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  1. Comp Exam Study Guide

  2. Table of Contents • History • (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)

  3. HISTORY OF PUBLIC ADMINISTRATION

  4. Positivism/ Scientific Management (1890 – 1920s) • Woodrow Wilson (1887) “Study of Administration” • Progressivism: Pendelton Act of 1883 • Frank Goodnow(1900) “Politics and Administration” • Field’s 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

  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 LyndallUrwick(1937) “Papers on the Science of Administration” • Principles of P.A. – POSDCORB (Planning, Organizing, Staffing, Directing, Coordinating, Reporting and Budgeting)

  6. Public Administration as Political Science (1940s – 1970s) • Herbert A. Simon (1946) “Proverbs of P.A.” • Attacked Wilson’s 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

  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 • Weber’s 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

  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 Lindblom’s 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

  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

  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

  11. New Public Management

  12. New Public Management • Governance Orthodoxy • David Osborne and Ted Gaebler (1992) “Reinventing Government” • Shift toward privatization and decentralization. Governments should: • Steer, not row • Empower communities to solve own problems • Encourage competition • Be driven by missions, rather than rules • Meet needs of customer, not bureaucracy • Concentrate on earning money, rather than spending it • Invest in preventing problems, instead of curing crises • Decentralize authority • 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

  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 • Serve citizens, not customers • Seek the public interest • Value citizenship over entrepreneurship • Think strategically, act democratically • Recognize that accountability is not simple • Serve rather than steer • Value people, not just productivity

  14. Early America

  15. Founding Father’s 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 • Bureaucracy’s accountability to the public • James Madison: • Mixed government balanced by opposing interest groups/ pluralism

  16. Time Periods in P.A. • Rohr’s three periods of political foundings: • Founding of the Republic (1787-1795) • Founding of PA (1883-1899) • Founding of the Administrative State (1933-1941) • Skrownek’s building of a new American State • Patchwork (1877-1900) • Reconstruction (1900-1920) • Stillman’s 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)

  17. Reform

  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

  19. Theories of Public Administration

  20. Political Control of Bureaucracy • Agency Theory: Bureaucracies are out of control or at the least difficult to control • Rosemary O’Leary, “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 Medicare’s 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 don’t control policy • Client Responsiveness Theory: Respond to constituents’ needs, Street level bureaucrats • Michael Lipsky, “Street level bureaucrats” – Teachers, cops

  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

  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

  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

  24. Max Weber’s Bureaucracy • Hierarchy of authority • Impersonality • Written rules of conduct • Promotion based on merit • Specialized division of labor • Efficiency

  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

  26. Trends Transforming Bureaucracy • America as the last global superpower • Populations shifts and immigration • Reliance of foreign markets • Growth of info and service industries • New technologies and complexity • Hostile opposition to government • Smaller and less self-sufficient households • Widening young/old and poverty gaps • Shifting fundamental values

  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

  28. Public Policy

  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

  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

  31. Classics of Organizational Theory

  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)

  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 Wilson’s 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

  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

  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

  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

  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

  38. Performance Management

  39. Performance Management • Presidential Trends • Clinton: National Performance Review • Office of Reinventing Government • America @ it’s 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,

  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) • Financials • Customers • Internal Processes • Innovation and Learning

  41. Research Methodology

  42. Governance

  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?

  44. Theory-Building Research • Atheoretical – Builds on theory through descriptions • Disciplined Configurative – Use theories to explain a case • Heuristic – Identify new variables, hypotheses and causes • Theory Testing – Assesses validity and scope of a theory • Plausibility Probes – Preliminary studies on untested theories • Building Blocks – Identifying common patterns

  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 organization’s 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”.

  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

  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 = √ [Σ(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

  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

  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

  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