Theories in Public Administration

FDM 203 Methods of Social Research

ME 204 Industrial Research & Statistical Analysis

Theories in Public

Administration

Jo B. Bitonio, DPA

Professor

2nd Sem 2012-2013

• Public administration has been called many

things; a subset of political science or at least its

offspring

• Public administration is a process and as such

has been around as long as governments have

existed.

• As a discipline, it is primarily an American idea

that grew out of the late nineteenth-century

movement for government reform

Ann Prentice 1984

Introduction

PA has a relationship to political science in

that its field of endeavor is the body politic, but

where political scientists look at the political

aspect of an activity, public administrators deal

with the implementation of policy for the

smooth operation of departments, programs

and activities that are the outcomes of policy

decisions made by the bodies politic. Public

administration may be more profession than

discipline, in that it combines theory and

practice and is both science and art.

Ann Prentice 1984

Introduction

Public Administration is a species belonging to GENUS ADMINISTRATION, which genus in turn belongs to a FAMILY which we may call COOPERATIVE HUMAN ACTION

(WALDO, 1955)

Source: www.ginandjar.com

4

What is Public Administration?

PA theory is the amalgamation of history, organizational theory,

social theory, political theory and related studies focused on the

meanings, structures and functions of public service in all its forms

PA often recounts major historical foundations for the study of

bureaucracy as well as epistemological issues associated with public

service as a profession and as an academic field.

Important figures of study include: Max Weber, Frederick Winslow

Taylor, Luther Gulick, Mary Parker Follet, Chester Barnard, Herbert

A. Simon, and Dwight Waldo.

In more recent times, the field has had three main branches: new

public management, classic public administration, and postmodern

public administration theory.

Public Administration Theory

Source: http://en.wikipedia.org/wiki/Public_administration_theory accessed Feb 2, 2013)

http://en.wikipedia.org/wiki/Public_administration_theory accessed Feb 2

Context Key Values

/Principles/Issues

Proponents Dominant/Theories/Themes

/Sub-Concepts

1. Classical PA (Late 1800-1950’S)

Politicized

bureaucracy

Corruption

Spoils system

Inept

government

Popularization

of scientism in

management

Politics & administration

Dichotomy

Preservation of

Democracy

Promotion of Efficiency

(doing things right),

effectiveness (doing the

right things) and

economy (least cost) in

the government

Classical approach

o Unity of command,

hierarchy, division

of labor, one best

way rule

o Mechanistic view

of the organization

o Closed system

view of the

organization

Frederick Taylor

(1856 -1915)

Robert Owen (1771-

1858)

Charles Babbage (1792

-1871)

Max Weber (1864-

1920)

Herbert Simon

Classical PA is based on the classical

theories of administration (scientific

management, bureaucratic model and

administration management)

Scientific Management

o Focused on lower level of

management

o One-Best-Way vs. Rule of

Thumb

o Time & Motion Studies

Theory of Bureaucracy

o Max Weber’s ideal Type

Bureaucracy or Rational –Legal

Bureaucracy (hierarchy, division

of labor, formally written rules

and procedures, impersonality,

neutrality)

Dr. Joel V. Mangahas

UP-NCPAG 2004

Context Key

Values/Principles/Iss

ues


/Sub-Concepts

1. Classical PA (Late 1800-1950’S)

Henri Fayol’s1916

a French industrialist, is now

recognized as the Father of

Modern Management. In year

1916 Fayol wrote a book

entitled "Industrial and

General Administration". In

this book, he gave the 14

Principles of Management.

These 14 principles of

management are universally

accepted and used even today.

According to Henri Fayol, all

managers must follow these 14

principle

o Henri Fayol’s principles of

administration (division of labor,

authority, discipline, unity of

command, unity of direction,

subordination of individual

interest to general interest,

remuneration of employee,

centralization, scalar chain,

order, equity, stability of tenure

of personnel, initiative, esprit de

corps)

http://kalyan-city.blogspot.com/2011/04/henri-fayol-14-principles-of-management.html

ADMINISTRATION is a type of cooperative human effort that has HIGH DEGREE OF RATIONALITY

The significance of HIGH DEGREE OF RATIONALITY lies in HUMAN COOPERATION which varies in effectiveness of goal attainment whether we think of formal goals, the goals of leaders, or of all who cooperate

(WALDO, 1955)

What is Administration?


Administration is a PLANNED APPROACH to solving of all kinds of problems in almost every individual or group activity, both public and private

(DIMOCK, DIMOCK, AND KOENIG, 1960)

9



In its broadest sense ADMINISTRATION can be defined as the activities of groups cooperating to accomplish common goals

(SIMON, 1991)

10



The study of administration is concerned with questions such as:

1. How the method was chosen?

2. How the men are working towards attainment of goals were

selected and induced to cooperate in carrying out such task?

3. How the task was divided between them?

4. How each one learned what his particular job was in the total

pattern?

5. How he learned to performed it?

6. How his efforts are coordinated with the efforts of the other?

(SIMON, 1991)

11



Most persons, while they are engaged in ADMINISTRATION

everyday of their lives , SELDOM think formally about the

process.

They SELDOM deliberately set out to consider the ways in

which the cooperative activities of groups are actually

arranged; how the cooperation could n\be made more effective

or satisfying; and what are the requirements for the continuance

of the cooperative activity

(SIMON, 1991)



Since ADMINISTRATION is concerned with all patterns

of cooperative behavior, any person engaged in an activity

in cooperation with other persons is engaged IN

ADMINISTRATION

Since everyone has COOPERATED with others in his

life, he has some basic familiarity with

ADMINISTRATION and some of its problems

(SIMON, 1991)

The Universality of Administration


The characteristics of administration are best

subsumed under two terms ORGANIZATION

AND MANAGEMENT

ORGANIZATION AND MANAGEMENT are the two faces of the

same coin

(WALDO, 1955)

14

Characteristics of Administration


ORGANIZATION is the ANATOMY,

MANAGEMENT THE PHYSIOLOGY, of

administration

ORGANIZATION IS THE STRUCTURE;

MANAGEMENT IS THE

FUNCTIONING of administration

(WALDO, 1955)

Characteristics of Administration


Directorate General

Directorate/Bureau

Division

Section

Organization


PLANNING

IMPLEMENTATION

CONTROLLING

MANAGER

Management


Context Key Values

/Principles/Issues


/Sub-Concepts

1. Classical PA (Late 1800-1950’S) I. Gulick – POSDECORB

(Planning, organizing, staffing,

directing, coordinating,

reporting, budgeting

In 1937, Luther Gulick and Lyndall

Urwick published their classic collection

of Papers on the Science of

Administration. Gulick was the president

of the Institute of Public Administration

and a leader in the effort to make

public administration more, well,

scientific. In the opening essay in this

collection, Gulick asked the question:

“What is the work of the chief executive?

What does he do?” Gulick summarized

his answer in the acronym

POSDCORB, which stands for: Planning,

Organizing, Staffing, Directing,

COordinating, Reporting, and Budgeting.

Indeed, into these seven “functional

elements,” Gulick argued “can

be fitted each of the major activities

and duties of any chief executive.”

www.hks.harvard.edu/thebehnreport/All%20Issues/July2011.pdf

Context Key Values

/Principles/Issues


/Sub-Concepts

1. Classical PA (Late 1800-1950’S) Herbert Simon –

Administrative Man

o Administrative Behavior: a Study of

Decision-Making Processes in Administrative

Organization is a book written by Herbert A.

Simon (1916–2001). It asserts that “decision-

making” is the heart of administration, and

that the vocabulary of administrative theory

must be derived from the logic and psychology

of human choice," and it attempts to describe

administrative organization "in a way that will

provide the basis for scientific analysis. The

first edition was published in 1947; the

second, in 1957; the third, in 1976; and the

fourth, in 1997. As summarized in a 2001

obituary of Simon, the book "reject[ed] the

notion of an omniscient 'economic man'

capable of making decisions that bring the

greatest benefit possible and substitut[ed]

instead the idea of 'administrative man' who

'satisfices” -- looks for a course of action that

is satisfactory

http://en.wikipedia.org/wiki/Administrative_Behavior

This change in viewpoint, which was a response to

social and technological change, poses problems in

outlining the intellectual boundaries of public

administration. Administration of activity in the public

sector is still at the core, but the full implications of this

work are not fully recognized. The concern of the 1930s

with budgets became, in the 1960s, work with the

development of techniques for analyzing costs and

benefits of programs. This is only one indication of the

shift in public administration away from structures and

processes and toward systems analysis.

Ann Prentice 1984

PA Toward Systems Analysis

Context Key Values

/Principles/Issues

Proponents Dominant/Theories/Themes/Sub-

Concepts

Neo-Classic

Approach

o Importance of

human behavior

o Socio-psychological

dimension of the

organization

o Interdependency to

its internal parts and

relation to the

external part

environs were not

taken into account

Neo –Classical

Mary Parker Follet (1868-

1933)

Barnard (1886-1961)

Elton Mayo

Abraham Maslow

Frederick Herzberg

Douglas McGregor

Chris Argyris

Rensis Likert

NEOCLASSICAL THEORY OF

ORGANIZATION (1920’s to 1930s) –

Neoclassical PA derived its concepts

from this school

Commonly referred to as the human

relations or human behavior school

Attempted to improve on the

classical concepts

Follet – importance of the informal

system and exercising leadership

rather then wielding power to

motivate workers

Elton Mayo (late 1920s to 30’s)

experiments – worker’s anchor of

security and productivity has greater

influence on employee productivity

rather than management demands;

workers are obliged to adhere to

their group norms

Reference:


UP-NCPAG 2004

Context Key Values

/Principles/Issues


Concepts

NEOCLASSICAL THEORY OF

ORGANIZATION (1920’s to 1930s) –

Neoclassical PA derived its concepts from

this school

Barnard – Function of the Executive

(1938) – viewed organization as a

cooperative system whereby workers

make contributions to it and

management provide inducements to

encourage workers to contribute to

the organization. He highlighted the

importance of social and

psychological incentives like prestige,

pride, and loyalty over economic

considerations

Abraham Maslow – Hierarchy of

Needs (1943) – psychological, safety,

social, ego, self-actualization

Frederick Herzberg – (1959)

Motivation hygiene theory

Douglas McGregor – Theory X &

Theory Y (1960)

Reference:


UP-NCPAG 2004

Context Key Values/Principles/Issues Proponents Dominant/Theories/Themes/Sub-

Concepts

Abraham H. Maslow felt as

though conditioning theories

did not adequately capture the

complexity of human behavior.

In a 1943 paper called A Theory

of Human Motivation, Maslow

presented the idea that human

actions are directed toward goal

attainment. Any given behavior

could satisfy several functions

at the same time; for instance,

going to a pub could satisfy

one’s needs for self-esteem and

for social interaction.

Abraham Maslow – Hierarchy

of Needs (1943) –

psychological, safety, social,

ego, self-actualization

Abraham H. Maslow felt as though conditioning theories did not adequately capture the complexity of human behavior. In a 1943 paper called A Theory of Human Motivation, Maslow presented the idea that human actions are directed toward goal attainment. Any given behavior could satisfy several functions at the same time; for instance, going to a pub could satisfy one’s needs for self-esteem and for social interaction.

Context Key

Values/Principles/Issues

Proponents Dominant/Theories/Themes/Su

b-Concepts

Frederick Herzberg – (1959)

Motivation hygiene theory

The Father of "Job Enrichment"

and the originator of the

"Motivation-Hygiene Theory

In 1959, Frederick Herzberg developed a

list of factors which were developed a list

of actors which were closely based on

Maslow’s hierarchy of needs, except it

more closely related to work. Herzberg

theorized that hygiene factors must be

present in the job before motivators can be

used to stimulate the workers:

Hygiene or Dissatisfiers:

Working conditions

•Policies and administrative practices

•Salary and Benefits

•Supervision

•Status

•Job security

•Fellow workers

•Personal life

Motivators or Satisfiers:

•Recognition

•Achievement

•Advancement

•Growth

•Responsibility

•Job challenge

http://www.nwlink.com/~donclark/hrd/history/herzberg.html

Context Key Values/Principles/Issues Proponents Dominant/Theories/Themes/Sub-

Concepts Douglas McGregor – Theory X &

Theory Y (1960)

Douglas McGregor, an American social

psychologist, proposed his famous X-Y

theory in his 1960 book 'The Human Side

Of Enterprise'. Theory x and theory y are

still referred to commonly in the field of

management and motivation, and whilst

more recent studies have questioned the

rigidity of the model, Mcgregor's X-Y

Theory remains a valid basic principle

from which to develop positive

management style and techniques.

McGregor's XY Theory remains central to

organizational development, and to

improving organizational culture.

McGregor's X-Y theory is a salutary and

simple reminder of the natural rules for

managing people, which under the pressure

of day-to-day business are all too easily

forgotten.

McGregor's ideas suggest that there are

two fundamental approaches to managing

people. Many managers tend towards

theory x, and generally get poor results.

Enlightened managers use theory y, which

produces better performance and results,

and allows people to grow and develop

http://www.businessballs.com/mcgregor.htm

After World War 11,public administrators went through a period of self-doubt and self-criticism. For many of them, being good policy implementers and managers was no longer enough. Theoretical questions concerning the discipline were posed. The scope of their role and concerns changed from that of being responsible for the traditional planning, organizing, staffing, reviewing, and budgeting activities to a much broader charge. Public administrators realized that study of the organization should encompass the study of human behavior and study of budgeting should include the study of theory as well as practice. Public administrators became aware of inter-connections between science and technology and between policy and administration.

Ann Prentice 1984

Integration

Context Key Values/Principles/Issues Proponents Dominant/Theories/Themes

/Sub-Concepts

Perspective

o Organizations are viewed as composed

of interrelated and interdependent parts

Looks at these parts or subsystems of the

organization in relation to its environment

Woodrow Wilson

(1887)

Frank Goodnow

(1900)

Luther Gulick (1933)

W.F. Willoughby

(1936)

Leonard White

(1948)

Paul H. Appleby

(1949)

Dwight Waldo

(1952)

– integrates classical approach with

social-psychological perspective of

human relations; this represents

modern PA

Decision-Making Theory

o Rational decision-making

o Herbert Simon – bounded

rationality, satisficing

Industrial Humanism

o Theories of motivation

(McGregor, Argyris,

Maslow, Likert)

Open Systems Theory

oOrganizations as open systems

oOrganizations responds to

internal and external forces

Contingency Approach

oAttempts to integrate the

various schools of management

ideas

oProposes no single technique or

method is applicable to all

situations

Reference:


UP-NCPAG 2004

Modern Public Administration

A 'postmodern' epistemology is explored in

terms of its consequences for writing about

organizations

The indicative period of modern public

administration in the 50s. The sub phases

include: (a) development administration; (b)

new public administration; (c) new public

management and reinventing government; and

PA as governance.

http://www.slideshare.net/jobitonio/modern-public-administration

The ideas of “new public

management” and “reinventing

government” were essentially born out

of the continuing search for solutions to

economic problems in 1970s and to

produce a government that “works

better but costs less.” (Denhart 2004:

136)

http://www.slideshare.net/jobitonio/new-public-administration

New Public Management

The idea of “reinventing government” was

advanced by Osborne and Gaebler in 1992. Their

concept of NPM was sparked by the use of business

model prescriptions for government i.e. using private

sector innovation, resources, and organizational ideas

to improve the public sector. Reinventing Government

provided ten principles through which public

entrepreneurs might bring about massive

governmental reform principles that has remained at

the core of the new public management.


Reinventing Government

Another similar movement was

“reengineering organizations.” This term was

coined by Michael Hammer (1990) in an article

published by the Harvard Business Review.

Reengineering offers an approach for

improving performance, effectiveness, and

efficiency of organizations regardless of the

sector in which they operate.


Reengineering Organizations

According to Hammer and Champy (1993),

“reengineering is the fundamental rethinking and

radical redesign of business processes to achieve

dramatic improvements in critical contemporary

measures of performance, such as cost, quality,

service, and speed.” (Hammer and Champy 1993

as cited in Halachmi 1995: 330).


Context Key Values/Principles/Issues Proponents Dominant/Theories/Themes/

Sub-Concepts

2. Development

Underdevel

opment

Poverty

Soft states

Administration 1950’s – 1960’s

Nation building

Economic Development

Institutional Strengthening

Involvement of people in

development

Goswami

(1955)

Riggs

Weidner

Roman Dubsky

J.Net

O.P. Dwivedi

George Gant

Concept of DA was

coined by Goswami and

popularized by Riggs and

Weidner

Refers to almost

exclusively to developing

countries in Asia, Africa,

Conceptual foundations

were western (US)

particularly, influenced

largely by scientific

management and

administrative reform

(traditional PA)

Context Key Values

/Principles/Issues


Concepts

3. New Public

Administration

Late 1960s to 70’s

Widening gap between

the rich & poor

Racial discrimination

Watergate scandal

Cold War

Vietnam War

Equity

Responsiveness

Relevance

Adequacy

Client-orientedness

– protect & promote

welfare of the

disadvantaged

groups

Minnowbrook

Conference

H. George

Frederickson

Disparities existed because PA

has focused less on social

purposes or values of government

policies and programs on the

economy and efficiency of

execution

The value-free and neutral stance

of traditional PA has alienated the

less privileged and deprived

groups in society

According to New PA Proponents,

public administrators should not

be neutral; they should be

committed to both good

management and social equity as

values to be achieved

Advocated: client-oriented

administration, non bureaucratic

structures, participatory decision-

making, decentralized

administration, and advocate

administrators


UP-NCPAG 2004

Context Key Values/Principles/Issues Proponents Dominant/Theories/Themes/Sub-Concepts

4. New Public Management

Poverty

Low standards of living

Globalization

Economic Integration

Sustainable human

development

Improving human

conditions

Participation and

empowerment of

stakeholders

Improve government

operations

Streamline bureaucracy

Rational public

policymaking

Strong democracy

Rule of law

Hammer &

Champy

Ted Osborne and

David Gaebler

UNDP

ADB

WB

Reengineering

o Fundamental rethinking and radical

change of processes (Hammer and

Champy)

o Improvement (and, if necessary, overhaul)

of systems

Reinventing

o Catalytic government: Steering than

rowing

o Community-owned Government –

Empowering rather than serving

o Competitive government : injecting

competition into service delivery

o Mission-Driven Government: Funding

outcomes, not inputs

o Customer-Driven Government: Meeting

the needs of the customers, not the

bureaucracy

o Enterprising government: Earning rather

than spending

o Anticipatory government: Prevention

rather than cure

o Decentralized government: From

hierarchy to participation and teamwork

o Market-oriented government: leveraging

change through the market

Public Choice Theory

Governance

o Accountability

o Transparency

o Predictability

o participation


UP-NCPAG 2004

The Use of Theories in Research

Deductive approach Typically used in Quantitative Research

Researcher tests or verify a theory

Researcher tests hypotheses with

research ?s from the theory

Researcher defines and

operationalizes variable derived

from the theory

Reearcher measures or observe

variables using an instrument to

obtain

Source: Leonardo R. Estacio Jr., MPH, Ph.D.

Deductive Approach

• Placement of a theory in quantitative research

only

• General guide:

• Introduce the theory early in the study:

• in the intro, in the review of lit,

• immediately after the hypotheses or research ?s

(as a rationale for the connection among the

variables)

• Or as a separate section of the study (ideal so

that researcher can clearly identify the theory

vis-à-vis the study) Source: Leonardo R. Estacio Jr., MPH, Ph.D.

Quantitative Theory Perspectives (Cresswell, 2009:59)

• “The theory that I will use is____ (name of theory). It was

developed by ____ (identify the origin, source or

developer of the theory), and it was used to study ___

(identify the topics where one finds the theory being

applied). This theory indicates that ___ (id the propositions

of hypotheses in the theory). As applied to my study, this

theory holds that I would expect my independent variable/s

___ (state independent variables) to influence or explain

the dependent variable/s (state dependent variables)

because ___ (provide a rationale based on the logic of the

theory)

Source: Leonardo R. Estacio Jr., MPH, Ph.D.

Example of Theories

• Theory on delivery of services, implementation of programs.

• A theory that relates performance with organizational structure

Education

Theories in Public Administration