Comp Exam Study Guide Slide 2 Table of Contents History o
(Classical, Neoclassical, Modern, New Public Mgmt) Theories
(Political Control, Reputation, Decision-Making, etc) Reform
(Scientific Mgmt, War on Waste, Watchful Eye, and Liberation Mgmt)
Performance Management (National Performance Review, Managing for
Results, Accountable Government Initiative) Budgeting (Planning,
programming and budgeting, Zero-based, Performance- based,
Incremental) Methodologies (Quantitative and qualitative tools)
Slide 3 HISTORY OF PUBLIC ADMINISTRATION Slide 4 Positivism/
Scientific Management (1890 1920s) Woodrow Wilson (1887) Study of
Administration Progressivism: Pendelton Act of 1883 Frank Goodnow
(1900) Politics and Administration Fields legitimacy lies in
administrative law Frederick W. Taylor (1911) Scientific Management
One best way to accomplish tasks and manage workers Henri Fayol
(1916) General Theory of Management Universal approach to
administrative management Slide 5 Principles of Public
Administration (1920s 1950s) Mary Parker Follett (1918) The New
State Contradicted Scientific Management, only later accepted
Offered the first feminist perspective, web approach, network
Chester Barnard (1938) Functions of the Executive Influence of
values on decision-making, power of persuasion Reconcile top down
goals with bottom up compliance Luther Gulick and Lyndall Urwick
(1937) Papers on the Science of Administration Principles of P.A.
POSDCORB (Planning, Organizing, Staffing, Directing, Coordinating,
Reporting and Budgeting) Slide 6 Public Administration as Political
Science (1940s 1970s) Herbert A. Simon (1946) Proverbs of P.A.
Attacked Wilsons P.A. Dichotomy as contradictory P.A. should be
based on study of human behavior Humans are not rational and should
not be perceived as such Robert Dahl (1947) Science of P.A.: 3
Problems Bureaucratic Efficiency vs. Democratic Values Rethink
normative assumptions about sharp dichotomy Expand rational man to
include human behavior Embrace historical, economic and social
conditions and impacts Dwight Waldo (1948) The Administrative State
Administration is inherently political, Reject dichotomy Slide 7
Human Relations/ Social Sciences(1930s 1950s) Robert K Merton
(1940) Bureaucratic Structure and Personality Argued that
Scientific Mgmt is inhumane and undemocratic, called for
development of a theoretic basic social science, focus groups
Webers bureaucracy has characteristics that lead to inefficiency
Herbert A. Simon (1950) Administrative Behavior Bounded Rationality
and the concept of satisficing Marshall Dimmock (1951) Free
Enterprise and the Administrative State Business uses economic
power for profitability rather than to promote the national
interest Administration is law in action Charles Lindblom (1959)
Science of Muddling Through Political process lead to an
incremental approach to policy Slide 8 Modern / New Public
Administration(1930s 1950s) Minnowbrook Conference (1968) Hosted by
Waldo; Add equity as a social value P.A. underwent an identify
crisis as it tried to redefine itself Aaron Wildavsky (1964)
Politics of the Budgetary Process Applied Lindbloms incremental
theory to budgeting Ted Lowi (1969) End of Liberalism Govt expands
relentlessly to meet special interest demands Graham Allison (1971)
Essence of Decision Cuban Missile Crisis: 3 Paradigms - Rational
Actor, Organizational Process and Political Process Models Vincent
Ostrom (1973) Intellectual Crisis in American Public Administration
P.A. lacks the cumulative and empirical strength of other sciences
Slide 9 Minnowbrook Conference (1968) P.A. can be neither neutral
nor objective Technology can be dehumanizing Hierarchy can be an
ineffective organizational strategy Bureaucracies tend toward
agency survival Cooperation and consensus are more effective than
exercise of authority Modern P.A. built on post-behaviorist and
post-positivist logic Slide 10 Research Strands Reinventors:
Osborne and Gaebler - Entrepreneurial Spirit Communitarians:
Etzioni, Galston, Chrislip, Selznick - Rebuilding community and
citizenship Refounders: Goodsell, Rohr, Stivers Philosophical,
institutional, and theoretical redefinition of P.A.
Interpretivists: White, Stivers, Spicer, Box Values and ideas
concerning the very nature of human existence New Bureaucratic
Analysts: Light, Selden, Behn, Cooper Reevaluate the relationship
between politics and administration From Management to Governance:
Kettl, Moore, Lynn, Rainey Best practices, steering and networks
Slide 11 New Public Management Slide 12 Governance Orthodoxy David
Osborne and Ted Gaebler (1992) Reinventing Government Shift toward
privatization and decentralization. Governments should: 1)Steer,
not row 2)Empower communities to solve own problems 3)Encourage
competition 4)Be driven by missions, rather than rules 5)Meet needs
of customer, not bureaucracy 6)Concentrate on earning money, rather
than spending it 7)Invest in preventing problems, instead of curing
crises 8)Decentralize authority 9)Influence market forces rather
than create public programs Tenets of NPM 1) Productivity, 2)
Marketization, 3) Service Orientation, 4) Decentralization, 5)
Policy and 6) Accountability Slide 13 New Public Management Donald
F. Kettl (2000) Global Public Management Revolution Describes
Westminster Reforms in NZ and UK Milward, Provan and Else (2000)
Governing the Hollow State Concerns of accountability and oversight
in contracting Robert and Janet Denhardt (2007) New Public Service:
Serving, not Steering Oppose Osborne and Gaebler: Serve citizens
not just customers 1)Serve citizens, not customers 2)Seek the
public interest 3)Value citizenship over entrepreneurship 4)Think
strategically, act democratically 5)Recognize that accountability
is not simple 6)Serve rather than steer 7)Value people, not just
productivity Slide 14 Early America Slide 15 Founding Fathers Views
Alexander Hamilton: With James Madison and John Jay, Challenged
Jefferson in Federalist Papers, favored elites Strong national
government and executive Thomas Jefferson: Weak executive, bottoms
up approach Bureaucracys accountability to the public James
Madison: Mixed government balanced by opposing interest groups/
pluralism Slide 16 Time Periods in P.A. Rohrs three periods of
political foundings: Founding of the Republic (1787-1795) Founding
of PA (1883-1899) Founding of the Administrative State (1933-1941)
Skrowneks building of a new American State Patchwork (1877-1900)
Reconstruction (1900-1920) Stillmans four eras of U.S. PA Thought
POSDCORB Orthodoxy (1926-1946) Social Science Heterodoxy
(1947-1967) Reassertion of Democratic Idealism (1968-1988)
Refounding Movement (1989-Present) Slide 17 Reform Slide 18 Reform
Movements Civil Service Reform, circa 1877 1883 Pendelton Act of
1883: Introduced merit/professionalism to civil service Progressive
Reform, circa 1879 1920 New York Bureau of Municipal Research
(1906): First council-manager form of government in Stanton, VA
(1908) Interstate Commerce Commission (1920): Established federal
regulation Scientific Management, circa 1910 1970 Preferred by
Presidents and popularized by POSDCORB Watchful Eye, circa 1970s
Favored by Congress, response to Watergate and Vietnam New Public
Management Reform, circa 1979 Shift towards business and general
management practices War on Waste, circa 1980s Favored by Congress,
welfare fraud trials Liberation Management, circa early 1990s
Favored by Presidents, let managers and workers find creative
solutions Slide 19 Theories of Public Administration Slide 20
Political Control of Bureaucracy Agency Theory: Bureaucracies are
out of control or at the least difficult to control Rosemary
OLeary, The Nevada Four go native Principal-Agent Theory:
Legislature (principal) relies on bureaucrats (agents) due to
complexity of problems Balla (1998) Congress relied on HCFA due to
Medicares complex fee schedules Capture Theory: Agencies are
heavily influenced by elites or constituents, Iron Triangle
dominated by business interests Evan Ringquist, Political Control
and Policy Impact at EPA Public participation is low, but
businesses dont control policy Client Responsiveness Theory:
Respond to constituents needs, Street level bureaucrats Michael
Lipsky, Street level bureaucrats Teachers, cops Slide 21
Representative Bureaucracy Organizations perform better when they
mirror the demographics of clients John Rohr (1986) argues that
bureaucracy cures constitutional defect of adequate representation
Selden, Brudney and Kellough (1998) studied active representation
among minorities in the FmHA and found a difference between active
and inactive representation Slide 22 Bureaucratic Politics Revolve
around questions of political power in the key organizational
dimensions of: Bureaucratic Behavior Institutional Structure
Distribution of Power Game Theory: Highly formulized and
mathematical approach to explaining behavior and choices Graham
Allison (1971) Essence of Decisions Examined executive
decision-making during the Cuban Missile Crisis Rational Actor
Model Organizational Processes Model Political Processes Model
Slide 23 Bureaucratic Reputation Theory Agency autonomy is based on
organizational capacity and political affiliations Daniel Carpenter
(2001) The Forging of Bureaucratic Autonomy Post Office under
Anthony Comstock assumed moral guardianship against porno and
gambling Slide 24 Max Webers Bureaucracy Hierarchy of authority
Impersonality Written rules of conduct Promotion based on merit
Specialized division of labor Efficiency Slide 25 Program Roots
Evolved and borrowed from Political Science, Business, Economics,
Sociology, Management and Law P.A. is both an art and a science,
academics and practitioners ASPA is a pan-generalist organization
Academic programs generally fall under Political Science Business/
Management Policy and Public Affairs Slide 26 Trends Transforming
Bureaucracy 1. America as the last global superpower 2. Populations
shifts and immigration 3. Reliance of foreign markets 4. Growth of
info and service industries 5. New technologies and complexity 6.
Hostile opposition to government 7. Smaller and less
self-sufficient households 8. Widening young/old and poverty gaps
9. Shifting fundamental values Slide 27 Market Failures Weimer and
Vining (2003): Public Goods: Federal Highway Administration
Externalities: Environmental Protection Agency Information
Asymmetry: Food and Drug Administration Monopolies and Oligarchies:
Federal Communications Commission Greatest Good Principle:
Allocation of goods to maximize the social welfare functions form
theories of Rawlsianism and Utilitarianism Slide 28 Public Policy
Slide 29 Public Policy Models Thomas R. Dye Institutional model
Emphasizes formal and legal aspects of government Process model
Political Systems Theory: Political response to demands Rational
model Based on Public Choice, motivations of individual actors
Incremental model Builds on past decisions and grows slowly and
steadily Group model Pluralism: Diverse and competing interests for
an equilibrium Elite model Wealthy and policy-planning insiders
influence values and preferences Public choice model Bureaucrats,
politicians and citizens all act in their own best interests Game
theory model Statistical approach to behavior and decision making
Slide 30 Policy Analysis Tools Extrapolation: Estimated Population
= Pop. In a base year + (Avg. Growth Increment X Time Periods)
Forecasting: Assuming that past trends/ events will continue
Criteria Alternatives Matrix: Evaluating, rating and comparing
different alternatives on multiple criteria Discounting: Net
Present Value = Discounted Benefits-Discounted Costs Present Value
= Future Value X Discount Factor Benefit Cost Ratio: BCR =
Discounted Benefits/ Discounted Costs (Greater than 1) Deflating
Money Current Dollar Value = (Current dollars X Base Year Implicit
Price Deflator)/ Current Year IPD Cost Benefit Analysis Monetary
value is assigned to inputs and outcomes of a processs Slide 31
Classics of Organizational Theory Slide 32 Classical Organization
Theory Adam Smith (1776) Wealth of Nations Division and
specialization of labor in a pin factory Henri Fayol (1916) General
Principles of Management Universal approach to administrative
management Max Weber, I922 (1946) Nature of Social Action Modern
concept of bureaucracy with strict hierarchical structure, set
rules and regulations, professionalism and merit Luther Gulick
(1937) Notes on the Theory of Organization Principles of P.A.
POSDCORB (Planning, Organizing, Staffing, Directing, Coordinating,
Reporting and Budgeting) Slide 33 Neoclassical Organization Theory
Chester Barnard (1938) Economy of Incentives Power of persuasion to
motivate and induce workers Herbert Simon (1946) Proverbs of
Administration Attacked Wilsons P.A. Dichotomy as contradictory,
e.g. division based on purpose, place, process or clientele?
Phillip Selznick (1948) Foundations of the Theory of Organization
Individuals may have different goals than the organization
Cooptation is a way of managing opposition and so preserving
stability and the organization Cyert and March (1959) Behavioral
Theory of Organizational Objectives How decisions are taken within
a firm, Compromise between different individuals and groups within
an organization that have their own aspirations and conflicting
interests Slide 34 Behavior/ Human Resources Mary Parker Follett
(1926) Giving of Orders Web of Inclusion, better to work with
employees rather than just give orders, encourage participation
Abraham Maslow (1943) Theory of Human Motivation Pyramid- from the
bottom-up: 1) Physiological, 2) Safety, 3) Love/Belonging, 4)
Psychological Needs/ Esteem, 5) Self- Actualization Douglas
MacGregor (1957) Human Side of Enterprise Theory X and Y: Different
views on human motivation tactics, Can become a self-fulfilling
prophecy Irving Janis (1971) Groupthink Desperate drive for
consensus at any cost Slide 35 Modern Structural Organizations
Burns and Stalker (1961) Mechanistic and Organic Systems
Mechanistic: Stable, hierarchic, precise roles and rules, Organic:
Changing, networks, innovation, community Blau and Scott (1962)
Concept of Formal Organization Collective Actors, Formal
Organization: fixed set of rules, Informal Organization:
interlocking social structure Henry Mintzberg (1979) Five Basic
Parts of the Organization 1) Strategic Apex, 2) Middle line, 3)
Operating core, 4) Technostructure, 5) Support Staff Slide 36 Power
and Politics French and Raven (1959) Five bases of Social Power 1)
Referent, 2) Expert, 3) Reward, 4) Coercive, and 5) Legitimate
Cohen and March (1974) Leadership in an Organized Anarchy Garbage
can theory: decision making is neither consequential nor sequential
Henry Mintzberg (1983) Power Game and the Players Resources,
Technical Skills, Body of Knowledge, Formal Power, and Access to
Power Internal Coalitions: CEO, Operators, Line Managers, Analysts,
Support Staff and Ideology External Coalitions: Owner, Associates,
Employee Associations, Publics, Directors Slide 37 Culture and
Change/ Environment Edgar Schein (2004) Concept of Organizational
Culture Set of shared beliefs and expectations based on societal
norms Katz and Kahn (1966) Systems Concept Open systems, seek
optimal solutions, not just one best way Bolman and Deal (2003)
Reframing Organizations Structural = Factories Human Resources =
Families Political = Jungles Symbolic = Temples Slide 38
Performance Management Slide 39 Presidential Trends Clinton:
National Performance Review Office of Reinventing Government
America @ its Best Work better and cost less Bush: Managing for
Results PART (Program Assessment Rating Tool) Traffic Light Signal
with executive discretion Obama: Accountable Government Initiative
Reform contracting, Promote accountability, Close IT gap, Recruit
top talent and Cut waste, Slide 40 Performance Management Tools
S.M.A.R.T.: David Ammons (2000) Specific Measureable Attainable
Results-Oriented Time-Bound Balanced Scorecard: Kaplan and Norton
(1993) 1.Financials 2.Customers 3.Internal Processes 4.Innovation
and Learning Slide 41 Research Methodology Slide 42 Governance
Slide 43 A New Model of Governance Milward, Provan and Else (1993)
Hollow State Metaphor for public service provision outsourced to
may providers and reducing direct provision Lynn, Heinrich and Hill
(2000) Governance and Performance How can public-sector regimes,
agencies, programs and activities be organized to achieve public
purposes? Slide 44 Theory-Building Research 1. Atheoretical Builds
on theory through descriptions 2. Disciplined Configurative Use
theories to explain a case 3. Heuristic Identify new variables,
hypotheses and causes 4. Theory Testing Assesses validity and scope
of a theory 5. Plausibility Probes Preliminary studies on untested
theories 6. Building Blocks Identifying common patterns Slide 45
Qualitative Methods Case Studies In-Depth Review can include
Interviews, Archival Documents, Observations, and Artifacts Path
Dependency How the set of decisions one faces for any circumstance
is limited by the decisions one has made in the past Process
Tracing Tracing the causal process from the independent variable of
interest to the dependent variable Congruence Method To fully
understand an organizations performance, must understand the
organization as a system that consists of some basic elements
Temporality Time Bound, related specifically to the past, present
or future Critical Junctures David (1985) QWERTY keyboards vs
Dvorak Counterfactual Analysis If A had not occurred, C would not
have occurred. Slide 46 Quantitative Data and Methods Levels of
Measurement: Nominal Limited options, such as gender Ordinal Order,
such as grades Interval Rank, such as temperature Ratio Percentage
with natural zero Intercept: Point where line crosses Y axis Slope:
Expected change in Y for one unit change in X, holding others
constant T-Test: Significance of each variable, if more than 2
reject null there is a linear relation P-Value: If small than
reject null hypothesis R-Squared: Goodness of fit, Proportion of
variation in Dependent Variable explained by Independent Variables
Skewness: Tilt of the bell curve Kurtosis: Peak of the bell curve
Slide 47 Quantitative Confidence Interval: Range where the true
value lies for the population, a =.05, 95% certain to capture the
true value Standard Deviation: Average distance each score is from
the mean S = [ (Xi Mean) 2 (n 1)] Standard Error: BLUE: Best Linear
Unbiased Estimators Seven Assumptions of CLRM: Linear Relationship
No Covariance Random distribution Homoscedasticity No
Autocorrelation More observations than I.V. No outliers Slide 48
Quantitative Terms Ordinary Least Squares (OLS): Method of finding
the linear model which minimizes the sum of the squared errors Time
Series: Follows one case over time Panel Data: More than one case
over time Pooled Data: Different cases over time Weighted Average:
Takes into account the number of cases in each category Index of
Qualitative Variation: IQV = Observed Differences Max Possible
Differences MPD = [(# of cases) 2 (# of categories)] (2 # of
categories) Central Limit Theorem: If an infinite # of random
samples of equal size selected, sampling distributions approach
normality Coefficient of Relative Variation: Used to compare
distribution with different units Slide 49 Performance Management
Tools Results Based Management: Ensuring all processes, products,
and services contribute to the achievement of desired results
Activity Based Costing: Assigns cost based on how much is actually
used Competitive Benchmarking: Comparing and measuring against
other organizations Slide 50 Performance Management Government
Performance and Reporting Act of 1993, strategic plans: Establish
top-level agency goals, objectives and annual program goals Define
how it intends to achieve these goals Demonstrate how it will
measure agency and program performance in achieving goals Slide 51
History of Budgeting Performance Budgeting: Proposed by the Hoover
Commission of 1949 Program, Planning and Budgeting System (PPBS):
President LBJ had Robert McNamara implement in the Pentagon during
Vietnam War Zero-Based Budgeting: President Carter adopted during
the 1970s Slide 52 Sample Comp Questions Slide 53 Comp Question:
Overview Provide a general overview of the field in an essay with a
comprehensive assessment of the fields evolution, its status today
as an academic discipline, and the direction of the field in the
future. Evolved from political science, business, law and sociology
Changes and grew to meet emerging societal demands Future trends in
Public Service, sustainability, information technology and disaster
management Leading contributors Wilson, Follett, Gulick, Waldo,
Simon, Dahl, Osborne & Gaebler, Denhardts Big questions that
define the field What is P.A. and its role? What is the good life?
Questions answered Administration is political and constitutionally
legitimate Questions remaining Is governance more effective than
the direct provision of government? How much government is
appropriate? The scope of public administration varies with the
peoples conception of good life, which changes with the times Slide
54 Comp Question: Performance Critically assess the various
approaches to agency performance developed by PA: What challenges
do we face in measuring performance in the public sector?
Democratic values are at odds with bureaucracy Motivation is not
the same as business, e.g. equity What are some of the key
propositions and findings about effective public organizations?
Culture must form from the top and include stakeholders Design a
strategy to assess the effectiveness of the organizations
performance. Regression model with business growth as dependent
variable Shift-share analysis to measure clusters and integration
Identify and defend possible performance measures. Change in number
and composition of businesses Reduction in local unemployment and
poverty rates Slide 55 Article Review for Comp Exam Briefly
summarize the main points of the article in terms of research
questions, hypotheses, major findings and conclusion Provide a
critical evaluation of the article, including: Assumptions made to
investigate the problem Potential contributions of the research
Internal and external validity Strengths and weakness of the data,
methodology and overall research approach Potential improvements
you would suggest Provide an explanation of the implications of the
research to the theory and practice of public administration, as
well as discussions of the statistical and substantive significance
of major findings Slide 56 Comp Question: Theory Discuss the
various theoretical and practical approaches aiming to reconcile
bureaucratic government with democratic values and key finding of
the research assessing them Political Control of Bureaucracy Agency
Theory: Hard to control bureaucrats Principal-Agent: Legislature
defers to agencies to deal with complex issues Bureaucratic
Capture: Ruled by policy elites Client Responsiveness: Work for
constituents Representative Bureaucracy Cures constitutional defect
and improves outcomes Bureaucratic Politics Who gets what when and
how Harold Lasswell, 1936 Political Power Waldo, Simon, Dahl and
Allison Slide 57 Timeline: 1776 - 1890 1776Declaration of
Independence 1787Federalist Papers, written by Hamilton, Madison
and John Jay 1789Constitution (no mention of administration)
1801-1809Jefferson decentralization, individual rights,
representation 1809-1817Madison separation and balance of power
1839-1837Jackson strong executive, spoil system grows
1835Tocqueville line between state and society is blurred 1850John
S. Mill, wage incentives, span of control, unity of command
1881President James Garfield is shot by Charles Guiteau
1883-1884Pendelton Civil Service Act, Wilsons essay 1887Interstate
Commerce Act 1890:Progressive Era begins, Reform against corruption
Slide 58 1906 1940s 1906New York Bureau of Municipal Research
1908Staunton, VA appoints 1 st city manager, differs from existing
local governments 1910Taylor Scientific Management 1914-1918World
War I 1922Max Weber, Bureaucratic form of organization 1924Maxwell
School at Syracuse 1926Whites 1 st P.A. textbook 1927Elton Mayo
Hawthorne Experiments, Mary Parker Follett 1929Stock market crash
1933-1937Roosevelt - New Deal 1937Luther Gulick POSDCORB
1938Chester Barnard Functions of the Executive 1939-1941 World War
II, Robert K. Merton opposes Webers bureaucracy
1946-1948Neoclassical Simon, Waldo, Dahl Slide 59 1960s to 1980s
1954-1960Human Relations Maslow, MacGregor, Janis 1959 Lindblom
Incremental Approach to policy making 1964Civil Rights Act of 1964,
Great Society 1965Planning, Programming, Budgeting Systems
1968Minnowbrook Conference hosted by Waldo ushers in New Public
Administration 1971Allison Decision making paradigms 1976Peter
Drucker points out problems with management by objectives, goals
dont always match 1978Civil Service Reform Act allowed non-postal
federal workers the right to unionize 1979Mintzberg Five basic
parts of an organization, Modern Public Management Reform
1980-1988New Public Management imitates private sector, Westminster
reforms in U.K. and New Zealand Slide 60 1992 - 2010 1992Osborne
and Gaebler - Reinventing Government, Steer, Dont Row 1993Gore -
National Performance Review 1998Light Scientific Management, War on
Waste, Watchful Eye, Liberation Management 2000Donald Kettl Global
Public Management Revolution, Milward, Provan and Else Hollow State
2003Bolman and Deal Organizational Frames: Structural, Human
Resources, Political, Symbolic 2004Ammons SMART performance
measures 2007Denhardt and Denhardt Serve, Not Steer 2008Barack
Obama elected President, economic crisis, Larry Bartels, Unequal
Democracy 2010EZ Program extended a year Slide 61 Neshkovas Class
Justifications for Government Policy (Weimer and Vining, 2003)
Government and Market in Theory (Lindblom, 1977) Politics and
Market in Practice (Williams and Collins, 1998) Development of the
American State (Rohr, 1986) Emergence of Bureaucracy (Skowronek,
1984) (Carpenter, 2001) Theories of Bureaucracy (Frederickson &
Smith, 2003) (Wilson, 1989) Selden, Brudney and Kellough, 1998
(Representative Bureaucracy) OLeary, 1994 (Agent Theory) Ringquest,
1995 (Capture Theory) Balla 1998 (Principal-Agent Theory) Interest
Groups and Bureaucracy (Lowi, Golden, Reforming American Public
Sector (Light, 1997) Contemporary Forces (Kettl, 2005) Federalism
and Empirical Issues (Peterson, 1996
