Comp Exam Study Guid

Comp Exam Study GuideTable of ContentsHistory(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)

HISTORY OF PUBLIC ADMINISTRATIONPositivism/ Scientific Management (1890 1920s)Woodrow Wilson (1887) Study of AdministrationProgressivism: Pendelton Act of 1883Frank Goodnow (1900) Politics and AdministrationFields legitimacy lies in administrative lawFrederick W. Taylor (1911) Scientific ManagementOne best way to accomplish tasks and manage workersHenri Fayol (1916) General Theory of ManagementUniversal approach to administrative management

Principles of Public Administration (1920s 1950s)Mary Parker Follett (1918) The New StateContradicted Scientific Management, only later acceptedOffered the first feminist perspective, web approach, networkChester Barnard (1938) Functions of the ExecutiveInfluence of values on decision-making, power of persuasionReconcile top down goals with bottom up complianceLuther Gulick and Lyndall Urwick (1937) Papers on the Science of AdministrationPrinciples of P.A. POSDCORB (Planning, Organizing, Staffing, Directing, Coordinating, Reporting and Budgeting)

Public Administration as Political Science (1940s 1970s)Herbert A. Simon (1946) Proverbs of P.A.Attacked Wilsons P.A. Dichotomy as contradictoryP.A. should be based on study of human behaviorHumans are not rational and should not be perceived as suchRobert Dahl (1947) Science of P.A.: 3 ProblemsBureaucratic Efficiency vs. Democratic ValuesRethink normative assumptions about sharp dichotomyExpand rational man to include human behaviorEmbrace historical, economic and social conditions and impactsDwight Waldo (1948) The Administrative StateAdministration is inherently political, Reject dichotomy

Human Relations/ Social Sciences(1930s 1950s)Robert K Merton (1940) Bureaucratic Structure and PersonalityArgued 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 inefficiencyHerbert A. Simon (1950) Administrative BehaviorBounded Rationality and the concept of satisficingMarshall Dimmock (1951) Free Enterprise and the Administrative StateBusiness uses economic power for profitability rather than to promote the national interestAdministration is law in actionCharles Lindblom (1959) Science of Muddling ThroughPolitical process lead to an incremental approach to policy

Modern / New Public Administration(1930s 1950s)Minnowbrook Conference (1968)Hosted by Waldo; Add equity as a social valueP.A. underwent an identify crisis as it tried to redefine itselfAaron Wildavsky (1964) Politics of the Budgetary ProcessApplied Lindbloms incremental theory to budgetingTed Lowi (1969) End of LiberalismGovt expands relentlessly to meet special interest demandsGraham Allison (1971) Essence of DecisionCuban Missile Crisis: 3 Paradigms - Rational Actor, Organizational Process and Political Process ModelsVincent Ostrom (1973) Intellectual Crisis in American Public AdministrationP.A. lacks the cumulative and empirical strength of other sciences

Minnowbrook Conference (1968)P.A. can be neither neutral nor objectiveTechnology can be dehumanizingHierarchy can be an ineffective organizational strategyBureaucracies tend toward agency survivalCooperation and consensus are more effective than exercise of authorityModern P.A. built on post-behaviorist and post-positivist logicResearch StrandsReinventors:Osborne and Gaebler - Entrepreneurial SpiritCommunitarians:Etzioni, Galston, Chrislip, Selznick - Rebuilding community and citizenshipRefounders: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 existenceNew Bureaucratic Analysts:Light, Selden, Behn, Cooper Reevaluate the relationship between politics and administrationFrom Management to Governance:Kettl, Moore, Lynn, Rainey Best practices, steering and networks

New Public ManagementNew Public ManagementGovernance OrthodoxyDavid Osborne and Ted Gaebler (1992) Reinventing GovernmentShift toward privatization and decentralization. Governments should:Steer, not rowEmpower communities to solve own problemsEncourage competitionBe driven by missions, rather than rulesMeet needs of customer, not bureaucracyConcentrate on earning money, rather than spending itInvest in preventing problems, instead of curing crisesDecentralize authorityInfluence market forces rather than create public programsTenets of NPM1) Productivity, 2) Marketization, 3) Service Orientation, 4) Decentralization, 5) Policy and 6) Accountability

New Public ManagementDonald F. Kettl (2000) Global Public Management RevolutionDescribes Westminster Reforms in NZ and UKMilward, Provan and Else (2000) Governing the Hollow StateConcerns of accountability and oversight in contractingRobert and Janet Denhardt (2007) New Public Service: Serving, not SteeringOppose Osborne and Gaebler: Serve citizens not just customersServe citizens, not customersSeek the public interestValue citizenship over entrepreneurshipThink strategically, act democraticallyRecognize that accountability is not simpleServe rather than steerValue people, not just productivity

Early AmericaFounding Fathers ViewsAlexander Hamilton: With James Madison and John Jay, Challenged Jefferson in Federalist Papers, favored elitesStrong national government and executiveThomas Jefferson:Weak executive, bottoms up approachBureaucracys accountability to the publicJames Madison:Mixed government balanced by opposing interest groups/ pluralism

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 StatePatchwork (1877-1900) Reconstruction (1900-1920)Stillmans four eras of U.S. PA ThoughtPOSDCORB Orthodoxy (1926-1946)Social Science Heterodoxy (1947-1967)Reassertion of Democratic Idealism (1968-1988)Refounding Movement (1989-Present)

Reform Reform MovementsCivil Service Reform, circa 1877 1883Pendelton Act of 1883: Introduced merit/professionalism to civil serviceProgressive Reform, circa 1879 1920New York Bureau of Municipal Research (1906): First council-manager form of government in Stanton, VA (1908)Interstate Commerce Commission (1920): Established federal regulationScientific Management, circa 1910 1970Preferred by Presidents and popularized by POSDCORBWatchful Eye, circa 1970sFavored by Congress, response to Watergate and VietnamNew Public Management Reform, circa 1979Shift towards business and general management practicesWar on Waste, circa 1980sFavored by Congress, welfare fraud trialsLiberation Management, circa early 1990sFavored by Presidents, let managers and workers find creative solutions

Theories of Public AdministrationPolitical Control of BureaucracyAgency Theory: Bureaucracies are out of control or at the least difficult to controlRosemary OLeary, The Nevada Four go nativePrincipal-Agent Theory: Legislature (principal) relies on bureaucrats (agents) due to complexity of problemsBalla (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 interestsEvan Ringquist, Political Control and Policy Impact at EPA Public participation is low, but businesses dont control policyClient Responsiveness Theory: Respond to constituents needs, Street level bureaucratsMichael Lipsky, Street level bureaucrats Teachers, cops

Representative BureaucracyOrganizations 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

Bureaucratic PoliticsRevolve around questions of political power in the key organizational dimensions of:Bureaucratic BehaviorInstitutional StructureDistribution of Power

Game Theory: Highly formulized and mathematical approach to explaining behavior and choices

Graham Allison (1971) Essence of DecisionsExamined executive decision-making during the Cuban Missile CrisisRational Actor ModelOrganizational Processes ModelPolitical Processes Model

Bureaucratic Reputation TheoryAgency autonomy is based on organizational capacity and political affiliations

Daniel Carpenter (2001) The Forging of Bureaucratic AutonomyPost Office under Anthony Comstock assumed moral guardianship against porno and gamblingMax Webers BureaucracyHierarchy of authorityImpersonalityWritten rules of conductPromotion based on meritSpecialized division of laborEfficiency

Program RootsEvolved and borrowed from Political Science, Business, Economics, Sociology, Management and LawP.A. is both an art and a science, academics and practitionersASPA is a pan-generalist organizationAcademic programs generally fall underPolitical ScienceBusiness/ ManagementPolicy and Public AffairsTrends Transforming BureaucracyAmerica as the last global superpowerPopulations shifts and immigrationReliance of foreign marketsGrowth of info and service industriesNew technologies and complexityHostile opposition to governmentSmaller and less self-sufficient householdsWidening young/old and poverty gapsShifting fundamental valuesMarket FailuresWeimer and Vining (2003):Public Goods: Federal Highway AdministrationExternalities: Environmental Protection AgencyInformation Asymmetry: Food and Drug AdministrationMonopolies and Oligarchies: Federal Communications Commission

Greatest Good Principle: Allocation of goods to maximize the social welfare functions form theories of Rawlsianism and UtilitarianismPublic PolicyPublic Policy Models Thomas R. DyeInstitutional modelEmphasizes formal and legal aspects of governmentProcess modelPolitical Systems Theory: Political response to demandsRational modelBased on Public Choice, motivations of individual actorsIncremental modelBuilds on past decisions and grows slowly and steadilyGroup modelPluralism: Diverse and competing interests for an equilibriumElite modelWealthy and policy-planning insiders influence values and preferencesPublic choice modelBureaucrats, politicians and citizens all act in their own best interestsGame theory modelStatistical approach to behavior and decision makingPolicy Analysis ToolsExtrapolation:Estimated Population = Pop. In a base year + (Avg. Growth Increment X Time Periods)Forecasting:Assuming that past trends/ events will continueCriteria Alternatives Matrix:Evaluating, rating and comparing different alternatives on multiple criteriaDiscounting:Net Present Value = Discounted Benefits-Discounted CostsPresent Value = Future Value X Discount FactorBenefit Cost Ratio:BCR = Discounted Benefits/ Discounted Costs (Greater than 1)Deflating MoneyCurrent Dollar Value = (Current dollars X Base Year Implicit Price Deflator)/ Current Year IPDCost Benefit AnalysisMonetary value is assigned to inputs and outcomes of a processsClassics of Organizational TheoryClassical Organization TheoryAdam Smith (1776) Wealth of NationsDivision and specialization of labor in a pin factory

Henri Fayol (1916) General Principles of ManagementUniversal approach to administrative management

Max Weber, I922 (1946) Nature of Social ActionModern concept of bureaucracy with strict hierarchical structure, set rules and regulations, professionalism and merit

Luther Gulick (1937) Notes on the Theory of OrganizationPrinciples of P.A. POSDCORB (Planning, Organizing, Staffing, Directing, Coordinating, Reporting and Budgeting)

Neoclassical Organization TheoryChester Barnard (1938) Economy of IncentivesPower of persuasion to motivate and induce workers

Herbert Simon (1946) Proverbs of AdministrationAttacked Wilsons P.A. Dichotomy as contradictory, e.g. division based on purpose, place, process or clientele?

Phillip Selznick (1948) Foundations of the Theory of OrganizationIndividuals may have different goals than the organizationCooptation is a way of managing opposition and so preserving stability and the organization

Cyert and March (1959) Behavioral Theory of Organizational ObjectivesHow decisions are taken within a firm, Compromise between different individuals and groups within an organization that have their own aspirations and conflicting interests

Behavior/ Human ResourcesMary Parker Follett (1926) Giving of OrdersWeb 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 EnterpriseTheory X and Y: Different views on human motivation tactics, Can become a self-fulfilling prophecy

Irving Janis (1971) GroupthinkDesperate drive for consensus at any cost

Modern Structural OrganizationsBurns and Stalker (1961) Mechanistic and Organic SystemsMechanistic: Stable, hierarchic, precise roles and rules, Organic: Changing, networks, innovation, community

Blau and Scott (1962) Concept of Formal OrganizationCollective Actors, Formal Organization: fixed set of rules, Informal Organization: interlocking social structure

Henry Mintzberg (1979) Five Basic Parts of the Organization1) Strategic Apex, 2) Middle line, 3) Operating core, 4) Technostructure, 5) Support Staff

Power and PoliticsFrench and Raven (1959) Five bases of Social Power1) Referent, 2) Expert, 3) Reward, 4) Coercive, and 5) Legitimate

Cohen and March (1974) Leadership in an Organized AnarchyGarbage can theory: decision making is neither consequential nor sequential

Henry Mintzberg (1983) Power Game and the PlayersResources, Technical Skills, Body of Knowledge, Formal Power, and Access to PowerInternal Coalitions: CEO, Operators, Line Managers, Analysts, Support Staff and IdeologyExternal Coalitions: Owner, Associates, Employee Associations, Publics, DirectorsCulture and Change/ EnvironmentEdgar Schein (2004) Concept of Organizational CultureSet of shared beliefs and expectations based on societal norms

Katz and Kahn (1966) Systems ConceptOpen systems, seek optimal solutions, not just one best way

Bolman and Deal (2003) Reframing OrganizationsStructural = FactoriesHuman Resources = FamiliesPolitical = JunglesSymbolic = Temples

Performance ManagementPerformance ManagementPresidential TrendsClinton: National Performance ReviewOffice of Reinventing GovernmentAmerica @ its Best Work better and cost less

Bush: Managing for ResultsPART (Program Assessment Rating Tool) Traffic Light Signal with executive discretion

Obama: Accountable Government InitiativeReform contracting, Promote accountability, Close IT gap, Recruit top talent and Cut waste,

Performance Management ToolsS.M.A.R.T.: David Ammons (2000)SpecificMeasureableAttainableResults-OrientedTime-Bound

Balanced Scorecard: Kaplan and Norton (1993)FinancialsCustomersInternal ProcessesInnovation and LearningResearch MethodologyGovernanceA New Model of GovernanceMilward, Provan and Else (1993) Hollow State Metaphor for public service provision outsourced to may providers and reducing direct provisionLynn, Heinrich and Hill (2000) Governance and Performance How can public-sector regimes, agencies, programs and activities be organized to achieve public purposes?Theory-Building ResearchAtheoretical Builds on theory through descriptionsDisciplined Configurative Use theories to explain a caseHeuristic Identify new variables, hypotheses and causesTheory Testing Assesses validity and scope of a theoryPlausibility Probes Preliminary studies on untested theoriesBuilding Blocks Identifying common patternsQualitative MethodsCase StudiesIn-Depth Review can include Interviews, Archival Documents, Observations, and ArtifactsPath DependencyHow the set of decisions one faces for any circumstance is limited by the decisions one has made in the pastProcess TracingTracing the causal process from the independent variable of interest to the dependent variableCongruence MethodTo fully understand an organizations performance, must understand the organization as a system that consists of some basic elementsTemporalityTime Bound, related specifically to the past, present or futureCritical JuncturesDavid (1985) QWERTY keyboards vs DvorakCounterfactual AnalysisIf A had not occurred, C would not have occurred.

Quantitative Data and MethodsLevels of Measurement:Nominal Limited options, such as genderOrdinal Order, such as gradesInterval Rank, such as temperatureRatio Percentage with natural zeroIntercept: Point where line crosses Y axisSlope: Expected change in Y for one unit change in X, holding others constantT-Test: Significance of each variable, if more than 2 reject null there is a linear relationP-Value: If small than reject null hypothesisR-Squared: Goodness of fit, Proportion of variation in Dependent Variable explained by Independent VariablesSkewness: Tilt of the bell curveKurtosis: Peak of the bell curve

QuantitativeConfidence Interval: Range where the true value lies for the population, a = .05, 95% certain to capture the true valueStandard 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 RelationshipNo CovarianceRandom distributionHomoscedasticityNo AutocorrelationMore observations than I.V.No outliers

Quantitative TermsOrdinary Least Squares (OLS): Method of finding the linear model which minimizes the sum of the squared errorsTime Series: Follows one case over timePanel Data: More than one case over timePooled Data: Different cases over timeWeighted Average: Takes into account the number of cases in each categoryIndex of Qualitative Variation:IQV = Observed Differences Max Possible DifferencesMPD = [(# of cases)2 (# of categories)] (2 # of categories)Central Limit Theorem: If an infinite # of random samples of equal size selected, sampling distributions approach normalityCoefficient of Relative Variation:Used to compare distribution with different unitsPerformance Management ToolsResults Based Management: Ensuring all processes, products, and services contribute to the achievement of desired resultsActivity Based Costing: Assigns cost based on how much is actually usedCompetitive Benchmarking:Comparing and measuring against other organizationsPerformance ManagementGovernment Performance and Reporting Act of 1993, strategic plans:Establish top-level agency goals, objectives and annual program goalsDefine how it intends to achieve these goalsDemonstrate how it will measure agency and program performance in achieving goalsHistory of BudgetingPerformance Budgeting: Proposed by the Hoover Commission of 1949Program, Planning and Budgeting System (PPBS): President LBJ had Robert McNamara implement in the Pentagon during Vietnam WarZero-Based Budgeting: President Carter adopted during the 1970sSample Comp QuestionsComp Question: OverviewProvide 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 sociologyChanges and grew to meet emerging societal demandsFuture trends in Public Service, sustainability, information technology and disaster managementLeading contributorsWilson, Follett, Gulick, Waldo, Simon, Dahl, Osborne & Gaebler, DenhardtsBig questions that define the fieldWhat is P.A. and its role? What is the good life?Questions answeredAdministration is political and constitutionally legitimateQuestions remainingIs 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 timesComp Question: PerformanceCritically 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 bureaucracyMotivation 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 stakeholdersDesign a strategy to assess the effectiveness of the organizations performance.Regression model with business growth as dependent variableShift-share analysis to measure clusters and integrationIdentify and defend possible performance measures.Change in number and composition of businessesReduction in local unemployment and poverty rates

Article Review for Comp ExamBriefly summarize the main points of the article in terms of research questions, hypotheses, major findings and conclusionProvide a critical evaluation of the article, including:Assumptions made to investigate the problemPotential contributions of the researchInternal and external validityStrengths and weakness of the data, methodology and overall research approachPotential 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

Comp Question: TheoryDiscuss the various theoretical and practical approaches aiming to reconcile bureaucratic government with democratic values and key finding of the research assessing themPolitical Control of BureaucracyAgency Theory: Hard to control bureaucratsPrincipal-Agent: Legislature defers to agencies to deal with complex issuesBureaucratic Capture: Ruled by policy elitesClient Responsiveness: Work for constituentsRepresentative BureaucracyCures constitutional defect and improves outcomesBureaucratic PoliticsWho gets what when and how Harold Lasswell, 1936Political Power Waldo, Simon, Dahl and Allison

Timeline: 1776 - 18901776Declaration of Independence1787Federalist Papers, written by Hamilton, Madison and John Jay1789Constitution (no mention of administration)1801-1809Jefferson decentralization, individual rights, representation1809-1817Madison separation and balance of power1839-1837Jackson strong executive, spoil system grows1835Tocqueville line between state and society is blurred1850John S. Mill, wage incentives, span of control, unity ofcommand1881President James Garfield is shot by Charles Guiteau1883-1884Pendelton Civil Service Act, Wilsons essay1887Interstate Commerce Act1890:Progressive Era begins, Reform against corruption1906 1940s1906New York Bureau of Municipal Research1908Staunton, VA appoints 1st city manager, differs from existing local governments1910Taylor Scientific Management1914-1918World War I1922Max Weber, Bureaucratic form of organization1924Maxwell School at Syracuse1926Whites 1st P.A. textbook1927Elton Mayo Hawthorne Experiments, Mary Parker Follett1929Stock market crash1933-1937Roosevelt - New Deal 1937Luther Gulick POSDCORB1938Chester Barnard Functions of the Executive1939-1941 World War II, Robert K. Merton opposes Webers bureaucracy1946-1948Neoclassical Simon, Waldo, Dahl

1960s to 1980s1954-1960Human Relations Maslow, MacGregor, Janis1959 Lindblom Incremental Approach to policy making1964Civil Rights Act of 1964, Great Society1965Planning, Programming, Budgeting Systems1968Minnowbrook Conference hosted by Waldo ushers in New Public Administration1971Allison Decision making paradigms1976Peter Drucker points out problems with management by objectives, goals dont always match1978Civil Service Reform Act allowed non-postal federal workers the right to unionize1979Mintzberg Five basic parts of an organization, Modern Public Management Reform1980-1988New Public Management imitates private sector, Westminster reforms in U.K. and New Zealand

1992 - 20101992Osborne and Gaebler - Reinventing Government, Steer, Dont Row1993Gore - National Performance Review 1998Light Scientific Management, War on Waste, Watchful Eye, Liberation Management2000Donald Kettl Global Public Management Revolution, Milward, Provan and Else Hollow State2003Bolman and Deal Organizational Frames: Structural, Human Resources, Political, Symbolic2004Ammons SMART performance measures2007Denhardt and Denhardt Serve, Not Steer2008Barack Obama elected President, economic crisis, Larry Bartels, Unequal Democracy2010EZ Program extended a year

Neshkovas ClassJustifications 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