1.Systems and Environment of the Public Sector

1
1.Systems and Environment of the Public Sector
2
Five Great Ideas in Public Administration
Value Productivity Effectiveness ? Ethics,
Responsiveness Practice War on Poverty, NPA
Great Society Program Theory Operation
Research Cost-benefit analysis
Cost-effectiveness analysis, PPBS
Value Humanism Theory Motivation
Behavioral Model Human Relation School
Organization Development School
Value Neutrality, Businesslike Practice
Pendleton Act Theory Reform Movement.
Public Choice Theory Dichotomy
Value Efficiency Practice Brownlow
Committee Theory Closed Model Scientific
Management Bureaucratic Model(Weber) Ten
Principles(Urwicks) POSDCORB(Gulic)
Value Politics, Policy Practice Sunset
Law Theory P.APoliticsManagement
Bureaucratic Politics(Iron Triangle) Decision
Making Theory
LEE, S.H. (2004). School of Public Affairs and
Administration, Rutgers University Newark from
HOLZER, M. and V. Gabrielian (1997). Five Great
Ideas in Public Administration, Handbook of
Public Administration, Second Edition 49-101.
3
Classic Theories of Organizations and Decision
Making
Dichotomy
Dichotomy
Rejection
Politics Administration
Accountability
Structural Mechanism
Hierarchical Accountability
Legitimacy of P.A.
Bureaucracy Democracy
Most Rational Mode
Bounded Rationality
Democratic Principles
Instrumental Rationality
Bureaucratic Model
Public Choice
Humanistic Approach
Organization Management
Organization Theory
Generic Theory
Incrementalism
Organizational Learning
Theory Practice
Scientific Approach
Logical Positivism
Interpretive Theory
Critical Social Theory
Theories of Public Organization
Within Political Science
As a Profession
As a Part of Management Theory
LEE, S.H. (2004). School of Public Affairs and
Administration, Rutgers University - Newark
4
Classics of Public Administration
Wilson (1887) Academic Field of P.A.
Politics-Admin. Dichotomy
Goodnow (1900) Politics-Admin. Dichotomy
Two Functions
Taylor (1912) Scientific Management The
one best way
Willoughby (1918) Executive Budgeting System
Budget Reform
Weber (1922) A set of Structural
Arrangement. Politics-Admin. Dichotomy
White (1926) Academic Field of P.A.
Basis for the Study of P.A.
Follet (1926) Law of Situation Theory of
Individuals within Organization
LEE, S.H. (2004). School of Public Affairs and
Administration, Rutgers University - Newark
5
New Paradigms and Perspectives
LEE, S.H. (2004). School of Public Affairs and
Administration, Rutgers University - Newark
6
Crossing the Boundary between Traditional Public
Administration and Postmodern Public
Administration
Traditional Public Administration
Postmodern Public Administration
Governing for the betterment of Society
Polity Inclusiveness of Civic Society
Bureaucracy
State
Diverse groups, minority, pluralism
High Performance
Oppositional Civil Society

• Dialectical Exchanges
• Trust

Citizen
Public Officials
Social issues
Citizen, Lay person
Active participation Democratic Inclusion
Corporatism

• Open
• Honest

• Normative Criteria for Democratic Deliberation
  (King, Feltey, Susel 1998)
• Directness
• Shared Decision
• Equal status
• Collaborative Discussion

• Governing State
• Hierarchical relationship
• Direct, Command
• Uniformity

State Stability Selective Democracy
Election
vote
KRUEATHEP, W. (2006). School of Public Affairs
and Administration, Rutgers University - Newark
7
Evolution of Bureaucratic Models
Classic Bureaucratic Model
Conflict with Goals and Resources
Neo Bureaucratic Model
Top Level Management and Administrators
Top Level Management and Administrators
New Public Administration
Street Level Bureaucrats
Citizens
Social Equity Participation Redefining
Theories New Blood
Institutional Model
the Bureaucracy
the Bureaucracy
Discretion Citizen Participation
Actual Behav. Attitude
Human Relations Model
Conflict
Public Choice Model
Determine Policies
1950s
1960s
1970s
1980s
1990s
GREEN,M. (1998). School of Public Affairs and
Administration, Rutgers University - Newark
8
The Framework for Public Administration
- Politics and P.A. - Public v.s Private
ENVIRONMENT
- Bureaucracy - Federalism
Government
- Structure - Informal Group
Media
Citizen
- Behavior
Social Environment
Academic Environment
Management Decision Making Communication
- Function
- Theory
Economic Environment
Political Environment
- Budgeting - Taxing - Auditing - Accounting
- Motivation - Leadership
PhilosophyValue(Democracy,
Efficiency v.s Responsiveness, Public v.s
Private) Definition Purpose,
Scope Ethics Norm(Relationship
Between Ethics and Public Services)
LEE, S.H. (2004). School of Public Affairs and
Administration, Rutgers University - Newark
9
The Open-Systems Nature of Government
Organizational Processes
GOVERNMENT
Legislative Body
Executives Offices
Constituencies
Direct Services (Output)
Public Agency
Input
BALK, W.L. (1975). Improving Government
Productivity Some Policy Perspectives, Sage
Publications, Beverly Hills, CA, 70p.
Ask Permission
10
Elements of Managing
Decide
Direct the
5
Organize
4
Objectives
Plan
Coordinate
6
3
12
Attainment
Communicate
Synthesize Information
7
Establish
Develop People
Motivate
Promote Innovation
2
11
10
of Objectives
8
Direct, Guide or Counsel
1
Gather Information
9
Measure, Evaluate, and Control
Measure Results
DAVID, Patricia (1971). Management Skills,
Prepared by the National Center for Public
Productivity
11
Administrative Behavior
Administrative behavior
Historical synthetic analysis
Theory of decision making
Theory of organization
Toward profession and already satisfies some
criteria
Division of work
Rational actor
Org-process
Gov-politics

• Human nature, time, space
• Machinery
• Material handled
• Three limits

Continuous debate about theory core, role,
identity, content
Make democracy
work
Process of procedures of large orgs.
Reason of gov decision
Politics of government
Focus
Politics-admin. Dichotomy remain questionable in
academic practice

• From both top and bottom

Asmini-pricate dichotomy debatable with sector
blurring
Unit of analysis
Gov. choices
Political resultant
Organizational pattern
Org. output

• Subdivision of executive (POSDCORP)

After classical behavioral school, a science of
admin.
Perception motivation position power
Strength procedure repertoires
Goals of the nation
Concepts
Trend toward profession continue with debates and
paradox

• Method organization or intelligent singleness
• Span of control
• One master
• Technical efficiency

Resultant of bargaining among players
A sort of action a type of goal
Org. features procedures repertoires
Pattern of inference
Ethics remains in the orientations of Weber and
Wilson, but its a endless enterprise
Whats the context and pressures
Coordination of work
Calculating the rational thing
Decision analysis
Challenge to bureaucracy quiet revolution new PA
What did what to whom
YANG,K. (1999). School of Public Affairs and
Administration, Rutgers University - Newark
12
Sequential Process Model
Culture for Quality Service
Communication of SQI
Climate for Change
Quality Program Perceptions
Job Satisfaction
Occupational Alienation
Organizational Commitment
Patient Care
HARBER, D.G. Ashkanasy, N.M. and Callan, V.J.
(1997). Issues in the Evaluation of Management
Training, Public Productivity Management
Review, 21(1)19.
13
Parallel Process Model
Culture for Quality Service
Quality Program Perceptions
Communication of SQI
Climate for Change
Job satisfaction
Occupational Alienation
Organizational Commitment
Patient Care
HARBER, D.G. Ashkanasy, N.M. and Callan, V.J.
(1997). Issues in the Evaluation of Management
Training, Public Productivity Management
Review, 21(1)20.
14
General Schema of Positive and Negative Feedback
Loops Controlling Organizational Life Cycles
Internal Growth Enhancing Effects
Internal Growth Limiting Effects
External Growth Limiting Effects
External Growth Enhancing Effects
Organizational Resources
()
(-)
ANDERSEN, D.E. (1981). A System Dynamic View of
the Competing Values, Public Productivity
Review, 5(2)170.
15
Conceptual Approach to Organizational Issues
Issue
Focus
Solution
Control
Fiscal Legal Managerial Policy
Unit Organization Extraorganization
Unit Administrative System Extraorganization
Content-related Process-related
Classification
Resolution
Implementation
McGOWAN, R.P. and Von Stroh, G.E. (1986).
Organizational Resources and Commitments to
Productivity Improvement, Public Productivity
Review, 10(1)39.
16
Bureaucratic Innovation Authorization Process
Policy Ideas
Political Ratification
If Policy
Informal Consultation with Politicians
Borderline Cases
Sources of Ideas

• Bureaucrats
• Clients
• Vendors
• Experts
• Politicians
• others

Ideas for Practice
Policy Advancing Innovations
if Innovation
Bureaucratic Implementation
Bureaucratic Implementation
Sharing Political Credit
ZEGAN, M.D. (1992). Innovation in the
Well-Functioning Public Agency, Public
Productivity Management Review, 16(2)148.
17
Decision Making by Herbert A. Simon
Organization as Decision Unit
Bounded Rationality Cognitive limits on
rationality

• Modes of Organizational Influence
• information
• Organizational loyalties
• Criterion of efficiency
• Advice and information
• training

Human Problem-Solving Process
Logical positivism 1)Distinction between fact
and value 2)The role of values emphasized the
subjective elements of decision maker 3)Science
is concerned with facts, not values
True Scientific Method Principles of
administration inconsistent, conflicting,
inapplicable
RHO,S.-Y. (1998). School of Public Affairs and
Administration, Rutgers University - Newark
18
A Capacity Building Framework
DEVELOP PROGRAMS Devise Programs to Implement
Policies

• ATTRACT RESOURCES
• Recruitment and selection of personnel
• Taxing
• Grantsmanship

MAKE POLICY Formulate Policy Based on Best
Available Knowledge
ANTICIPATE CHANGE Anticipate demographic,
economic, and political changes

• ABSORB RESOURCES
• Processing of new employees
• Buying supplies and equipment

WHAT The organization is doing

• ABSORB MANAGE
• Budgeting and financial management
• Labor relations
• Record keeping

Evaluate Activities
How WELL It is Doing It
Apply Lessons of future activities
Current LEVEL of Activity
HONAGLE, B.W. (1981). A Capacity-Building
Framework A Search for Concept and Purpose,
Public Administration Review, 41(5) 575-580.
19
Components of a Decision Support System
Environment
Situational Factors
Decisions
Decision Maker
Input Results
Output Information
Technology for Display and Use
Data Analysis Capability
Expert Systems
Normative Models
Data Bank
HURLEY, M.W. and W.A. Wallace (1986). Expert
systems as Decision Aids for Public Managers An
Assessment of the Technology and Prototyping as a
Design Strategy, Public Administration Review,
46(6) 563-571.
20
The Iterative Systems Development Cycle
System Planning
Preliminary Systems Analysis
Preliminary Systems Design
Initial Prototype Implementation
Evaluation
Prototyping Cycle
Implementation
Analysis
Design
Operation and Maintenance (Postaudit Evaluation)
RUBIN, B.M. (1986). Information Systems for
Public Management Design and Implementation,
Public Administration Review, 46(6) 540-552.
21
Elements of Quality Management
Customers
Employers

• Involvement
• Empowerment
• Fair Wagers
• Pride
• Soc. Resp.
• Ethics

• Q Products
• Q Services
• Fair Prices
• Soc. Resp.
• Ethics

Customer Satisfaction
Employee Involvement
Quality Management
Continuous Improvement
Funders

• Cust. Satisfaction
• Efficiency
• Effectiveness
• Fair R.O.I.
• Soc. Resp.
• Ethics

HOLZER, M. (1996). Beyond Traditional
Assessments Building New Pressures for
Productivity and Quality, Prepared for the
International working Group on Public Sector
Productivity of the International Institute of
Administrative Sciences, Helsinki, Finland, April
26-27.
22
The Financial-Reporting System
User community
The organization
Decision about support and participation
Organizational activities
Accounting system
Performance assessment
Financial disclosures
Oversight and mentoring
KEATING, E.K. and P. Frumkin (2003).
Reengineering Nonprofit Financial
Accountability Toward a More Reliable Foundation
for Regulation, Public Administration Review,
63(1) 3-15.
23
2.Developing Human Resources
24
Changes in Public Personnel Management
Federalist Period,1789-1800
The Jeffersonians 1801-1829
Era of the Spoils 1829-1865
The Road to Reform 1865-1883
Safety Needs
Psychological Needs
Theory Y
Civil Service Reform Early 20th Century
Carrot-Stick Approach
Formal Organizations
Social Needs
Necessary for
Theory X
Wartime and Peacetime Needs 1940s
informal organizations
Ego Needs
Downsizing 1990s
Self-Fulfillment
Motivation
Example
"Invisible Government"
Retrenchment 1980s
Accountability, Equity Justice 1960s
Slow Growth in Govt 1950s
Reform 1970s
DIÑOSO, P. (2006). School of Public Affairs and
Administration, Rutgers University - Newark
25
Process Model of the Effects of Objective
Physical Factors on Individual Attitudes and
Behavior
Objective Factors
Assessment Criteria
Experienced Environment
Individual Attitudes and Behavior
Space Furnishings Equipments Illumination Thermal
Factors Cleanliness Acoustics Colors Surfaces Vent
ilation Fixtures Way-finding properties Ergonomics
Adequacy Arrangement Symbolic features Extent
of user control
Sense of Place
Job satisfaction
CARNAVALE, D.G. and Rios, J.M. (1995). How
Employees Assess the Quality of Physical Work
Settings, Public Productivity Management
Review, 18(3)222.
26
Comparison of Location of control Over
Subordinates Activities an Location of Control
Over Subordinates Goals and Objectives in
Management of Activities, Management by
Objectives and Management by Results
Pure management by results
Pure management by objectives
Subordinate only
Subordinate in consultation with superior
Actual mgmt. by objectives
Actual mgmt. by results
Subordinate and superior jointly
LOCATION OF CONROL OVER SUBORDINATES ACTIVITIES
Superior in consultation with subordinate
Pure management of activities
Superior only
None
None
Sup. only
Sup. in cons. w/sub.
Sub. sup. jointly
Sub. in cons. w/sup.
Sub. only
LOCATION OF CONROL OVER SUBORDINATES OBJECTIVES
AND GOALS
NORTON, S.D. (1976). Management by Results in
the Public Sector, Public Productivity Review,
2(1)28.
27
Senior Executive Service Program Design Logic
PROGRAM COMPONENTS Personnel Allocation Track
OBJECTIVES
Rational deployment of SES in response to federal
priorities
Central control of SES allocation
Improve career noncareer interface
Rank-in-person mobility
Improve program performance
Performance Effectiveness Task
Reward good executives dismiss incompetents
Improve individual competence motivation
performance
Improve agency performance
Pay-linked performance appraisal systems
Clarify and link agency, program and individual
performance objectives
Personnel development and certification track
Executive development programs
Attract women and minorities
Controls against prohibited personnel practices
Attract outside talent
Certified professional qualifications
Eliminate prohibited personnel practices
Increase public confidence and satisfaction
Executive recruitment and placement systems
BUCHANAN, B. (1981). The Senior Executive
Service How We Can Tell If It Works, Public
Administration Review, 41(3) 349-358.
28
Patterns of Promotion within Organization and
other Sources of Managers, in the Private and
Public Sectors
Companies in Related and
Unrelated Industries
Other sources Private sector
Party officials Elected officials
Political appointees in other govt
agencies
Upper-Level Management
3
Middle-Level Management
Other Govt Agencies
Companies in Related Industries
Lower-Level Management and professionals
2
2
Workers Colleges Univ. Other Govt
Agencies
Workers Colleges Univ. Companies in
Related Industries
1
1
Workers
Private Sector
Public Sector
1 Hourly or non-professional employees who reach
the first level of management 2 New or recent
college graduates who reach the middle management
level 3 Middle managers who reach the upper
management level
NORTON, S.G. (1976). Management by Results in
the Public Sector, Public Productivity Review,
2(1)30.
29
Consultants and Technology Transfer in the Public
Sector the Consultant Episode
Existence an Objective Condition
Perception of the Condition
Definition of the Condition
Organizational Characteristics
Organizational Setting
Generation of Strategies
Selection of Strategies
Hire a Consultant
Direct Management
Evaluation
Pay Consultant
Planned Outcomes
Unplanned Outcomes
Maintain Retain Alter Abolish
Existence of an Objective Condition
PATTENAUDE, R.L. and L.M. Landis (1979).
Consultants and Technology Transfer in the
Public Sector, Public Administration Review,
39(5) 414-420.
30
Policy Leadership and Decision Making
Leadership

• preferences
• situational

Decision Bases
Power Bases/ Sources

• Rational Calculation
• Ethical Imperatives
• Political Desirability
• Administrative Feasibility
• System Shifts

• Legitimate / position / coercive
• Expert
• Informational
• Referent / Connection

Policy / Decision Making
Power Development

• Ability
• Credibility
• Goal Setting
• Buffering
• Coalition Building

WINTERMUTE, M. (2000). School of Public Affairs
and Administration, Rutgers University - Newark
31
Gaining the Power to Lead
Gaining the Power to Lead
Sources of Power
Hierarchy (Formal Positions)
Informational Power (Being in the
know having access to info)
Expert Power (Formal Positions)
Referent Power (Individual or groups
as points of reference)
Developing Power sources to the Best Advantage
Ability
Credibility
Goal Setting
Buffering
Coalition-Building Strategies
SMITH, J. (2000). School of Public Affairs and
Administration, Rutgers University - Newark
32
Management Excellence Framework
Broad Perspective
Leadership
Action
Focus
Inter- personal
sensitivity
Organizational
Personal
Team
Strategic
Orientation
Communication
Results
Tech. Competence
View
Sensitivity
Environmental
Flexibility
U.S. Office of Personnel Management (1985). The
Management Excellence Framework, Washington,
D.C., Office of Personnel Management
33
3.Adapting Technologies
34
A Framework for Competing Values and E-Government
Effectiveness
Toward Decentralization Differentiation
(Flexibility)
Digital Democracy Model (Open Systems)
Organizational Learning Model (Human Relations)
Data sharing access to
public information
Agency autonomy
Human capital investment End user focus
Citizen participation
Internal focus
External focus
Cost efficiency
Internal operations focus
Security privacy
Centralized implementation standardization
one-stop service
Toward Centralization Integration (Flexibility)
Cost Efficiency Model (Rational Goal)
Information Security Model (Internal Process)
KIM, S. and Kim, D. (2003). South Korean Public
Officials Perceptions of Values, Failure and
consequences of Failure in E-Government
Leadership, Public Productivity Management
Review, 26(4)363.
35
Policy Issues on Information Technology in Public
Administration
Regulatory environment Will IT and the Internet
make markets more efficient? Will IT and the
Internet boost competition?
Tax Issues Tax or Not (tax exemption or imposing
tax) To Whom? (to sellers or to buyers)

• Organizational Level
• Democratization/
• Decentralization Theory
• Sociotechnical Theory

• Societal Level
• Dystopian Theory
• Social Capital

• Policy Issues
• Global Integrationist
• Theory
• Right regulatory and
• public policy
• environment for the
• digital economy

Individual Level IT use to individual transforma
tion and development of social capital through
virtual communication, education, and work.
Information Technology and Communication (Technolo
gy is complex and situational, as a result,
information technologies are connected
reciprocally with individual behavior,
organizational/ institutional arrangements, and
social issues.)
RHO,S.-Y. (2002). School of Public Affairs and
Administration, Rutgers University - Newark
36
A Flowchart for Capital Planning and Technology
Assessment
Decision to Make Capital Request(cost meets
predetermined dollar threshold)
Request forms completed and submitted to Capital
Planning Committee
Technology assessment committee
Is a Technology Assessment Indicated? Criteria
may include
- high cost/high tech
- controversial
- has
potentially broad (hospital wide) implication
Apply initial screening criteria
Yes
TA
No TA
Consider Sub-Committee or Ad Hoc(literature
review/data collection)
No
Apply capital decision making process
(consider use of key question)
Apply key questions
Decision (yes or no) to recommend
acquisition made on request
Decision made on request
No
Yes
Acquisition of new technology
Overnight for implementation and evaluation
UPHOFF, M.E. and Krane, D. (1998).
Hospital-Based Technology Assessment Essential
Questions and an Operational Model, Public
Productivity Management Review, 22(1)60-70.
37
Analytical Framework of Managing Government
Information Technology Outsourcing
Outcome
Internal Factors
External Factors
Political/ Regulatory Environment

• Top management support
• Partnership approach
• Selective outsourcing with a strategic fit
• Commitment of financial and human resources
• Relationship management
• Management capacity
• Performance management using service-level
  contracts

Performance
IT Marketplace
Characteristics of Technology Services
CHEN, Y.-C. and Perry, J. (2003). Analytical
Framework of Managing Government Information
Technology Outsourcing, Public Productivity
Management Review, 26(4)407.
38
Technological and Organizational Complexity
Horizontal Integration
Complex

• -Systems integrated across different function
• Real one stop shopping for citizens

Technological and Organizational Complexity
Vertical Integration

• -Local systems linked to higher level systems
• Within similar functionalities

Transaction

• -Services and Forms online
• Working database supporting online transactions

Catalogue

• -Online Presence
• Catalogue Presentation
• Downloadable Forms

Simple
Sparse
Complete
Integration
HOLDEN, S.H. Norris, D.F. and Fletcher, P.D.
(2003). Electronic Government at the Local
Level Progress to date and Future Issues,
Public Productivity Management Review,
26(4)328.
39
The Interrelationship of Case Management
Information System Implementation Problems
Organizational Cooperation Problems
Design and Cognition Problems
Inter-organizational
Reliance on outside consultants
Difficulty in anticipating future information
needs
Intra-organizational
Collection of data not regularly used
Net costs for data collectors
Rigidity tech. resources not available for
modification of system to meet changing needs
Reliance on shared system may reduce timeliness
of reports
Poor data quality
Support of two systems during start-up
Need for continuous training
Poor data quality discourage use
Lack of use hinders error correction
vicious cycle
Failure to realize potential uses
Lack of in-house resources for special studies
WEIMER, D.L. (1980). CMIS Implementation A
Demonstration of Predictive Analysis Public
Administration Review, 40(3) 231-240.
40
Traditional Government Bureaucracy and the
Reality of Virtual Services
Certificate of Occupancy
Zoning Information
Business Taxes
Pay Violations
Business Incentives
Food Certificates
Building Permits
Garbage Collection
Sidewalk Seating
Insurance
Department of Health
Trade Waste Commission
Finance Department
Consumer Affairs
City Planning
DBS
DEP
DOB
FDNY
DOT
Business Taxes
Pay Violations
Zoning Information
Certificate of Occupancy
Food Certificates
Business Incentives
Garbage Collection
Sidewalk Seating
Insurance
Building Permits
City Planning
Health Department
DEP
DOB
FDNY
DBS
Finance
BLOOMBERG, M.R. (2003). Efficiency,
Effectiveness, and Accountability Improving the
Quality of Life Through E-Government, City of
New York
41
E-Government Effectiveness and Efficiency
E-government Efficiency

• -Enterprise Systems
• Financial management
• Procurement
• Personnel Management

-Personnel Requirements -Labor Relations\ -Role
of Consultants (Privatization)
Dynamic web presence
Org posts static info to the web.
Bricks And Mortar
Organizational Transformation
Basic Interactions
Transactional Interactions
E-governance
Communicative Interactions
-Enterprise Resource Planning -Business Process
Re-engineering -Strategic Planning for IT and
E-gov. -Measuring e-government performance -Citize
n satisfaction and participation
-IT infrastructure -Social Equity and the Digital
Divide
E-government Effectiveness
MELITSKI, J. (2002). School of Public Affairs and
Administration, Rutgers University - Newark
42
Electronic Government Implementation Model
Technology-Centric
IT Paradigm
Organizational / Cultural Influences
Leadership styles
Citizen-Centric
PA Paradigm
IT Capacity
Explicit Tacit
Intranet Sophistication
Centralized Decentralized
Decision-making
Integrated Distributed
Integration
Performance of E-Government application
Useful Not Useful
Strategic planning process
Implementation
Useful Not Useful
Staffing
Objective Subjective
Evaluation performance measurement
Technical Policy
Security
MELITSKI, J. (2003). Capacity and E-government
Performance An analysis Based on Early Adopter
on Internet Technologies in New Jersey, Public
Productivity Management Review, 26(4)377-378.
43
Citizen Participation and e-Government
eTownPanel.com Case Study
Other possible outcomes agenda setting for
organized groups, election platforms, citizens as
consumers (public choice theory), ignoring voices
of disenfranchised, adoption of e-government
methods
CASE ISSUE Does citizen participation through
surveys necessarily improve participatory
democracy?
Democratic Citizenship/ Participatory Democracy/
Deliberative Democracy
Government
Citizen participation/public engagement/civic
engagement
Trust Accountability Performance Productivity Effi
ciency/ effectiveness Transparency Better policy
decisions Communication

• Voting
• Public hearings
• Letter campaigns
• Protests
• Surveys/polls (i.e. E-Town Panel)
• Volunteer/civic leader
• Technological means

Active participation
THEORETICAL BASE
New Public Service (Denhardt Denhardt)
SCHATTEMAN, A. (2006). School of Public Affairs
and Administration, Rutgers University - Newark
44
4.Building Partnerships
45
Tough Questions about Deliberative Democracy
How citizens participate?
Why citizens dont participate?
Public hearings (most ineffective) Vote Surveys Ne
gotiated rule making Citizens review panel Public
deliberation Political discussion
Why citizens participate?
Exclusion based on social class, systemic
barriers, etc.

• The issue
• Systemic participation

How to improve citizen participation?
What is the outcome?
Empowering and educating citizens Re-educating
administrators Creating enabling structures and
processes
PUBIC DELIBERATION
Effect decision-making of administrators and
politicians
AUTHORITY
SCHATTEMAN, A. (2006). School of Public Affairs
and Administration, Rutgers University - Newark
46
Introduction to Public Deliberation
Deliberative Democracy
Broad Informed Deliberative Credibility
Authentic political inclusion
Administrators
Efficiency
Effectiveness
KIM, C. (2006). School of Public Affairs and
Administration, Rutgers University - Newark
47
Effects of Public Deliberation and Critics
Legitimacy
Reality
Public deliberation
Aggregation
Systematic Endogenous Difficulties
Economy
Ideal
Exogenous Resource
KIM, C. (2006). School of Public Affairs and
Administration, Rutgers University - Newark
48
Conditions of Public Deliberation
Benign Inclusion Passive Exclusion (e.g.
Corporatism) ? Progressive Inclusion
Technocratic Form of Govt
Central Features of Deliberation -Publicity -Non-T
yranny -Political Equality
Criteria for Public Deliberation -Public -Inclusiv
e -Non-Tyranny
Barriers to Participation -nature of daily life
in contemporary society -administrative
structures and processes -current practices and
techniques of participation
Democratic Process Criteria -direct participation
of amateurs in decisions -sharing in collective
decision making -face-to-face discussion over
some period of time -participating on some basis
of equality
Basic Elements of Public Deliberation -Strategic
Issue Identification -Stakeholder
Collaboration -Generative Learning -Executive
Action
Public Deliberation
Overcoming Barriers to Authentic
Participation -Empowering and Educating
Citizens -Reeducating Administrators -Enabling
Administrative Systems and Processes

• Authority Necessary to Deliberative Democracy
• -Authority of Function
• -Authority of Distinctive Goods
• Authority of Talk
• Authority of Voice
• Authority of Shared Futures

Conceptualization of Public Deliberation -discours
e with other citizens -some form of
participation -informal and unplanned
exchanges -a variety of methods of discourse -the
public nature of issues
Conditions
Large-Scale Public Deliberative Process -Broad,
Representative Participation -Informed Public
Participation -Deliberative Participation -Credibl
e Results
Political Equality Inclusive Deliberation Authorit
y Non-Tyranny
KWAK, S. (2006). School of Public Affairs and
Administration, Rutgers University - Newark
49
Legitimacy during the Citizen Participation
Process
Authority
Basis for Legitimacy Process of Citizens
Determining their Will
Attaining the appropriate combination depends
on the situation
Mobilization of demos as dangerous
Deliberation and Legitimacy Increase the
possibility of realization of reasonable results
dimension of time and educative effect of
repeated deliberation
Democratic Theorists effort to remodel politics
in the direction of making it more deliberative ?
Democracy
Deliberation
Avoid Universality and Unanimity
Educative Power

• Material prerequisites for deliberation
• are unequally distributed
• Equality in resources,
• Guarantee of equal opportunity to
• articulate persuasive arguments
• Equality in epistemological authority

• Deliberation as Discussion
• Reveal private information
• Lesson impact of bounded rationality
• Particular mode of justifying results
• Legitimate choice
• Improve moral qualities of
• participants
• Right thing independent of
• consequences

Congruence
Community-generating Power
Fairness of Procedure
Quality of Outcome
MAHOHARAN, A. (2006). Rutgers University -Newark
50
Many Forms of Public Deliberation
Conventional participation
Pluralism
Bureaucrats
Rope as Citizen outreach
Boulder as Citizens ignorance on subject
Summit as deliberation decision area

• Limited agreement
• Input talent, knowledge and showing up (elites)
• material resources (elites members)
• Outcome decision and lessons from defeat

Slope as participation framework
Citizen organization
CHARBONNEAU, E. (2006). School of Public Affairs
and Administration, Rutgers University - Newark
51
Conceptual Model of Approaches to Civic
Engagement
Civic Engagement Approaches
Adversarial
Electoral
Information Exchange
Civil Society
Deliberative
Enhancing Government Trust in citizens
Enhancing Government Legitimacy
Citizen-Centered Collaborative Public Management
Enhancing Government Responsiveness
Enhancing Citizen Efficacy
Enhancing Citizen Trust in Government
Enhancing Government Competence
COOPER, T. L., T. A. Bryer, et al. (2006).
"Citizen-Centered Collaborative Public
Management." Public Administration Review 66(1)
76-88.
52
Participant Selection Methods

• Random Selection

• Lay Stakeholders

• Elected Representiveness

• Open, Targeted Recruiting

• Diffuse Public Sphere

• Open, Self-Selection

• Professional Stakeholders

• Expert Administrators

Minipublics
Publics
State
More Exclusive
More Inclusive
FUNG, A. (2006). Varieties of Participation in
Complex Governance." Public Administration Review
66(1) 66-75.
53
Relationships among Passive Representativeness,
Active Representation, and Representative Results
ACTIVE REPRESENTATION
REPRESENTATIVE RESULTS (Policy Processes)
Attitudes Ideology Political partisanship Percepti
on of influence Program preferences Actions Politi
cal/policy contacts frequency and direction Time
invested in policy making and public
support Agency aspirations and advocacy Acquisitio
n of federal aid
Purposes Goals Issues Process Decisions Choices
Outputs Measurement Evaluation Outcomes Impacts
Consequences
PASSIVE REPRESENTIVENESS
Attitudes Social origins Demographic and
(political) culture origins Gender Race/ethnicity
Attainments Education Degree and
specializations Professionalism Career
paths Organizational experience and tenure
BOWLING, C.J., Kelleher, C.A. et al. (2006).
Cracked Ceilings, Firmer Floors, and Weakening
Walls Trends and Patterns in Gender
Representation among Executives Leading American
State Agencies, 1970-2000, Public Administration
Review, 66(6) 823-836.
54
Model of Citizen Satisfaction
Service, and Neighborhoods
Assessments of Parts of Domain
with Domain

• Demographic characteristics
• Age
• Race
• Income
• Education
• Sex

Satisfaction with police response time
Satisfaction with police treatment of people

• Political Attitudes
• Assessment of quality of local government
• efficacy

Satisfaction with police protection
Perceived equity of police protection

• Service Delivery
• Number of arrests/number of serious crimes
• Officers dispatched
• Zone crime rates/population
• Response time

Perceived equity of police response time
Perceived equity of police treatment of police

• Service Experience
• Contact with police
• Number of time victimized

Perceived equity of amount of crime

• Expectations
• Feeling of safeness

BROWN, K. and P.B. Coulter (1983). Subjective
and Objective Measures of Police Service
Delivery, Public Administration Review,
43(1)50-58.
55
Matrix of Control
AGENDA-SETTING CONTROL
(i) Operational
(ii) Strategic
(iii) Normative
(-i) Disingenuous Efforts
(3) Delegative
17. Referendum
7. Initiative
3. Citizens Assembly
10. Local government
12. Participatory Budget
21. Study Circle
2. Citizen Advisory Board
4. Citizens Jury
DECISION - MAKING CONTROL
5. Focus Group
13. Plebiscite
9. Internet Chat Group
6. Green Paper
22. Survey (closed-ended)
19. Sponsored Lobby Group
(2) Consultative
8. Interactive Website
25. Telepolling/televoting
23. Survey (deliberative)
14. Public Inquiry
18. Research Panel
20. Stakeholder Forum
24. Survey (open-ended)
1. Advertising
(1) Informative
11. Newsletter
15. Public Meeting (with QA)
16. PSA
26. White Paper
(-1) Disingenuous Effort
STEWART, K. (2007). "Write the Rules and Win
Understanding Citizen Participation Game
Dynamics." Public Administration Review 67(6)
1067-1076.
56
Leadership Quality and citizen Participation Game
First-Round Outcomes
(3) Veteran
17. Referendum
7. Initiative
3. Citizens Assembly
10. Local government
12. Participatory Budget
21. Study Circle
2. Citizen Advisory Board
4. Citizens Jury
5. Focus Group
13. Plebiscite
9. Internet Chat Group
(2) Novice
6. Green Paper
22. Survey (closed-ended)
19. Sponsored Lobby Group
CITIZEN LEADERSHIP QUALITY
8. Interactive Website
25. Telepolling/televoting
23. Survey (deliberative)
14. Public Inquiry
18. Research Panel
20. Stakeholder Forum
24. Survey (open-ended)
1. Advertising
(1) Rookie
11. Newsletter
15. Public Meeting (with QA)
16. PSA
26. White Paper
(i) Veteran
(ii) Novice
(iii) Rookie
STATE OFFICIAL LEADERSHIP QUALITY
STEWART, K. (2007). "Write the Rules and Win
Understanding Citizen Participation Game
Dynamics." Public Administration Review 67(6)
1067-1076.
57
A Comprehensive Model of Public Participation and
Its Relationship to Public Trust
Political participation
Public trust in policy making
Demographic, ideological personal, and
institutional factors
Public participation in government
Public trust in government
Public participation in administration
Public trust in administration
WANG, X.H. and M. Wan Wart (2006). When Public
Participation in Administration Leads to Trust
An Empirical Assessment of Managers
Perceptions." Public Administration Review 67(2)
265-278.
58
The Mountain of Public Administration Purpose
The Pinnacle Byproduct
PUBLIC TRUST
Legality
Integrity
Fairness
Dependability
Effectiveness
Involvement
Transparency
Efficiency
Foothill Goals
GOODSELL, C.T. (2006). A New Vision for Public
Administration." Public Administration Review
66(4) 623-635.
59
The Utility of a Collaborative Process
There has been a generative learning process in
which all learned from one another
The role of the administrator has shifted which
in turn may shift administrative structures
External Stakeholders
Information
Information
Authority
Information
Information
Developed Trust Authority continues to hold
power, Experts continue to hold information,
Citizens continue to have access
Effectiveness The solution is one in which all
stakeholders had input and are invested.
External Stakeholders
BROMBERG, D. (2006). School of Public Affairs and
Administration, Rutgers University - Newark
60
Conceptual Framework Government Performance,
Citizen Satisfaction, and Trust
Objective
Subjective
(A) Managerial Strategy
(B) Outcome
(C) Perceived Outcome
(D) Satisfaction
(E) Trust EVLN
Exogenous Influences on B
Exogenous Influences on C
Exogenous Influences on D
Exogenous Influences on E
VAN RYZIN, G. G. (2007). "Pieces of a Puzzle
Linking Government Performance, Citizen
Satisfaction, and Trust." Public Performance
Management Review 30(4) 521535.
61
The Conceptual Framework of Citizen-Initiated
Performance Assessment
City Council
Administrative Staff
Citizenry
1 or 2 members
Majority members
1 or 2 members
Citizen Performance Team
Develop performance measures based on citizen
input
Help develop a data-collection system
Work with officials to use citizen-initiated
performance measures in decision-making
Assist officials to disseminate performance
measurement information to the public
Solicit citizen input about perceivable outcomes
of public services
HO, A.. and Coates, P. (2004). Citizen-Initiated
Performance Assessment The Initial Iowa
Experience, Public Productivity Management
Review, 27(3)32.
62
The Conceptual Framework of Citizen-Initiated
Performance Assessment
Citizen survey to reach all
citizens, including the passive, unvocal groups
Citizen phone hotline for all citizens who
are willing to call
Interactive website for citizens who are
comfortable with using computers
Internet chat room for citizens with internet
access who are willing to participate
Focus groups with community leaders citizens
Citizen Performance Team
HO, A.. and Coates, P. (2004). Citizen-Initiated
Performance Assessment The Initial Iowa
Experience, Public Productivity Management
Review, 27(3)34.
63
The Conceptual Framework of Citizen-Initiated
Performance Assessment
Public Deliberation
5 Institutional Mechanisms Public Hearings
Initiatives Public Surveys Negotiated Rule
Making Citizens Review Panels
Participatory Analysis Needed for science and
technology
4 Approaches to Public Sector Management Direct
ive Reactive Generative Adaptive
Education
Pluralism andDirect Participation
Effective Participation
Deliberative Democracy
VERGARA, M.-B. (2006). School of Public Affairs
and Administration, Rutgers University - Newark
64
Contingency and System View of Human Service
Organizations
Remote Environment
General Environment
Operational Environment
Managerial Structure
Uncertainty
Political
Authority controllers
Dispersion
Economic
Financial/budgetary controllers (executive,
legislative, etc.)
feedback
Legal
Clients
Complexity
Program Experts
Program Management and Evaluation
Technology
Individual and organizational allies and
adversaries
Risk
Control
Social/Cultural
Interorganizational relations (statutory and
non-statutory based)
Needs Assessed (clients and residents)
Decision action results
Needs defined services determined
Implement and track treatment
Clients treated
Constituencies/unions
Ecological
Media
Public interest groups
Information flow
Attempted control
Elements of the media may have more operational
influence on some human service organizations
than others.
STEVENS, J.M. (1981). A Comparative and
Contingency Approach to Productivity in Human
Service Organizations, Public Productivity
Review, 5(4)380-395.
65
Empowering Citizens to Assist in Performance
Measurement the Case of Des Moines, IA
Citizens of Des Moines
Effective Communication Channel
Reports Performance Information to Public
Readable to Ordinary Citizens - Tables
with short verbal summaries
Approval by Des Moines Neighbors
Political Equality
Elected Officials
CIPA Team
City Staff/Council
Transparency
Uploading data into CCRS
Inclusiveness - Encouraging
Neighborhoods - Spider Graph - Project
Marketing
IOWA State University
Data Analysis
Authority
Identify Important elements of Public Service
Non-Tyranny
Administrators
Use of Technology - Digital Surveys
- Use of handheld computers, digital
surveys, GIS mapping
Deliberation
-Neighborhood Meetings - Orientation
Elected Officials
Develop Data Collection Techniques
Identification of Performance Measures
Administrators
Reflectivity
MAHOHARAN, A. (2006). School of Public Affairs
and Administration, Rutgers University - Newark
66
Citizen Involvement the Case of Des Moines, IA

• Impact of Performance Measurement System
• Transparency
• Reflectivity
• Fairness

• A team of 23 members
• citizens nominated by the Des Moines Neighborhood
• Associations,
• members of the council,
• city staff members
• representatives from Iowa State University

• Conditions of Public Deliberation
• Political Equality
• Inclusiveness
• Deliberation
• Authority
• Non-Tyranny

• Democracy Impacts
• City management Impacts

KIM, C. (2006). School of Public Affairs and
Administration, Rutgers University - Newark
67
Citizen-Initiated Performance Assessment the
Case of Des Moines, IA
Deliberation Process
Supply and Demand Strategy
Designing the Project Forming a CIPA Team
Supply Networks Platforms Interfaces Utilization
Infrastructure
Demand Needs Values Priorities Digital Surveys
Identifying Performance Measures
Collecting
Analyzing
Performance Data

• Managerial Values
• Congruence between Organizational Goals
• and Measurement Schemes
• Improvement in Quality of Decision-Making
• Problem Identification and Problem Solving
• Efficiency and Cost Savings

Reporting Performance Information

• Democratic Values
• Effective Communication among Participants
• Civic Engagement and Education
• Accountability

KWAK, S. (2006). School of Public Affairs and
Administration, Rutgers University - Newark
68
Des Moines, Iowa
Citizen-Initiated Performance Assessment (CIPA)

• Characteristics of Participation
• Equality of participation
• Inclusiveness people from all groups
• No domination of policy venue
• Reflective community concern
• Effective communication

• 198,682 population
• 82.3 White
• 21.8 college degree

Spider-graph for ensuring fairness/representation
of citizens from all groups
City-wide strategic planning
Citys problems and 12 core service areas
Policy Planning and Budgeting
23 nominated citizens

• Identifying measure
• Collecting and analyzing data
• Reporting performance information

CIPAs survey Team
City Government

• Monthly meeting
• Training
• City survey with uses of IT

• Civic education
• Accountability

Iowa State University
Funding Technical support (Fund for the City of
New York)
KRUEATHEP,W. (2006). School of Public Affairs and
Administration, Rutgers University - Newark
69
5.Measuring for Performance
70
The Strategic Management Process
Result Oriented Budgeting
Strategic Planning
Values Mission Vision
External Monitoring
Internal Monitoring
Strategic Measurement
Performance Measurement
POISTER, T.H., Streib, G.D. (1999). Strategic
Management in the Public Sector concepts,
Models, and Processes, Public Productivity
Management Review, 22(3)318.
71
Performance Measurement System
Managing for results
macro

• Electoral
• Characteristics
• (states)
• Congress
• Senate
• Civil culture

• Performance
• Function
• Role
• others

• Performance
• Measurement
• Objective
• Subjective

• Performance
• Appraisal
• Objective
• Subjective

• Pay for
• Performance
• Viable
• Not viable

citizen trust Image Macro culture

• Interpersonal
• Trust
• knowledge base
• value base
• calculus base

Recruitment
Transformational Learning
Transactional learning

• organizational
• Culture
• Hierarchy
• science
• market
• transaction

• commitment
• affective
• value based
• continuance

Crises
micro
HOLZER, M. (2006). School of Public Affairs and
Administration, Rutgers University - Newark
72
Basic Elements of a Production Process
Effects
Inputs
Activities
Outputs
effectiveness
efficiency/productivity
Effects (outcome) are nor part of the production
process they refer to the impacts on society
SORBER, B. (1993). Performance Measurement in
the Central Government Departments of the
Netherlands, Public Productivity Management
Review, 17(1)63.
73
Management System Concept A Model
INPUTS
OUTPUTS

• Products or services

PROCESSES or PROCEDURES

• Mission requirement
• Workload
• Resources
• Programs, plans and schedules

FEED BACK PERFORMANCE
U.S. Army Management Engineering Training Agency
(1973). Special Studies of Measurement Problems,
2, Rock Island, Illinois.
74
Dimensions of Organizational Effectiveness
Flexibility
Means Cohesion Morale
Means Flexibility Readiness
Ends Growth Resource Acquisition
Ends Human Resource Development
People
Organization
Output Quality
Means Information Management
Means Planning Goal Setting
Ends Stability Control
Ends Productivity Efficiency
Control
ROHRBAUGH, J. (1981). Operationalizing the
Competing Values Approach Measuring Performance
in the Employment Service, Public Productivity
Review, 5(2)143.
75
A Three Dimensional Representation of
Effectiveness Criteria
STRUCTURE
Flexibility
Flexibility/ adaptation
.40
Value of human resources
Morale
Growth
Readiness
Training and development emphasis
Utilization of environment
.20
Conflict/cohesion
Quality
FOCUS
People
Organization
-.40
.40
-.20
.20
Planning and goal setting
Information management and communication
Control
-.20