THIRD EDITION
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Library of Congress Cataloging-in-Publication Data
Handbook of public administration / [edited by] James L. Perry, Robert K. Christensen. — Third edition.
pages cm
Includes index.
ISBN 978-1-118-77555-4 (paperback), 978-1-119-00432-5 (epub), 978-1-119-00408-0 (epdf)
1. Public administration. I. Perry, James L. II. Christensen, Robert K.
JF1351.H276 2015
351—dc23
2014034509
FIRST EDITION
Dedicated to the memory of Charles H. Levine, 1939–1988.
Charlie was an eminent scholar, valued colleague, caring teacher and mentor, and an activist for better government. Above all else, he was a wonderful human being.
Paul A. Volcker
Those involved with this new Handbook—authors, students, scholars, practitioners—by definition share my preoccupation with effective governance.
I have spent most of my working life in government. I've seen enough of it from the inside to know something of the immense satisfactions and inescapable frustrations of public service. But beyond personal experience, I've never doubted either the importance of effective government or the need for constant vigilance by our public leaders, our educational institutions, and our citizens.
Regrettably, I have come to understand that for many people, the very words public administration conjure up a dull image of unimaginative bureaucracies mired in routine procedures. Rather, the fashion is that public attention and academic interest should be directed toward big ideas, toward “high policy,” toward vision.
Yet consider lessons right before our eyes as I write. The whole of President Obama's grand vision of universal health care was placed in jeopardy by embarrassing failures in implementation. Hopefully, that is being corrected. And then, with almost no lapse of time, large-scale administrative failures in the Veterans Administration have come to light. Those are only the latest examples of the problem. We are reminded too often about critical administrative failures—failures damaging not only to particular programs but also to public perception of the efficiency and effectiveness of government generally.
In the process, the many programs operating efficiently with satisfied citizen “consumers” are typically taken for granted, while many others lack the financial and political support to keep up with expectations.
The hard fact is that governments at all levels in the United States are heavily stressed.
Current commitments collectively entail financial requirements beyond what the public is willing to accept. Polarization of political debate and ideological differences are inhibiting effective government. At the same time, the sense of deeply seated economic travails, the strains associated with problems that are inherently international, and the rapidity of technological change seem to exceed the capacity of governments at all levels to react effectively.
Those frustrations reinforce another sense that has become increasingly apparent over the years: survey after survey confirms that trust in government is at a low point. But we don't need surveys to confirm the intensity of dissatisfaction and discord in our governing systems.
Skepticism about government and a spirit of individual liberty are a key part of the American political heritage. But when that healthy skepticism becomes corrosive cynicism about the ability of government to meet essential community needs, then democracy itself is in trouble, unable to respond with constructive and needed leadership that builds confidence and support.
Trust rests on confidence. Too often in the eyes of its citizens, government at various levels has been unable to respond effectively to the challenges of the day. No democracy—no government of the people, by the people, for the people, in Abraham Lincoln's stirring words—can flourish, or even long exist, if the people themselves have lost confidence in our governing processes.
In sum, effective public administration in my mind remains as critical as ever to the success of democratic government.
Some time ago, I ran into an aphorism of Thomas Edison, our great and innovative inventor of a century ago. “Vision” he said, “without execution is hallucination.” I am reminded too of the emphasis that some of the nation's founders placed on the importance of administration. Alexander Hamilton summed it up: “The true test of a good government is its aptitude and tendency to produce a good administration.” Now when each of our presidents recites the oath of office, he takes the constitutional responsibility to “take Care that the law is faithfully executed.”
That pledge, that commitment to the public, also guides all those challenged to call themselves public servants, well aware of the potential frustrations and criticisms but also taking pride in responding to the need to serve the policies of the Congress and the president as they in turn respond to the electorate. As Don Kettl reminds us in this book's opening chapter, public administration has been challenged and transformed by “the pace of reform, the globalization of world economies, the rise of fiscal stress, and the decline of public trust.” He goes on to say that “on an unprecedented scale,” today's governments “require highly trained, nimble public administrators with uncommon skill and an innate sense of the public interest.”
This book, in its size, the number and experience of its contributors, and the range of the issues it covers, reflects the nature of the challenge before public administrators. Fighting corruption and embracing ethical principles, long-standing elements of public service need to be honored in the new world of e-government and social media with strategies that are specific to the modern world. This third edition of the venerable Handbook of Public Administration is indeed a guidebook for all of us who strive for and demand the highest and best practices in public administration and in service of the nation.
The reward in the end for those committed, whether in office, in research, or in teaching, should be a sense of personal satisfaction and the sure knowledge that dedication to public administration is a critically important part of democratic government.
In the Preface to the second edition, the senior editor of this Handbook reflected on the dynamism of public administration in the seven-year span between the first and second editions. At the time, dynamism was benchmarked against a variety of developments associated with growth and evolution of government, among them blue-ribbon reform commissions, reformist books, and realignments of political power and its policy and administrative aftermath.
The previous edition of the Handbook appeared nineteen years ago. The reform theme that figured so prominently in the preface to that edition has given way to a theme of revolution in this third edition. If revolution seems like hyperbole, consider major events since 1996 and how they have transformed both the context and content of public administration:
The most obvious manifestation of the revolution is that the rhetoric of public administration has shifted increasingly from government to governance. What does the shift in rhetoric mean? Among the meanings is that the term governance has become fashionable to denote new ways of governing. The hierarchical model in which state authorities exert sovereign control over collective action is being displaced. Governance represents more involvement of nonstate actors—among them private corporations, nonprofit entities, markets, and networks—contributing to design, oversight, and delivery of public programs and services. Government remains in the picture, but other institutions and ways of thinking about collective action are now also prominently in view and are legitimate modes of conceiving public administration in this second decade of the twenty-first century.
This edition of the Handbook reflects the revolution represented by the shift from government to governance. Among the subjects that receive more attention are public-private partnerships, global governance institutions, deliberative democracy, managing collaborations, and collaboration skills. Despite the revolutionary nature of developments since 1996, however, this third edition embodies underlying continuity in what is necessary for good government—and, now, good governance.
Some simple metrics reflect changes from the second to third editions. Eleven of the thirty-five chapters in this edition are completely new. The remaining chapters have been substantially revised to incorporate new developments and research. Furthermore, thirty-eight of the more than fifty authors of both the new and revised chapters are first-time contributors.
This Handbook is intended to help public administrators cope with the many challenges facing them and to fill gaps in or update their knowledge. Written by international public administration experts from all areas of the field—law, public policy, public finance, human resources, ethics, and others—it is designed to meet the needs of the range of professionals who work in government, interact with public agencies, or do public work outside what we have traditionally considered the public sector. In brief, the book is intended to assist public administrators, wherever they reside organizationally or institutionally, to be effective in accomplishing the missions they pursue.
In a departure from past editions, this edition is written to engage not only a US audience but international members of the public administration community. Broadening the content to serve an international audience reflects the globalization of public administration. Countries and international bodies pay more attention to what is happening in jurisdictions outside their territory. Public administration practitioners, scholars, and opinion leaders are increasingly engaged in face-to-face meetings at international conferences, symposia, and workshops. Social media give practitioners and scholars a global platform. Ideas, public problems, and public administration concepts—for example, accountability, transparency, collaboration, public service motivation, and corruption—are now part of a global conversation. The knowledge base, strategies, and tactics that accompany the global conversation are becoming increasingly common from jurisdiction to jurisdiction even as national, regime, and cultural differences remain prominent.
The obstacles public administrators face in rising to the challenges of modern governance are substantial. Many public administrators come to their positions without formal administrative and managerial training. They achieve responsibility because of their excellence in other professional fields such as engineering, law, social work, and education. They confront dual obstacles to their effectiveness stemming from needs to develop new skills and adapt to new performance expectations. Even those who have been formally trained in public administration face the prospect of falling short of the demands imposed on them because of the broad range of skills necessary for effective performance and the persistence of changes in their environment.
The chapters cover a broad range of problems and situations that confront public administrators at all levels of government and in all types of services. The contributors analyze these situations and problems carefully in light of research, theory, and administrative experience. Each chapter offers a guide to effective practice and some ideas about how to improve performance. But this is more than a how-to book; it is also a “how-do-we-know-it book.” Each of the chapters places professional practice in the context of relevant theory, empirical research, and experience. Because the chapters are grounded in theory and research, readers should find the material useful not only for handling current problems but for grappling with new situations.
The Handbook offers a unified picture of public administration. Public administration is legitimately recognized as a diverse, interdisciplinary field, encompassing many administrative roles, occupational specialties, policy arenas, and levels of government. This fragmentation has often served to mask the high degree of overlap among these subareas and the relevance of each to effective practice in public administration. The book illustrates that effective public administration is built on many disciplines. It emphasizes the mutual dependence of many perspectives for healthy public service across societies.
The Handbook provides a vehicle for communicating the accumulated body of knowledge about public administration to people with varying degrees of responsibility and levels of experience. It is directed to line administrators—public sector executives, managers, and supervisors—who are accountable for the success of public programs and productivity of public services. It is also directed toward staff personnel, including policy, personnel, and financial analysts, who may be responsible for evaluating administrative performance, assessing human resource requirements, or preparing annual budgets. The book should be helpful to judicial and legislative staff, oversight bodies, corporate public affairs personnel, and public interest groups concerned about obtaining a better understanding of activities and requirements for administrative effectiveness. Finally, because the Handbook conveys the accumulated body of knowledge about public administration, it is a valuable resource for faculty and students involved in degree and certificate programs in public, nonprofit, and business administration. In short, the audience for this book is anyone who does public administration or wishes to study the field.
Although this third edition reflects continuity in key issues, practices, and skills in public administration, it also differs perceptibly from the first two editions. This edition, for instance, gives more attention to different tools for public action, as reflected in part 3, “Implementing Policy Using Tools of Collective Action,” which highlights diverse policy tools, several of them new to this edition. We give less attention to financial and human resource administrative systems traditionally associated with government. Thus, we do not include a chapter exclusively on civil service systems, but we do devote a chapter to motivating staff using public service.
The chapters are organized into seven parts, representing domains of knowledge and practice essential for effective public administration. Readers may proceed sequentially through the book for an overview of the entire field or turn to individual parts or chapters for information on specific areas or topics. Each chapter brings fresh insights to familiar problems or situations.
Part 1, “Governing for Collective Action,” looks at key drivers of public administration's transformation in the United States and around the rest of world. What are the drivers? They include fiscal stresses, declining public trust, redefinitions of the boundaries between institutions, and the rise of global governance institutions. As a consequence, governance structures, policy instruments, and administrative skills are also evolving. The chapter authors examine the parameters of the transformations and their implications for public governance and governing collective action.
Part 2, “Building Infrastructures for Accountability,” focuses on the twin concerns of administrative effectiveness and democratic control. Accountability and responsiveness are influenced by administrative arrangements just as they are by the quality of the people who serve. The chapter authors show how laws and institutions shape administrative behavior and thereby promote major governance goals. This part emphasizes several facets of accountability, including responsibility, transparency, and responsiveness.
Part 3, “Implementing Policy Using Tools of Collective Action,” focuses on the design and management of policy tools for pursuing public purposes. The effectiveness and management of different policy tools transcend the tools themselves, but they also rest on public administrators' relationships and how their actions influence public policies and programs. Success in formulating and implementing policy requires that public administrators develop supportive relationships with key stakeholders in their environment, effectively manage intergovernmental and contractual relationships, and develop appropriate program designs and implementation strategies. Thus, the chapter authors provide insights about processes and choices that are critical for managing public policies.
In Part 4, “Managing for Public Performance,” we put the spotlight on the bottom line: public performance. Performance measurement and program evaluation have become powerful tools for promoting effectiveness. Achieving high performance is about more than measurement and evaluation, however. High performance also depends on thinking and managing strategically, using public service to direct and inspire staff, and attracting and engaging a diverse workforce. In light of growing complexity and the rapidity of change, high performance also rests with managing collaborations and organizational change processes. Part 4 addresses all of these issues.
Part 5, “Developing Effective Administrative Systems,” focuses on three types of resources—financial, human, and information—and the administrative systems that are consequential for tying them to effective performance. In the realm of financial resources, the contributors look at the expenditure and revenue sides of the ledger. They elucidate processes for making performance-informed choices about allocation of financial resources and the design and administration of revenue systems. Two facets of information resources, e-government and social media, and the requisites for their effectiveness are also addressed in part 5, which concludes with an exploration of how compensation systems attract, retain, and motivate public employees.
Part 6, “Sharpening the Public Administrator's Skill Set,” acknowledges the centrality of individual competence to administrative effectiveness. Effective systems and skilled administrators are both critical success factors. Public administration practitioners who develop leadership, intrapersonal, negotiation, collaboration, and communication skills enhance the capacity of their organizations to achieve their goals. The chapter authors provide valuable insights about these important skills.
Part 7, “Professionalizing Public Administration Practice,” concludes the Handbook by reflecting on what it means to be a member of the public administration profession. The chapter authors identify key professional expectations with regard to professional ethics and liability. The final chapter summarizes lessons from the Handbook about effective governance enterprises and being an effective public administrator.
James L. Perry and Robert K. Christensen
James L. Perry is Distinguished Professor Emeritus and Chancellor's Professor of Public and Environmental Affairs Emeritus, Indiana University, Bloomington, and Distinguished Visiting Professor, The University of Hong Kong. He is also affiliate professor of philanthropic studies and adjunct professor of political science at Indiana University. In addition, he has held appointments at Yonsei University; University of California, Irvine; Chinese University of Hong Kong; and University of Wisconsin, Madison.
In 1992, Perry served as special assistant to the assistant secretary for personnel administration, US Department of Health and Human Services. In 1999–2000, he was senior evaluator at the Corporation for National and Community Service. In 2006–2007, he was senior postdoctoral fellow at Katholieke Universiteit Leuven, Belgium. He received an undergraduate degree from the University of Chicago and MPA and PhD degrees from the Maxwell School of Citizenship and Public Affairs, Syracuse University.
His research focuses on performance pay in government, public service motivation, community and national service, and government reform. His research appears in such journals as Academy of Management Journal, Academy of Management Review, Administration and Society, Administrative Science Quarterly, American Political Science Review, Journal of Public Administration Research and Theory, Nonprofit Management and Leadership, Nonprofit and Voluntary Sector Quarterly, and Public Administration Review. He is the author or editor of several books, including the first and second editions of the Handbook of Public Administration (Jossey-Bass), Civic Service: What Difference Does It Make? (with Ann Marie Thomson; M. E. Sharpe, 2004), Quick Hits for Educating Citizens (with Steve Jones; Indiana University Press, 2006), Motivation in Public Management: The Call of Public Service (with Annie Hondeghem; Oxford University Press, 2008), and the Jossey-Bass Reader on Nonprofit and Public Leadership (2010).
Perry is the recipient of several prestigious awards. He received the Yoder-Heneman Award for innovative personnel research from the Society for Human Resource Management. He also received the Charles H. Levine Memorial Award for Excellence in Public Administration and the Distinguished Research Award, given jointly by the American Society for Public Administration (ASPA) and the National Association of Schools of Public Affairs and Administration. He is a recipient of the Best Book Award from the Public and Nonprofit Division, Academy of Management. ASPA has recognized him with two awards, the Paul P. Van Riper Award for Excellence and Service and the Dwight Waldo Award for career contributions to the literature of public administration. Perry has twice been selected for Fulbright fellowships. He is a fellow of the National Academy of Public Administration and editor-in-chief of Public Administration Review.
Robert K. Christensen is associate professor and PhD director in the Department of Public Administration and Policy, School of Public and International Affairs, at the University of Georgia (UGA). He is also a research fellow at Arizona State University's Center for Organization Research and Design.
He received his undergraduate degree in Russian from Brigham Young University. He also earned his JD and MPA degrees from Brigham Young University, where he served as the editor-in-chief for the BYU Education Law Journal. He received his PhD in public affairs from Indiana University, Bloomington, School of Public and Environmental Affairs. He has served as a consultant to the United Nations University, Carl Vinson Institute of Government, North Carolina's Mecklenburg County Bar Association, and the National Association of Appellate Court Attorneys.
Christensen specializes in public and nonprofit management. At the individual level, he is interested in the impact of antisocial and prosocial behaviors on public and nonprofit work groups and organizations. The former includes race and gender prejudice; the latter includes public service motivation, volunteerism, workplace philanthropy, and organization citizenship. At the institutional level, he is interested in the relationship between the courts (broadly public law) and public administration. His work appears in such journals as the Journal of Public Administration Research and Theory, Public Administration Review, Nonprofit and Voluntary Sector Quarterly, Public Administration, Administration and Society, and several law reviews. He is coeditor, with Laurence J. O'Toole Jr., of American Intergovernmental Relations (5th edition, CQ Press, 2012).
Christensen is the recipient of several awards and fellowships, including the Academy of Management (AoM) Public and Nonprofit Division's Best Dissertation Award. From 2012 to 2014, he was a Lilly Teaching Fellow at the University of Georgia; he is currently a UGA Service-Learning Fellow. He serves on the editorial boards for Public Administration Review and Journal of Public Administration Research and Theory. He is program-chair-elect of the Public and Nonprofit Division of AoM and will become the division's chair in 2017.
Lisa Blomgren Amsler (formerly Bingham) is Keller-Runden Professor of Public Service at Indiana University's School of Public and Environmental Affairs, Bloomington, Indiana. She holds a BA from Smith College and a JD from the University of Connecticut School of Law. Her research focuses on voice in governance and conflict management, including collaborative governance, public engagement, dispute resolution, and dispute system design. An elected fellow of the National Academy of Public Administration, Amsler has received national awards for research from the American Bar Association, Association for Conflict Resolution, International Association for Conflict Management, and American Society for Public Administration. She has published three books coedited with Rosemary O'Leary and over eighty articles and book chapters on dispute resolution and collaborative governance.
Maria P. Aristigueta is Charles P. Messick Professor of Public Administration, director of the School of Public Policy and Administration, and senior policy fellow in the Institute of Public Administration at the University of Delaware. Her teaching and research interests are primarily in the areas of public sector management and include performance measurement, strategic planning, and organizational behavior. She has published numerous journal articles, book chapters, and books, including Managing for Results in State Government; she is also the coauthor of Managing Human Behavior in Public and Nonprofit Organizations, and Organizational Behavior and coeditor of the International Handbook of Practice-Based Performance Management. She is president-elect of the American Society for Public Administration. Her doctorate is from the University of Southern California.
Jack Alexander Becker is a candidate for an MPA degree at the Maxwell School of Citizenship and Public Affairs, Syracuse University. Previously he was a research assistant at the Charles F. Kettering Foundation in Dayton, Ohio, where he supported research and engagement activities with a global network of democratic theorists and practitioners from various sectors. He completed his BA in communication studies and peace and reconciliation studies at Colorado State University, where he was also a senior student associate with the Colorado State University Center for Public Deliberation, an impartial democratic resource for improved public communication and problem solving in northern Colorado. His research interests include governance, participatory processes, citizen engagement, peace and conflict studies, and community connectedness.
Wolfgang Bielefeld is professor emeritus in the School of Public and Environmental Affairs at Indiana University, Purdue University Indianapolis. His research interests include the dynamics of nonprofit sectors, intersector relationships, social entrepreneurship, and social enterprise. He is the author of several books, including Managing Nonprofit Organizations with Mary Tschirhart, and he has published widely in journals such as Administrative Science Quarterly, American Behavioral Scientist, Nonprofit Management and Leadership, and Nonprofit and Voluntary Sector Quarterly. He received an undergraduate degree from Michigan State University, an MBA from the University of Minnesota, and an MA and PhD in sociology from the University of Minnesota.
Tony Bovaird is professor of public management and policy at the Institute of Local Government Studies and Third Sector Research Centre, University of Birmingham, UK. He holds a BSc in economics from Queen's University Belfast and an MA in regional economics and planning from Lancaster University. His research covers strategic management of public services, performance measurement in public agencies, evaluation of public management and governance reforms, and user and community coproduction of public services. He has carried out research for UK Research Councils, the European Commission, many UK government departments, the Local Government Association, the Audit Commission, National Audit Office, and many other public bodies in the United Kingdom and internationally. He is coauthor (with Elke Loeffler) of Public Management and Governance (2014).
Trevor L. Brown is associate professor and director of the John Glenn School of Public Affairs at the Ohio State University. He holds a BA in public policy from Stanford University and a joint PhD in public policy and political science from Indiana University. His work focuses on public management, contracting and contract management, public sector strategy, and organizational theory. His research has been published in such journals as Public Administration Review, Journal of Public Administration Research and Theory, and Journal of Policy Analysis and Management. In collaboration with Matthew Potoski and David Van Slyke, Trevor is the author of the Cambridge University Press book Complex Contracting: Government Purchasing in the Wake of the US Coast Guard's Deepwater Program (Cambridge University Press).
John M. Bryson is McKnight Presidential Professor of Planning and Public Affairs at the Hubert H. Humphrey School of Public Affairs at the University of Minnesota. He works in the areas of leadership, strategic management, collaboration, and the design of engagement processes. He wrote Strategic Planning for Public and Nonprofit Organizations, Fourth Edition (Jossey-Bass, 2011) and cowrote with Barbara C. Crosby Leadership for the Common Good, Second Edition (Jossey-Bass, 2005). Bryson is a fellow of the National Academy of Public Administration. He holds a BA in economics from Cornell University, an MA in public policy and administration, and an MSc and PhD in urban and regional planning from the University of Wisconsin—Madison.
Phillip J. Cooper is professor of public administration in the Mark O. Hatfield School of Government at Portland State University. He received his PhD from the Maxwell School at Syracuse University. A fellow of the National Academy of Public Administration, he is the author of numerous books and articles on public administration, administrative law, constitutional law, public policy, and sustainable development administration. Among his books re By Order of the President: The Use and Abuse of Executive Direct Action, Second Edition; The War against Regulation, Public Law and Public Administration; Governing by Contract; Sustainable Development in Crisis Conditions; and Implementing Sustainable Development.
Barbara C. Crosby is associate professor at the Hubert H. Humphrey School of Public Affairs, University of Minnesota. Her research and teaching focus on leadership and public policy, integrative leadership, and cross-sector collaboration. She is coauthor with John M. Bryson of Leadership for the Common Good, Second Edition (Jossey-Bass, 2005) and author of Leadership for Global Citizenship (Sage, 1999). Crosby is a fellow of the Leadership Trust in the United Kingdom. She holds a BA in political science from Vanderbilt University, an MA in journalism and mass communication from the University of Wisconsin-Madison, and a PhD in leadership studies from Union Institute and University.
Robert B. Denhardt is professor of public administration and director of leadership programs at the Price School of Public Policy at the University of Southern. California. He received his doctorate from the University of Kentucky and has published a dozen books in leadership, management, and other organizational change. He is a past president of the American Society for Public Administration and a fellow of the National Academy of Public Administration.
Sergio Fernandez is associate professor in Indiana University's School of Public and Environmental Affairs. He holds a BA in international relations and an MPA from Florida International University, as well as a PhD in public administration from the University of Georgia. His work focuses on employee empowerment, representative bureaucracy in the United States and South Africa, government contracting and privatization, organizational change, and public sector leadership. His research has appeared in prominent American, British, and Australian journals. He serves on the editorial board of various journals, including Public Administration Review and Journal of Public Administration Research and Theory. In 2012, he was appointed director of Indiana University's PhD in public affairs and Joint PhD in public policy programs.
Erica Gabrielle Foldy is associate professor of public and nonprofit management at the Wagner School of Public Service, New York University. She holds a BA from Harvard College and a PhD from Boston College, and she has been a postdoctoral fellow at Harvard Business School and a visiting scholar at the Russell Sage Foundation. Foldy's research addresses the question, What enables and inhibits learning and collaboration across potential divisions like race and gender, profession, or differences of opinion? She is coauthor of the The Color Bind: Talking (and Not Talking) about Race at Work (Russell Sage) and coeditor of Reader in Gender, Work and Organization (Routledge). In addition, she has published several dozen articles in a variety of management journals and edited volumes.
James L. Garnett is professor emeritus of public policy and administration at Rutgers University. He holds a BA in government from Carleton College and an MPA and PhD in public administration from the Maxwell School, Syracuse University. His research interests include government communication, administrative reform and reorganization, and crisis communication and management. He is the author of Reorganizing State Government: The Executive Branch and Communicating for Results in Government: A Strategic Approach for Public Managers. He is a coeditor of and contributor to Handbook of Administrative Communication. Garnett served in state government and has consulted for state, federal, local, and nonprofit organizations. He has been recognized by the American Society for Public Administration for scholarly contributions to public administration.