-centered to employee-
centered management. Along with this came new understandings of organizational behavior. a.
Group dynamics is a subfield of organizational behavior concerned with how groups in
organizations have a set of norms and values that cause individuals to behave in certain ways,
which makes for group cohesion. b. Groupthink: Strict adherence to group norms makes for
overconformity and rigidity and can lead to groupthink, which is a special type of group
dynamics defined by Irving Janis as a dysfunction that is detrimental to organizational decision
making. Alex Osborn suggested the process of brainstorming as a useful antidote to this
dysfunction because it protects creative thinking from groupthink. c. Formal and Informal
Groups: Within all organizations, there are formal and informal groups. Command groups are
the supervisors and those who report directly to them; task groups are those that come together to
perform specific tasks; informal groups are those who associate voluntarily with each other for
social needs.
II. Organizational Development (O.D.) is about planned organizational adaptation and

change geared toward increasing organizational effectiveness. O.D. involves deep change, not
superficial modifications. It has its origins in the Hawthorne studies and in organizational
behavior-centered change processes that came out of the sensitivity training of Kurt Lewin and
his associates, which attempted to focus on interpersonal communication, survey research
methodology, and feedback.
III. The Impact of Personality: In his book Personality and Organizations 1957, Chris
Argyris suggested that there was an inherent conflict between the personalities of mature adults
and needs of the organization, and that organizations tended to treat employees like children—
most often seen in the classical, structural form of organizations—which leads to ineffectiveness.
IV. Impact of Bureaucratic Structure on Behavior: Each organization has a unique

structure that defines how labor and technology will be used. The structures of a large
bureaucracy are conservative and slow to change and to match the organization to changing social
conditions and needs. However, no bureaucracy in a democratic government can do anything
that is not provided for in its enabling legislation. a. Bureaucratic Dysfunctionality is
something very common in our everyday lives. Bureaucratic structure stresses depersonalized
relationships and power and authority gained by virtue of organizational position, not innovative
thought or action. Victor Thompson calls this type of employee a “bureaupath.” b. Bureaucratic
Impersonality: Max Weber acknowledged that dehumanization was part of the ideal-type
bureaucracy, and by that he meant elimination of all personal traits from official business. c.
Bureaucrat Bashing became more fashionable than ever under President Ronald Reagan, who
was elected to two terms in office on his stand against bureaucracy. President Clinton pledged to
clean up the bureaucracy. Under both these leaders, public administration positions were lost in
the federal government.
V. Motivation: Various theories of motivation have developed over time: a. The

Hawthorne Experiments: These were experiments at the Hawthorne Works of Western Electric
Company, Chicago. The results of the experiments revealed that work situations are first of all
social situations; that workers are motivated by peer pressure, the attention paid to them by
significant elites, and other complex sets of factors beyond remuneration. b. The Needs
Hierarchy: In an important but controversial work, “A Theory of Human Motivation,” Abraham
Maslow asserted that a person’s needs are not all equal but ascend in a hierarchy. At the bottom
are survival needs while at the top are self-actualization needs. Once lower needs are satisfied,
they no longer motivate. Others built upon Maslow’s ideas. c. The Motivation-Hygiene
Theory: Frederick Herzberg argued that job content factors such as achievement, advancement,
and responsibility are motivators because they lead to growth and self-actualization; the
environmental context of jobs such as working conditions, interpersonal relations, and salary
serve as hygiene factors because they prevent unpleasantness. d. Theory X and Theory Y: In
his classic work The Human Side of Enterprise, Douglas McGregor set out his famous X and Y
theories of opposite organizational styles. Managers holding a Theory X vision of their workers
tend to be authoritarian, old-style leaders with a belief that people are lazy, irresponsible, and
must be coerced to work. In contrast, Theory Y has a belief in the intrinsic good of human beings
—that it is natural for people to work hard and creatively if organizational goals are clear and if
there is meaning in work.
VI. The Future of Organizations: a. The Postbureaucratic Organization: Dwight Waldo

in 1952 prophesied about a “postbureaucratic” organization. His view was taken up by Warren
Bennis who argued about the “end of bureaucracy,” predicting accurately that rapidly changing,
adaptive organizational systems would take its place. Alvin Toffler, in Future Shock (1970),
argued that future shock is the human response to the overstimulation of modern workplaces.
However, the demise and burial of bureaucracy is greatly exaggerated and premature.
Bureaucracy still has many virtues, and perhaps in the end these are best placed within
bureaucratic structures and systems and not eliminated entirely. Many new organizational
theorists and policymakers—Elliot Jaques, Michael Barzelay, and Leon Panetta—have argued by
word and action in favor of this modified bureaucracy. b. Postmodernism: Shoshana Zuboff
describes in her book The Age of the Smart Machine her observations of workers isolated from
each other, talking to machines and staring into computer screens in a dehumanized workplace.
Thus a sense of work community is lost. William Bergquist suggested that the postmodern
organization, while professing to be open and adaptive, is in reality reverting to the age-old
premise that people are rational and value-free and that they behave in fixed ways. c. The
Feminization of the Workforce: Women constitute a larger percentage of the workforce today
due to increased education of women in colleges and universities. Thus a feminist perspective on
public administration is deemed essential in viewing organizational behavior.
Class Exercise
BUREAUCRACY
The authors have cleverly captured key aspects of bureaucratic dysfunction in this caricature of the
concept of bureaucracy from Gilbert and Sullivan's H.M.S. Pinafore.
See page 230, textbook.

Play tape recording of this music. Have students follow from the text.
Break up into teams of two.
What concepts have you learned so far about bureaucracy, pathologies in organizations, and
political dysfunctions that relate to this amusing song? List at least five, and more if you wish.
CHAPTER SEVEN: MANAGERIALISM AND PERFORMANCE MANAGEMENT
LEARNING OBJECTIVES
1. Define the concept of “managerialism” as a new public administration doctrine.
2. Understand the notion of reengineering as radical organizational reform.
3. Learn about the concept of empowerment as it relates to the managerialist doctrine.
4. Comprehend the meaning of entrepreneurialism in the public sector.
5. Discern the meaning of performance management, in particular:

a. The Politics of Performance Management
b. Management Control
6. Relate to the issue of contracting for performance in the following areas:

a. Individual and Organizational Contracts
b. The Purchaser-Provider Model
7. Understand the notion of productivity improvement in the public sector with particular
attention to the following areas:
a. Productivity Measurement
b. Barriers to Productivity Improvement
c. Total Quality Management
d. Pleasing the Customer
9. Write short critical essays on the major issues covered in the chapter.
SUGGESTED LECTURE
LECTURE SEVEN
I. Managerialism: In the 1980s and 1990s a new paradigm of public administration emerged
within the “reinventing government” movement—the theory of managerialism. Managerialism, or
entrepreneurial management, as a concept originated with the recognition by scholars and theorists
that society was moving to a type of work community in which leaders of the system were seen to
be unleashing their creative abilities to develop and transform organizations. It signals a
movement away from participative and employee-centered management. In the 1980s this was the
prevailing public sector doctrine. In harsher terms, managerialism is seen by many as a more
romantic version of the paternalism encountered in the scientific management days. Managers
continue to be comfortable with authoritarian structures and styles, with a constant search for the
“one best way” to widen the organization’s market niche. Those in senior management are
expected to be policy revolutionaries or entrepreneurs who forcefully develop, argue for, and sell
new and often creative solutions to vexing public problems. In today’s lexicon, these solutions are
called reengineering, empowerment, and entrepreneurialism.
II. Reengineering: This is more radical and sophisticated, and it employs greater use of the
technological and behavioral sciences to achieve its objectives than simple reorganization.
Reengineering in public administration is about reinventing outworn government machinery in
such areas as cost, quality, service, and speed.
III. Empowerment: One way of doing this is by the self-directed work team concept. The
idea is that work groups will take on the responsibility for their work processes and products, as
well as responsibility for the work of individual group members. Self-directed work teams
“download” duties to a lower level, and thus release managerial expertise to the level above. This
gives executives time to engage in strategic planning and mid-managers time to engage in
coaching, championing innovative ideas, and working with vendors and customers.
IV. Entrepreneurialism: This aspect of organizational change calls for transformational,

catalytic, and charismatic leadership. Entrepreneurial vision should not be limited to the topmost
rungs of strategic management, but should influence all levels of management. Managerialism’s
flaw for public sector bureaucracies lies in its premise that, given transformational leadership, the
organization will be whipped into shape in no time. The managerialist view has been grasped by a
public weary of higher taxes and poor services. The citizenry have come to believe (often
erroneously) that a public administration based on private sector principles will work better.
However, the political context of public administration always creates complications for the
bureaucracy.
V. Performance Management: A key feature of performance management is strategically

integrating all aspects of the enterprise with a view toward performance outcomes. a. The Politics
of Performance Management: Planning in the public sector, as noted before, is never rational or
straightforward because of the political process, informational constraints, and other factors. b.
Management Control: Control systems monitor how well the organization is responding to or
deviating from its goals. Organizational goals can, and do, get lost as organizational members—
especially leaders—modify organizational goals to suit personal goals. Thus, systematic
integration of performance via control systems is seen as helpful in avoiding goal displacement
(Robert Merton) and in assisting managers to keep the organization in dynamic equilibrium
(Chester Barnard).
VI. Contracting for Performance: a. Individual and Organizational Contracts: Today,

in addition to roles and responsibilities, the terms and conditions of hire and retention often
contain language about the goals and targets of the job with rewards and sanctions attached. b.
The Purchaser-Provider Model: The relationship between the government, as sole buyer or
purchaser of a good or service, and its providers is structured in the purchaser-provider model. In
that structure there are desired outcomes based on goals and objectives of the purchaser.
VII. Productivity Improvement: a. Productivity Measurement: Productivity in the public

sector is a perennial concern of citizens, the bureaucracy, and lawmakers. Productivity is
measured by the relationship between quantity and quality of outcomes minus the quantity of
resources used to produce the goods or service. b. Barriers to Productivity Improvement:
Productivity improvement is much easier talked about than done in the public sector. If the
organization lends itself to factory-like operations, one can undertake measurements of
productivity. However, service workers such as police officers, school teachers, etc., provide
tangible as well as intangible outputs, which are not easily measured even by broad social
indicators. c. Total Quality Management: TQM became a buzzword in the 1990s. It was the
brainchild of W. Edwards Deming, who used statistical quality control measures to achieve TQM.
Deming believed that the key to quality was that management needed to create the kind of
organizational culture that was receptive to the quality concept. d. Pleasing the Customer:
Pleasing the customer has been a government focus in the 1980s and 1990s—at least in word if not
actually in deed. This perspective arises directly out of TQM, the managerialist movement, and
the “reinventing government” theory.
Class Exercise
This exercise is designed to make you think creatively and radically as an organizational leader---in
the
managerialist, reengineering, and entrepreneurial spirit that you have been introduced to in Chapter 7,
“Managerialism and Performance Management.”
INSTRUCTIONS
You are a senior manager in the Pennsylvania Department of Transportation who has just
completed
a management training course that emphasizes reengineering and entrepreneurialism. You are
prepared
to think creatively and innovatively. Now you are being asked by the Committee on State
Highways
in the legislature to come up with a plan to connect nine key transportation points in the state with a
highway system. They give you the following instructions:
1. Using only four sections of highway, connect all nine points.

2. Use only straight lines, no curves.
3. You must begin at the point where the last section stopped.
4. Do not retrace your steps.
Think entrepreneurially to solve this puzzle!
* * *
WHITE HILLS STATLER MARY'S POINT
* * *
GROVE CITY OAKMONT READING
* * *
RIVERSIDE CLEARVIEW BROWN BLUFFS
Adapted from Ralph E. Strauch, “A Critical Look at Quantitative Methodology,” Policy Analysis,
vol.
II, 1976: pages 121–144.
CHAPTER EIGHT: STRATEGIC MANAGEMENT IN THE PUBLIC SECTOR
LEARNING OBJECTIVES
1. Understand the concept of strategic management as it applies to the public sector, with
particular respect to:
a. Strategic Management and Planning
b. Matching Agency Capabilities and Agency Requirements
2. Learn about Management by Objectives (MBO).
3. Discern the future challenges for strategic management in the public sector.
4. Learn to perform a SWOT analysis on a given public agency.
SUGGESTED LECTURE
LECTURE EIGHT
I. Strategic Management: We derive the concept of the art of generalship, viz., strategic
management, from its military heritage. Strategic management is about the management of
resources to attain the goal in its entirety. Tactics, a word also derived from the military, is about
gaining a part of the goal—or the objective. In administration, the concepts of strategy and tactics
involve the selection of philosophies, policies, and practices to achieve efficiency and
effectiveness. a. Strategic Management and Planning: Public management has been slower
than the private sector in embracing the strategic management and planning concept. Today,
however, it is seen as imperative that a public organization have strategic intent to proactively
shape the future for the organization the way that private corporations do, rather than merely
reacting to events. Private corporations do strategic planning all the time, to specify long- and
short-term horizons. Because of the inherently political nature of public administration, however,
short-term thinking is often more the case. Public budgeting procedures, due to their annual
nature, also contribute to short, yearly cycles. The annual
budget submission often gives opportunities for posturing, patronage, and politicizing. However,
long-term planning is not impossible in the public sector. Many public projects, like space
science, defense, etc., require long-term planning horizons and enormous capital investment,
which is most appropriately done by government. Long-term planning is often done at the
federal level and can draw national attention to a cause. However, sometimes little is achieved
and planning efforts are merely a goal in themselves, undertaken to give exposure to political
elites. Planning is “messy” in more wealthy democratic governments where competing interests
must be accommodated. In his 1959 article “The Science of Muddling Through,” Charles E.
Lindblom argued that incremental decision making was more achievable in the messy, complex,
disorderly, ill-structured world of politics, where completely rational decision making is never
possible. All strategic management plans have essentially the same components: identification of
goals and objectives; adoption of a time frame for achievement; systematic analysis of current
circumstances and capabilities; looking at the overall organizational environment; selection of a
strategy by comparing various alternatives; the integration of organizational efforts around this
strategy; and evaluation. b. Matching Agency Capabilities and Agency Environments: When
the environment is stable, a more custodial, authoritarian strategy might suffice, but when the
organization is turbulent, a more risk-taking entrepreneurial capability is required. When a
mismatch exists between environment and capability, management must take action to match its
technological and human resources to what is required. An organizational tool to identify the
strengths and weaknesses of an organization, as well as potential opportunities and threats, is the
SWOT analysis. This is a technique widely employed by organizations to provide another test of
strategic viability. It uses interactive brainstorming techniques. Attention to strengths and
weaknesses highlights capability. Opportunities and threats turn attention to the opportunistic as
well as the predatory aspects of an organization’s survival. An assessment of an organization’s
present and future environment is a critical aspect of strategic management planning. Demand
forecasting is used to determine the likely population growth and consumer behavior of the
region. Futures analysis is another form of analysis used in the 1980s.
II. Management by Objectives (MBO): Management focus on goals and objectives was
pioneered by Peter Drucker in 1954 with the publication of The Practice of Management. Many
other books on MBO followed, each with the basic premise that measurable goals have to be
established and accomplished by both membership and leadership of the organization to be
realized over a period of time. Part of strategic management responsibility is providing a broad
statement of philosophy in public organizations in its mission statement, which is set forth in
terms of the ideal. A statement of goals is more specific, and the list of objectives is about means
to get to the goals, sometimes referred to as targets.
III. Strategic Management Future Challenges: Strategic management in the public sector
has evolved from its traditional functional management focus to one which now looks toward
measurable objectives. As it relates to government, the term “strategic management” refers to a
statement of goals that can be translated into a statement of specific targets or objectives. Because
the original sponsors of legislation may not have a precise idea of how the end results are to be
reached, goals may be far more philosophical than the objectives. Hence, explicit statements are
purposely avoided, and the intent of the policy is often stated in broad, general terms. A variety
of challenges to strategic management are faced by public sector managers today. The widespread
use of privatization around the world is one that will increasingly be a topic confronting
government in the next decade.
A Two-Group Exercise
Discussion on Case Study

“How the Military General Staffs Became the First Strategic Think Tanks”
Divide into two groups.
Group 1 is a private think tank called “Ogden Associates”. Think back on the year that has just
passed. What one thing in your opinion was the most significant thrust of strategic thinking at the
federal executive and/or legislative levels in the U.S.? Do you think that the effort and
expenditure were worth it? Analyze and develop your ideas.
Class Exercise
A SWOT ANALYSIS
Analysis of Organizational
Strengths, Weaknesses, Opportunities, and Threats
(Individual or Team Game)
You are the newly appointed warden of the Cedarville County Jail. Because there are many
problems existing in the jail administration in Cedarville, you have been brought in as a “change
agent.” You have come to your position from a previous position in Illinois in the same capacity.
You are known there for being an entrepreneurial and transformational leader. You will bring
with you part of your strategic management team—your deputy warden for human resources and
your deputy warden for administration.
The jail in Cedarville is a recently built incarceration facility with the latest in security
technology and inmate housing for the two separate parts of the jail—Adult Offenders
Incarceration Facility and the Juvenile Facility. The physical space serves as a model for this
type of incarceration facility. There is willingness on the part of the county government to put
additional revenue and resources into the facility to make it work; you have a honeymoon period
of two years to do this.
Among the issues raised in your appointment documents as CEO to this facility are the following:
Security issues and keeping inmates inside the prison is the paramount concern. Beyond
this, strategic management needs to be strengthened with additional talent in the
area of financial management. The accounting system is in disarray.
There are employee morale problems. Officers are not properly trained in the use of restraint
and safety techniques. There are some drug and alcohol abuse problems among the
employees. Women have traditionally been employed only in the lower clerical ranks.
The
jail has a “macho” culture, which the county wants to see being changed to a more
caretaking culture with emphasis on rehabilitation and training for inmates and a special-
needs program for juvenile offenders.
Counseling, library, and chaplain services are not available to staff and inmates. The
organization could outsource (privatize) gardening, laundry, and janitorial services more
cheaply than what is provided in-house through work.
There will be a state review of how the juvenile offenders are managed in Cedarville. If there are
continuing problems in this area, the state is considering a voucher program to enable juvenile
offenders to be moved to the Catholic Juvenile Male Institutional Facility, a non-profit
organization outside Cedarville, or to the Raleigh Institution for Young Men, a private detention
center in Cedarville. If the review is bad, the Cedarville jail stands to lose a substantial portion of
its budget. Conversely, if the state review shows that juveniles should be retained at Cedarville,
the state and federal governments will kick in with substantial grant-in-aid funding.
The county supervisors want you to accomplish the following major strategic tasks within your
first three months in office.
YOUR ASSIGNMENT
I. Develop:
1. A Mission Statement
2. A Statement of Goals
3. A Statement of Key Objectives
Remember your model:
MISSION  GOALS  OBJECTIVES

-------------------------------------
broad philosophy --------- more focused ------ very focused and specific
II. Develop:
STRENGTHS, WEAKNESSES, OPPORTUNITIES, and THREATS analysis
(SWOT analysis) for the Cedarville Jail—see page 334 of textbook for your model.
CHAPTER NINE: LEADERSHIP AND ACCOUNTABILITY
LEARNING OBJECTIVES:
1. Understand the kinds of power that leadership exerts upon the organization.
2. Learn about the prevailing theories of leadership, in particular:

a. Trait Theories of Leadership
b. Transactional Theories of Leadership
c. Contingency Theories of Leadership
d. Transformational Leadership Theories
3. Comprehend the more dysfunctional aspects of too much leadership, in particular:

a. Micromanagement
b. Overmanagement
4. Discern the role leaders play in moral guidance of public organizations.
5. Learn about the need for leaders to be accountable in public administration.
6. Understand the oversight role that legislative leadership plays in government.
SUGGESTED LECTURE
LECTURE NINE
I. Leadership: Leaders are those who get people in organizations motivated to do things they
may never have done before or may not wish to do. Leadership is about the exercising of
authority and it is done both formally and informally. French and Raven suggest five types of
leadership power: expert power, referent power, reward power, legitimate power, and coercive
power. Charismatic leadership, described by Max Weber, is power similar to referent power.
Chester Barnard described three essential functions of the leader: to provide a system of
communication; to promote the securing of essential efforts; and to formulate and define the
mission, goals, and objectives of the organization.
II. Theories of Leadership: a. Trait Theories of Leadership: The trait approach suggests
that leaders have unique characteristics or traits that are distinct from followers, and that leaders
are born and not made. However, these trait theories have fallen into disfavor, mainly because the
theorists could never identify which traits make an effective leader. b. Transactional Theories:
After the 1950s it became standard practice to view leadership as a series of transactions.
Because a leader could be successful in one set of interactions with one group of individuals and
not in another, the theory of transactions fits better than trait theories. The famous Lewin, Lippitt,
and White studies of transactions identified three types of leaders—authoritarian, democratic,
and laissez-faire. They found that the groups led by authoritarian leaders were very aggressive
and had low job satisfaction. The groups were productive, however, probably due to the coercive
power of the leader. Democratic leadership provided the most satisfied and productive
workplaces because it allowed for peaceful negotiation, change, and participative management.
Workforces with hands-off, laissez-faire leaders had low productivity and satisfaction and
behaved aggressively. c. Contingency Approaches: This approach defines leaders who take
their cues and develop leadership styles from the situation rather than following the “one best
way.” Tannenbaum and Schmidt provided one of the first studies that suggested that leaders need
to evaluate the factors of the situation prior to making changes in the organization. d.
Transformational Leadership: A transformational leader is someone with the ability to change
an embedded organizational culture by creating a new vision for the organization. This is similar
to trait theories because it posits the belief that leaders are born and not made.
III. Too Much Leadership: a. Micromanagement: This term has emerged in the last decade
to describe situations in which leaders supervise too closely and do not delegate. When this
occurs the personal and professional growth of subordinates is stifled. Micromanagement can
drive employees to extreme stress and even violence. It does not make an incompetent employee
more competent; it only damages interpersonal relationships and distracts managers from
development of overall long-term strategy for the unit and for the organization. Legislators at all
levels of government tend to be micromanagers. They look too closely into rules and process—
often for partisan and special interest concerns. b. Overmanagement: A variation of
micromanagement is overmanagement, when there are too many managers for the task. As
computer-based systems have come into use and negated the need for layers of management,
those managers who are fearful of losing their jobs tend to create fiefdoms. This kind of turf-
building, and its accompanying waste in overmanagement, is a structural cause of organizational
incompetence.
IV. Moral Leadership: A leader should not just be expected to be an expediter of

organizational resources to meet the goal, but also through the respect and trust generated—via
his/her charismatic and referent power—be able to keep the workforce in voluntary acceptance of
moral codes and values.
V. The Challenge of Accountability is about administrators being accountable for general

notions of ethics, democracy, and legal mandates. Taken together, internal standards—
professional and organizational—and external standards—legislative and popular controls— keep
the bureaucracy—accountable. Public administrators often take an oath of allegiance to the
Constitution and must uphold that pledge. Thus, to do their jobs properly, public administrators
need to understand the country’s constitutional framework as well as the substance and structure
of individual rights. a. Excessive Zeal for Accountability often leads to bureau incompetence.
When individuals show themselves to be incapable of taking responsibility, rules are often set up
that are rigid and sometimes irrational, often taking up valuable time. b. Avoiding
Accountability: Often, when wrongdoing occurs, officials stonewall, deny, and point fingers
elsewhere, even when involved.
VI. Legislative Oversight: The legislature—either in the form of the city council, the state
legislature, or the congress—monitors the executive branch to see that laws are faithfully
executed. Oversight takes many forms—Congressional hearings on the budget or investigations
on special issues; Senate confirmation of appointees for cabinet positions and Supreme Court
nominees. Any member of Congress can instigate an investigation, and Congress operates as a
kind of grand jury ready at all times to hear testimony on improper actions.
Group Exercise
Think Piece
“Transforming the Postal Service”
The twenty-first century has brought new challenges to the U.S. postal service. As group,
brainstorm what some of these might be (e.g., anthrax mailings, pornographic material, the need
to provide e- services). Each student should choose one of the themes derived from the
brainstorming session or should write a one-page analytical essay in the form of a memorandum
from the Postmaster of a local postal service to his/her employees.
Class Exercise
A HUNT-AND-PECK EXERCISE ON PUBLIC ADMINISTRATION CONCEPTS
You are a human resources specialist in the city government offices for the industrial city of
Lamont, Nebraska. You have just graduated with a B.A. in Public Administration from the
University of Nebraska. A complaint has been brought to the attention of your boss from a group
of employees in the Department of Administration against their director, Ms. Beverly Huxtable.
The report, which has been formally written up by the hearing officer, is given below. Your boss
has asked you, as a first step, to look over the complaint and list any public administration
concepts embedded in the complaint. You remember your classes in public administration clearly
and have no trouble in picking out at least eight concepts.
REPORT
Ms. Beverly Huxtable is the director of administrative services in the city of Lamont. She has
been in this position for the last six months. Her prior position was assistant director of policy
and planning, which she held for two years. There were a number of serious problems with her
work in that job. Despite these problems, when the director of administrative services position
became available, she was promoted to this position with the support of her brother-in-law,
Michael Huxtable, the deputy mayor of Lamont. Prior to her assistant director position, Ms.
Huxtable served very successfully over a ten-year period as a budget analyst in the accounting
department.
Ms. Huxtable’s immediate problems stem from her management style. She gives very little
flexibility for independent decision making by her staff and insists that rules and regulations be
adhered to very closely, regardless of the circumstances involved. Her employees feel like robots
and that their creativity and initiative are being stifled. Ms. Huxtable’s own opinion is that she is
an excellent leader. She believes that she has the intelligence, energy, and aptitude that is needed
to be a good leader; but that her problems have been inherited. Her staff, says Ms. Huxtable, are
complainers, incompetent, lazy, and irresponsible. This came about because the previous
manager had a hands-off style of leadership, which created problems of laxness and discipline,
and she will not tolerate either of these things in her department. Because of Ms. Huxtable’s
insistence on sticking to the rules, rigidity, and overconformity, the public is not being served in
an efficient and timely fashion by the departments that report to her.
Meanwhile, citizens of Lamont are expressing their frustrations and calling for a new catalytic,
entrepreneurial government. They have been calling for greater performance standards and
accountability of city services. The mayor has undertaken a review of city operations with a view
to making radical changes in the way the city delivers its efforts to the public. However, the
mayor has been stymied at every turn by his director of administrative services, Ms. Huxtable.
This latest complaint from the employees in her department gives the mayor added ammunition
to add to the case for dismissal of Ms. Huxtable.
CHAPTER TEN: PERSONNEL MANAGEMENT AND LABOR RELATIONS
LEARNING OBJECTIVES
1. Understand the personnel function in the public sector and its role in:
a. Recruitment
b. Merit Selection
c. Position Classification
d. Performance Appraisal
e. Training
f. Management Development
2. Comprehend the history and current challenges of civil service reform.
3. Explain the issues surrounding patronage appointments, including:

a. The role of patronage in the political process.
b. The function and importance of the Plum Book.
c. The questions of the constitutionality of the process.
d. The preference quandary.
4. Understand the principles that govern labor relations in the public sector, including:
a. The process of collective bargaining.
b. The legal foundation of the process.
c. The impact of strikes in the public sector.
SUGGESTED LECTURE
LECTURE TEN
I. The Personnel Function deals with the technical functions of employment, such as
recruitment, selection, training, and evaluation. Personnel requires an understanding of law as
well as the major developments in the social and behavioral sciences. Personnel administration
has evolved from being largely a clerical function into a professional practice. a. Personnel
Merit Selection: This process began with civil service reform in the late nineteenth century,
which gave birth to the Pendleton Act in 1883. The act created the U.S. Civil Service
Commission. It mandated open competitive examinations, probationary periods, and protection
from political pressures for the federal bureaucracy. The Pendleton Act mandated that
examinations had to be “practical in their character.” The primacy of practicality was later
reaffirmed in Griggs v. Duke Power Company (1971), which upheld the notion of examination
validity based on the character of the work. b. Position Classifications: Traditional position
classifications organize all jobs in a civil service merit system into classes on the basis of duties
for the purposes of establishing chains of command, salary scales, and delineating authority. c.
Performance Appraisal is about the documentation of work performance of employees. Most
appraisals are too subjective and impressionistic to be useful because they are done in-house, and
thus evaluators are reluctant to destroy group harmony with negative evaluations. Because of
this, outside consultants are sometimes hired to do the ratings. d. Training: Training has always
been considered an option, or a luxury, in organizations. In the 1950s it was the premise that
since employees were hired on the merit system, they were qualified, thus training was
superfluous. As opinion changed to view public service as a career that constantly needed
upgrading, attitudes about providing training changed as well. In 1958, Congress passed the
Government Employees Training Act, which mandated training in federal agencies. e.
Management Development: This is undertaken in organizations as an organizational investment
in human capital to develop leadership for the organization. Assessment programs are geared
toward distinguishing which individuals have the potential for selection to a management
program, and they typically observe individuals in simulations of problem solving, often within
stress situations.
II. Civil Service Reform: Any government employee who is not in the military is in civil
service. There are two groups of employees in the civil service: those who come up through the
so-called merit system and those individuals who were appointed for reasons other than fitness
for duty as patronage appointments. a. From Spoils to Merit Systems: While civil service
reform dates from the post-Civil War era, its political roots go back to the beginning of our
republic when “reinventing” public personnel systems first began. Jefferson faced the problem of
a hostile bureaucracy in his presidency but refused to replace them with Republicans on the
grounds that only malconduct is justification for dismissal, although he did make partisan
appointments on occasion. Other presidents permitted the spoils system to a greater or lesser
degree. b. The Pendleton Act—Federal Reform: Clamors for a merit-based civil service
system, increasing after the assassination of President Garfield by a disappointed office seeker,
led his successor, President Arthur, to sign into law “An Act to Regulate and Improve the Civil
Service of the United States,” better known as the Pendleton Act of 1883. c. State and Local
Reform: Influenced by the Pendleton Act, state and local governments began to institute civil
service commissions. Today, 88 percent of cities with populations over 50,000 have merit
systems on the books—but patronage instead of merit may still exist in practice. d. The Civil
Service Commission: The commission, a bipartisan group of appointees, was mandated to keep
the bureaucracy as free as possible from political influence. As time went on, however,
nonpartisan career managers found themselves burdened by the restrictions set up to thwart the
spoils system and called for an integration of personnel functions with the administrative
functions of the executive to whom they reported. e. The Civil Service Reform Act (CSRA) of
1978: This was enacted under President Carter in response to the complaints of red tape and the
ongoing abuse of employee rights. The name of the Civil Service Commission by then was
besmirched by incompetence and scandal and had to be retired. The CSRA divided the
commission into three agencies: the Office of Personnel Management, to oversee the human
resource function; the Merit Systems Protection Board, to provide recourse to aggrieved
employees; and the Federal Labor Management Authority (FLRA), to oversee federal labor
management policies. f. Reinventing Public Personnel Administration: Recently, public
personnel management has been heavily impacted by the “reinventing” government movement.
The 1993 Gore Report emphasized public personnel reform, suggested decentralization of
personnel management, and promoted a “customer-service” focus.
III. Patronage Appointments: Patronage comes from the word “patron”—in order to get
certain plum jobs, you need a patron in high places. a. The Plum Book: This is the informal
name for the publication U.S. Government: Policy and Supporting Positions, which comes out
right after a presidential election and lists all the patronage jobs that a new president can fill at his
or her discretion. b. The Constitutionality of Patronage: In Rutan v. Republican Party, the
U.S. Supreme Court ruled that traditional patronage is unconstitutional. In the earlier decisions
Branti v. Finkel and Elrod v. Burns the Court held that the First Amendment forbids government
officials to discharge or threaten to discharge public employees solely for not being supporters of
the party in power, unless political affiliation is an appropriate requirement for the position
involved. c. Veterans’ Merit Preference: The special merit earned by honorable military service
is a variant of patronage that has been in place since the end of the Civil War, when veterans were
first given preference in civil offices. In 1919 the privilege was extended to wives and widows of
veterans.
IV. Public Sector Labor Relations: a. The AFL-CIO: The American Federation of Labor
—Congress of Industrial Organizations is a voluntary federation of over 100 national and
international labor unions in the United States, but it is not a union and it does no bargaining. The
purpose of the AFL-CIO is policy and activity development. Each member union of the AFL-
CIO is independent and conducts its own affairs. Major public sector unions are members of the
AFL-CIO. b. Administrative Agencies: In the context of labor relations, an administrative
agency is a private or government organization that facilitates the labor process. The agencies
oversee collective bargaining, make rulings on unfair labor practices, judge legitimacy and scope
of bargaining, interpret contracts, make decisions on the appropriateness of bargaining units,
oversee authorization elections, and certify bargaining units. The National Labor Relations
Board (NLRB) was created in 1935 by the National Labor Relations Act to oversee and facilitate
bargaining in the private sector. The companion agency in the public sector is the Federal Labor
Relations Authority (FLRA) created by the Civil Service Reform Act of 1978. A general counsel
investigates and prosecutes labor cases before the FLRA. Also within the FLRA is the Federal
Service Impasses Panel (FSIP) to solve negotiation impasses. States have their own agencies,
generally called Public Employment Relations Boards (PERBs). Typically their functions are
parallel to those of the NLRB. c. Collective Bargaining: This is a comprehensive term that
encompasses the negotiating process that leads to a contract between labor and management on
wages, hours, and other conditions of employment. The process involves four basic stages:
establishment of bargaining units, formulation of demands, negotiations, and the administration
of the contract. In terms of collective bargaining, the public sector model comes from the private
sector, but employing collective bargaining in the public sector is problematic because no union
is equal to the government and to the people as a whole. d. Impasse Resolution: An impasse
exists during labor-management relations when either party feels that no further progress can be
made toward a settlement, and parties go to arbitration, mediation, and fact-finding for resolution.
e. Strikes: A strike is a mutual agreement by workers to a work stoppage. In the past, unions
used the strike as a powerful tool to attain their goals. Public opinion began to turn against
unions in the later years of the twentieth century, and unions have lost their clout in the harsher
economic climate of recent times. Today workers and management have come to the realization
that they have one thing in common—the economic viability of the enterprise. Thus we see
unions and management in an unlikely marriage of convenience because of their mutual
interests.
Group Exercise
Think Piece
Stress Levels in the Air Traffic Controllers’ Workplaces
The air traffic controllers at American airports reportedly have very stressful jobs. An additional
element of stress was added by the events of September 11, 2001. What additional kinds of
stress-relief measures should be considered by leadership to help air traffic controllers do their
jobs safely and securely?
Class Exercises
PERSONNEL MANAGEMENT EXERCISES ON THE CIVIL RIGHTS ACT OF 1964,

Title VII
Scenario A: Mary Louise Davies interviews applicants for professional and management
positions at MAXCom, Inc., a computer company in the Silicon Valley. She has been asked by
the director of human resources to attend a one-day conference on Title VII, affirmative action,
and EEO, in San Francisco. Mary Louise has a very hectic schedule, as her company is rapidly
expanding, and she asks to be excused. After all, she explains, all she does is conduct the
interviews. The final decisions are made higher up in the human resources department. a. Is
Mary Louise’s excuse justification for not going? b. If you were the human resources director,
what would you do?
Scenario B: Pete Chavez graduated with high honors from the Columbia University School of
Journalism in the area of sports journalism. He then applied for the position of assistant sports
writer with a local paper to cover basketball and football. Pete’s credentials were verified and he
was made an immediate offer over the telephone. When he arrived for the interview, however, he
sensed that something was amiss. He was told that the position had been withdrawn. Later Pete
learned from a valid source that it was his height, 5'3”, and slender build, 120 lbs., that
disqualified him. The editor had judged that a taller sports writer would have a better rapport
with tall players than a short one. Pete plans on filing a “disparate impact” claim. a. Does he
have a case? b. On what basis?
Scenario C: Tim Fujie, a Japanese-American, and David Dougherty, an Irish-American (white),
are both applicants for promotion for the same job as detective sergeants in the Miniqua Police
force. Tim has a bachelor’s degree in physics and three years on the police force. David has a
bachelor's degree in criminal justice, a certificate in conflict resolution, and three years in the
police force. David Dougherty is hired. Tim Fujie sues on the grounds of color and race
discrimination. Does Tim have a case?
CHAPTER ELEVEN: SOCIAL EQUITY
LEARNING OBJECTIVES
1. Understand the concept of social equity in America.
2. Comprehend the major points in the challenge for equality:

a. Racism in America
b. The Bitter Heritage of Slavery
c. Second-Class Citizenship in America
d. Legislative and Administrative Remedies
3. Appreciate the notion of equal employment opportunity:

a. The Origins of Affirmative Action
b. The Case for and against Affirmative Action
4. Grasp the key areas of nonracial discrimination:

a. Sex Discrimination
b. Pregnancy Discrimination
c. Age Discrimination
d. Disabilities Discrimination
5. Understand the importance of public administrators being cognizant of the letter and
the spirit of social equity laws.
SUGGESTED LECTURE
LECTURE ELEVEN
I. Social Equity: Although the United States aspires to social equity in principle, it has not
always been able to achieve it in practice. In the nineteenth century social Darwinism inhibited
the growth of social equity through its principles of survival of the fittest and natural selection.
American social Darwinism thus justified child labor and many other abuses of U.S. citizens,
which reformers tried to rectify. Reinforced by civil rights laws, social equity is one of the
foremost concerns in public administration today.
II. The Challenge of Equality: The 1776 Declaration of Independence proclaimed that “all
men are created equal.” Yet both the Declaration of Independence and the Constitution denied
this right to African-American residents and women. a. Racism: Our textbook defines the term
“racist” as a person who overtly or covertly practices racial discrimination on the basis of color
and ethnic origin and supports the supremacy of one race over another. b. The Bitter Heritage
of Slavery: The importing of people from Africa to provide slave labor on American plantations
began in colonial times. It was supported by the Constitution in Article I, Section 2. The
Supreme Court upheld slavery in many decisions, the most famous of which was Dred Scott v.
Sanford. It took a civil war, the Emancipation Proclamation, several amendments to the
Constitution, and a vast change in social attitudes to bring us to the point at which we are today.
Yet, even today, all people are not equal in our society. c. Second-Class Citizenship in
America: After the Civil War the racial question was still not settled, and many states enacted
Jim Crow segregation laws. Again the Supreme Court upheld the so-called separate but equal
philosophy in its Plessy v. Ferguson decision of 1896. More than half a century later the Plessy
decision was overturned in Brown v. Board of Education (1954). The Court declared that
separate but equal was actually unequal. This was the beginning of the civil rights movement. c.
Legislative and Administrative Fixes for Racism: With the passing of the Civil Rights Act, the
Equal Employment Opportunity Commission (EEOC) came into being in 1964 to combat
discrimination in the private sector. The coordination of all equal employment activity was
assigned to the Civil Service Commission until its retirement by the CSRA in 1978—at which
time these duties were transferred to the Office of Personnel Management. The passage of the
Equal Employment Opportunity Act in 1972 brought state and local governments under the EEO
umbrella.
III. Equal Employment Opportunity (EEO): EEO applies to employment procedures and
practices that are intentionally or unintentionally discriminatory in the areas of race, color,
gender, religion, and national origin. It now also includes age, pregnancy, and disabilities. a.
Origins of Affirmative Action: President Kennedy’s Executive Order 10925 in 1961 first used
the term “affirmative action.” It meant the removal of “artificial barriers” to employment of
women and minority groups in the federal service. President Nixon issued an executive order on
affirmative action in his administration. During the 1970s, federal courts issued specific goals
and timetables for minority hiring and compensatory opportunities for disadvantaged groups. By
the 1990s, support
for affirmative action dwindled. A poll taken by Newsweek in 1995 showed that 75 percent of
whites feel that the current system of affirmative action and righting wrongs in society is not
being served well by EEO. b. The Case for and Against Affirmative Action: Proponents
argue that affirmative action, by bringing all segments of society into the mainstream, elevates
the moral and social consciousness of the whole society. They claim that affirmative action is not
about hiring the unqualified, or about quotas, preferences, or denying the rights of white males.
“Reverse discrimination” is a term that has developed over the years through a series of Supreme
Court rulings. Well-disposed as well as bigoted opponents of affirmative action argue that merit
and fitness get pushed to the side when affirmative action programs come into play. Some argue
that compensatory benefits should be given to members of society based on class, not race. Today
many states are considering reversal of their affirmative action policies following California’s
Proposition 209 of 1997.
IV. Nonracial Discrimination: a. Sex Discrimination The Civil Rights Act, as amended by
the Equal Employment Opportunity Act of 1972, declared sex discrimination illegal, and today
sexual harassment is included in the sex discrimination provision. The Equal Employment
Commission in 1980 set forth guidelines on what constitutes workplace sexual harassment. In
1986 the landmark Supreme Court ruling in Meritor Savings Bank v. Vinson set forth case law on
this issue. b. Pregnancy Discrimination: Employment practices that exclude pregnant women
(or women contemplating having children) were classified as discrimination in a 1978 statutory
amendment to Title VII of the Civil Rights Act. The Family and Medical Leave Act of 1993 was
the latest companion statute. c. Age Discrimination: The Age Discrimination in Employment
Act (ADEA) was first passed in 1967 and often amended thereafter. It covers all employees in the
public and private sectors. d. Disabilities Discrimination: In 1990 Congress passed the
Americans with Disabilities Act (ADA) to ban discrimination against physically and mentally
handicapped individuals in employment and to require reasonable accommodation for these
individuals.
V. Public Administration and Social Equity: Public administrators must be cognizant not
only of the details of public law, because they must administer its provisions in a fair and
equitable manner, but they also need to be aware of its spirit, so as to proactively support it.
Class Exercise
THINK PIECES ON SOCIAL EQUITY
You are the Director of an organization called Pennsylvania Diversity, a non-profit organization
in Harrisburg, Pennsylvania. You have a B.P.A. (bachelor's degree in public administration).
You have been asked by the Governor of your state to present arguments for diversity in its
broadest context for a policy report he is making to the Vice President. In order to respond, you
are planning a strategic retreat for your senior management on November 24. You wish to
present them with two issues: 1) Diversity and multicultural issues concerning the workplace
context and 2) Diversity of natural systems, dealing with the environmental context. You expect
to hear arguments pro and con (the thesis and antithesis) and a vigorous debate among your staff
during the brainstorming process and the policy development process. You would like to have
some thoughts about these issues to bring to the table yourself. The four issues noted below are
provided as guidelines to begin thinking, but they are only guidelines. Think broadly about the
issues for the next two weeks.
I. SOCIAL DIVERSITY IN THE WORKPLACE CONTEXT

a. Balancing the rights of individuals versus the rights of the group.
b. Balancing the rights of a white minority versus a collectively larger multicultural
majority.
II. DIVERSITY OF LIFE IN THE ENVIRONMENTAL CONTEXT
a. Balancing the rights of human beings versus the rights of other living things to
exist. b. Balancing the rights of presently living people in your state against the rights
of future generations.
CHAPTER TWELVE: PUBLIC FINANCIAL MANAGEMENT
LEARNING OBJECTIVES
1. Understand the importance of public financial management and the duties of the
public administrators involved.
2. Know the rules and understand the politics of the “budget game.”
3. Understand the theories behind the budgeting process and their applications.
4. Comprehend the new innovations impacting the budgeting process.
5. Identify the various methods of financing public expenditures.
6. Understand the role that debt plays in the budgeting process.
7. Comprehend the role that monetary and fiscal policy have in public administration.
SUGGESTED LECTURE
LECTURE TWELVE
I. Public Financial Principles: No public policy or function can survive unless it is

associated with the flow of funds that make it possible. Public financial management is a
dynamic system with which citizens interact every day. At the heart of the design of the
American system of public financial management are six principles.
1. Democratic consent: Taxation and spending should not be done without consent of
the governed.
2. Equity: Governments should be equitable in raising and spending capital.
3. Transparency: What governments do in raising and spending funds should be open
to public knowledge and scrutiny.
4. Probity: There must be scrupulous honesty in dealing with public funds, of which
the legislators and administrators are the stewards, not the owners.
5. Prudence: Stewards should not take undue risks with public funds.
6. Accountability: Those who deal with public funds can and should be regularly
called to account for their stewardship through legislative review and audit processes.
II. Balanced Budgets: The balanced budget, where receipts are equal to or greater than the
government outlays, is the sign of a financially healthy government. There are also advantages,
however, to “unbalanced” budgets where extra spending can stimulate a slow economy. Such
actions may adversely impact the value of currencies as well as having a crowding-out effect on
capital markets. All budgets function within a designated twelve-month fiscal calendar. As the
budget process is often slow, funding can be extended into a new fiscal year through the use of
continuing resolutions.
III. The Budget Game: The budgeting process is highly political. There are winners and
losers in the process. The main currents in the politics of budgeting in the past 30 years seem to
suggest a decidedly individualistic, multicentered decision-making milieu. Budget makers, both
conservative and liberal, are impacted by lobbyists and special interest groups. Congress relies
on the Congressional Budget Office to provide data , while the Office of Management and
Budget provides data to the president.
IV. Budget Theory and Practice: A public budget has four dimensions. First, it is a
political instrument that allocates scarce public resources. Second, it is a managerial and
administrative tool that specifies the “ways and means” of providing public programs and
services. Third, it is an economic instrument that can drive an area’s growth. Fourth, it is an
accounting instrument that holds government workers accountable for the expenditure of funds
with which they have been entrusted.
V. Historical Highlights of Budgetary Reform: The Taft Commission (1912)
recommended a national budgeting system. William Willoughby wrote The Movement Towards
Budgetary Reform in the States (1918), which suggested additional reforms on the state and local
levels. The General Accounting Office (GAO) was established in 1921 with the passage of the
Budget and Accounting Act. V. O. Key, Jr., wrote in 1940 bemoaning the lack of budgetary
theory among budget writers. John Keynes influenced the administration of Franklin D.
Roosevelt and all succeeding administrations with a theory that called for using fiscal and
monetary policy to positively influence a capitalistic economy. Aaron Wildavsky wrote in The
Politics of the Budgetary Process in 1964 that budgeting is a political and economic process
rather than simply a mechanical series of steps.
VI. Objectives of Budgeting: Budgeting has four objectives: allocation, distribution,

stabilization, and growth. Within these objectives, two types of budgets exist: operating and
capital.
VII. Waves of Innovation: The structure and format of budgets have been subject to waves
of innovation which have led to the evolution of different types of budgeting. These include:
Executive Budgeting: submitted by the chief executive to the legislature for action.
Line-Item Budgeting: classification of accounts according to detailed objects of expenditure.
Performance Budgeting: performance requirements to be stated alongside line items.
Incremental Budgeting: focuses on incremental increases and decreases in a budget.
PPBS: planning programming budgeting systems detailing objectives and measures.
Zero-Based Budgeting: calls for rejustification of the entire budget.
Unified Budgeting: consolidation of receipts and outlays in one budget.
Multiyear Budgeting: covering a time span of numerous fiscal years.
VIII. Financing Public Expenditure: Governments may raise monies in the following
ways:
Imposing a direct tax paid by the taxpayer directly to the government.
Imposing an indirect tax paid to a third party who then pays the government.
Imposing user charges for government customers.
Attaining grants from other levels of government.
Generating profits from activities of public enterprises.
Borrowing from the public through bonds or from private lenders through loans.
Using innovative finance techniques such as public-private partnerships.
Generating earnings from savings or investments.
IX. The Problem of Debt: The national debt is the total outstanding debt of the national
government. The level of debt must be viewed in historical and comparative perspective. The
historical perspective looks at the particular debt position today compared with its long-term
trend. Is the level of debt today in accord with a normal position or is it extraordinary? The
comparative perspective looks at the debt level of one nation in comparison to others. Both the
Republicans and the Democrats seek to show the American public that their way of solving the
debt crisis is the best way to lower the level of debt. The government can borrow money when a
clear purpose exists for doing so. This tool, however, is subject to abuse, especially when
politicians find the borrowing of money preferable to raising taxes. A second method of raising
money is the sale of municipal bonds. These bonds, which are rated and graded by rating
agencies, are sold to raise funds for everything from sewer systems to ball parks, with interest
paid by the issuing municipality.
X. Financial Management in Local Government: There are 80,000 local governments,

school districts, and other small bodies. The small units have very simple budgets, while the
larger municipalities may have extremely complex budgets. The three major methods for raising
revenue for local governments are the property tax, the school tax, and the local sales tax.
XI. Economic Policy: Economic policy is the process by which a nation manages its trade,
business, and finances. It traditionally consists of three dimensions: fiscal policy, monetary
policy, and those facets of public policy with economic implications such as farm, energy, and
labor policy. Monetary policy basically exercises control over the quality and cost (interest rates)
of money and credit in the economy. Fiscal policy deals with the size of the budget, deficits, and
taxes.
Group Exercise
Think Piece
“To Tax or Not to Tax? That is the Question.”
The city fathers of Bridgepoint suffered a budget shortfall last year. In their planning for the new
fiscal year, they feel they can raise the needed revenue by imposing a sales tax on the
consumption of the citizens of the community. They are particularly entranced with the possible
tax revenue that can be gained from a redeveloped mall in the center of the city. The mall, a joint
project between the city and a developer, was rebuilt from the ruins of an abandoned shopping
center that had been an eyesore for many years. The new mall serves many of the inner city
residents who rely on public transportation and live either below or at the poverty line. The mall
has been a huge success and has been hailed as the vanguard of a new revived downtown
shopping area. A sales tax, however, would impact to a greater extent the many low and middle
income shoppers who shop downtown for they would pay a greater percentage of their income to
this tax than wealthier shoppers. Is a sales tax a “good move” for the city of Bridgepoint?
Class Exercise
THE SCHOOL TAX CRISIS OF MEADOWBROOK
Meadowbrook is a municipality with a population of 112,000. On Tuesday, June 20, the

Meadowbrook School Board informed the City Council Budget Committee that extensive
renovations would be required in the high school gymnasium. The high school had recently hired
new basketball coaches for both the girls’ and boys’ basketball teams. Both teams had winning
seasons last year, and the girls' team played in the state championships. They lost in the third
round, but it was still a very impressive performance for a team's first trip to the playoffs. Two of
the games were played at Meadowbrook and resulted in an increase in business for motels,
restaurants, and retail establishments. The Chamber of Commerce teamed up with the Basketball
Boosters Club to have a parade on Main Street and a pep rally in the park. This resulted in a lot of
interest in the team. Unfortunately, the small gym could not accommodate all those who wished
to attend, and an opportunity for increased revenue for the school system through ticket sales and
concessions was lost.
The renovations would include

: the construction of new locker rooms.
: the building of a training facility, including a weight room.
: the replacement of the gym floor
: the expansion of the grandstands to allow for increased seating.
Total estimated cost: $1.2 million
School Property Tax Demographics:
36% Business and manufacturing (represented by the Chamber of Commerce)

10% Singles and couples with no children
31% Couples with children under the age of nineteen
23% Retired singles and couples on fixed incomes
A town meeting has been scheduled to discuss a possible increase in the school tax to cover the
cost of the renovations.
School Tax: A school tax is a local property tax imposed by a school district to cover the cost of
providing education and related activities.
CHAPTER THIRTEEN: AUDITING, ACCOUNTING, AND EVALUATING
LEARNING OBJECTIVES
1. Define an audit and understand the role auditing plays in any organization.
2. Understand the role of the General Accounting Office.
3. Identify the different types of audits and how they are executed.
4. Define and understand accounting and its function in an organization.
5. Discern the differences between policy analysis and policy evaluation.
6. Understand the reasons for policy analysis and evaluation.
7. Discuss the standards under which evaluation takes place.
SUGGESTED LECTURE
LECTURE THIRTEEN
I. The Audit: An audit is any independent examination or objective assessment of an

organization. In public administration, the audit refers to two very common activities. It is an
official examination of a financial report submitted by an individual or an organization to
determine whether it accurately represents expenditures, deductions, and other allowances
determined by laws or regulations. The audit is the final phase of a government budgetary
process. It reviews the operations of an agency, especially its financial transactions, to determine
whether the agency has spent its money in accordance with the law, in the most efficient manner,
with the desired results.
Auditing has become a major branch of the accounting profession. Accounting in public
administration is similar to its function in the private sector. It remains the process of classifying,
measuring, and interpreting financial transactions to provide management with information upon
which to base economic decisions. Auditing continues to evolve with multiple applications that
now include independent assessments of such things as environmental, social, and infra-structural
issues.
Auditing in the federal sector is the responsibility of the General Accounting Office
(GAO). Established in 1921, the office serves as a support agency to audit federal government
expenditures and assist the Congress in its legislative oversight responsibilities. A comprehensive
audit program under GAO should include the following three types of audits:
1. Financial and compliance, which determines whether funds are properly spent and the
spending is in compliance with the law.
2. Economy and efficiency, which determines whether resources have been used
appropriately.
3. Program results, which determines whether the desired results have been achieved.
Criteria have been developed to ensure that the auditors stand independent of the
organizations they are auditing. These criteria for auditors include a location in the bureaucracy
outside of management, a high reporting line for the audit results, and a reasonable latitude for
the auditors in selecting the assignments for the audits.
II. Accounting: The traditional method of accounting in the public sector was cash
accounting, which simply sought to control and track the flow of funds allocated to and spent by
the agencies. This system proved to be too simple and was gradually replaced by the accrual
system, which allowed for the recording of debt owed to and by the organization when the debt
became a legal obligation. This in turn has been replaced in the United States by modified
accrual accounting, which seeks to achieve a matching between revenues raised and costs
incurred.
III. Program Evaluation and Policy Analysis: The two are often confused. A policy
analysis is a set of techniques that seeks to answer the question of what the probable effects of a
policy will be once they actually occur. An analysis undertaken on a program already in effect is
more properly called a program evaluation. Evaluations refer to the standards against which a
program can be evaluated. These standards include compliance, efficiency, and
effectiveness/relevance. Zealous evaluators believe that everything is subject to evaluation.
Evaluations will take place within the discipline or paradigm in which they are conducted, and
these may vary widely. The standards noted above, however, indicate the fundamental questions
that must be answered of any program.
Class Exercise
Think Piece
“Rabbits and the Taxpayer”
You are the manager of a pre-school/daycare center partially funded with tax dollars. In an
effort to assist former welfare recipients in getting back into the workplace, the city set up the
center. Parents pay based on their income level with tax dollars making up the difference. As
part of the program you provide lunch to the children. Last week an audit team from the city
came in to audit your operation. The auditor informed you that it was noticed by the audit team
that one of your employees, Myrna, was seen taking a bag of lettuce leaves home at the close of
shift. You informed the auditor that Myrna raised rabbits and that you have previously given her
permission to take home the leaves from the outside of the lettuce that would be thrown away and
feed them to her rabbits. The auditor then informed you that a member of the audit team had
watched Myrna “take off more lettuce leaves than were normally removed by the average person”
and that this was not a sound practice when dealing with the taxpayers’ money. How do you feel
about the audit team’s observations?
CHAPTER FOURTEEN: HONOR AND ETHICS
LEARNING OBJECTIVES
1. Understand the meaning of honor and distinguish it from ethics.
2. Be able to identify and discuss corruption in government.
3. Comprehend ethical issues as they relate to public administration in such situations as the
“dirty hands dilemma.”
4. Understand the meaning of conflict of responsibilities in public administration

as it relates to impacted stakeholders.
5. Distinguish between the different levels of ethics in public administration.
6. Understand the concept of whistleblowing and the protections for whistleblowers.
7. Understand how codes of honor, conduct, and ethics relate to public administration
through understanding standards of conduct.
9. Write short critical essays on the major issues covered in the chapter.
SUGGESTED LECTURE
LECTURE FOURTEEN
I. Honor: Western thinking about honor dates back to ancient Greece and Rome. Codes of
honor evolved in the military. Honor was, and is, something that a soldier was supposed to
uphold and even die for. Today it remains one of the core influences on human behavior. Honor
comes before ethics because a person without honor has no moral compass about what is good
and bad. Honor is a particularly apt choice for emphasis in a text of public administration
because, from ancient times, to be trusted with the public’s business required honorable
administrators.
II. Corruption in Government: Bribery—he pervasiveness of bribery in public

administration is something that cannot be contested. It comes as a result of individual greed.
When the ethical base of an agency is low, bribery is much more rampant. The Watergate
scandal that drove Richard Nixon
out of the office of president exemplified a violation of public trust. It has become an enduring
example of corruption at the highest levels of government in America and resulted in calls for
reform.
III. Ethical Issues in Public Administration: “Lies Big and Little”—Adolph Hitler and
Joseph McCarthy are two of the most prominent examples of big liars who have hurt society as a
whole, but on a smaller scale lying is common in government. It takes many forms, from
outright lies to innuendo, omissions, etc. It can be argued that public administrators in a
democracy can be excused for lying when there are dire national priorities to consider. The
quandary of lying for the public good has been a topic of debate from the time of Plato, who
spoke about the “noble lie.” The “dirty hands dilemma,” like the noble lie, is another famous
quandary encountered in ethics. Public officials dirty their hands when they commit an act
generally considered wrong to further the public good. Machiavelli upheld this dilemma in his
famous statement: “when the act accuses, the result excuses.”
IV. Conflicts of Responsibilities: The public is composed of diverse stakeholders each with
conflicting, but often deserving, interests. This presents the quandary of viable alternatives
because the public administrator cannot satisfy the ideal of universal happiness. Thus it becomes
important to keep the concepts of justice, equality, and the inviolability of individual rights in
mind when choosing the best course of action for the majority. Dennis Thompson argued that
there can be no administrative ethics because of an inherent conflict in the nature of the duties of
a public administrator and the administrative structures of the position. These people must be
morally “neutral” and yet follow the structural dictates of policy; hence, he argues, they cannot be
held accountable. Yet the “I was just following orders” defense conflicts with the personal moral
obligation to do the right thing.
V. Hierarchy of Ethics: The four levels of ethics are personal morality, professional ethics,
organizational ethics, and social ethics.
VI. Whistleblowing: Whistleblowing takes place when an employee decides that obligations
to society come before obligations to the organization. When Daniel Ellsberg leaked the Pentagon
Papers, which documented the step-by-step judgments that brought America into the Vietnam
War, he was charged with espionage. While the charges were later dismissed, Ellsberg’s actions
suggested that he believed that his obligation to society outweighed the proscriptions of law.
Even in lesser cases, whistleblowing can have serious consequences, and for this reason the
government, beginning with the Civil Service Reform Act in 1978, has issued a variety of
whistleblowing protection policies. Even with these in place, whistleblowing often has damaging
consequences for the whistleblower.
VII. Codes of Honor, Conduct, and Ethics: Codes of honor have their origins in ancient
precepts about how individuals should behave when faced with danger or difficult choices. Many
of the important precepts on how to behave are embodied in religious teachings such as the Ten
Commandments. Many civilian government agencies set up codes of conduct and formal
guidelines for ethical behavior. Professional codes of ethics exist as well, such as the physician’s
Hippocratic Oath. Most of these codes are not binding, but dishonor falls upon those who openly
violate them.
Group Exercise
Think Piece
“Blowing the Whistle at Micro Systems Inc.”
James Allen, a purchasing agent with Micro Systems Inc., discovers that his boss is getting
kickbacks from one of the major suppliers of the firm. He blows the whistle on his boss and is
subsequently fired for incompetence. Allen has received satisfactory ratings on his performance
so far, hence he assumes that it was due to the whistleblowing that he was terminated. Does he
have recourse under statutory law for wrongful discharge?
Class Exercise
MR. ARJMENIAN BLOWS HIS WHISTLE
Proposition: A democratic society benefits from moral dissent.
Mr. Arjmenian, an Armenian-American, is the deputy finance director in the city of Pine Falls,
California. Pine Falls is situated on the Sacramento River in California, where an annual event
known as the Pine Falls Regatta is held. The regatta receives state, county, and local funding.
Recently, in a 100-page letter to the regatta board of directors, Mr. Arjmenian accused Dr.
Lawrence Pierpont Foster, the chairman of the regatta, of misusing nearly $200,000 of the
regatta’s funds for personal purposes. A week after this disclosure, Mr. Arjmenian was fired as
the deputy finance director by the mayor of Pine Falls, the Honorable Willy Boyle, who is a close
personal friend of regatta chairman Foster. The charges are incompetence and hostility, but the
evidence produced is vague. Mr. Foster has denied all charges but has been unable to explain
satisfactorily the large sums of money deposited into his personal bank accounts following the
annual regatta events.
1. Based on your readings and prior knowledge of ethics, pick out from the list below the
relevant ethical issues involved:
noble lie burglary whistleblowing

conflict of interest bribery graft
theft dirty hands dilemma honorific
conscientious objection embezzlement deception
Machiavelli corruption lying
2. Explain the concepts you have chosen as they relate to ethics in the case of Pine
Falls.

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CHAPTER ONE: DEFINING PUBLIC ADMINISTRATION

1. Define public administration within the context of its four frames:

2. Locate public administration within its interdisciplinary context.

5. Explain the real meaning of the politics-administration dichotomy.

6. Understand the cycles of reform in public administration.

8. Write short critical essays on major issues covered in the chapter.

I. Defining Public Administration: The term “public administration” encompasses a

III. Public Administration is an Academic Field: Public administration within an

V. Public Administration and the Cycles of Reform: Public administration is

THE REINVENTING GOVERNMENT EXERCISE

Team A: Bureaucrats and Citizens (Con: Keep status quo)

Important concepts from Shafritz and Russell, Public Administration.

Politics-Administration Dichotomy—Can politics and administration really remain separate in

1. Identify the concept of public policy.

5. Explain the characteristics of power as a structural concept in the policymaking cycle.

7. Understand the meaning of “organizational culture” as it relates to public administration.

8. Explain how the following impact the cultures of public organizations:

I. Public Policymaking: Public policymaking is hierarchical in nature. The broadest policy

III. The Policymaking Process: The policymaking process is a complex group of

AFFIRMATIVE ACTION IN EMPLOYMENT

FORCE FIELD EXERCISES—POWER AND CULTURAL FORCES

1. POWER INFLUENCES ON PUBLIC ADMINISTRATION:

Draw a circle representing a public organization—for example, the Environmental Protection

2. CULTURAL INFLUENCES ON PUBLIC ADMINISTRATION:

l. Understand the concept of reinventing the machinery of government.

2. Understand the administrative structure of the federal government, in particular the

3. Understand the administrative structure of state and local government, in particular:

6. Write critical essays on topics covered in the chapter.

VII. Micromanagers—A Consequence of Government Reform: A variety of other

- a seasonal employment workforce made up of part-timers who are difficult to manage

- animal health problems

The zoo needs to be updated in terms of its three strategic goals:

1. Understand the evolution of the U.S. federal system of government.

2. Comprehend the dynamic structure of U.S. intergovernmental relations:

3. Make connections to the various types of intergovernmental management:

4. Discern the many ways in which fiscal federalism works.

7. Write critical essays on topics covered in the chapter.

II. The Dynamic Structure of Intergovernmental Relations: Intergovernmental relations

III. Intergovernmental Management: There are various concepts that illustrate

V. The Devolution Revolution: In 1994, Republican governors held a convention at

Read pages 159–163 in Chapter 4 of your textbook.

GROUP 1: The Thesis

GROUP 2: The Antithesis

“The United States is a Republic”1

After reading Chapter 5, the student should be able to:

1. Understand the origins of public management:

2. Comprehend the significance of administrative doctrine.

3. Understand the evolutionary nature of organization theory:

5. Write short critical essays on major issues covered in the chapter.

THE LARGE CONSEQUENCES OF SMALL COURSES

1) “For the want of a nail the shoe was lost,

2) The Butterfly Effect

1. The basic tenets of systems organization theory.

2. The modern organization as an “organic” system.

3. How does technology have a systems impact on the modern organization?

5. How can leadership affect “dynamic equilibrium” in the organizational system?

1. Understand the meaning of organizational behavior and, in particular:

2. Recognize the concept of organizational development.

3. Comprehend the relationship between human personality and organizations.

4. Grasp the impact of bureaucratic structure on organizational behavior, in particular:

5. Learn the prevailing theories of motivation, in particular:

6. Understand the future of organizations, in particular:

8. Write short critical essays on major issues covered in the chapter.

I. Organizational Behavior: Hugo Münsterberg pioneered the application of psychological