Running the Government: Public Administration and Governance in Global Context (Routledge Global Public Governance)

Half Title
Title Page
Copyright Page
Table of Contents
List of Figures, Tables, and Boxes
Preface
Acknowledgements
Part I. Government Roles and Organization
	1. Public Administration and Governance in a Competitive World
		Introduction
		Why Any Government? Political Fundamentals in Different Cultures
			Aristotle
			Confucius
			Buddha
			Ashoka
		Legitimacy and the Nature of Elites
		The Contemporary Context of Public Administration
			Globalization and Public Administration
				Asking the Right Question
				The Winners, the Losers, and the Backlash
				Inequality of Income and Wealth
				What is Next?
				Implications for Public Administration
				The Bottom Line
			Governance and Public Administration
				The Concept of Governance
				The Four Pillars of Governance
				Governance and Development
				Worldwide Trends in Governance
			The Institutional and Cultural Context
				The Concept of Institutions
				The Cultural Context
		What Should Government Do? The Conceptual Framework
			The Classic Justifications
				Public Goods
				Natural Monopolies
			Other Justifications
			The Dynamic Nature of Government Intervention
			A Practical Decision Tree for Government Intervention
		How Big Should Government Be? The Global Facts
		How Effective Can Government Be? Assessing Public Administration
			Is Government Inherently Less Efficient?
			Waste-Fraud-and-Abuse
			Administrative Capacity
				Capacity is Multidimensional
				Capacity is Relative
		Four Principles and Four Criteria of Public Administration
			Four Principles: Probity, Propriety, Policy, Performance
			Four Criteria of Performance: Economy, Efficiency, Effectiveness, Equity
		Annex the Basic Terms
			The State
			The Government
			The Public Sector
			The Constitution
			Forms of Government
				Unitary Government
				Parliamentary System
				Presidential System
				Checks and Balances
		Questions for Discussion
		Notes
		References
	2. Policy-Making Machinery and the Structure of Central Government
		Introduction
		Principles of Policy-Making
		Policy Coordination
			The Need for Coordination at the Top
			Recurrent Themes in Policy Coordination
			The Cabinet: Central Locus of Policy Coordination
			The Role of “Core” Ministries
		Mechanisms to Support Policy-Making
			The Functions of a Policy Support Mechanism
			International Practice
		The Organizational Structure of Central Government
			Principles for Distributing the Work of Government
			Criteria for Allocating Government Functions
				Non-fragmentation
				Homogeneity
				Non-overlap
				Span of Control
				Balancing the Criteria
		International Experience
			General Considerations
			International Practice
			Does the Number of Ministries Really Matter?
			The Special Case of Transition Economies
		An Optimal Central Government Structure?
			General Considerations
			The Apostles’ Principle: Twelve is Enough
		The Situation in the United States
			The Separation of Powers Doctrine and the Three Branches of Government
				Congress: The Legislative Branch
				The Judicial Branch
			The Executive Branch
				The Office of the President
				The Cabinet-Level Departments
				Checks on the White House
		Questions for Discussion
		Notes
		References
	3. Decentralization and the Organizational Architecture of Subnational Government
		Introduction
		The Weight of History on the Structure of the State
		Approaches to Dividing the National Space
			Physical Approach
			Management Approach
			Community Approach
			Social/Ethnic Approach
			Functional/Efficiency Approach
			What Belongs Where? The Assignment of Government Functions
		Decentralization: The Geographic Articulation of State Power
			Degrees of Decentralization
				Deconcentration
				Delegation
				Devolution
			The Rationale of Decentralization
				The Political Rationale
				The Economic Rationale: Oates’ Theorem and the Subsidiarity Principle
			The Potential Advantages of Decentralization
			The Potential Costs of Decentralization
			Decentralization and Local Capacity
			Walking the Walk? Implementation and Sustainability
			The Balance of International Evidence
		Intergovernmental Coordination and Central Control
		Administering State and Local Government
			Managing the Cities
				The Weight of Place and History
				Urbanization and Fragmentation
				What All Cities Do
				Types of City Governance
			Managing Metropolitan Areas and Megacities
			Administering Rural Areas
		The Situation in the United States
			General Observations
			Coordinating the Response to National Emergencies: A Key Issue
		Questions for Discussion
		Notes
		References
Part II. Managing Government
	4. Managing Government Finances
		Introduction
		Paying for Your Government: Rationale and Principles of Taxation
			Why Taxes?
			What Is Taxed?
			Who Is Taxed?
				Progressive, Proportional, and Regressive Taxes
				Why a Progressive Income Tax?
				A Flat Income Tax?
			By Whom We Are Taxed
				Central Taxes
				Local Taxes
			Distribution of the Overall Tax Burden
			Tax Earmarking, User Fees, and Tax Expenditures
				Tax Earmarking
				User Fees
				Tax Expenditures
		The Meaning of the Budget and the Objectives of Expenditure Management
			Governance and the Budget
			The Objectives of Public Expenditure Management
			Complementarity and Sequencing
				Complementarity Among the Objectives
				A Word About Sequencing
		Budget Systems, Annuality, and Comprehensiveness
			The Form of Legislative Authorization to Spend
			Annuality of the Budget
			Comprehensiveness of the Budget
			“Extra-Budgetary” Funds
			Fiscal Risk
			Fiscal Responsibility and Fiscal Rules
		The Expenditure Management Cycle
			Preparation of the Budget
				General Caveats
				Four Requirements of Budget Preparation
			The Stages of Budget Preparation
			A Bad Budget Preparation Process
				Consequences of a Wish-List Approach
				Mechanical Budgeting
				Policy Volatility
				Excessive Bargaining
				Dual Budgeting
			A Simple Exercise
			Public Investment
		Budget Execution
			Objectives of Budget Execution
			The Expenditure Cycle
			Assuring Compliance
			The Household Analogy to Budget Execution
		Financing the Budget: Debt and Aid Management
			The Overall View
			Debt Sustainability and Debt Management
			Aid Management and Aid Effectiveness
		External Audit and Evaluation
			External Audit
			Evaluation
		Legislative Debate and Amendments
		The Budget Process at Subnational Level
		The Situation in the United States
			Trends in Federal Revenues and Expenditures
				The Revenue Side
				The Expenditure Side
			The Federal Budget and Its Preparation
				The “Power of the Purse”
				The Major Stages
				The Congressional Debate
				The Recent Reality
			Major Contemporary Issues
				Social Security and Medicare
				The Debt Ceiling Controversy
				The “Pork Barrel”: Abusing the Taxpayers’ Money
				Putting Expensive Wars on the Credit Card
				Fiscal Deficits and the Debt
		Notes
		References
	5. Government Employment and Wage Policy
		Introduction
		Government Employment Policy
			How Big Is Government, and Why?
				Does Government Always Tend to Grow?
				Determinants of Government Employment
				A Global Snapshot
			The “Right Size” of Government Employment
			Getting to the Right Size: “Retrenchment”
				The Benefits of Retrenchment
				The Costs of Retrenchment
				The Bottom Line
		Government Compensation Policy
			A Living Wage: The Key Lesson of International Experience
			The Three Principles of Government Employee Compensation
				Comparability: The Basic Principle
				Equal Pay for Equal Work, Performed Under the Same Conditions
				Periodic Review of Compensation
			The Design of a Compensation Plan
			Non-Wage Benefits
			The Salary Structure
			Promotions and Raises
				Promotion
				Salary Raises
			Rewarding Good Performance
				“Performance Pay”: Linking Compensation to Employee Performance
				Performance Pay in Developing Countries
				Non-monetary, Non-material Incentives
				Grade Inflation and “Band-Aid” Remedies: The Worst Response to Inadequate Incentives
			Mobility Policies: An Opportunity and a Problem
		Improving the Civil Service in Developing Countries
			Employment Issues
			Compensation Issues
		Questions for Discussion
		Notes
		References
	6. Government Personnel Management
		Introduction
		Personnel Recruitment, Advancement, and Discipline
			Job Grading and Evaluation
				Grading and Ranking Systems
				The System in Practice
			Recruitment
				Guiding Principles
				The Recruitment Process
				Types of Appointment
			Advancement
			Discipline and Penalties
				Disciplinary Regulations and Procedures
		Organizational Arrangements for Personnel Management
			Centralized and Decentralized Systems
			Centralized Arrangements: Public Service Commissions
		Personnel Appraisal and Performance Management
			General Considerations
			Appraisal Procedures and Feedback
				Person-related or Goal-related Appraisal
				Feedback
			Managing Poor Performers
				Factors of Weak Performance
				Dealing with Unsatisfactory Performance
		Fighting Discrimination and Promoting Inclusiveness
			Racial and Ethnic Discrimination
			Sex Discrimination and Sexual Harassment
			Ethnic and Religious Discrimination
			Age Discrimination
			Caste Discrimination
		Unionization in Government
			Should There Be Unions in the Public Sector?
			Labor-Management Relations
			Collective Bargaining
			Strikes and Arbitration
		Training
			Developed Countries
			Developing Countries
		The Situation in the United States
			Government Employment
			Government Employee Compensation
			Are Government Employees Over- or Under-paid?
			The Development of the U.S. Personnel Management System
				The Main Stages
				Citizen Servant
				Patronage/Populism
				Transition to Professionalism
				Merit System
			The Current System
				Principles
				Organizational Arrangements
				Other Features
				Moving Toward Results
			Selected Current Issues
				The Functioning of the Senior Executive Service
				Politicizing Scientific and Medical Decisions
				National Security and the Right to Organize
		Questions for Discussion
		Notes
		References
	7. Managing Public Procurement
		Introduction
		Objectives of Government Procurement
			Economy
			Other Objectives
				Fostering Competition
				Import Substitution and Domestic Preference
				Protecting Public Service Provision
				Protecting the Environment
				Fostering Equity and Offsetting Past Discrimination
		The Legal and Regulatory Framework
		The Management and Process of Public Procurement
			Organizational Arrangements
			Competitive Bidding
			Shopping
			Sole-source Procurement
			Force Accounts
			Procurement of Consulting Services
			Other Forms of Procurement
		Contract Management and Monitoring
			The Importance of Contract Management
			Contract Monitoring and Quality Assurance
		Major Issues in Public Procurement
			Systematic Neglect by Senior Management
			The Abuse of “Emergencies”
			The Role of Discretion
			Gaming the System
			Corruption in Procurement
		Managing Risk in Public Procurement
			Beware of Flexibility Without Accountability
			The Determinants of Procurement Risk
			Quantifying Procurement Risk
		The Situation in the United States
			Policies, Regulations, and Organization
				Federal Procurement Policy
				The Federal Acquisition Regulations System (FAR)
			Organizational Arrangements
			Improving the Procurement Workforce
			The Trend in the 21st Century: Spend More, Manage Worse
		Questions for Discussion
		Notes
		References
	8. Government Regulation
		Introduction
		The Conceptual Basis of Regulation
			The Notion of the Public Interest
			The Ethical Dimension
			Critiques of Government Regulation
		The Benefits and Costs of Regulation
			The Benefits of Regulation
			The Costs of Regulation
			The Cost-Benefit Calculus
			An Unequivocal Verdict on Government Regulation
		Regulatory Enforcement and Regulatory Relief
			Voluntary Compliance: The Key to Effective Enforcement
			Approaches to Regulatory Enforcement
			Regulatory Relief and Judicial Review
		Streamlining the Regulatory Framework
			Regulatory Inflation
			Deregulation: All Deliberate Speed
			Ingredients of Successful Deregulation
			Preventing the Introduction of Unnecessary Regulations
			Trade-Offs and Social Choices
		Economic Regulation Around the World
		The Situation in the United States
			Roots of Regulation and Its Expansion
			The Current Situation
			How Does Regulation in the U.S. Compare with Other Rich Countries?
			Protecting Privacy and Fighting “Fake News”: The Looming Regulatory Issue
		Annex
		Questions for Discussion
		Notes
		References
Part III. Government Interaction with Society
	9. Accountability: Protecting Resources, Encouraging Performance
		Introduction
			A Government of Virtuous Persons?
			Accountability: Internal and External
			External Accountability: “Exit” and “Voice”
		Accountability for Performance
			The Rise of Performance Concepts and Practices
			The Meaning of “Performance”
				Performance is Not a Simple Concept
				Performance is a Relative Concept
		Measuring and Using Performance Indicators
			The Types of Performance Indicators
				Inputs
				Outputs
				Outcomes
				Process
			The Link to Accountability
			Putting It Together
		How to Introduce Performance-Oriented Reforms
			The Ten Commandments of Performance
			The “Cream” of Good Performance
			Setting the Targets: Benchmarking
				Metrics Benchmarking
				Process Benchmarking
		Monitoring and Evaluation (M&E)
			Monitoring
				Different Approach in Different Organizations
				Monitoring the Monitors
			Evaluation
				By Objectives or By Results?
				Program Evaluation
				Beware of Bean-Counting
			Introducing M&E in Developing Countries
		A Quick Recap
		Questions for Discussion
		Annex: The U.S. General Accountability Office
			The Early Years
			Moving to Economy and Efficiency
			Transition to a Full-Service Supreme Audit Institution
		Notes
		References
	10. The Rule of Law and Public Corruption
		Introduction
		The Rule of Law
			What is the Rule of Law?
			The Rule of Law and Morality
			Administrative Law
		Corruption: A General View
			What Is Corruption?
			A Cautionary Tale
		Types of Corruption
			Variety of Corrupt Behaviors
			The Semantics of Corruption
			Economic Corruption
			Political Corruption
		Corruption – Arguments and Costs
			The Cancer of Corruption
			The Costs of Corruption
				Direct Costs
				Indirect Costs
			Factors Affecting Corruption
				The Size of Government
				Autonomy Without Accountability
				Inequality and Growth
				Religion and Decentralization
			Administrative Remedies
			The Main Corruption Risk Areas
			Cozy Relationships: The Public/Private Revolving Door
		Fighting Corruption
			Evolution of an International Consensus
			An Anti-Corruption Approach
			The Experience in Developed Countries
				Targeting Financial Improprieties
				Transparency Measures
				Transparency in Extractive Industries
				Citizens’ Responsibility
				Institutions for Anti-Corruption
			The Experience in Developing Countries
			The Role of Information and Communications Technology
			Back to Earth: A Concluding Word
		Worldwide Improvements in Public Integrity: Much Ado About Little
		Annex: Worldwide Corruption Perceptions Indicators in 2000 and 2016
		Questions for Discussion
		Notes
		References
	11. Transparency, Information and Communication Technology, and the Media
		Introduction
		Transparency: Benefits and Limits
		The Impact of ICT on Transparency
			Communicating Information
			Professionalization in Communication
			Records and Information Management
			Public Finance Information Systems
		Citizen Access to Information: Freedom of Information Laws
			Benefits and Costs
			Costs and Risks
			The Situation in Developing Countries
			The Bottom Line
		The Media
			Role of the Media
			Old and New Media
			Media Freedom
			Media Responsibility and Standards
		The 24-Hour News Cycle, “Fake News”, and Social Media
			The 24-Hour Cycle
			Social Media and the Spread of Fake News
			Combating Fake News
		Questions for Discussion
		Notes
		References
	12. Participation: Social Capital, Voice, and Interaction with Civil Society
		Introduction
		Social Capital
			The Concept and Its Evolution
				A Practical Illustration
				Evolution of the Concept
				Differences Between Social, Human, and Physical Capital
			Benefits
			Risks and Concerns
		Participation
			The Benefits of Participation
			Limits, Risks, and Concerns
			Fostering Appropriate Participation
		Voice: Communicating and Listening to the Citizen
			What is “Voice”?
			Establishing a Client and Citizen Orientation in Government
			Channels for Voice
				Public Complaints
				Ombudsmen
				Citizens’ Charters
				Public Consultation and Feedback
				Citizen Report Cards
				Other Channels for Voice
		Civil Society and Civil Society Organizations
			What Is Civil Society?
			Civil Society Organizations (CSOs)
				Formal and Informal
				Grassroots and Traditional Organizations
				Public Interest Lobbies
				Cooperatives
		Non-Governmental Organizations
			The Nature and Evolution of NGOs
			Types of NGOs
			Contributions of NGOs
			Risks and Concerns
			Real and Fake NGOs
			Functioning in a Political Environment
				A Delicate Balance
				The Fraught Government-NGO Relationship
				Advocacy or Cooperation? A False Dichotomy
			A Concluding Word
		Questions for Discussion
		Notes
		References
	13. Providing Public Services and Interacting with Private Business
		Introduction
			Public “versus” Private
			The Right Relationship
			Which Services are “Public”?
			Unbundling Public Service Provision: Standards, Financing, Delivery
			The Semantics of “Public-Private Partnerships”
		The Provision of Public Services
			Respect for Reality
				An Honest Reckoning With Costs
				Health Care in the United States: A Major Illustration
			Service Provision and State Legitimacy
				A Close Relationship
				The Special Case of Post-Conflict Situations
			Making Necessary Distinctions: Service Characteristics
			ICT and Public Services
				E-Government
				Using ICT for Anti-Corruption and Law Enforcement: An Illustration
		Exit: Providing Service Users with Choices
		Outsourcing the Delivery of Public Services
			The General Setting
			Reasons for Outsourcing
			When is Outsourcing Appropriate?
			Risks of Outsourcing
				Compromising Due Process and Constitutional Rights
				Enabling Noncompetitive Behavior
				Fiscal Risk
				Corruption Risk
			Managing the Risks and the Contracting-Out Process
				Seven Stages of Protection
				Start With Baby Steps
				Involve the Community
		Large-Scale, Broad Scope, Public-Private Partnerships (PPPs)
			What Sort of PPP is it?
			Reality-Driven Evolution of Views
			International Experience with PPPs
				Country Readiness Drives PPP Success
				PPPs are More Expensive
				The Underlying Project Must be Sound
				Beware of Innovation Fascination
		Questions for Discussion
		Notes
		References
	14. Public Administration Reform: Lessons of Experience and Broad Directions
		Introduction
			What Is “Reform”?
			Politics, Governance, and Administrative Reform
		Administrative Reform in Developed Countries
			The First Phase: Cheaper Government
				Controlling Government Expenditure
				Downsizing Government Employment
			The Second Phase: More Efficient Government
				Reviewing Government Regulations and Corporate Governance of Public Enterprises
				Personnel Management
				Performance-Based Management
				Decentralizing Responsibilities
			Matching Greater Autonomy with Enhanced Accountability
			Reform Themes and Common Issues
				Private Sector Orientation and Mimicking the Market
				Delegating to Local Government and Autonomous Agencies
				Opportunistic Approaches
				Ethical Tensions, Fragmentation of Action, and Neglect of Change Management
		Administrative Reform in Developing Countries
			Lack of Respect for the Country Context
			Research Focus on Problems of Developed Countries
			Insufficient Attention to Governance and Capacity
			Weak Accountability for the Quality of Advice
			Pressures to Shovel Out Aid Money
		The Challenge of Reform
			Approaches to Reform
			The Need for Sequencing
			Beyond Sequencing: Guiding Principles for Reform
			The Iron Triangle of Foreign Technical Assistance
			A Concluding Word
		Questions for Discussion
		Notes
		References
Author’s Index