ࡱ> OPNܥhc efc$ИИИИИИQx|X=Z46xçDyИИ American Government Notes for OVERVIEW AND SUMMARY OF ISSUES OF AMERICAN GOVERNMENT AND INTERGOVERNMENTAL RELATIONS presentation by Scott Fosler President National Academy of Public Administration to the Advanced Public and Business Management Research Program for Beijing and Wuxi The Institute for Global Chinese Affairs The China Committee University of Maryland, College Park July 14, 1999 National Academy of Public Administration 1120 G Street NW Washington, DC 20005 202.347-3190 FAX: 202.347-0628 sfosler@napawash.org Outline American Constitutional System State and Local Government Intergovernmental Relations Political Process Government Operations Contemporary Trends and Issues of Governance I. American Constitutional System U.S. Constitution Citizens/Voters Federal government Congress Senate (100 members, 2 from each state) House of Representatives (435 members from districts of roughly equal population) Executive president elected by all American voters through Electoral College (votes cast by state) Chief of state Chief executive Judiciary Supreme Court 9 members appointed for life by the president and confirmed by the Senate Federal courts State government (50) Form of government determined by state constitutions Amendments/Bill of Rights (first ten amendments specify individual rights) Special Features Separation of powers Branches of government (legislative, executive, judicial) Chambers of Congress (House and Senate) Federal and state government joint sovereignty Local governments are creatures of state government, and not mentioned in US Constitution Checks and balances Congress passes laws Executive veto with 2/3 congressional override Exec appointment with Senate confirmation Congress war making powers House originates spending bills Congress approves budget Congressional oversight General accounting office Inspectors general 10th Amendment - State power Local governments formed by state government Theory vs. Reality President frequently initiates laws Congress influences management of executive agencies, specially through budget appropriations Executive as commander-in-chief takes military action abroad without Congressional declaration of war Federal government can get involved in most any policy area Local governments have their own political power, even if they dont have constitutional status II. State and Local Government State government (50) Citizen/Voters State Constitutions Legislature Senate elected by all voters in a district House (assembly) elected by all voters in a district Executive Governor elected directly by all voters in the state Judiciary Judges elected and/or appointed Local government (84,955) -- established by state government County (3,043) Municipal (19,279) Towns and townships (16,656) School districts (14,422) Special districts (31,555) State delegation of authority to local government Designated authorities influenced by local delegation to state legislature Commission with areas of responsibility Home rule -- charter Special districts Special taxing districts Special authority (education water, sewerage, transportation, recreation) Variations in local government structure Council/manager similar to a parliament Mayor/council similar to presidential system Hybrids Mayor serves on council Mayor separate from council but with limited powers Budget authority varies Elections At-large/District Partisan/nonpartisan III. Intergovernmental Relations Formal roles of federal, state, and local government Federal defense, foreign policy, social security, general welfare State all other domestic policy areas Local what states direct or permit Reality Federal government is involved in virtually all policy areas State and local governments also involved in virtually all domestic policy areas, and increasingly some international areas Consequently, picket fence, or marble cake federalism Centralization Policy frameworks (e.g. livability) and pieces of policy areas (e.g. funding local police positions). Decentralization/devolution Conscious, e.g. welfare De facto states or local governments take the initiative State and local governments often entrepreneurial Laboratories of Democracy Fiscal arrangements Income taxes Fed, state, local Sales taxes State, local Property taxes Local, some state Fees (e.g. service fees, development impact fees) Intergovernmental fiscal transfers Other issues Inter-state compacts Inter-local cooperation Regional governance Community and neighborhood governance Public-private partnerships Role of business, nonprofit, civic organizations IV. Political Process Citizen/voters Elections Campaigns Political parties Interest groups Media Lobbying Politics, policy, and administration V. Government Operations Legislative role Policy, representation, pass laws, adopt budget and set tax rates Executive role Policy, representation, propose laws, propose budgets, administration Departments and agencies Political appointees Civil service/career appointees Relationship of political officials to professional employees Formal: law, charter, formal policy Informal: informal policy, personal relationship, management style Staff agencies Planning and policy development Budgeting Financial management Human resources management Information management Procurement and contracting Communications and citizen relations Evaluation and audit Operating agencies Foreign Affairs Defense Justice Public safety (police, emergency services) Fiscal and monetary policy Trade, commerce and economic development Health Human services Housing Social security (pensions and disability payments) Education Recreation and culture Transportation and public works Energy Agriculture Urban and community development Natural resources Environmental protection VI. Contemporary Trends and Issues of Governance Pressures for change Fiscal and economic Public dissatisfaction with government Pressures and opportunities created by new capacities (e.g. technology) Ideological shifts Approaches Key theme: performance and results Doing the right thing mission; role Doing the thing right -- effectiveness Value for money (productivity) -- efficiency Fiscal reform Focus on results Sorting out and clarifying institutional responsibilities Delegate the authority to act to achieve results Assure accountability and effective incentives Improve methods of operation Manage strategically Adopt values appropriate to the new demands Dilemmas Defining performance Public and immediate focus on cost savings v. long term investment in capacity Satisfying customer v. serving citizen Serving individuals v. serving the whole Delegation (liberation) v. accountability Outputs v. outcomes Agency focus v. integration Media openness v. privacy Information technology v. privacy Public service v. managerialism Variations in approach among different countries Scale Selection and mix of approaches Process by which they go about it Political drive and interest Cultural differences re management VII. Case Studies Regional airport management Regional water supply management Land use planning and growth management Economic development VALUE OF PLACING PUBLIC MANAGEMENT IN BROADER GOVERNANCE CONTEXT This was seen as having the dual advantage of assuring that public management reform is rooted to important public purposes (and not just exercises in rearranging administrative machinery), and to win the support of top policy officials and the public for serious government reform as important to achieving national goals. PRIVATE  GLOBAL TRENDS IN PUBLIC ADMINISTRATION Theme: Convergence of public management systems among countries, with variations in approach, pace, and particulars. Experimentation Advanced countries Anglo countries New Zealand, Australia, UK, US state and local govt, 1970s Continental countries stronger administrative law tradition, somewhat more resistant, but still have been moving in same direction OECD Minsterial Symposium, March, 1996; Alice Rivlin and represenatives of 26 countries responsible for government reform. Other countries IIAS Commonwealth UN I. SIMILAR PRESSURES FOR CHANGE affecting all countries and governments 1) Fiscal and economic Fiscal welfare state; growth of government; resistance to taxation Economic impact of tax and regulatory policy on economy slower economic growth and productivity growth ; govt expenditures outpacing economic growth US, earlyu 1970s local govt productivity; Prop 13 California, 1978. Reagan election 1980. budget stringency 2) Public dissatisfaction with government taxes, services, regulation, intrusiveness lack of solutions to problems politics ethics, fairness public dissatisfactions with institutions in general heightened expectations regarding services, customer orientation decline in public trust over 20 years (maybe slight upturn last 2 years.) genesis in Viet Nam and Watergate? But similar around the world. 3) Pressures and opportunities created by new capacities (technology) keeping up with changes in other institutions business opportunities IT human resources management organization in competitive situation, opportunities become pressures for change, because your competitor will put them to use, forcing you to do so. Private sector US auto industry was improving quality in 70s, but overtaken by Japanese. Private sector improvement in service created sharper contrast with government service. 4) Ideological orientation of government more limited, restrictive role of government favor market role of civil society use of market mechanisms distinguish between public and government US, early 1970s local govt productivity; Carter , 1976; Prop 13 California, 1978. Reagan election 1980. But NZ and Australia had labor governments that adopted conservative ideas NZ neo-conservative ideas picked up by govt officials studying in the United States: principal agent theory; public choice 1983 NZ the ultimate welfare state; end of line on credit. Comprehensive reform: economic, govt, political, social programs; endorsed by National Party in 1993.1996 proportional representation. Eliminate subsidies Private everything possible Create govt. Corporations Core public sector organized according on results-based formula of professional chief executives hired to with performance contract with ministry to produce specific outputs with given amount of money and nearly complete latitude. Australia; labor govt; endorsed by Conservative Party in 1996. Thatcher in UK; 1980s. Next Step Agencies; Citizens Charter; Endorsed by Labor Party in 1997. US; Clinton, 1992, Gore National Performance Review to Reinvent Government: focus on how to make government work better and cost less; 1994 Congressional elections, Republicans take over Congress, focus on what government should do in the first place; Clinton and Gore agree; 1996 elections a stand-off. Growing political synthesis in US, but far behind countries like NZ, which is more comprehensive, cohesive, based on theory. US has added challenges of: Separation of powers; checks and balances Federal system Huge country, in geography and population Diversity of population and political culture II. SIMILAR APPROACHES Key theme: performance doing the right thing mission; role doing the thing right -- effectiveness value for money (productivity) -- efficiency Public administration (preoccupation with process, procedure) Public management (focus on results, new approaches) different kind of process New Public Management Governance 1) Fiscal reform reduce budget deficits downsizing efficiency and productivity doing more with less doing the same with less doing less with less (economy) budgetary procedures and discipline financial accounting systems transparency economic growth National Performance Review Government that works better and costs less focus on costs less dollar savings and position reductions Clinton/Gore 1993 2) Focus on results expectations role of government specification of goals results: outcomes and outputs incentives and accountability Government Performance and Results Act 1993; Congress; embraced by Clinton 3) Sorting out and clarifying institutional responsibilities Role of government vis a vis private sector and civil society Level of govt. Policy and operations (steering/rowing; politics/administration dichotomy Organizational structures agency, PBO, government corporation Separation of ownership and control in government businesses owner concerned with well-being, profitability, future of organization purchaser more concerned with product/service and price (but also reliability). Separation of the governments interest as an owner of an organization from its interests as the purchaser of the services of that organization Separation of funding, purchasing, and provision of public services Clear specification of the performance objectives of government organizations, Using commercial financial criteria for business organizations and outputs for core government administration NZ ambassador and $ 100,000 painting at 12 percent Distinguishing between outputs and outcomes Delegate the authority to act to achieve results Give the action to those closest to the problem. Let managers manage. empowerment -- individual decentralization agency field offices devolution lower levels of government deregulation and quality of regulation process (govt deregulation of itself); sectors (govt control of business) liberation loosen controls cutting red tape but also some centralization, as private sector has found; creating public value Mark Moore 5) Assure accountability and effective incentives Assure that those who are delegated the authority achieve the desired results for which they are responsible. Make managers manage performance agreements performance plans and reports performance measures contracts financial incentives monitoring audit evaluation from gotcha (junk yard dog) to performance based communication about performance conversation 6) Improve methods of operation Use the best ways to achieve the desired results, using the most up-to-date knowledge, technology, instruments? While discretion for managers is encouraged, there are preferred methods of operation. use of market mechanisms privatization in use for 10-15 years; now vouchers) competition govt agencies competing with one another Phoenix - refuse collection Indianapolis - refuse collection customer orientation/customer service standards and quality technology (IT) capacity technology human resources management Manage strategically Dont just plan strategically; think, act, and manage strategically. Align systems strategically. strategic plans strategic management alignment NZ govt strategic plan; strategic results areas; ministers purchase outpouts goals, incentives 8) Adopt values appropriate to the new demands better service delivery to citizens entrepreneurship focus on results transparency competence ethics loyalty integrity and honesty collaboration caring confidentiality neutrality role of the state operations horizontal work good governance III. COMMON DILEMMAS Defining performance outputs v. outcomes technicians results v. inputs Fred Barnes results and inputs v. process - Barbara Jordan Public and immediate focus on cost savings v. long term investment in capacity knowledge; institutional memory business downsizing; people as costs, but also revenue generators. Govt people are value producers Satisfying customer v. serving citizen who is the customer Serving individuals v. serving the whole Delegation (liberation) v. accountability central management v. agency autonomy and discretion empowerment of individual v. need to assure results and appropriate behavior devolution to lower levels of government v. need to uphold values of the broader community let managers manage v. make managers manage Outputs v. outcomes New Zealand v. Australia crisp management focus versus ambiguous social reality Example: training x number of unemployed providing them with usable job skills assuring that they get a job that they keep that pays a living wage reducing unemployment among the hardest to employ measuring the unmeasurable Xerox service produced revenue; so dont make better machines (like the Japanese), but then lose sales. Agency focus v. integration outputs v. outcomes accountability for what managers are responsible for discretion in use of methods and technology v. need for overarching architecture, IT, HRM, Finance interchangeability, and coordination Media openness v. privacy Information technology v. privacy Public Service core public service v. contractors integrated public service govt-wide v. latitude to each agencies/service public service values parliamentary v. presidential system IV. VARIATIONS IN APPROACH Differences among countries similar tendencies, but differences in: Scale social economic political institutional organizational managerial cultural New Zealand most comprehensive United Kingdom Thatcher privatization citizen charter Next step agencies Australia financial reform outcomes rather than outputs Selection and mix of approaches Process by which they go about it approaches to initiating reform; speed of reform. New Zealand rapid, comprehensive, theoretically-based UK rapid, ad hoc, pragmatic Australia more gradual Canada slow, incremental, until 1993 US Political drive and interest. Cultural differences re management of change. UK/Thatcher made big deal of it; Scandinavian countries dont talk much about it but have done a lot. CASES New Zealand Labour government, 1984 - coherent based on theory; institutional economics ( principal/agent, transaction costs; public choice); contemporary macro and micro economic theory - comprehensive all of the above privatization/utilities corporatization/crown entities structural clear goals, performance information, and competition new management framework for central government service delivery centering on the achievement of detailed performance objectives shrink budgets - aligning incentives (incentive congruence) - clear performance specifications United States NPR How - NPR at outset What NPR after 94 Republic election victory; role of govt; Contract with America Systemic Individual agency PBO NPR 96 GPRA Strategic plan -- FY1998 all agencies required to have strategic plans Annual performance plan Annual performance plan Pilots Consultation with Congress Republican approach role of government what, not just how cut back government taxes, people, laws and regulation, intrusiveness VALUE OF PLACING PUBLIC MANAGEMENT IN BROADER GOVERNANCE CONTEXT This was seen as having the dual advantage of assuring that public management reform is rooted to important public purposes (and not just exercises in rearranging administrative machinery), and to win the support of top policy officials and the public for serious government reform as important to achieving national goals. PRIVATE  Similarities: existing body of dedicated senior servants motivated public servants; not positively motivated by big salaries, but care about fair play; if their pay is falling behind those in private sector, than they get demotivated. doing a good job as managers high integrity working very hard without high pay. Is there a New Public Management? Derry: an academics term. There is devolution, etc. and large body of information and experience about all these things, but not clear it adds up to a precise change in management. OECD is accused of promoting NPM and convergence among countries, but not so. Essentially cost-effective service. Devolution, but not freeing up managers without accountability. Tension between administrative law and common law. Benita: new public managers don want New Public Management. They value caring Has govt improved. Things are better. Citizens more satisfied. This has reduced bureaucrat bashing. But hard to measure, accountability. Measurement. Benita: hard to do, almost impossible, but you have to keep at it. It provides better information, change mind-set, improvement in service, transparency, a sense that are trying to improve; informal measurement; effort to make things transparent; better information; (in essence, better, more informed conversation by key stakeholders) Keys: -- process, leading to change in mindset; countries are not going to go back to administrative law approach, but will stay focused on results. -- international benchmarking; comparing institutions against one another;OECD is putting together an international benchmarking club. Governance definitions: UN, World Bank, OECD -- contained in briefing book for ministerial meeting; glossary Three arenas need to be brought together: - organizational theory - law/regulation - economics Jonathan Boston; book on microeconomics applied to management issues method deductive inductive Two most quoted management books: Peters and Weatherman, In Search of Excellence, and Osborne and Gaebler, Reinventing Government. Peters and Waterman method: identify successful companies and see what they do; assumption of correlation and cause and effect between what they do and their success; academics chafe at this. Osborne -- journalist taking a picture of what's there We need to keep each other informed on issue Systemic Individual agency PBO GPRA Strategic plan -- FY1998 all agencies required to have strategic plans Annual performance plan Annual performance plan Pilots Consultation with Congress Republican approach role of government what, not just how cut back government taxes, people, laws and regulation, intrusiveness VALUE OF PLACING PUBLIC MANAGEMENT IN BROADER GOVERNANCE CONTEXT This was seen as having the dual advantage of assuring that public management reform is rooted to important public purposes (and not just exercises in rearranging administrative machinery), and to win the support of top policy officials and the public for serious government reform as important to achieving national goals. PRIVATE  Similarities: existing body of dedicated senior servants motivated public servants; not positively motivated by big salaries, but care about fair play; if their pay is falling behind those in private sector, than they get demotivated. doing a good job as managers high integrity working very hard without high pay. Is there a New Public Management? Derry: an academics term. There is devolution, etc. and large body of information and experience about all these things, but not clear it adds up to a precise change in management. OECD is accused of promoting NPM and convergence among countries, but not so. Essentially cost-effective service. Devolution, but not freeing up managers without accountability. Tension between administrative law and common law. Benita: new public managers don want New Public Management. They value caring Has govt improved. Things are better. Citizens more satisfied. This has reduced bureaucrat bashing. But hard to measure, accountability. Measurement. Benita: hard to do, almost impossible, but you have to keep at it. It provides better information, change mind-set, improvement in service, transparency, a sense that are trying to improve; informal measurement; effort to make things transparent; better information; (in essence, better, more informed conversation by key stakeholders) Keys: -- process, leading to change in mindset; countries are not going to go back to administrative law approach, but will stay focused on results. -- international benchmarking; comparing institutions against one another;OECD is putting together an international benchmarking club. Governance definitions: UN, World Bank, OECD -- contained in briefing book for ministerial meeting; glossary Three arenas need to be brought together: - organizational theory - law/regulation - economics Jonathan Boston; book on microeconomics applied to management issues method deductive inductive Two most quoted management books: Peters and Weatherman, In Search of Excellence, and Osborne and Gaebler, Reinventing Government. Peters and Waterman method: identify successful companies and see what they do; assumption of correlation and cause and effect between what they do and their success; academics chafe at this. 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