Handbook of Public Administration
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Foreword xvii
Paul A. Volcker
Preface xxi
James L. Perry and Robert K. Christensen
The Editors xxvii
The Contributors xxxi
Acknowledgments xlvii
Part One: Governing for Collective Action 1
1 Governing in an Age of Transformation 5
Donald F. Kettl
The Changing Environment 6
Transformation 11
From the Administrative State to Stateless Administration 19
Summary 21
2 The Changing Character of the American Intergovernmental System 23
Laurence J. O'Toole Jr.
Knowledge about Effective Practice 25
Implications 35
Summary 36
3 Governance in an Era of Partnerships 38
Barbara C. Crosby, Melissa M. Stone, and John M. Bryson
Clarifying Terms 40
The Environment and Its Effects on Collaborations 42
Environmental Effects on a Collaboration's Governance Processes and Structures 47
Implications 51
Summary 53
4 Governing in a Global Context 55
Jonathan G. S. Koppell
Organizational Responses to Globalization 56
Public Administration in the Age of Globalization 63
Implications of Transnational Organization Design for Public Administration and Management 68
Summary 69
Part Two: Building Infrastructures for Accountability 73
5 Understanding How Public Law Reinforces Administrative Responsibility 77
Phillip J. Cooper
Contemporary Challenges and Classic Issues 78
Classic Conceptions and Contemporary Governance 81
Public Law Responsibility in Different Forms in Today's Context 83
Law's Meaning at Two Critically Important Levels: Effective Practice and Legitimacy 89
Summary 95
6 Advancing Good Government through Fighting Corruption 97
Milena I. Neshkova and Allan Rosenbaum
Definition, Forms, and Consequences of Corruption 99
Theories of Corruption 101
Empirical Evidence on Corruption 107
Strategies for Reducing Corruption 111
Summary 118
7 Using Transparency to Reinforce Responsibility and Responsiveness 120
Gregory A. Porumbescu and Tobin Im
Knowledge about Effective Practice 121
Research Findings and Evidence about Effective Practice 124
Judgments about Effective Practice Grounded in Administrative Experience 130
Implications 134
Summary 135
8 Using Public Participation to Enhance Citizen Voice and Promote Accountability 137
Tina Nabatchi, Jack Alexander Becker, and Matt Leighninger
Understanding Accountability 138
Understanding Public Participation 140
Summary 150
Part Three: Implementing Policy Using Tools of Collective Action 153
9 Developing Effective Relations with Legislatures 157
Anne M. Khademian and Fatima Sparger Sharif
The Context of Legislative Liaison Work 159
Structural and Procedural Elements of Managing Legislative Relations 163
Strategic and Tactical Elements of Managing Legislative Initiatives: No
Surprises 170
Summary 179
10 Designing Effective Programs 180
Michael Howlett, Ishani Mukherjee, and Jeremy Rayner
Components of Public Policy and Effective Program Design 181
Policy Programs and Policy Design: A Short History 184
Principles for Designing Programs: Policy-Program Linkages (I) 187
Principles for Designing Programs: Program-Measure Linkages (II) 191
Summary 195
11 Using Grants to Achieve Public Purposes 197
Sean Nicholson-Crotty
Scope and Mechanisms of the Grant-in-Aid System 198
The Politics of Grant Distribution 201
Managing Federal Grants-in-Aid 204
Summary 212
12 Contracting in Pursuit of Public Purposes 215
Zachary S. Huitink, David M. Van Slyke, and Trevor L. Brown
Fundamentals 217
Outlook 231
Conclusion 233
Summary 234
13 Coproducing Public Services with Service Users, Communities, and the Third Sector 235
Tony Bovaird and Elke Loeffler
What We Know about Effective Practice in Coproduction 238
Implications 247
Summary 249
14 Advancing Public Good through Entrepreneurship 251
Wolfgang Bielefeld
Knowledge about Effective Practice 252
Research Findings 255
Implications 268
Summary 269
Part Four: Managing for Public Performance 271
15 Leading Public Organizations Strategically 275
Richard M. Walker, Chan Su Jung, and Gong-Rok Kim
Knowledge about Effective Strategy Content Practices 277
Research Findings 280
Implications 288
Summary 291
16 Managing Effective Collaborations 293
Michael McGuire and Chris Silvia
Collaborative Public Management 295
Managing Awareness 298
Managing Boundaries 300
Managing Constraints 302
Managing Deliberations 305
Managing External Constituencies 307
Summary 309
17 Tracking the Quality of Services 312
Harry P. Hatry
The Brief History and Limitations of Service Quality Measurement 313
Need for Multiple Types of Performance Indicators 314
Sources of Data and Data Collection Procedures 316
Improving the Usefulness of Performance Measurement Systems 320
Uses for Service Quality Information 328
Problems in Performance Measurement 329
Role of Ad Hoc Program Evaluations 330
Summary 331
18 Evaluating the Performance of Public Programs 333
Kathryn E. Newcomer
Context for Evaluation of Government Performance 335
Evaluation Practice in the Twentieth-First Century 339
Using Evaluation to Improve Performance 347
Summary 351
19 Motivating Employees Using Public Service 353
Wouter Vandenabeele and Nina Mari Van Loon
Theories and Evidence about Public Service Motivation 354
Research Findings and Evidence 358
Implications and Application: Harnessing the Power of Public Service Motivation 363
Summary 365
20 Realizing the Promise of Diversity 366
David W. Pitts and Sarah E. Towne
Defining and Understanding Organizational Diversity 367
Frameworks for Understanding Organizational Diversity and Work Outcomes 369
Strategies for Managing Organizational Diversity 373
Evolving Research on Diversity and Inclusion 376
Future Directions for Research and Practice 379
Summary 381
21 Understanding and Overcoming Resistance to Organizational Change 382
Sergio Fernandez
Resistance to Change 383
Sources of Resistance to Change 386
Overcoming Resistance to Change 392
Summary 396
Part Five: Developing Effective Administrative Systems 399
22 Performance Budgeting 403
Alfred Tat-Kei Ho
Performance Budgeting Practices around the World 404
Institutional and Organizational Constraints on Performance Budgeting Practices 407
Implications for Performance Budgeting Design and Practices 411
Summary 414
23 Designing and Administering Revenue Systems 416
Yilin Hou
Government Revenues 417
Reliable Revenue Systems 418
Patterns and Trends of Revenue Systems 419
Evaluation Criteria of Revenue Systems 419
Recent Research and Empirical Evidence about the Criteria 423
Revenue System Administration 427
Improving Current Systems 429
Summary 434
24 Managing E-Government 436
M. Jae Moon and Eric W. Welch
Advances in Theories and E-Government Studies 437
Advances in E-Government Practice 443
Moving toward E-Governance for Open, Collaborative, and Integrative Government 450
Critical Success Factors for the Management of E-Government 453
Summary 455
25 Designing Social Media Strategies and Policies 456
Ines Mergel
Distinguishing Types of Social Media Tools 459
Current Social Media Practices in the Public Sector 461
Designing a Social Media Strategy and Policy 462
Managerial Challenges for Implementing Social Media in the Public Sector 467
Summary 468
26 Compensating Public Sector Employees 469
Jared J. Llorens
The Unique Context of Public Sector Compensation 470
The Case of the US Federal Government 472
Challenges for Practice and Research 481
Practical Guidance for Public Managers and Policymakers 482
Summary 484
Part Six: Sharpening the Public Administrator's Skill Set 487
27 Enacting Collective Leadership in a Shared-Power World 489
Sonia M. Ospina and Erica Gabrielle Foldy
Collective Leadership and Democratic Governance: What We Know 490
Enacting Collective Leadership: What Research Tells Us 495
Enacting Collective Leadership inside Organizations 495
Enacting Collective Leadership in Complex, Shared-Power Environments 497
Enacting Collective Leadership in Large Collaborative Networks 499
Implications: Convergences and Cornerstones of Collective Leadership 502
Summary 506
28 Negotiating for the Public Good 508
Lisa Blomgren Amsler
What to Negotiate: Problems and Context 509
When to Negotiate and When Not To 509
Why Negotiate: Empirical Evidence on Practice 510
How to Negotiate: Tools and Skills to Prepare for and Initiate Negotiation 511
Principled or Interest-Based Negotiation and Positional or Hard Bargaining 519
How Not to Negotiate and How to Recognize Hard Bargaining 524
Summary 526
29 Becoming and Being an Effective Collaborator 528
Rosemary O'Leary
Knowledge about Effective Practice 529
Common Themes in the Literature 530
Implications for Applying This Knowledge to Public Administration Practice 541
Summary 545
30 Communicating Effectively 546
James L. Garnett
Applying Knowledge about Effective Communication Practice 547
Implications and Lessons from Hard Knocks Experience 559
Summary 562
31 Developing Intrapersonal Skills 564
Maria P. Aristigueta and Robert B. Denhardt
Intrapersonal and Interpersonal Skills 565
Developing Intrapersonal Skills 567
Practical Advice for Developing Intrapersonal Skills 573
Summary 577
Part Seven: Professionalizing Public Administration Practice 579
32 Embracing Ethical Principles for Public Action 583
Brian N. Williams
Reexamining the Historical Meaning of Public Service 585
How Best to Guard the Guardians? 588
Emerging Opportunities to Embrace Ethical Principles in Public Action: A View from Below 591
Out of Darkness and into the Light: Implications for Consistent Ethical Actions 594
Conclusion 596
Summary 597
33 Understanding the Obligations of Codes of Ethics 598
Liza Ireni-Saban
Codes of Ethics as Markers of Public Administration Professional Identity 600
Measuring the Effectiveness of Codes of Ethics in Public Administration 605
Assessing the Effective Implementation of Codes of Ethics in Public Administration 607
Comparative Analysis of Codes of Ethics Implementation Efforts 608
Summary 614
34 Understanding Your Liability as a Public Administrator 616
Stephanie P. Newbold
Knowledge about Effective Practice 620
Implications 632
Summary 633
35 Effective Governance, Effective Administrators 636
James L. Perry and Robert K. Christensen
What Distinguishes Effective Governance? 637
What Makes an Effective Public Administrator? 643
Public Administration as a Profession 648
References 650
Index 747
Preface
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:
- Google founded, September 4, 1998
- Terrorist attacks on the United States, September 11, 2001
- Facebook was launched, February 4, 2004
- Hurricane Katrina hit the southern US coast, August 29, 2005
- Global financial crisis, September 2008
- Barack Obama inaugurated, January 20, 2009
- Arab Spring, 2011
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.
Intended Audiences
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.
Overview of the Contents
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...
