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Graduate Center for Public Policy & Administration
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Core Concepts

PPA 500 Foundations of Public Policy and Administration

Required Text

William C. Johnson, Public Administration: Policy, Politics, and Practice, 1996.

Topic: Introduction to the MPA program

Concepts:

  • Core requirements
  • Core Courses
  • Electives
  • Comprehensive Exams
  • Advancement to Candidacy
  • Internship
  • Directed Research
  • Administrative Information
    • Academic probation
    • Education Leave
    • Add/drop, withdrawal, incomplete
  • Organizations
    • Pi Alpha Alpha
    • ASPA

Topic: Conducting research in Public Policy and Administration

Concepts:

  • Resources
  • Library use
    Internet and on-line resources
  • Writing & communicating
  • Style guides
    Expectations
    Available student resources
  • Learning Portfolio
  • Purpose
  • Structure and content
  • Uses

Topic: Overview of Public Administration

Concepts:

  • Definitions
  • Traditional broad mandates of PA
  • Democratic administration
  • The environment of government
  • Distrust of government
    • Increasing demand for services/decreasing resources
    • Multiple, conflicting value systems
    • Equity vs. Efficiency
    • Overlapping, competitive jurisdictions and authorities
  • Privatization and contracting

Topic: History and Development

Concepts:

Eras

Formalistic
Reactionary
New Public Administration
Post-New PA

Formalistic Era, Critical Theories and Theorists

Max Weber concept of bureaucracy
Scientific management (Fredrick Taylor)
Good Government movement
Gulick & Urwick
POSDCORB(E)

Reactionary Era Evolution of the social-scientific approach

Normative vs. prescriptive focus
Herbert Simon,
Chester Barnard
Mayo, Roethlisberger, Dickson, AThe Hawthorne Experiments@

The New Public Administration

Douglas McGreagor B Theory X and Theory Y
Kaufman and Lipsky B Street-level bureaucracy
The Minnowbrook Conference
Open Systems Theory

Post-New Public Administration B the New Federalism

Drucker B MBO
Total Quality Management (TQM)
Ouchi B Theory Z
Operations Research
New Rationalism

Topic: Surveying the Field Key Topics
Concepts:

Federalism and Intergovernmental Relations

Definitions and concepts of Federalism
Separation of Powers
Key Federalist papers
Judicial Review
Key elements of Intergovernmental Relations

Ethics in Public Policy and Administration

Definitions
Historical development
Evolution of Ethical Involvement in PA
Theories and approaches
ASPA Code of Ethics

Organization Theory and Behavior

Characteristics of Organizations
Approaches to studying Organization Theory
Types of Organizations

Human Resources Management and Personnel Administration

Development in the US

Pendleton Act
Budget and Accounting Act
CSRA
NPR
Brownlow Committee, Winter, Volcker & Grace Commissions
Hatch Act

Public Service

Training
Functions

Equal Employment Opportunity and Civil Rights

Public Financial Management and Budgeting

Basic Definitions
Development and history
Federal Budgeting
State Budgeting
Local Budgeting

Public Policy

Definitions
Approaches to studying
Actors and Institutions
The Process of Policy-making
Problem-solving and Decision-making
Types of problems/decisions
Role of agenda-setting
Approaches to decision-making

Rational
Incremental
Mixed-scanning

Decision-making problems and consequences

PPA 555 - Public Budgeting and Finance

Core Area: Theories of Public Expenditure
Topics:

Market Failure and Failure of Competitive Markets.
Public Choice Models of Bureaucratic Behavior.
Incremental ism => Wildavsky.

Core Area: Budget Classification and Reform
Topics:

Line-Item Budget.
Performance Budgeting.
Program Budgeting.
Zero-Based Budgeting.
Target-Based Budgeting.
Outcome-Based Budgeting.

Core Area: The Budget Cycle

Topics:

Formulation/Preparation.
Legislative Review and Approval.
Execution/Implementation.
Audit and Evaluation.

Core Area: Budget Structures and Practices
Topics:

The Federal Budget.
State and Local Government Budgets.
The California State Budget Process.
California Local Government Budget Processes.

Core Area: Government Accounting and Financial Reporting
Topics:

The Accounting Process.
Account Types.
Fund Types.
Basis of Accounting.
Financial Reports (Interim and Annual).

Core Area: Preparation of Operating Budgets
Topics:

Cost Estimation.
Cost Allocation => Crosswalk.
Historical Analysis of Expenditures.
Core Area: Capital Budgeting and Finance.
Topics: Capital Improvements Program.
Capital Budget.
Debt Financing.

Core Area: Evaluation of Proposed Public Expenditures
Topics:


Cost-Effectiveness Analysis.
Cost-Benefit Analysis.

Core Area: Evaluation of Revenue Policy
Topics:

Economic Efficiency.
Equity.
Adequacy and Stability.
Administration.
Transparency and Political Feasibility.

Core Area: Sources of Revenues
Topics:

Income Taxes.
Consumption Taxes.
Property Taxes.
Fees and Charges.

Core Area: Revenue Estimation and Forecasting
Topics:

The Economy and Revenues.
Historical Analysis of Revenues.
Forecasting Techniques.
Core Area: Intergovernmental Fiscal Relations
Topics: Fiscal Federalism.
Fiscal Capacity and Need.
Intergovernmental Fiscal Transfers => Grants.

Core Area: Use of Electronic Spreadsheets for Fiscal Analysis
Topics:

Preparing A Worksheet Or Template.
Entering Data.
Calculation Functions.
Entering Formulas.

Required Texts

Mikesell, John (1999), Fiscal Administration: Analysis and Applications for the Public Sector, 5th Ed., Harcourt Brace.

Recommended Text

Bland, Robert L. and Irene S. Rubin (1997), Budgeting: A Guide for Local Governments, ICMA.

Hyde, Albert C. (1992), Government Budgeting: Theory, Process, and Politics, 2nd Ed., Harcourt Brace.

Supplemental Text

Rabin, Jack, W.Bartley Hildreth, and Gerald J. Miller, eds. (1996), Budgeting: Formulation and Execution, Carl Vinson Institute of Government. (Also see companion workbook and data source book for simulation exercises)

Lynch, Thomas D. (1995), Public Budgeting in America, 4th Ed., Prentice Hall.

Lee, Robert D. Jr., and Ronald W. Johnson (1998), Public
Budgeting Systems, 6th Ed., Aspen.

Gianakis, Gerasimos A. and Clifford P. McCue (1999), Local
Government Budgeting: A Management Approach, Praeger.

Rubin, Irene S. (1998), Class, Tax, & Power: Municipal Budgeting in the United States, Chatham House.

Budgeting is also covered in any number of public finance and
public financial management texts.

PUBLIC HUMAN RESOURCES MANAGEMENT (PPA 577)

Required Texts

Hays, Steven W. and Richard C. Kearney (Eds.). 1995. Public Personnel Administration: Problems and Prospects. Englewood Cliffs, NJ: Prentice-Hall (3rd edition).

Supplemental Text

The following texts can be used as supplements to, but would not necessarily be required for, PPA 577.

Ban, Carolyn and Norma Riccucci. 1997. Public Personnel Management: Current Concerns--Future Challenges. New York: Longman (2nd edition).

Cozzetto, Don A., Theodore B. Pedeliski, and Terence J. Tipple. 1996. Public Personnel Administration. Upper Saddle Creek River, NJ: Prentice-Hall.

Freyss, Siegrun Fox (Ed). 1999. Human Resource Management in Local Government: An Essential Guide. Washington, DC: International City/County Management Association.

Klinger, Donald E. and John Nalbandian. 1993. Public Personnel Management, Context and Strategies. Englewood Cliffs, NJ: Prentice-Hall (3rd edition).

Nigro, Lloyd G. and Felix A. Nigro. 2000. The New Public Personnel Administration. Itasca, IL: F.E. Peacock (5th edition).

Shafritz, Jay, Normal Riccucci, David Rosenbloom, and Albert C. Hyde. 1992. Personnel Management in Government: Politics and Process. NY: Marcel Dekker (4th edition).

Sylvia, Ronald D. 1994. Public Personnel Administration. Belmont, CA: Wadsworth
(2nd edition).

REQUIRED CONCEPTS
PUBLIC HUMAN RESOURCES MANAGEMENT (PPA 577)

Topic Area: History and General

Concepts:

At-will employment
Merit System, principles of
Representative bureaucracy
Significant case law
Significant legislation
Workforce 2000

Topic Area: Classification

Concepts:

Class
Factors
Factor Evaluation
Job
Job Evaluation
Job Analysis
Occupational Group
Position
Significant case law
Significant legislation

Topic Area: Compensation and Benefits
Concepts:

Benefits
Collective Bargaining and
Comparable Worth
Comparability Pay
Discretionary Benefits
Equity
General Schedule
Mandated Benefits
Merit/Pay-for-Performance
Significant case law
Significant legislation

Topic Area: Recruitment, Examination and Selection

Concepts:
Adverse Impact/"4/5ths" rule
Examinations; ACWA, PACE
Examinations, assembled/unassembled
Examinations, validity (construct, content, criterion)
Job-relatedness
Patronage
Rank-in-Person
Rank-in-Position
Representative Bureaucracy
Significant case law
Significant legislation
Uniform Guidelines
Veteran's Preference

Topic Area: Employee Training and Development
Concepts:

Career Development, phases of
The "Canton Standard"
Job Rotation
Job Satisfaction and
Productivity and
Significant case law
Significant legislation
Training, methods of

Topic Area: Performance Appraisal
Concepts:

Assessment Centers
Behaviorally anchored rating scales (BARS)
Group or external ratings
Objectivity in
Peer ratings
Rating Scales
Self-appraisal
Significant case law
Significant legislation
Subordinate ratings
Supervisor ratings


Topic Area: Promotion
Concepts:

AA/EEO and
Merit-based
Objective Judgment Quotient
Politics and
Significant case law
Significant legislation


Topic Area: Discipline and Termination
Concepts:


Demotion
Discipline, Progressive
Reprimands
Significant case law
Significant legislation
Suspension (with/without pay)
Termination


Topic Area: Labor Relations and Collective Bargaining
Concepts:


Arbitration
Fact-finding
Grievances
Mediation
No-strike/no lockout
Scope of bargaining
Significant case law
Significant legislation


Topic Area: Affirmative Action/Equal Employment Opportunity
Concepts:


Affirmative Action
Diversity
Equal Employment Opportunity
Discrimination
Protected class
Reasonable accommodation
Representative bureaucracy
Sexual harassment
Significant case law
Significant legislation
Systematic discrimination

*********************************************************

ORGANIZATION THEORY/BEHAVIOR (PPA 660)


REQUIRED TEXTS


Shafritz, Jay M. and J. Steven Ott. 1997. Classics of Organization Theory. Fort Worth, TX: Harcourt Brace (4th ed).

Ott, Steven J. 1996. Classic Readings in Organizational Behavior. Fort Worth, TX: Harcourt Brace (2nd ed).


Bolman, Lee G. and Terrence E. Deal. 1997. Reframing Organizations. San Francisco: Jossey-Bass (2nd ed).


SUPPLEMENTAL TEXTS


Harmon, Michael M. and Richard T. Mayer. 1986. Organization Theory for Public Administration. Burke, VA: Chatalaine Press.


March, James G. and Johan P. Olsen. 1989. Rediscovering Institutions. NY: The Free Press.


Morgan, Gareth. 1986. Images of Organization. Newbury Park, CA: Sage.


Perrow, Charles. 1986. Complex Organizations: A Critical Essay. NY: McGraw-Hill (3rd ed).


Reed, Michael and Michael Hughes, eds. 1992. Rethinking Organization: New Directions in Organization Theory and Analysis. London: Sage.



REQUIRED CONCEPTS:
ORGANIZATION THEORY/BEHAVIOR (PPA 660)


Topic Area: Management History
Comments:

A good, brief rundown of how early in human history some primary organization theory/behavior principles emerge; key management theorists.


Topic Area: Bureaucracy
Concepts:

Bureaupathology(ices)
Democracy and
Goal displacement
"Ideal type"
Neutral competence
Organization change and
Red tape
Rules, centrality of
Weberian Characteristics of


Topic Area: The "Principles" Approach to Management
Concepts:

Democracy and
Efficiency and
Henri Fayol and
Luther Gulick and
Politics-administration dichotomy and
POSDCORB
Principles of Scientific Management/"One best way"
"Proverbs" of administration



Topic Area: Organization Structure and Design
Concepts:

Approaches to structure (purposed, process, clientele, place)
Components of structure (complexity, formalization, centralization)
Effective design, imperatives of (size, technology, environment)
Elements of structure (division of labor, unity of command, authority, responsibility, span of control, departmentalization)
Government organizations, kinds of
Matrix design
Mechanistic vs. organic
Mintzberg model (five basic parts)
Structure, U.S. Government bureaucracy
Universal vs. contingency approach to design


Topic Area: Authority
Concepts:

Barnard view (bottom-up)
Contemporary view (shared)
Kinds of
Leadership and
Politics-administration dichotomy
Power and
Rules as
Traditional view (top-down)


Topic Area: Efficiency
Concepts:

As transcendent value
Bureaucracy and
Democratic values and
Efficiency vs. Effectiveness
Gulick and
Organization structure/design and
Quality and
Task specialization and
Taylor and
Transaction Cost Theory
Weber and

Topic Area: Power and Politics
Concepts:

Authority and
Bases and sources of power (esp. French and Raven)
Ethics and
Leadership and
Links to conflict
Machiavellian ism
Organization politics and
Political tactics (both positive and negative)


Topic Area: Conflict
Concepts:

Avoidance
Accommodation
Collaboration
Communication
Competition
Compromise
Conflict, Functional
Conflict, Dysfunctional
Conflict, Evolutionary Processes of


Topic Area: Leadership
Concepts:

Contingency models of
Follower behaviors
Job-centered vs. employee-centered leaders
Leader behaviors
Leadership Grid
Managerial Grid
Path-Goal Theory
Trait Theory
Transactional
Transformational


Topic Area: Work groups
Concepts:

Decision-making and
Formal vs. informal
Group cohesiveness
Groups, dynamics of
Groups, formation of
Group norms
Group size
Groups, homogeneous vs. heterogeneous
"Group think"
Hawthorne effect


Topic Area: Organization culture
Concepts:

"Administrative evil"/culture of corruption
Artifacts
Ceremonies
Language, role of
Myths, Stories, Legends
Patterns of Behavior and
"Retrospective sense making"
Shared meanings
Social construction
Symbols


Topic Area: Decision-making
Concepts:

Bounded rationality
Contingency theory
Garbage Can model
Incremental ism
"Law of the Situation"
Management by Objectives
Rational model
Social process model
Total Quality Management


Topic Area: Motivation
Concepts:

(Anthony) Downs's typology of public officials
Equity Theory
Expectancy theory
Expectancies and motivation
Goal-setting and motivation, relationship between
Hierarchy of needs
Hygiene vs. motivators
Intrinsic/Extrinsic Rewards
Job satisfaction and
Participative management and
Personality types of public officials (Anthony Downs)
Reinforcement/Operant Conditioning


Topic Area: Organization Change and Development
Concepts:

Change, sources of (both internal and external)
Creativity/innovation and
Decline, stages of
Downsizing/RIF's, effects of
Downsizing/RIF's, best practices
Factors leading to success and failure (of change)
Growth, stages of
The "Learning" Organization (Peter Senge)
Managing resistance (to change)
Managing for stability vs. managing for change
Principles and techniques of organization development
Privatization and Contracting (effects upon public orgs.)

*********************************************************

PPA 670 SEMINAR IN POLICY ANALYSIS


CORE CONCEPTS


Required Textbook

Patton and Sawicki, Basic Methods of Policy Analysis and
Planning, current edition


Topic: Basic Terms and Concepts
Concepts
Public problems
Public sector complexity
Public Policy definitions


The public policy-making process
Public Policy Analysis
The public policy analysis process
Models of public policy analysis


conceptual, descriptive, predictive
advocacy vs. analysis
rational problem-solving


Role of the policy analyst


ideology and objectivity


Ethics in public policy analysis


Topic: The Environment of Public Policy Analysis
Concepts:


Key institutions
Key individuals


Topic: Verifying, Defining, and Detailing the Problem
Concepts:

Sources of problems; theories of change
Context of problem, problem definition, does a problem exist?
Conceptualization, Specification, can we solve the problem?
source, history, dimensions, intensity, extensiveness
Type of problem


political
social equity
economic
technical


Identifying and gathering problem background data, assessing information quality


Library search methods, interviewing, quick surveys
Basic data analysis
back-of-the-envelope calculations
quick decision analysis
first cut analysis
Issue paper


Topic: Agenda Analysis
Concepts:

Systemic and Institutional agendas


Problem definition agenda
Proposal agenda
Bargaining agenda
Continuing agenda


Agenda-setting options
Agenda-setting forces


Topic: Establishing Evaluation Criteria
Concepts:



Creation of valid operational definitions
Reliability and Validity
Economic Criteria
Social Equity Criteria
Technical Criteria
Political Criteria
Administrative Criteria


Topic: Alternatives Development
Concepts:

Sources


Literature reviews
Drawing on others= experiences
Pilot Studies
Brainstorming
Modifying existing solutions


Development approaches


Incremental
Branching
Inventive
Contextual mapping
Prototyping
Validating alternatives


Topic: Assessing Alternative Policies
Concepts:


Economic Assessment--derived from Pare to Optimality


Forecasting and Extrapolation


Cost-Benefit analysis


Procedure
Critical concepts:


Externalities/spillovers
Re distributional effects/ pecuniary effects
Opportunity costs


Discounting and Net Present Value


Procedures for calculation and use
Estimation of risk and uncertainty
Use of Internal Rate of Return


Cost-Benefit decision approaches


Ethical implications


Cost-Effectiveness Analysis


Concepts
Procedures
Uses



Topic: Models and modeling
Concepts:


Descriptive
Conceptual
Predictive


Game Theory
Systems analysis


Topic: Choosing and Displaying Alternatives
Concepts:


Non-selection
Decision Rules


Optimizing
Sacrificing
Weighted decision criteria


Matrix display
Scorecard display


Topic: Implementation and Monitoring
Concepts:


Policy Implementation


Factors influencing implementation
Analyst role in implementation
Planning implementation


Policy Monitoring


Procedures
Analyst role


Policy maintenance


Review procedures
Analyst role


Topic: Policy Evaluation
Concepts:


Traditional approaches/models
Innovative approaches
Role of politics
Insuring utilization
Analyst Role
Ethical implications



Topic: Policy Analysis Presentation and Communication
Concepts:


Oral and visual presentation
Written communication

**********************************************************

PPA 696 RESEARCH METHODS IN PUBLIC ADMINISTRATION

CORE CONCEPTS

Required Textbook

O=Sullivan and Rassel, Research Methods for Public Administrators, current edition.


Topic: Basic Approaches or "theories" of Knowledge
Concepts:


Traditional, belief, faith
Scientific Method
Describe, Explain, Predict, Control through observation & recording
Public sector applications & problems


Topic: Stating the Research Question
Concepts:


Problem definition, topic selection, researchable problems
Review of relevant literature
Computer-based searching for information
Models and model construction
Concepts, variables, hypotheses, theories, paradigms


Topic: Research design

Concepts:


Determine type of study--descriptive, relational, causal
Experimental Designs
Control Group Pre-test/Post-test Design
Post-Test only Control Group Design
Quasi-Experimental Designs
Comparison/static Group Design
Interrupted Time Series Design
Interrupted Time Series with Comparison Group
Pre-experimental/descriptive Designs
Cross-Sectional Design
Longitudinal Designs
Time Series Design
Panel Design
Case Study Design


Topic: Measurement and operationalization
Concepts:


Selection and definition of variables
Unit of measurement (who)
Time frame (when)
Research setting (where)
Conceptual Definitions
Operational Definitions
Measurement reliability
Measurement validity
Threats to Internal Validity
Threats to External Validity


Topic: Sampling
Concepts:


Sampling theory
Probability Sampling
Simple Random Sampling
Systematic Random Sampling
Stratified Random Sampling
Cluster Sampling
Non-probability sampling
Convenience, expert, quota, purposive
Sample size
Requirements, conditions and limitations
Calculations
Uses


Topic: Ethical considerations
Concepts:


Ethical Purposes of Research
Ethical Treatment of Subjects
Peer Review Controls
Issues for Administrators


Topic: Data Collection Instruments
Concepts:


Questionnaire creation
Question design
closed-ended, open-ended
graphic scales, licker scales
loaded questions, question bias
Question ordering
funnel questions, inverse funnels
Placement and use of demographic questions
Instrument layout and design considerations
Standardized Tests
Interview Schedules
Forms for Observation
Using computers as data collection instruments


Topic: Data Collection Strategies
Concepts:


Secondary Data Collection
Finding data
appropriate level of analysis
Access to data, confidentiality
Verification of data
Checking sources, accuracy, reliability
Surveys
Mail surveys, self-administered surveys
Telephone surveys
Face-to-face surveys
In-person interviews, depth interviews
Focus group interviews, focused interviews
Delphi technique, Nominal group technique
Participant Observation
Field research


Topic: Qualitative Data Analysis
Concepts:


Scenarios
Types and design
Uses
Limitations


Topic: Simple data analysis
Concepts:


Univariate Data Analysis
Frequency Distribution
Graphs
Univariate Statistics
Normal Curve
Measures of Central Tendency
Mode, Median, Mean
Measures of Dispersion
Range, Standard Deviation
Z-scores


Topic: Measures of Association
Concepts:


Bivariate Measures
Contingency Tables
Chi-Square
Student=s t-distribution
Simple (Bi-Variate) Linear Regression
Scatterplots
Steps in Linear Regression
Assumptions of Linear Regression
Time Series Regression


Topic: Testing for Statistical Significance
Concepts:


State the Research Hypothesis
State the Null Hypothesis
Type I and Type II Errors
Select a probability of error level (alpha level)
Select the statistical test to use
Compute the statistic
Interpret the statistic


Topic: Research results reporting and presentation
Concepts:


Audience for the results
Oral Presentation
Charts and Tables, power point, handouts
Written Reports
Executive Summary
Introduction
Problem Statement
Background
Hypothesis
Literature Review
Research Design
Ethical Concerns
Research Methods
Data Analysis
Results, interpretations
Conclusions, recommendations
Appendices, Charts and Tables