1. CONTEXT FOR ORGANIZATION THEORY PUA 703-001 DR. SPRINGER FALL, 2007

2. KEY QUESTIONS TO ANSWERTHEORY TO PRACTICE. . . • WHAT DO I NEED TO KNOW ABOUT THIS ORG? • HOW CAN I FIND OUT? • HOW CAN I USE THE INFORMATION THAT I GET? • MAKING CHOICES • MAKING SENSE OF WHERE I AM • WHAT KNOWLEDGE AND HOW TO APPLY

3. WHAT IS THE ROLE OF GOVT? • A NECESSARY EVIL? • TO SHOW THE WAY? • TO PROTECT, PRESERVE, PROMOTE? • TO MAKE IT WORK? • TO ENGAGE?

4. WHY STUDY FORMAL THEORIES? • USING THEORIES AS BENCHMARKS • QUESTIONS TO ANSWER • ISSUES TO BE CONSIDERED • WHERE WE STAND • THOUGHTFUL RECONSTRUCTION OF HOW WE SEE THE WORLD AROUND US • EMPHACIZING AND DE-EMPHACIZING CERTAIN THINGS AND LEAVING SOME OUT • ROLE MODELS • REPRESENTATION OF REAL LIFE • MOLECULAR STRUCTURES VS MODEL CARS

5. BUILDING THEORIES • FROM • PUBLIC ADMINISTRATION AS PART OF THE GOVERNMENTAL PROCESS • TO • PUBLIC ORGANIZATIONS ARE THE SAME AS BUSINESS • TO • PUBLIC ADMINISTRATION IS A PROFESSIONAL FIELD • USUALLY FOCUSING ON • COMPLEX ORGS. • CARRYING OUT GOVERNMENT MANDATES

6. BUILDING THEORIES OF PUBLIC ORGANIZATIONS • PUBLIC ADMINISTRATION AS PART OF GOVERNMENTAL PROCESS • GOVT IS LIKE BUSINESS RE: EFFICIENCY • PUBLIC ADMINISTRATION AS A PROFESSION • COMPLEX ORGS • BUREAUCRATIC STRUCTURES • AUTHORITY RELATIONSHIPS • PRINCIPAL-AGENT THEORY • PUBLIC ADMINISTRATION AS GOVT ADMINISTRATION WITH AMBIGUOUS GOALS • SERVICE FIRST? • DEMOCRATIZATION OF ORG DETERMINES PUBLICNESS OF MGT PROCESSES

7. STACKING THE DECKAmerican Pol. Sci. Review, Vol. 81, No. 3www.jstor.org • SHOULD PUBLIC MGRS BIAS THE SEARCH FOR OPTIONS? • SHOULD POLITICIANS ANTICIPATE AND CONTROL SOLUTIONS?

8. REDEFINING THE FIELD • PROCESS NOT STRUCTURE • CLARIFY EARLIER PERSPECTIVES • POLITICAL • ADMINISTRATIVE • PROFESSIONAL • PUBLIC NATURE NOT GOVT SYSTEMS • MANAGING CHANGE PROCESSES IN PURSUIT OF PUBLICLY DEFINED SOCIETAL VALUES

9. REDEFINING THE FIELD • BRINGING TWO PERSPECTIVES TOGETHER • DEMOCRATIC POLITICAL THEORY • FREEDOM, JUSTICE AND EQUALITY • ORG. THEORIES • MANAGING CHANGE IN PURSUIT OF PUBLICLY DEFINED VALUES • CRITICAL ROLE OF PUBLIC MGR • INTERPERSONAL AND STRUCTURAL RELATIONSHIPS AND CHANGE • DESIGN AND IMPLEMENTATION OF SOCIETAL VALUES • DEFINING ETHICAL BASIS FOR PUBLIC MGT

10. WHY STUDY FORMAL THEORIES? • PROVIDE A BENCHMARK • MORE COHERENT AND INTEGRATED UNDERSTANDING • MORE THAN SIMPLE OBSERVATION –CONTEXT • MODELS AS A REP. OR REAL LIFE • LIKE MODEL CARS • LANGUAGE • SAID, UNSAID, SAID NEXT

11. INSIDE FORCES ON A PUBLIC AGENCY MANAGER MORALE EMPLOYEE/UNION DEMANDS AGENCY HEAD OR MANAGER AGENCY HEAD OR MANAGER BUDGET CONSTRAINTS PROFESSIONAL ASSOCIATIONS. DEMANDS OF UNITS NEED TO MAINTAIN OR INCREASE PRODUCTIVITY

12. TWO CASES: EFFICIENCY VS. EFFECTIVENESS? • KEN WELCH AS AN INTERN STUDIES THE RECRUITMENT PROCESS AND GETS TO KNOW RICK, TIM AND THE DIRECTOR • WHAT MOTIVATES EACH? • HOW DID HE COME TO UNDERSTAND THE BUREAUCRACY? • WHAT COMMUNICATION PATTERNS? • WHAT ROLE ACQUISITION OF KNOWLEDGE? • HOW TO COPE WITH OR DIRECT ORG CHANGE?

13. TWO CASES: EFFICIENCY VS. EFFECTIVENESS? • JOHN AND CAROL TAKE OVER A NEW HOUSING-LOAN PROGRAM AND DISAGREE ON APPLICATION PROCESSING • CUT RED TAPE OR EDUCATE? • HOW DOES WHERE THEY SIT DEFINE WHERE THEY STAND?

14. THE POLITICAL & CULTURAL ENVIRONMENT OF PUBLIC POLICY & IT’S ADMINISTRATION • WHAT IS PUBLIC POLICY • Public Policymaking in a Republic • Executive Powers • The Restricted View • Wm. Taft and Strict Constructionism • The Prerogative Theory • John Locke and Executive Privilege • The Stewardship Theory • T. Roosevelt and Actions in the Public Interest

15. THE POLITICAL & CULTURAL ENVIRONMENT OF PUBLIC POLICY & ITS ADMINISTRATION • THE POLICY MAKING PROGRESS • Agenda Setting • Process of ideas bubbling up for consideration • Anthony Downs – Preproblem, Alarmed Discovery, Recognition, Decline of Public Interest, Post Problem Phase • Decision Making • Rational • Intelligence, Recommending, Prescribing, Invoking, Application, Appraisal, and Terminating Phases • Implementation – small decisions at the margin • Seven Reasons for Incrementalism • Evaluation • Feedback

16. RATIONAL ACCORDING TO HERMAN SIMON1958 • MAKING OPTIMAL CHOICES IN HIGHLY SPECIFIED ENVIRONMENT • IDENTIFYING ALTERNATIVES A GIVEN • CONSEQUENCES FOR EACH • CERTAINTY, RISK, AND UNCERTAINTY • DECISIONMAKER CAN RANK CHOICES BASED UPON CONSEQUENCES • GOOD SELECTION POSSIBLE • MINIMAX RISK=MAXIMUM BENEFIT AND MINIMUM CONSEQUENCE

17. THE POLITICAL & CULTURAL ENVIRONMENT OF PUBLIC POLICY & ITS ADMINISTRATION • POWER--THE EXTERNAL PERSPECTIVE • Pluralism • Assuming the shifting of power within a democracy • Group Theory • Madison – Federalist Paper #10 • Interest Groups Will Be Heard and Can Be Managed • Organizational Goals • Internal Power Relationships

18. THE POLITICAL & CULTURAL ENVIRONMENT OF PUBLIC POLICY & ITS ADMINISTRATION • THE CULTURES OF PUBLIC ADMINISTRATION • The Outside Cultural Environment • The Inside Cultural Environment • Professional Socialization • Symbolic Management

19. THE EVOLUTION OF ORGANIZATIONAL AND MANAGEMENT THEORY From Moses Meets a Management Consultant to New Public Management

20. A CHRONOLOGY • 400 B.C. SOCRATES – MGT IS AN ART UNTO ITSELF • 360 B.C. ARISTOTLE – CULTURAL CONTEXT • 1776 ADAM SMITH – OPTIMAL ORGANIZATION OF PIN FACTOR • 1813 ROBERT OWEN – EMPLOYEES ARE VITAL MACHINES • 1910 LOUIS BRANDEIS AND FREDERICK TAYLOR - SCIENTIFIC MANAGEMENT • 1922 MAX WEBER –BUREAUCRACY AS A STRUCTURE

21. A CHRONOLOGY • 1937 GULICK’S POSDCORB • 1940 MERTON AND THE DYSFUNCTIONS OF BUREAUCRACY • 1946 SIMON ATTACKS THE PRINCIPLES APPROACH • 1948 WALDO ATTACKS THE GOSPEL OF EFFICIENCY • 1949 SELNICK AND TVA’S COOPTATION • 1954 DRUCKER AND MANAGEMENT BY OBJECTIVES • 1957 ARGYRIS AND THE CONFLICT BETWEEN PERSONALITY AND THE ORGANIZATION

22. A CHRONOLOGY • 1961 THOMPSON FINDS DYSFUNCTION DUE TO ABILITY VS AUTHORITY • 1962 PRESTHUS’ UPWARDMOBILES, INDIFFERENTS AND AMBIVALENTS • 1964 CROZIER – BUREAUCRACY AS AN ORGANIZATION THAT CANNOT LEARN FROM ERRORS • 1966 BENNIS PROCLAIMS DEATH TO BUREAUCRATIC INSTITUTIONS • 1968 HERZBERG – MOTIVATORS, SATISFIERS AND HYGIENE FACTORS • 1972 CLEVELAND – CONTINUOUS IMPROVISATION IS REQUIRED • 1976 MACCOBY AND THE GAMESMAN • 1981 PFEFFER – POWER IN ORGANIZATIONS

23. A CHRONOLOGY • 1983 ROSABETH MOSS KANTER AND THE CHANGEMASTER • 1988 ZUBOFF AND THE AGE OF THE SMART MACHINE • 1990 GAGLIARDI AND SYMBOLS AND ARTIFACTS • 1992 OSBORNE AND GAEBLER RE-INVENT GOVERNMENT • 1997 VIRTUAL ORGANIZATIONS AND BEYOND • 2000 SNOOK ANALYZES SYSTEMIC BREAKDOWN IN FRIENDLY FIRE • 2002 PERROW AND ORGANIZING AMERICA: WEALTH, POWER AND ORIGINS OFCORPORATE CAPITALISM

24. MOSES CREATES FIRST BUREAUCRACY • JETHRO – INSTEAD OF COUNSELING EVERYONE – TEACHING ORDINANCES AND LAWS SO THEY FIND THEIR OWN WAY USING BASIC PRINCIPLES • HAVING TO DEAL WITH ONLY THE HARD CHOICES

25. EIGHT DEFINITIONS OF ORGANIZATION • WEBER • OBEY ORDERS • WALDO • STRUCTURE OF INTER-RELATIONS • BARNARD • CONSCIOUSLY COORDINATED ACTIVITIES • SELZNICK • STRUCTURAL EXPRESSION OF RATIONAL ACTION

26. EIGHT DEFINITIONS OF ORGANIZATION • KATZ AND KAHN • ENERGETIC AND INTERDEPENDENT INPUTS-OUTPUTS • SILVERMAN • SOCIAL INSTITUTIONS WITH SPECIAL CHARACTERISTICS AND LEGITIMACY • COHEN, MARCH, OLSEN • COLLECTION OF ISSUES LOOKING FOR RESOLUTION AND DECISION MAKERS LOOKING FOR WORK

27. BRINGING THEORIES INTO PERSPECTIVE • DOMINANT METAPHORS • PRIMARY UNITS OF ANALYSIS • RELATION OF INDIVIDUAL TO ORG. • MEANING OF RATIONALITY • PRIMARY VALUES EMBODIES IN THEORITICAL PERSPECTIVES • “GENERIC” NO DIFFERENCE BETWEEN PUBLIC AND PRIVATE SECTOR THEORIES???

28. THREE ARENAS OF PUBLIC ORGANIZATION • INTER-ORGANIZATIONAL • PUBLIC ADMINISTRATOR ACTS AS AGENT • INTRA-ORGANIZATIONAL • PUBLIC ADMINISTRATOR HAS A PLACE IN THE ORGANIZATION • ORGANIZATION TO INDIVIDUAL • INTERACTIONS WITH INDIVIDUALS INSIDE AND OUTSIDE AND DISCRETION

29. BUREAUCRACY ACCORDING TO MAX WEBER • 1. FIXED AND OFFICIAL JURISDICTIONAL AREAS DEFINED BY REGULATIONS • 2. AUTHORITY AND SUPERVISION • 3. WRITTEN AND PRESERVED FILES • 4. EXPERT TRAINING IS ASSUMED • 5. OFFICIAL ACTIVITY DEMANDS AND RECEIVES FULL CAPACITY • 6. MANAGEMENT FOLLOWS STABLE, COMPLETE AND UNDERSTANDABLE RULES

30. POSTURE OF THE OFFICIALACCORDING TO WEBER • OFFICE HOLDING IS A VOCATION • SOCIAL ESTEEM • APPOINTED BY LEGITIMATE AUTHORITY • TENURE FOR LIFE • COMPENSATION AND PENSION • SET FOR A CAREER WITHIN HIERARCHY OF PUBLIC SERVICE

31. THE EVOLUTION OF MANAGEMENT & ORGANIZATION THEORY • THE ORGINS OF PUBLIC MANAGEMENT • The Continuing Influence of Ancient Rome • The Military Heritage of Public Administration • Comparing Military & Civilian Principles • The Principles Approach • The Cross-Fertilization of Military & Civilian Management

32. THE EVOLUTION OF MANAGEMENT & ORGANIZATION THEORY • Key Concepts • Merit system • Public Works • Police • Commander in Chief • Span of Control • Unity of Command

33. THE EVOLUTION OF MANAGEMENT & ORGANIZATION THEORY • WHAT IS ORGANIZATION THEORY? • Classical Organization Theory • Production related and economic goals • Systematic Organization • Division of Labor • People Act Rationally • Adam Smith and the Pin Factory • Laissez-faire capitalism

34. THE EVOLUTION OF MANAGEMENT & ORGANIZATION THEORY • THE ORGINS OF SCIENTIFIC MANAGEMENT • Frederick W. Taylor • Time and Motion, Measuring Management • Worker Development • Worker Cooperation • Division of Work • Fayol’s General Theory of Management • Six Principles – technical, commercial, financial, security, accounting, management

35. FREDERICK TAYLORPRINCIPLES OF SCIENTIFIC MGT.DECEMBER, 1916 • RESTRICTING WORKER OUTPUT HURTS THE WORKER • PRACTICE PRECEDES THEORY • GOODWILL IS CREATED AMONG WORKERS • WORKERS ASSUME NEW BURDENS VOLUNTARILY • THE SCIENCE OF SHOVELING AT BETHLEHEM STEEL • COSTS MONEY AND JUSTIFIES PROFIT • MR. BARTH INCREASING WORK 2-3 TIMES THROUGH ANALYSIS

36. FREDERICK TAYLORPRINCIPLES OF SCIENTIFIC MGT.DECEMBER, 1916 • 1ST PRINCIPLE: LEARNING THE SCIENCE OF WORK BY STUDYING MOTION AND TIME ON THE JOB • 2ND PRINCIPLE – SELECT AND DEVELOP WORKMEN • 3RD PRINCIPLE – BRINGING SCIENCE TOGETHER WITH TRAINED WORKERS • 4TH PRINCIPLE – DIVIDING WORK BETWEEN WORKERS AND MGT.

37. FAYOL’S PRINCIPLES OF MANAGEMENT • DIVISION OF WORK • AUTHORITY AND RESPONSIBILITY • DISCIPLINE • UNIT OF COMMAND • UNITY OF DIRECTION • SUBORDINATION OF INDIVIDUAL TO GENERAL INTEREST • REMUNERATION OF PERSONNEL • CENTRALIZATION

38. FAYOL’S PRINCIPLES OF MANAGEMENT • CLEAR LINE OF AUTHORITY • ORDER • EUITY • STABILITY OF TENURE OF PERSONNEL • INITIATIVE • ESPRIT DE CORPS

39. THE EVOLUTION OF MANAGEMENT & ORGANIZATION THEORY • THE PERIOD OF ORTHODOXY- between the wars • Paul Appleby’s Polemic • Govt is different because Govt is Politics • Luther Gulick’s POSDCORB

40. POSDCORB AS AN ORGANIZING PHILOSPHY • PRIMARY ACTIVITIES OF THE EXECUTIVE • CONSEQUENCE: • EMPHACIZING MEANS OF ADMINISTRATION NOT PURPOSE • DICHOTOMY BETWEEN POLITICS AND ADMINISTRATION • EFFICIENCY OF WORK IS IMPORTANT THRU DIVISION OF LABOR

41. POSDCORB AS AN ORGANIZING PHILOSPHY • PLANNING • ORGANIZING • STAFFING • DIRECTING • COORDINATING • REPORTING • BUDGETING

42. FOUR VIEWS OF ORGANIZATION DETERMINISTIC VOLUNTARISTIC • MACRO LEVEL MICRO LEVEL

43. FOUR BUREAUCRATIC POSTURESTOWARD A COMPOSITE APPROACH • APPROACH • FORM • SCOPE • COVERAGE • MOTIVE OR VALUES • ORIGINS • NET IMPACT ON PUBLIC INTEREST • NET IMPACT ON PERFORMANCE • WEBERIAN OR RESPONSIBLE • REPRESENTATIVE • PUBLIC SERVICE • PUBLIC CHOICE

44. ADMINISTRATIVE DECISION-MAKING • DECISION MAKING: CHOICES • EFFICIENCY VS. EFFECTIVENESS • PRODUCTIVITY • WEBER – LEGAL/RATIONAL (INSTRUMENTAL) AUTHORITY • RIGHTS AND THE ADEQUACY OF PROCESS • PUBLIC WELFARE ADMINISTRATORS AND THEIR CLIENTS • REPRESENTATION AND CONTROL OF DISCRETION • ROLE OF MORAL OBLIGATION/CODES OF ETHICS

45. WHAT DOES PUBLIC ADMINISTRATION DEAL WITH? • DECISIONS THAT • AFFECT PEOPLE’S LIVES • ARE MADE IN THE NAME OF THE PUBLIC • USE PUBLIC RESOURCES • TAME AND WICKED PROBLEMS • PERSONAL VS. ORGANIZATIONAL ACTION

46. FOUR QUESTIONS TO THINK ABOUT. . . • WHAT IS THE PUBLIC ADMINISTRATION FRAMEWORK? • WHAT ARE THE THEORIES THAT APPLY TO ORGANIZATIONAL BEHAVIOR? • HOW WOULD YOU DEFINE ORGANIZATIONAL THEORY? • COMPARE AND CONTRAST CLASSICAL AND NEOCLASSICAL APPROACHES TO ORGANIZATIONAL BEHAVIOR

47. DONALD RUMSFELD AND PRISONER ABUSE AT ABU GHRAIB - 2004 • AS A TRUSTED OUTSIDER AND ADVISOR TO RUMSFELD • WHAT FACTORS BROUGHT THIS TO CRISIS? • TO WHOM AND FOR WHAT IS RUMSFELD MOST RESPONSIBLE? • WHAT STEPS TO TAKE TO ADDRESS AND RESOLVE THE CRISIS? • WHAT ARE THE LESSONS LEARNED?

48. MOVING FROM CLASSICAL ON. . . • INDUSTRIAL REVOLUTION • EFFICIENCY AND EFFECTIVENESS • ORGANIZATION BY DECISION SETS • ORGANIZATIONS AS PURPOSIVE ENTITIES • INTEGRATING INDIVIDUALS • ORGANIZING AS REVEALED SELF-INTEREST • ORGANIZING AS SOCIAL ACTION • OGANIZING AS DISCOVERED RATIONALITY

49. SUPERINTENDENT’S REPORT • 1856 – ERIE RAILROAD COMPANY SETTLED PRINCIPLES • DIVISION OF RESPONSIBILITIES • POWER TO CARRY OUT • MEANS OF MEASUREMENT • PROMPT REPORT OF ERRORS SO CORRECTED • DAILY REPORTS, CHECKS AND BALANCES • ADOPTION OF SYSTEM TO ALLOW GENERAL SUPERINTENDENT TO DETECT AND CORRECT ERRORS IMMEDIATELY

50. THE ENGINEER AS AN ECONOMIST • SEPARATE FROM THE AMERICAN SOCIETY OF MECHANICAL ENGINEERS • SHOP MANAGEMENT • ORG. , RESPONSIBILITY, REPORTS, SYSTEMS OF WORK, EXECUTIVE MANAGEMENT • SHOP ACCOUNTING • TIME, WAGES, COSTS, BOOKKEEPING, EXPENSES, RECORDS OF RESULTS AND PROFITS