Pa 203 Final Document

PA 203 – INTRODUCTION TO PUBLIC ADMINISTRATION
Table of Contents
TOPIC 1: PUBLIC ADMINISTRATION, DEFINITION, CONCEPTS, APPROACHES
AND CONTENT ........................................................................................................................................... 4
1.1 WHAT IS PUBLIC ADMINISTRATION? ................................................................................ 4
1.2 BRIEF OVERVIEW OF PRE-COLONIAL FORM OF GOVERNMENT IN THE
PHILIPPINES .......................................................................................................................................... 4
1.3 THREE BRANCHES OF GOVERNMENT: ROLES AND ITS STRUCTURE ............... 6
1.3.1 EXECUTIVE BRANCH/ DEPARTMENT ......................................................................... 7
1.3.1 LEGISLATIVE BRANCH ..................................................................................................... 14
1.3.2 JUDICIARY BRANCH ......................................................................................................... 14
1.4 CLASSICAL, MODERN AND POSTMODERN APPROACHES OF PUBLIC AND
PRIVATE ADMINISTRATION ........................................................................................................ 15
1.4.1 THE PUBLIC AND PRIVATE ADMINISTRATION .................................................... 15
1.4.2 THE PUBLIC-PRIVATE PARTNERSHIP ..................................................................... 16
TOPIC 2: ORGANIZATION THEORY ............................................................................................... 19
2.1 HISTORY .......................................................................................................................................... 19
2.2 SCIENTIFIC THEORIES: THE ORGANIZATIONAL AS INSTRUMENT ................. 20
2.2.1 BUREAUCRATIC MODEL.................................................................................................. 20
2.2.2 SCIENTIFIC MANAGEMENT ........................................................................................... 21
2.2.3 THE SCIENTIFIC APPROACH TO MANAGEMENT ................................................ 22
2.3 The Organization as Association: HUMAN RELATIONS ............................................. 23
2.4 MODERN THEORIES ................................................................................................................. 27
2.4.1 THE SYSTEMS APPROACH .............................................................................................. 28
2.4.2 SOCIO-TECHNICAL APPROACH ................................................................................... 29
2.4.3 THE CONTINGENCY OR SITUATIONAL APPROACH .......................................... 29
TOPIC 3: PUBLIC POLICY ................................................................................................................... 31
3.1 EMERGING CONTEXT OF PUBLIC POLICY ..................................................................... 31
3.2 POLICY IMPLEMENTATION STRATEGIES ...................................................................... 40
3.3 POLICY EVALUATION ............................................................................................................... 42
TOPIC 4: ADMINISTRATION AND POLITICS ............................................................................. 46
4.1 ADMINISTRATION AND POLITICS DEFINITION.......................................................... 46
4.2 POLITICS IN ORGANIZATION ............................................................................................... 46
TOPIC 5: BUDGETING AND FINANCIAL MANAGEMENT..................................................... 52
5.1 Brief History ................................................................................................................................... 52
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5.2 BUDGET ........................................................................................................................................... 52

5.2.1 CONCEPTS OF BUDGETING ............................................................................................ 53
5.2.2 PRINCIPLES OF BUDGETING ........................................................................................ 54
5.3 WHAT IS FISCAL POLICY? ...................................................................................................... 56
5.3.1 MAJOR OBJECTIVES OF FISCAL POLICY: ............................................................... 57
5.3.2 WHO SETS FISCAL POLICY: ........................................................................................... 58
5.4 THE BUDGET PROCESS ........................................................................................................... 59
TOPIC 6: HUMAN RESOURCE MANAGEMENT ......................................................................... 62
6.1 DEFINITION ................................................................................................................................... 62
6.2 HUMAN RESOURCE EVOLUTION ....................................................................................... 63
6.3 PUBLIC PERSONNEL ADMINISTRATION ........................................................................ 64
6.4 THE PILLARS OF PUBLIC ADMINISTRATION............................................................... 67
TOPIC 7: PUBLIC MANAGEMENT SKILLS ................................................................................... 72
7.1 LEADERSHIP ................................................................................................................................. 72
7.2 HUMAN MOTIVATION .............................................................................................................. 78
7.2 DECISION MAKING, POLICY DECISIONS & GROUP DYNAMICS .......................... 80
TOPIC 8: GOVERNANCE AND ADMINISTRATIVE REFORMS ............................................ 95
TOPIC 9: NEW PARADIGMS IN PUBLIC ADMINISTRATION ............................................ 105
9.1 EVOLUTION OF PUBLIC ADMINISTRATION ................................................................ 105
9.2 NEW PARADIGMS OF PUBLIC ADMINISTRATION ................................................... 107
9.3 NEW PUBLIC SERVICE ........................................................................................................... 109
9.4 GOVERNANCE ............................................................................................................................ 110
9.5 THE NEW PUBLIC ADMINISTRATION GOVERNANCE ............................................ 112
TOPIC 10: DEVELOPMENTS IN PUBLIC ADMINISTRATION ............................................ 116
TOPIC 11: FUTURE OF PUBLIC ADMINISTRATION .............................................................. 120
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PUBLIC
ADMINISTRATION,
DEFINITION, CONCEPTS,
APPROACHES AND
CONTENT
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TOPIC 1: PUBLIC ADMINISTRATION, DEFINITION, CONCEPTS,

APPROACHES AND CONTENT
1.1 WHAT IS PUBLIC ADMINISTRATION?

 a branch of political science dealing primarily with the structure and workings of agencies
charged with the administration of governmental functions (Merriam Webster)
 The implementation of government policy and also an academic discipline that studies this
implementation and prepares civil servants for working in the public service.
 Often regarded as including also some responsibility for determining the policies and
programs of governments. Specifically, it is the planning, organizing, directing,
coordinating, and controlling of government operations
 getting the work of the government done by coordinating the efforts of the people so that
they can work together to accomplish their set tasks…managing, directing, and supervising
the activities of thousands, even millions of workers so that some order and efficiency may
result from their efforts.
 The government’s central instrument for dealing with general social problems.
1.2 BRIEF OVERVIEW OF PRE-COLONIAL FORM OF GOVERNMENT

IN THE PHILIPPINES
1.2.1 Pre-colonial Form of Government

Early Filipino communities were composed of settlements called “BARANGAYs”.
 kin-based (blood relations)

 having their own culture, tradition, values, and conducts of the members
 a unit of government consisted from 30 to 100 families and headed by a
“DATU”
- Functions of the barangay as a political organization includes:

1. Maintaining its existence as a community by resisting and repelling invasion by
outside enemies;
2. Preserving peace and order within its authority.
 DATU
- is the title for chiefs, sovereign princes, and monarchs in Visayas and
Mindanao
- Responsible for mediation and conciliation of disputes and the prevention

or redress of wrongs
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- was expected govern his people, protect them from enemies and lead them
in battle
 LAKAN/ APO/RAJA/SULTAN
- are titles used for native royalty
- in communities with Islam Influences – possesses almost “absolute

authority” with functions including executive, legislative and judiciary.
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Leaders Duties/ Responsibilities
Datu/ Hari/ Raja/ Sultan Political and Economic Leadership
Babaylan/ Spiritual and Psychological matters

Katalonan/Imam
Bayani/ Raja Muda/ Specializes in Warfare and Security

Kachil
Panday/ Manghahabi/ Responsible for Crafts and Technology

Mamamalayok
1.2.2 Public Administration in Pre-colonial Philippines
 Decisions or ordinances concerning the entire community is made through a consensus

 the wisdom of elders in the barangay are considered
 existing written and non-written traditions of the natives
 inevitably culture-bound
 cooperation and consensus
 The native communities who had visible Islamic influences had notable writing
system which made them capable of developing a law system (Onofre Corpuz, 1989)
1.3 THREE BRANCHES OF GOVERNMENT: ROLES AND ITS

STRUCTURE
EXECUTIVE
BRANCH
Branches of
Government LEGISLATIVE
BRANCH
JUDICIAL
BRANCH
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1.3.1 EXECUTIVE BRANCH/ DEPARTMENT

 Branch of the government that exercises enormous and significant powers
towards the attainment of national policies and protection of national
interest.
 Carries out and enforce – “Administer” the laws/ Law-enforcing body
 Executive power is exercised by the government under the leadership of the
president
 There is an exercise of discretionary power;
 Makes value choices
Organizational Structure of the Executive Branch /Department
PRESIDENT
VICE PRESIDENT
CABINET
Key Roles of the Executive Branch

 PRESIDENT
- Leads the Country
- Head of the State
- Leader of the National Government
- Commander in Chief of all armed forces of the Philippines
 VICE PRESIDENT
- Supports the President
- If the president is unable to serve, he/she becomes the President
 THE CABINET (SECRETARIES)

- Serve as advisors to the President
- Nominated by the President and must be confirmed by the Commission on
Appointments
- Implementors of all programs, policies and laws of a particular department
22 Existing Department in the Philippine Government
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POWERS OF THE PHILIPPINE PRESIDENT
President - the Chief Executive of the government, thus, all executive authority is
vested in him, also serves as the Commander-in-Chief of the Armed Forces, the
Head of State, the Head of Government, the Highest Ambassador and the Highest
Law-Maker- his first and foremost duty is to ensure the faithful execution of laws
1. Executive Power (Section 1)
- power to administer and enforce the laws, including the

Constitution and all statutes lawfully enacted by Congress, presidential
decrees, executive orders of the President, decisions of courts, treaties and
generally accepted principles of international law- carrying laws into
practical operation and enforcing their due observance
2. Power of Appointment (Sections 14, 15 and 16)
-the power to select an individual who is to exercise the functions of

a give office
 Appointment – the act of selection or designation by the

executive officer, board or body to whom the power has been
delegated, of the individual who is to exercise the function of
a given office
 Designation – the imposition of additional duties upon
a person already in public service to temporarily perform the
functions of an office when the officer regularly appointed to
the office is unable to perform his duties
 Kinds of Appointment
a. Permanent Appointment - issued to a person who meets all

the requirements for the positions to which he is being appointed
b. Acting or Temporary Appointment - made without security

of tenure and can be terminated with or without cause. “OIC”
belongs to this kind
c. Regular Appointment -requires confirmation of the

Commission on Appointments made by the President while the
Congress is in session. It will take effect once approved by the
Commission and continues as such until the end of its terms
d. Ad Interim Appointment - requires confirmation of the

Commission on Appointments made by the President
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e. while the Congress is in recess. It shall only be effective only (a)

until disapproved by the Commission on Appointments, or (b)
until the next adjourn of the Congress.
3. Power of Removal - the power to remove officials appointed by the

President
- Other appointed officials are not covered by this power such as the
Chief Justice and the Associate Justices of the Supreme Court, the
Ombudsman and the chairmen and members of Constitutional
Commissions
4. Power of Control (Section 17) - the power granted to an officer to alter,

modify, nullify or set aside what a subordinate officer had done in the
performance of his duties and to substitute the judgement of the former to
that of the latter.
- power to supervise, investigate, suspend or remove
officers/employees belonging to the executive branch
 Power of General Supervision

- power to see to it that inferior and local governments follow
the laws Supervision
- authority of an officer to see that subordinate officers
perform their duties
5. Military Powers and Power to Enforce Laws (Section 18)

- refers to the power to enforce laws using the local police in the
implementation of his orders
- consists of the President’s power to call out the armed forces, to
declare martial law, to suspend the privilege of Habeas Corpus, and he
himself as the Commander-in-chief of the armed forces- vested in him to
suppress emergency cases
 The President as the Commander-in-Chief

 the President has the control of the military organization and
personnel and also the head of our military institution, thus,
civilians are supreme over the military
 he is vested with the power to call the Armed Forces of the
Philippines and to create military tribunals to prevent or
suppress lawless violence, invasion or rebellion
 he is authorized to direct movements of the naval and military

forces placed by law at his command and to employ them in the
manner he may deemed most effectual
 Suspension of Writ of Habeas Corpus
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 the writ of habeas corpus can only be suspended if and only if (a)
there are cases of actual rebellion when public safety requires it,
or (b) there are cases of actual invasion when public safety
requires it
 Writ of Habeas Corpus -an order requiring a person or an officer

detaining another, to bring the said person before the court and
explain the reason or cause of detention
 Martial Law - founded upon the principle that the state has a right
to protect itself against those who would destroy it, and has likened
to the right of an individual to self-defense. It includes all laws that
have reference to or are administered by the military forces of the
State.
6. Pardoning Power (Section 19) - Power to grant reprieves,

commutations, pardons and amnesty- also known as “Executive Clemency”
- granted to provide relief on the harshness of the law or to
correct mistakes in the administration of justice
 Scope of the Pardoning Power

A. Reprieve -the postponement or temporary suspension of the
execution of a death sentence to a certain time
B. Commutation -reduction of the sentence imposed to a lesser
punishment
C. Remit Fines and Forfeiture -exoneration of fines and
forfeited property
D. Amnesty -commonly denotes the “General Pardon” to rebels
for their treason and other high political offenses, of the
forgiveness which one sovereign grants to the subjects of
another, who have offended some breach of the law of nations
- an act of grace concurred by the legislature, usually extend to
groups of persons who committed political offenses; which
puts into oblivion the offense itself.
E. Pardon -an act of grace, which exempts individual on whom it
is bestowed from the punishment the law inflicts for a crime he
has committed
 Absolute Pardon - granted without any conditions;
it does not only blot out the crime committed, but
removes all the disabilities resulting from the
conviction
 Conditional Pardon – subject to such conditions or
qualifications as it may deem necessary or see fit
7. Borrowing Power (Section 20) - pertains to the power to contract or

guarantee loans in the name of the Republic of the Philippines
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- must have a prior concurrence of the Monetary Board

- subject to limitations provided by the Congress through
“Legislative Enactments”
8. Diplomatic Power (Section 21) - power to deal with foreign states and
governments, extend or withhold recognition, maintain diplomatic relations, enter
into treaties and otherwise transact the business of foreign relations
 The President as the Chief Diplomat - the President exercises

the power to conduct the country’s external affairs
- he can deport undesirable aliens
- his powers include the following:
a. Power to Send and Receive Diplomats - power to

appoint, send and instruct diplomatic agents and consuls who represent
the country abroad
- authority over the reception of diplomatic agents and consuls
- right to refuse to admit agents whom he may consider
unacceptable
b. Power of Recognition - power to recognize the legitimacy

of foreign governments and to deal with newly risen states or new
administrations in existing states
c. Treaty-Making Power - power to enter into treatise and

international agreement-subject to the validation of the 2/3 of the
Senate Treatise
– international agreement concluded between states in written
form and governed by international law
– international agreements involving political issues or changes
of national policy and those involving international arrangements of a
permanent character Treaties
– formal documents which require ratification with the approval
of 2/3 of the Senate Executive Agreements
– international agreements embodying adjustments of detail
carrying out well-established national policies and traditions and those
involving agreements of a more or less temporary nature
9. Budgetary Power (Section 22) - Involves the power to issue a budget of
expenditures and sources of financing, including receipts from existing
propose revenue measures
- budget must be submitted to the Congress
10. Informing Power (Section 23) - refers to the duty of the President to
address the Congress at the opening of its regular session (State of the
Nation Address)- aimed at informing the Congress of the present status of
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the nation, suggesting to the legislature some important policies that

necessitates legislative enactments and giving guidelines of national policy
11. Other Powers of the President

 Power to approve bills (Article VI, Section 27) b
 Veto Power (Article VI, Section 27) c
 Power to call special session in Congress to address emergency measures
(section 15) d
 Power to consent to the deputation of government personnel by
the Commission on Elections (Article IX-C, Section2(4) e
 Power to discipline its deputies (Article IX-C, Section 2(8) f.
 Emergency and tariff powers (Article VI, Sections 23 and 28)
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1.3.1 LEGISLATIVE BRANCH

- The “Law Making” Body
- Authorize to make laws, alter and repeal them through the power vested in the
Philippine congress.
- it is divided into senate and the house of representatives
 SENATE (UPPER HOUSE) - Ratifies treaties and approves presidential

appointments
- Decides impeachment cases
- consist of 24 members
 HOUSE OF REPRESENTATIVES (LOWER HOUSE) – Initiates
revenue-raising bills
- Initiates impeachment cases
- consist of 234 legislative districts, composed about 250,000 people
1.3.2 JUDICIARY BRANCH

- ‘’the law interpreting body”
- evaluates laws
- it holds the power to settle controversies involving rights that are legally demandable
and enforceable.
- it is divided into supreme court and other courts
- consist of 14 associate justices
 SUPREME COURTS – To ascertain whether the laws are executed and

obeyed properly and to see to it that no person is deprived of justice in
any court of law.
- COURT OF TAX APPEALS
- SANDIGANBAYAN
 REGULAR COURT – Referring to the court that examined the evidence
and testimony directly and made rulings upon it, rather than any
intermediate appellate courts.
- REGIONAL TRIAL COURTS
- METROPOLITAN TRIAL COURTS- MANILA AREA
- MUNICIPAL TRIAL COURTS – TOWNS AND CITIES
- MUNICIPAL TRIAL COURTS IN CITIES
- MUNICIPAL CIRCUIT TRIAL COURTS
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1.4 CLASSICAL, MODERN AND POSTMODERN APPROACHES OF

PUBLIC AND PRIVATE ADMINISTRATION
 Classical Approach
Distributors of this approach: Weber, Wilson and Taylor
 In Germany, from the theory of Max Weber highlighted that the
bureaucracy is the most important theoretical principle.
 In Us, the father of Public Administration, Woodrow Wilson argued that a
bureaucracy should run like a business.
 In American, Frederick W. Taylor created the idea of Scientific Theory.
 Modern Approach – In the 1970s, according to H. George Frederickson
from his book entitled “New Public Administration” emphasizes the principle of
Social Equity.
 Postmodern Approach
It focuses:
1. Analysis of organizations as social systems
2. Frequently at variance with the directives
3. Conception of those in official charge.
1.4.1 THE PUBLIC AND PRIVATE ADMINISTRATION

 What is Public Administration?
- It refers to the activities of the state performed by the central, provincial or
local government.
 What is Private Administration?
- It refers to activities of a household, club, corporation or company (which
are private organization).
Public Administration is a political process. On the other hand, the Private

Administration is a business activity.
Comparison Chart
BASIS FOR
PUBLIC ADMINISTRATION PRIVATE ADMINISTRATION
COMPARISON
Meaning Public administration refers to orderly Private administration is the

managing the resources, to achieve the operation, management and
purposes established by the organization of the affairs of the
government. business enterprise.
What is it? It is a political process. It is a business activity.
Operation In governmental set up In non-governmental set up
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BASIS FOR
PUBLIC ADMINISTRATION PRIVATE ADMINISTRATION
COMPARISON
Approach Bureaucratic Egalitarian
Decision making Pluralistic Monopolistic
Revenue Taxes, fees, duties, etc. Profits
Accountability Accountable to general public Accountable to the owners
Orientation Welfare oriented Profit oriented
1.4.2 THE PUBLIC-PRIVATE PARTNERSHIP

Comparison between public and private administration often give the impression that each
is opposed to the other and occupies a separate, distinct field.
THE PUBLIC-PRIVATE PARTNERSHIP is defined as a contractual agreement between the
government and a private firm targeted towards financing, designing, implementing and
operating infrastructure facilities and services that were traditionally provided by the public
sector.
 PUBLIC ADMINISTRATION APPROACHES

 MANAGERIAL APPROACH
o TRADITIONAL (BUREAUCRATIC MODEL)
1. ECONOMY – think of public administration from an economical point

of view.
2. EFFICIENCY - specialization- (division of labor)- maximum use of the

work efficiency and getting the most out of them.
3. EFFECTIVENESS- ignoring political influences upon decision making in

work that leads the members of the organization to be fair.
o NEW PUBLIC MANAGEMENT
1. COST-EFFECTIVENESS –a government that works better but costs less,

probably save money but still provides with the best services.
2. RESPONSIVENESS TO COSTUMERS – effective, efficient and

responsive government by putting customers as the top priority.
 LEGAL APPROACH
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1. CONSTITUTIONAL INTEGRITY - being loyal to the state and abiding

by the constitution.
2. PROCEDURAL DUE PROCESS – value for standard fairness designed

to protect individuals from malicious deprivation of life.
3. EQUITY – most central in empowering judges to fashion remedies for

individuals whose rights have been violated.
 POLITICAL APPROACH
1. REPRESENTATION – having citizen’s voices, opinions and perspectives

made present in public policy making process.
2. RESPONSIVENESS – responding to public needs and keeping them

satisfied at all time.
3. ACCOUNTABILITY – acting in best interest of the public, if not, face

consequences and be held responsible for their actions.
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ORGANIZATIONAL
THEORY 18 | P a g e
TOPIC 2: ORGANIZATION THEORY
2.1 HISTORY
- Human activity takes place within formal organizations of varying size and
complexity e.g. Government Agencies, Private Corporations and business, labor unions,
schools and universities, hospitals, churches and political parties.
- include relevant concepts and research findings from all of the social and physical
sciences. Woodrow Wilson, 1887
One Central Objective:

- Is to provide those who design, administer, and evaluate the performances of
public agencies with the concepts and other information they need to play their
roles responsibly and effectively. (Trainings and Seminars)
Woodrow Wilson
- was an American statesman, lawyer, and academic who served as the 28th
president of the United States from 1913 to 1921.
- The reason why administrative tasks have nowadays to be so studiously and
systematically adjusted to carefully tested standards of policy, the reason why
we are having now what we never had before, a science of administration. It
is getting harder to run a constitution than to frame one.
- Wilson went on to observe that one “simple” duties of government were now
increasingly “complex”
 ORGANIZATION
Victor A. Thompson - Organization theorist
- He cautions there is a very real difference between the concepts of association
and organization.
According to Thompson:
A group of people may share an interest, communicate with one another and
agree to pursue it jointly, they became an association. If the purposes, objectives,
or goals of an association are to be accomplished, it must create an “artificial”
instrument or tool. This instrument is an organization. It has a goal imposed
upon it by the association and therefore it can make a rational, calculative
decisions.
 Organization – “tool” an instrumentality or artificial system designed to

pursue the goals
 Associations – inherently ‘’open’’ natural social systems. An association has
no owner and its goal is survival.
THEORIES
- Are a set of interrelated constructs (concepts), definitions, and propositions that
presents a systematic view of phenomena by specifying relations among
variables, with the purpose of explaining ad predicting the phenomena.
- Theories are attempts to describe accurately and to predict successfully
relationships among elements of the physical, social and psychological worlds.
- Theories are not tested directly, rather, hypotheses. Hypotheses are logically
derived from theoretical statements, and the measure of a theory’s adequacy is
its capacity to generate hypotheses that are supported by research findings.
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Although organization theory has yet to attain the scope, precision and elegance of
many of the theoretical constructs of the physical sciences, its generalizations have still
proven useful in:
1. Helping administrators identify important aspects of policy issues and

management situations,
2. Tracing and anticipating relationships among organizational activities,
3. Providing criteria for the making and evaluation of decisions, and
4. Understanding the connections between organizational behavior and conditions
in the broader environment.
2.2 SCIENTIFIC THEORIES: THE ORGANIZATIONAL AS

INSTRUMENT
Bureaucratic theory, scientific management, and the principles of administration

school have treated formal organizations in these terms. Each has made major
contributions to our understanding of organizations and of the administrative role.
2.2.1 BUREAUCRATIC MODEL

- Dominant form of organization in the public sector is bureaucracy.
- Often used in a negative or pejorative

sense to mean organizations burdened
with red tape, inefficiency and
ineffectiveness.
German Sociologist Max Weber (1864-1920)

o First to describe its characteristics systematically, to attempt to explain
its emergence in Western society and to explore its positive as well as
negative consequences.
o He concluded that a distinguishing trait of Western society was its
cultural drive to rationalize social and economic processes; by
rationalization to understand and to manipulate the “cause and effect”
relationships.
Using what he called an “ideal type”, Weber describes rational-legal bureaucracy in

the following terms:
1. Hierarchical arrangement of offices – own authority or legitimated powers. The
administrative structure of the bureaucracy, therefore, is pyramidal, with each lower
office under the control of a higher one.
2. A systematic division of Labor – each office or position having its own clearly
specified scope of competence conveyed as duties and powers.
3. Formalized, written rules of conduct and procedure – to be applied uniformly.
These rules are implemented and followed because “they conform with the statutes of a
government that monopolizes their enactment and the legitimate use of physical force”
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4. Impersonality – officials are subject to an impersonal order and formally established

norms of conduct, and they act only in accordance with these rules in their contacts
with others inside and outside the organization.
5. Neutral competence – is the hallmark of the bureaucratic official. They are selected
and progress through their bureaucratic careers on the basis of their technical
competence, not considerations such as social status and partisan loyalties.
2.2.2 SCIENTIFIC MANAGEMENT

 Scientific Management is a theory of management
that analyze and synthesizes workflow.
 Its main objective is improving economic efficiency,
especially labor productivity.
 Taylorism is also known as Scientific Management.
FREDERICK WINSLOW TAYLOR
 He is known as Father of Scientific management

 Born into a wealthy Family in the US in 1956
 Graduated from Stevens Institute Technology
as mechanical engineer in 1883
 “the first man in history who did not take work for granted”
 Mental Revolution
 Scientific Management aims at revolutionizing in minds of both the workers
and management in such a way that the worker’s starts that the enterprise is
their own and they put their heart and soul in the work assigned to them.
Management and workers should have respect and work in cooperation.
 PRINCIPLES OF SCIENTIFIC MANAGEMENT

I – SCIENCE NOT RULE OF THUMB - Replace working by "rule of
thumb," or simple habit and common sense, and instead use the scientific method
to study work and determine the most efficient way to perform specific tasks.
II – THE DEVELOPMENT OF EACH MAN TO HIS GREATEST
EFFICIENCY AND PROFICIENCY - Rather than simply assign workers to just
any job, match workers to their jobs based on capability and motivation, and train
them to work at maximum efficiency.
III – COOPERATION NOT INDIVIDUALISM - Monitor worker
performance, and provide instructions and supervision to ensure that they're using
the most efficient ways of working as a UNIT.
IV – DIVISION OF LABOR BETWEEN MANAGER AND
WORKERS - Allocate the work between managers and workers so that the
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managers spend their time planning and training, allowing the workers to perform
their tasks efficiently.
2.2.3 THE SCIENTIFIC APPROACH TO MANAGEMENT

o Taylor, as well as many other followers of scientific management
extensive research using the methods such as “time and motion studies”.
 time and motion studies are a business efficiency technique

combining the time study work of Frederick Winslow Taylor with
the Motion Study work of Frank and Lillian Gilbreth.
 Rule-of-thumb
 Rule-of-thumb it is a guideline that provides simplified advice
regarding a particular subject. It is a general principle that gives
practical instructions for accomplishing or approaching a certain
task. Typically, rules of thumb develop as a result of practice and
experience rather than from scientific research or theory
 Mutuality of Interests
 For Taylor, the mutuality of interests was the common economic
reward to be realized through cooperation between labor and
management. He believed that once both sides saw this basic
point, there would be no rational reason for the conflict between
the two groups
The Impact of the Principle School
 The principles of school had a significant impact on public administration. It offered

generally easy to comprehend and apparently practiced prescriptions concerning now to
construct logical and efficient organization structure.
 POSDCORB is an acronym created by Luther Gulick and Lyndall Urwick.

 Develop as a means to structure and analyze management activities, it set a new
paradigm in Public administration
 Gulick (1937) invented the famous mnemonic POSDCORB to explain the key
responsibilities of a public manager. POSDCORB entails seven key functions:
Planning, Organizing, Staffing, Directing, Coordinating, Reporting, and
Budgeting
 Planning - Is defining goals, establishing strategy to meet them, establish plans to

coordinate activities, outline methods for doing them to accomplish purpose set by
the cooperative.
 Organizing - Determining what tasks are to be done, establish the formal
structure which work are arranged, defined and coordinated for the defined
objective
 Staffing - is the whole personnel function of bringing in and training the staff and
maintaining favorable conditions of work
 Directing- is the continuous task of making decisions and embodying them in
specific and general orders and instructions and serving as the leader of the
cooperative
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 Coordinating - is the all-important duty of interrelating the various parts of the

work
 Reporting - is keeping those to whom the executive is responsible informed as to
what is going on, which thus includes keeping himself and his subordinates
informed through records, research and inspections
 Budgeting - with all that goes with budgeting in the form of fiscal planning,
accounting and control.
2.3 The Organization as Association: HUMAN RELATIONS

In the 1920s and early 1930s, Elton Mayo conducted the Hawthorne Experiments on
the theory of individuals within an organization which propelled the human relations school of
management thought.
HAWTHORNE EXPIREMENTS
The Human Relations Movement began with the Hawthorne Experiments. They were
conducted at Western Electrical Works on USA between 1924-1932.
 1st – Illumination Experiments

These experiments were performed to find out the effects of different levels of illumination
(lighting) on productivity of labor. The brightness of the light was increased and decreased
to find out the effect on the productivity of the test group. Surprisingly, the productivity
increased even when the level of illumination was decreased. It was concluded that
factors other than light were also important.
 2nd- Relay Assembly Test Room Study

Under these test, two small groups of six female telephone relay assemblers were selected.
Each group was kept in separate rooms. From time to time, changes were made in working
hours, rest periods, lunch breaks, etc. They were allowed to choose their own rest periods
and to give suggestions. Output increase in both the control rooms. It was concluded
that social relationship among workers, participation in decision-making etc.
had a greater effect on productivity than working conditions.
 3rd- Mass Interviewing Program

21,000 employees were interviewed over a period of three years to find out reasons for
increase productivity. It was concluded that productivity can be increased if
workers are allowed to talk freely about matters that are important to them.
 4th- Bank Wiring Observation Room Experiment

A group of 14 male workers in the bank wiring room were placed under observation for six
months. A worker’s pay depended on the performance of the group as a whole. The
researchers thought that the efficient workers would put pressure on the less efficient
workers to complete the work. However, it was found that the group established its
own standards of output, and social pressure.
Conclusions derived from Hawthorne Studies:
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 The social and psychological factors are responsible for workers’

productivity and job satisfaction. Only good physical working conditions are
not enough to increase productivity.
 The informal relations among workers influence the workers’ behavior and
performance more than the formal relations in the organization.
 Employees will perform better if they are allowed to participate in decision-
making affecting their interests.
 Employees will also work more efficiently when they believe that the
management is interested in their welfare.
 When employees are treated with respect and dignity, their performance
will improve.
 Financial incentives alone cannot increase the performance. Social and
Psychological needs must also be satisfied in order to increase productivity.
CHESTER BARNARD (1938)
 He maintained that an organization was a system of consciously coordinated personal

activities of two or more persons held together by its capacity to generate a common
purpose, by a willingness on the part of its members to contribute to its processes, and by
effective communications.
 Presented a more comprehensive theory of organizational behavior when he wrote The
Functions of the Executive (1938). He argued that for the executive to become more
effective, he should maintain an equilibrium between the needs of the employees
and the organization. He also stressed that the ultimate test of authority lies in whether
or not orders are accepted by those who receive them.
INFLUENTIAL BRANCHES OF MODERN ORGANIZATION THEORY
 Decision – Making Focus

 The objective is to reconcile human relations’ essentially nonrational explanations
of behavior with the highly rational assumptions of the classical model.
 Herbert Simon in his Administrative Behavior (1947), took the lead by arguing that
the optimizing model of rational choice relied on by the classical thinkers was not
empirically descriptive of how managers actually make decisions.
 It is expected that top management is capable of such rationality, makes all the
basic decisions, and sends them down the hierarchy for implementation.
 Organizational Psychology
 Another influential branch of organization theory has concentrated on the problems
associated with understanding and improving the social-psychological interface
between the worker and the organization.
 The objective of scholars in this area is to diagnose and to remedy conditions that
negatively affect motivation, job satisfaction, and in general, psychological health of
employees and concluded that aspects of formal structure such as
depersonalization, task specialization, and close supervision alienate
and frustrate many workers, with resulting adverse effects on
performance. In response, they emphasize the need to apply social-psychological
concepts and research findings to design of jobs and the conduct of the managerial
process and it is called Industrial Humanism (Scott and Mitchell).
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 Douglas McGregor, Chris Argyris, Abraham Maslow, and Rennis Likert argue that
virtually all the dimensions of the organization are potentially important variables
affecting performance and should be carefully investigated. They believe that:
 The average employee wants and will respond positively to work that is
interesting and also allows some discretion and the opportunity to shape his
or her work environment.
 In many cases, jobs can be redesigned so as to satisfy basic psychological
needs.
 Close supervision and control-oriented administrative structures do not
automatically produce efficiency.
 Tightly centralized decision making in a rigidly hierarchical format often
causes workers to feel powerless and subject to constant manipulation.
 Authoritarian management prevents the healthy psychological development
of the person; over the long run, it fails to produce the desired contributions
to organizational efforts.
APPLICATION OF ORGANIZATION PSYCHOLOGY
Organization Development (OD) – a special science-based approach to the
analysis of organizational problems and to the implementation of planes change programs.
Its purpose is to create an on-going organizational capacity to solve problems.
Focus of an OD Program
1. Relationships between the organization and its environment
2. Relations among groups within the organization
3. Interactions between the employee and the formal administrative system
4. Interpersonal Relationships
FOUR BASIC PHASES TO OD
1. Diagnostic
2. Action-Planning
3. Implementation
4. Evaluation
 The Open Systems Framework

- Starts with the proposition that all social organizations share certain
characteristics like:
1. Organizations constantly seek and import resources (inputs) and
transform it into products and services using internal social and
technological processes (throughputs).
2. Open systems export their products and these outputs usually become
the inputs of other organizations.
3. Organizational Structures develop around patterned activities that form
stable and predictable input, throughput and output cycles.
4. As the organization becomes more complex, managerial structures for
coordination and control become more elaborate.
5. Feedback is used to keep the system on course.
6. Open Systems seek equilibrium or a stable state.
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ORGANIZATIONAL SUBSYTEMS WHICH ORGANIZATIONS RELY INTERNALLY

1. Production or Technical Subsystem – transforming inputs into
outputs
2. Supportive Subsystems – procure materials and dispose outputs
3. Maintenance Subsystems – maintain the human-resource base
4. Adaptive Subsystems – planning and research units to adapt in
demands
5. Managerial Subsystem – coordinate and interrelate the other
subsystems
INPUTS THROUGH-PUTS OUTPUTS
CYBERNETIC MODEL
1. Environmental Organizational 1. Goods

conditions, needs, transformations; 2. Services
demands, and goals Subsystem functions 3. Manpower
2. Societal Norms and 4. Strategies to
Laws Influence
3. Human Resources Environment
4. Material Resources
Direct
Indirect
Feedback about outputs
SYSTEMIC LEVELS
Level Central Focus Applications
Global International socioeconomic International relations; multinational
and political systems organizations
Societal National socioeconomic and Analysis, evaluation, and design of
political systems institutions and policies
Interorganizational Sets of organizations Relationships and exchanges between
organizations; strategies for dealing
with other organizations
Organizational Internal social and Systems of production and
technological structures and management; organizational design
processes of organizations and development
Intergroup Relationships between formal Communication; coordination;
and informal groups within the control; power; conflict; decision
organization making
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Intragroup Social-psychological dynamics Leadership; communication; conflict;

of formal and informal groups decision making; roles
Interpersonal Social psychology of Interpersonal effectiveness;
interactions between two or perception; conflict; motivation
more people
Individual The person as a Needs and motives; personality
psychobiological system formation; perception and behavior
SOCIOTECHNICAL SYSTEMS
David Silverman writes that an organization may be viewed as a Socio-Technical
System in the sense that while the technology, the formal role structure and the sentiments
of the members are systematically connected, none is of prime importance or necessarily
the first target of analysis. All may be seen as interrelated with each other and with the
environment in which the organization is located.
E.L. Trist study on coal mining in Durham, England revealed a close relationship
among the technical, economic and social aspects of organizations and demonstrated that a
particular organizational structure can meet technological and economic demands but fail
to satisfy equally important social-psychological needs.
ORGANIZATION AND ENVIRONMENT
James D. Thompson points out that technologies of organizations function most
efficiently under conditions of high certainty regarding the availability of resources and the
capacity to dispose outputs.
2.4 MODERN THEORIES

- tend to be based on the concept that the organization is a system which has to adapt to
changes in its environment.
- an organization is defined as a designed and structured process in which individuals
interact for objectives (Hicks and Gullet, 1975).
Characteristics of the modern approaches to the organization are:
· a systems viewpoint,
· a dynamic process of interaction,
· multilevelled and multidimensional,
· multimotivated,
· probabilistic,
· multidisciplinary,
· descriptive,
· multivariable, and
· adaptive.
Modern understandings of the organization can be broadly classified into:
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· the systems approach,

· socio-technical theory, and
· a contingency or situational approach.
2.4.1 THE SYSTEMS APPROACH
The systems approach views organization as a system composed of interconnected -

and thus mutually dependent - sub-systems. These sub-systems can have their own sub-
sub-systems. A system can be perceived as composed of some components, functions and
processes (Albrecht, 1983).
3 Basic Elements of Organization (Bakke, 1959)
(i) Components There are five basic, interdependent parts of the organizing
system, namely:
· the individual,
· the formal and informal organization,
· patterns of behavior emerging from role demands of the organization,
· role comprehension of the individual, and
· the physical environment in which individuals work.
(ii) Linking Processes
The different components of an organization are required to operate in an

organized and correlated manner.
· Communication is a means for eliciting action, exerting control and effecting

coordination to link decision centers in the system in a composite form.
· Balance is the equilibrium between different parts of the system so that they keep
a harmoniously structured relationship with one another.
· Decision analysis is also considered to be a linking process in the systems

approach. Decisions may be to produce or participate in the system. Decision to
produce depends upon the attitude of the individual and the demands of the
organization. Decision to participate refers to the individual's decisions to engross
themselves in the organization process. That depends on what they get and what
they are expected to do in participative decision making.
(iii) Goals of organization - Strategically set objectives that outline expected

results and guide employees’ efforts.
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2.4.2 SOCIO-TECHNICAL APPROACH

The socio-technical systems approach is based on the premise that every
organization consists of the people, the technical system and the environment (Pasmore,
1988).
2.4.3 THE CONTINGENCY OR SITUATIONAL APPROACH

It is based on the belief that there cannot be universal guidelines which are suitable
for all situations.
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PUBLIC POLICY 30 | P a g e
TOPIC 3: PUBLIC POLICY
3.1 EMERGING CONTEXT OF PUBLIC POLICY

The context from which public policies operate several years back is no longer the same as
compared with the present time as the environment that once influenced these policies has
changed dramatically. Most public policies prior to World War II were driven dramatically by the
military needs and economic expansions of the developed countries from the Western world.
Public policies related to social welfare, health, environment, and education were not the centre of
attention of theses developed countries during that time as they were busy competing for their
positions in the international community. However, after the war things started to change as the
destruction brought about by the conflict created a lot of possibilities even to other developing
countries. Military needs and economic expansions remained the main concerns of the developed
countries but other policy areas like social welfare, health, environment, and education eventually
became part of their priorities. The time after the war was the period of reconstruction which is
why the need for policies related to the different areas became the concerns of several countries.
THE DIFFERENT POLICY AREAS

Public policies will continue to be shaped by the immediate environment. This
categorization of public policies will be enhanced by the different policy areas that include the
environment, education, health, social welfare, defence, and economic policies
The current trend in environmental policies is dominated by sustainable development
concept which has been the selling point of most government policies related to this particular
policy area. Sustainability according to the United States Environmental Protection Agency (2011)
“creates and maintains the conditions under which humans and nature can exist in productive
harmony, that permit fulfilling the social, economic, and other requirements of present and future
generations”. Several policies of the government have already taken shape and these include the
popular clean and green program, waste segregation, clean-up drives, and recycling of recyclable
materials.
The policy in the area of education in the country is currently dominated by the trend on
Asian integration that has commenced in 2015. The Asian integration aims to relax the limitations
among the member countries of the Association of Southeast Asian Nations (ASEAN) particularly
those that pertain to the movement and hiring of personnel from one country to another. In the
Philippines, the current effort of the government is directed towards making its manpower more
competitive in the region. Just recently, the current administration embarked on a comprehensive
policy that saw the integration of additional two years in the secondary level of its educational
system. Such policy is popularly known as the “K+12 Program” that initially received some
unfavourable remarks from the general public.
The objective of pursuing good health for its people, providing a cure to all diseases and
giving the needed health services to those who need them most are among the priorities of the
current health policies of the government. What is noticeable with the health policies of the
government is the recognition on the cheaper medicine for its people. Such a policy benefited a lot
of people particularly the senior citizens who more often than not are in need of medicines.
Another noticeable policy in the area of health policies is the effort of the government to prevent
the occurrence of diseases that are commonly felt by other countries in the present time.
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The policies on the social welfare area cover a broad range of programs that transcends
even the boundaries of other policy areas that were mentioned in the previous discussions. These
policies include an array of activities that consist of public assistance, job training, public health,
unemployment, and even education according to Clarke E. Cochran, Lawrence C. Meyer, T.R. Carr,
and N. Joseph Cayer. In the Philippines, the incumbent administration is trying its best to attend
to the current social welfare needs of its people. Perhaps the most notable program of the
government at the moment is its investment on the “Conditional Cash Transfer” that has somehow
produced some positive results on the part of the public.
The policy in the area of defense includes the internal and external aspects of the security
of a particular country. The internal security covers a number of policies that range from domestic
insurgency to rebellion and other specific threats. The external security, on the other hand, covers
some policies that include terroristic activities, border and security patrol, and the protection of
territorial waters including the exclusive economic zone of a country. More than this, the defence
policies also cover the acquisition of modern assets and equipment like arms and ammunitions,
patrol cars, modern ships, and air planes to conduct the rigorous security checks.
The economic policy area in most countries nowadays is obviously dominated by specific
policies that touch on sensitive issues like housing, unemployment, poverty, urbanization, and
infrastructure. Other concerns like globalization, trade relations, and monetary policies are also
subjects of much consideration but these are already given every time economic policies will be
discussed. In most developed countries, housing is not much of a problem right now as more and
more people are benefitting from the various programs of the government. Unemployment and
poverty are still causing headaches among policy implemented but the issue is not much of a
concern for the governments of these countries to be alarmed. Poverty in the same line is causing a
few problems but remains to be under control as many of their economic policies are strategically
in place. Urbanization is trending but the negative effect is minimal since most economic
development is being cascaded down the line. The infrastructure programs in developed countries
are in full swing taking advantage of recent developments in many parts of the globe.
UNDERSTANDING POLICY ANALYSIS

Policy Analysis constitutes one of the important parts of the policy studies as it serves the
purpose of the government in determining whether or not a particular public policy is successful.
According to Dunn, even before the implementation of a public policy an analysis can immediately
be done in order to know the relative influence of the policymakers and other organizations which
exerted influence to the policy. Other scholars complement the methodology of Dunn are Carl V.
Patton and David S. Sawicki (1993) who wrote the book, “Methods of Policy Analysis”, which was
adopted by several beginners in policy analysis. The extent of Patton and Sawickis’s discussion is
comprehensive that is bested even the book of Dunn in policy analysis.
WHAT IS POLICY ANALYSIS

One definition is that public policy, according to Carl V. Patton and David S. Sawicki
(1993), is a “process that usually begins with problem definition rather than the broader inventory
phase of the planning process. This definition as can be gleaned focuses on the importance of
identifying the policy problem before anything can be done in the process. The policy problem is
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the source of all activities in the entire policy analysis and that it should be defined in such a way
that all aspects are carefully studied
Another definition that is given by Carl V. Patton and David S. Sawicki (1993) is that policy
analysis is “a systematic evaluation of the technical and economic feasibility and political viability
of alternative policies (or plans or programs), strategies for implementation, and the consequences
of policy adoption.
TYPES OF POLICY ANALYSIS

The process of analysing public policies according to Carl V. Patton and David S. Sawicki
(1993) can be done before a policy is implemented or even after it is implemented.
There are two types of policy analysis according to Carl V. Patton and David S. Sawicki
(1993) which are often used by policy analysis when consulted to work on the evaluation of a
particular policy. Policy analysis is usually classified in two types which include either the
descriptive or prospective policy analysis. The descriptive policy analysis refers to “either the
historical analysis of past policies or the evaluation of a new policy as it is implemented”. This
definition of the concept is also known as ex-post, post hoc, or retrospective policy analysis which
goes beyond the implementation and pushes the policy envelope even before the policy begins its
implementation. On the other hand, the prospective analysis refers to the “analysis of outcomes of
proposed policies”. Prospective policy analysis can further be subdivided into predictive and
prescriptive policy analysis. Predictive policy analysis “refers to the projection of future states
resulting from adopting particular alternatives” while prescriptive policy analysis “refers to
analysis that recommends actions because they will bring about a particular result”. Between the
two, prescriptive is often use in the prospective type of policy analysis.
POLICY ANALYSIS FOR BEGINNERS

The process of analysing public policies is not an ordinary job. It takes a lot of experience
and courage before an individual can become an expert in the field of policy analysis. To learn this
process, an individual must begin to think like an analyst and planner. An individual does not need
to look for complicated articles in the book but by just reflecting on the problems confronted by
the government on a daily basis and think on how these can be resolved then the individual is
putting himself on the right track.
In addition to what has been prescribed in this section, Carl V. Patton and David S. Sawicki
(1993) also suggested some ideas on how beginner policy analysts can further boost their skills in
policy analysis. Other policy experts even tried to recommend these basic ideas which Patton and
Sawicki developed in their book, “Methods of Policy Analysis”. The following suggestions should
help the beginner policy analysts as they begin to undertake the process of analysing public policy:
learn to focus quickly on the central decision criteria of the problem; think about the types of
policy actions that can be taken; avoid the toolbox approach to analysing public policy; learn to
deal with uncertainty; say it with numbers; make the analysis simple and transparent ; check the
facts; learn to advocate the positions of others; give the client analysis, not decisions; push the
boundaries of the analysis beyond the policy envelope ; and be aware that there is no such thing as
an absolute correct, rational, and complete analysis. These simple steps and suggestions of Patton
and Sawicki in understanding policy analysis would be a great use among beginner policy analysts.
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THE POLICY ANALYSIS PROCESS

The question, “how the policy analysis conducted” can be answered in several ways
depending on which perspective is being used by an individual. The growing number of policy
experts shows that policy analysis can be approached in many ways. Perhaps the best policy
analysis is the one that is offered by Carl V. Patton and David S. Sawicki (1993) which discussed six
major steps in analysing public policy. According to them, these six steps include problem
definition, determination of evaluation criteria, identification of alternatives, evaluation of
alternatives, comparison of alternatives, and assessment of outcomes. In this book, the steps that
will be discussed are the ones that were identified by Carl V. Patton and David S. Sawicki (1993)
for the reason that their model presents the most comprehensive process of doing a policy
analysis. These major steps that Patton and Sawicki enumerated can be broken down into smaller
components which could facilitate the process of analysing a public policy. However, Patton and
Sawicki noted that there is no short cut in doing policy analysis and that these steps are just guides
that policy analysts may use as well as with the students. For beginner policy analyst, it would be
best to follow the six basic steps of process, once the analyst received all the trainings and skills in
analysing public policies then he can start introducing some innovations or tweaks with the way he
comes up with his own analysis.
VERIFY, DEFINE, AND DETAIL THE PROBLEM
The first stage in the major processes which Carl V. Patton and David S. Sawicki (1993)
mentioned is “verify, define and detail the problem”. They cautioned the beginner analyst to look
carefully into the subject because the initial problem that may arise in the course of his analysis
may just be the tip of iceberg. It may not able to address the real problem quickly, and may cause
more problems than expected in the future. When a problem is discovered, the policy analyst must
be able to determine its magnitude and extent. The policy analyst may perform a “ back of the
envelope” calculations for him to be able to set the parameters of the problem.
ESTABLISH EVALUATION CRITERIA
The second stage in the major processes of analysing public policy according to them is to
“establish evaluation criteria” from which possible alternatives would be evaluated. It is important
that evaluation criteria are identified in the early stage of policy analysis because it would help in
the process of identifying the possible alternatives prior to their evaluation. The question, “how
will an appropriate policy be identified and how will these possible policies be compared”, are the
main concerns of the second stage of Patton and Sawicki’s model of policy analysis. In answering
these questions, Patton and Sawicki discussed that relevant evaluation criteria must be established
so that the possible alternatives can be compared, measured and selected. Some of the common
evaluation criteria according to them in clude cost, net benefit, effectiveness, efficiency, equity,
administrative ease, legality, and political acceptability.
IDENTIFYING ALTERNATIVE POLICIES

The third stage in the policy analysis as conceptualized by them is “identify alternative
policies” which results in the definition of the problem and the establishment of alternative
policies. The identification of possible policy option, however, may not be as difficult compared
with the other stages. According to them, policy analyst may resort into several means on how
policy alternatives, can be generated in order to solve a particular policy problem. One effective
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and very common means is to make a literature review on the policy problem that is currently
being addressed by a policy analyst. Such means would reveal the different dimensions of the
policy problem and in the process expose some of the possible alternatives that may be pursued.
Another acceptable and perhaps ordinary means is to conduct brainstorming involving
those parties which are affected by the existing policy problem. The conduct of brainstorming in
the same line will most likely render additional policy alternatives in resolving the policy issue at
hand. Another means of determining the policy alternatives is to compare the earlier identified
options with that of the ideal alternatives for purposes of knowing the relative strength of each
option in the analysis of a given policy.
EVALUATE ALTERNATIVE POLICIES
The fourth stage in the major processes of analysing public policy is the “evaluation of
alternative policies” which is considered by them as a lynchpin in doing the policy analysis. As it
said, the nature of the problem and the kind of evaluation criteria will determine the methods that
will be used in the evaluation of public policies. At his early, it is important that policy analysts
must be aware that there is no “one-size fits all” method in conducting a policy analysis. There are
instances that less complicated methods can be used to evaluate public policies especially when
time is not available. These simple methods may take the form of simple prediction, forecasting
techniques, and quick decision analysis. These methods normally generate simple information that
may also aid the policy analyst in doing his job. On the other hand, the evaluation of alternative
policies may employ comprehensive criteria that take into consideration the different aspects of
the policy.In doing so, the policy analyst will have to be familiar with the criteria involving
technical, economic, administrative, and political feasibility.
DISPLAY AND DISTINGUISH AMONG ALTERNATIVE POLICIES
The fifth stage in the policy analysis processes is “display and distinguish among
alternative policies” which requires the sensitivity of the policy analyst in reporting the result of his
analysis. Usually the purpose of displaying the results is for the analyst to convince the client and
the general public about the feasibility of the chosen alternative. The results of the evaluation can
be displayed in a number of ways. Depending upon the preference of the policy analyst, the results
may be reported in the following process: a list of alternatives, an enumeration of criteria, and a
report of the degree to which the criteria are met by each alternative.
MONITOR AND EVALUATE THE IMPLEMENTED POLICY

The last stage in the major processes of policy analysis is the “monitoring and evaluating of
the implemented policy”. In most instances, the policy analysts may not be involved directly in the
implementation of the chosen policy. Their engagement is limited and is involved only in the
analysis of the public policy that is being implemented. After the implementation is done, the
policy analyst prepares to perform an evaluation of the implemented policy to check whether or
not the objectives are met or indeed successful in the end.
Categories of Public Policy (James E. Anderson)
 Constituent Policy – concerned with the establishment of the structure of the

government. It is a process that mandates government agencies on how to comply with the
required procedures.
Example:
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Implementing rules & regulations which normally come after a law is

enacted in order to avoid glitches in the process of its implementation.
 Distributive Policy – involves the allocation of services or benefits to particular
segments of the population. The recipients of government benefits, in this case, involve
normally the individuals, groups, corporations and communities who have the interests
over a particular policy.
 Regulatory Policy – pertains to the impositions of restrictions or limitations on the
behavior of individuals and groups that reduce the freedom or discretion to act among
those regulated, whether bankers, utility companies, meat-packers, or saloon-keepers.
Regulatory policy is seen at times in the form of business policy whether private
corporations are often the subject of regulations or limitations.
Example:
In the business sector, one of the examples is the requirement of a permit
before a company could operate in the market.
 Self-regulatory – is very similar to regulatory policy that they both restrict or limit the
behavior of some segments of the society. Compared to regulatory policy, some sectors or
groups in society resort to self-regulation primarily for the purpose of containing the
behavior of its members.
 Redistributive Policy – pertains to the deliberate effort by the government to shift the
allocation of wealth, income, property, or rights among broad classes or groups of the
population, such as haves and have-nots, proletariat and bourgeoisie.
Example:
“Conditional-cash transfer program” which the government recently
implemented to help alleviate property in the country. The dole-out that is given to
the public is tantamount to the redistribution of wealth.
Models & Approaches in understanding Public Policy

 Institutional Model
– looks at the government as the source of public policies which are considered as
the rational response of the government to the demands of the people related to some
perceived public problems.
– Executive, Legislative and Judicial branches if the government that are involved
in the policymaking process of the government.
 Process Model
– Product of a series of steps or processes that explains how it is being done in the
government. These series of activities are arranged methodically so that the concerned
government institutions would be able to come up with a sensible & practical public policy.
These various activities that are involved in the process of policy making include:
Identification of the problem, setting of the agenda, formulating the policy, implementing
the policy, and evaluating the policy.
 Group Theory
– explains public policy as a result if the competition between the several groups
that try to sway the actions of the government on their favor.
– the rise of several groups & organizations in the society enables the government
to hear several opinions that merit the proposal of a particular policy.
– the more influential a particular group is, the more that it can accomplish its
particular interest & bends the government to its favor.
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 Elite Theory
– reflects on public policy as basically the product of one group – the elite group –
that dominates the entire government & its policymaking process.
– this mood forces the elite group to provide for the public which leads other
individuals and think that the kind of public policies the government enacts reflect only the
opinions of the privileged few.
– the “elite theory” in addition looks at the public as being passive & can easily
manipulated as has been the case in the past.
 Rational Model
– thinks of public policy as something that is the result of the best alternative
chosen by the government in responding to the problem of the general public.
– Public policy that should be enacted by the government must necessarily reflect
the best scenario for the people. The gains must exceed the cost through public policy &
that the people must ultimately be protected from whatever adverse consequences the
policy would have.
 Incremental Model
– believes that public policy must not be a result of the “hurry & strife” of life. It
should at the very least provide the people with incremental gains focusing more on the
contributions of the public policy.
– views public policy as continuation of previous policies with only a few
considerations to make. These public policies are those which have obviously produced
numerous benefits to the public, maximizing social gains in all the concerns of the society.
 Public Choice Model
– treats of public policy as the result of several competing interests among the
various stakeholders in the policymaking process of the government.
– when the subject involves the government and delivery of the basic services, the
obvious preference of the “public choice model” would be to support the public interest. As
against the promotion of smaller interests of few individuals, the government is always
expected to choose the greatest good for the biggest number.
 Systems Theory
– recognizes public policy as an output of the entire political system
– political system is referred to as “black box” where a lot of publishing &
machinations are done to be able to produce the best output.
Policy Makers & Their Environment
Official Policy makers Unofficial Policy makers
1. Legislative 1. Interest groups
2. Executive 2. Political parties
3. Judiciary 3. Communications media
4. Administrative Agencies 4. Individual citizens
Official Policymakers:
 Legislative
– legislature in most democratic countries is either unicameral or bicameral. In the
Philippines, the legislature started as a unicameral body and eventually adapted the
bicameral body soon after it gained its independence. It’s legislature at the present is
composed of the House of Representatives and Senate of the Philippines that actively
engage one another in the passage of several proposals or bills in their respective houses.
 Executive
– gives the final note in the proposal public policy.
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– makes the final signature in the entire process of policymaking in the

government.
– the executive, however, is also given the authority to disapprove or simply ignore
the proposed public policy. If the proposed public policy is disapproved then it goes back to
the legislature for reconsideration or if it is ignored, then it becomes a law after a
considerable period that is usually 30 days.
 Judiciary
– performs this function through its power of judicial review when the court – the
highest court of the country – declares a public policy as simply unconstitutional. The
public policy in this case is ordered to be stopped and dies the natural death as a
consequence of being declared as contrary to the constitution.
 Administrative Agencies
– their involvement in the course of drafting the proposed public policies at the
committee level affords them of a major role in the entire stretch of policymaking process.
Unofficial Policymakers:
 Interest groups
– perform an interest articulation function which demands from the government
the resolution of a particular policy problem. The different interest groups supply the
legislature with necessary information that is not available in the government.
 Political parties
– perform its function during election when they attempt to aggregate the interests
of several groups as part of its campaign platforms.
– they are good conduits for making public issues known during elections so that
after getting the positions the candidates would be able to provide possible solutions in the
form of public policies.
 Communications media
– participates in the policymaking process as providers of information & transmit
all information in a fast, efficient & reliable manner to the public. Among the unofficial
policymakers, the media is perhaps the most desired channel of bringing the public policy
to the attention of the general public. It gives the process of policymaking a sense of
transparency & accountability in the sense that the attention of the general public is glued
in the proposed public policy.
 Individual citizens
– are the “option of last resort”
– in the Philippines, the individual citizens are so powerful that they are recognized
by the constitution to perform some functions relative to policymaking process. The
“initiative, recall, referendum, and election” are all processes which at the same time are
considered as the primary functions of the individual citizens. All of these processes when
exercise would give them the opportunities to influence the process of policymaking in the
government.
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5 Stages of Policymaking in the government
Problem Identification
– starts with the demands from the general public regarding a particular issue or
concern in the society. The issue or concern must be something that is felt by the
community or something that is involves several individuals.
Agenda setting
– these policy problems from which the government are compelled to act become
the policy agenda which in turn take the form of either systematic or institutional agenda.
 Systematic agenda – is a discussion agenda which may or may not compel
the government to immediately consider it.
 Institutional agenda – is something that is urgent which requires the active
& serious attention of the government. In actual practice, an institutional
agenda is usually composed of policies that are normally given “priori” by
the executive and legislative departments and are considered as urgent like
the priority bills in the case of the Philippine government.
Policy formulation
– in formulating the best policy proposal, the concerned policymakers must
consider several factors in order to produce successful public policy.
– the different policymakers will need to determine whether the proposal is
technically sound or not. The proposal being technically sound must be able to meet the
primary objective of solving the policy problem. In addition to this, the policymakers must
also be able to determine whether the budgetary cost is reasonable or not. The proposal
must be practical and must not go beyond the limits of the resources of the government. If
the proposal is way above what is permitted by the government funds then it may not
necessarily be feasible to continue with working on a particular solution to the policy
problem. In the same line, the policymakers must also ask whether the proposal is
acceptable to both policymakers & to the public. If it is acceptable to the policymakers &
public, then its passage will be assured & eventually be signed by the president unless the
latter has some compelling reasons to disapprove such as proposed policy. In normal cases,
the president usually approves a policy once it passes the scrutiny of the Congress.
Policy Adoption
– involves the making of a policy decision in accepting or rejecting a preferred
course of action that is developed by the different policymakers in the government.
– it is the development of a solution to the perceived policy problem in the form of a
proposed policy or legislation.
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– in deciding the best proposed policy or legislation, these are number of styles
which is often observed among the different policymakers in the government:
 Bargaining – it is the most popular style of decision making where the
negotiation or compromise is often resorted to by the competing
policymakers. In bargaining the different policymakers bend some of their
interest in order to come up with the best public policy.
 Persuasion – which is the use of reason & logic to convince the opposition
regarding the advantages of his position.
 Majority building – which is a common method that is done in deliberative
bodies like the parliament or legislative assembly. It is the establishment of
the numerical votes in questions that require the division of the parliament
or legislative assembly. It is typical in any democratic country as it has been
a general avenue in deciding on matters that could hardly be agreed through
ordinary means.
Policy Implementation
– is the process on “what happens after a bill becomes a law”
– viewed most broadly means administration of the law in which various actors,
organization, procedures, and techniques work together to put adopted policies into effect
in an effort to attain policy or program goals
Policy Evaluation
– which looks into the extent of the achievement of a given public policy.
Why Policymaking matters?
It matters simply because policymaking is one of the basic practices where we see the
different government institutions uniting toward a common purpose of enacting a policy that
would benefit the general public. More than this, policymaking matters because poor policymaking
would lead to widespread negative implications like poor quality services, little benefit delivered in
the long run, exclusion of some sections of the society, failure to meet the necessary expectations,
adverse social or environmental consequences, & adverse effects on economic competitiveness.
Poorly conceived policies definitely will spell poor service quality & eventually become a source of
disappointment from the general public.
3.2 POLICY IMPLEMENTATION STRATEGIES
WHAT IS POLICY IMPLEMENTATION?
Policy Implementation
- is a process of interaction between the setting of goals and actions geared to achieve them
(Pressman and Wildavsky, 1984)
- those actions by public or private individuals (or groups) that are directed at the
achievement of objectives set forth in prior policy decisions
- is a dynamic process of policies and plans into specific programs and projects
- stage in policy cycle where formulated policies, intentions, plans and visions are executed
and operationalized
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HOW POLICY INSTRUMENTS ARE CHOSEN FOR IMPLEMENTATION?
Coercion Theory
 holds that governments tend to respond to policy issues by moving from the least coercive
policy instruments to the most coercive
Neo-Marxist Approach
 holds that the state will choose different policy instruments depending on the economic
power of the constituency group
Public Choice Theory

 argues that politicians choose policy instruments on basis of improving their electoral
position
REASONS FOR UNSUCCESSFUL IMPLEMENTATION
The reasons for unsuccessful implementation may include the following:

• it is difficult to specify details in advance
• implementation permits matching of local goods and services to local preference
• implementation does not always agree with policy objectives specified in alternatives
IMPLEMENTATION GAP
- the gap between policy and implementation. It is also called policy failure.
TYPES OF POLICY FAILURE

a. Non-implementation
- a case wherein the policy is not put into effect as intended because of various reasons
b. Unsuccessful Implementation
- occurs when a policy is carries out in full and external circumstances are not altogether
favorable
APPROACHES TO IMPLEMENTATION
1. STRUCTURAL APPROACH
- requires choosing the appropriate organizational form for accomplishing the task
2. PROCEDURAL AND MANAGERIAL

- develops appropriate processes and procedures for managing and implementing programs
It includes:
1. Network Planning and Control (NPC)
2. The use of Program Evaluation and review
3. Logical Framework
3. BEHAVIORAL APPROACH
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- soothes acceptability and consensus building required in implementing policies viewed

with conflicting lenses by various stakeholders
It includes:
1. Stakeholder Analysis
2. Management by Objectives
3. Organizational Development
4. POLITICAL APPROACH
• anticipates political obstacles and takes then into account before the formulation of
objectives and selection of options
3.3 POLICY EVALUATION

- A method for determining how far an activity has progressed and how much further it
should be carried to accomplish objectives/ goals.
- Determining the effectiveness and efficiency of government policies and identifying areas
needing change and improvement.
- Is a purposeful, systematic, and careful collection and analysis of information used for the
purpose of documenting the effectiveness and impact of programs.
- Enables all participants in the policy process, including legislators, executives, agency
officials and others, to measure the degree to which a program has achieved its goals,
assess the effects and identify any needed changes to a policy.
- The evaluation looks at why the policy was adopted in the first place and determines if it is
a success or failure. If it is a success, the policy will continue to be monitored and evaluated
as the marketplace and legal environments change. But a policy that has failed must
consider whether or not the foundation of the policy was based on incorrect data,
unforeseen circumstances or false theories.
- Policy evaluation uses a range of research methods to systematically investigate the
effectiveness of policy interventions, implementation and processes, and to determine their
merit, worth, or value in terms of improving the social and economic conditions of
different stakeholders.
- Key question “Did it achieve its goal? or Did the policy work? “
WHO EVALUATES
- Elites :
Government Agencies, Think Tanks, National or International Audit Institutions,
Regulators
- Interest Groups :
Trade Associations, Business Groups, Pressure groups, Media
- Citizens :
Complaints, Whistle Blower Law, Public Opinion, Voting
WHY EVALUATE
- Determine policy outcomes
- Identify policy strength
- Identify and improve weakness
- Justify use of resources
- Increased emphasis on accountability
- Professional responsibility to show effectiveness
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CRITERIA FOR EVALUATION

1. Effectiveness
- Has a valued outcome been achieved?
2. Efficiency
- How much effort does the achievement of a valued outcome resolve the problem?
3. Adequacy
- To what extent does the achievement of a valued outcome resolve the problem?
4. Equity
- Are cost and benefits distributed equitably among different groups?
5. Responsiveness
- Do policy outcomes satisfy the need, preference or values of particular groups?
6. Appropriateness
- Are desired outcomes (objectives) actually worthy or valuable?
PRINCIPLES OF EVALUATION
1. Evaluation must be conducted in terms of purposes
- This simply means that an evaluator must know his goals. Without them, he has no way of
knowing whether he has reached them or properly identified shortcoming wherever they
occurred. In short, the purposes of the evaluation must be clearly stated for everyone to
understand.
2. Evaluation must be cooperative
- An evaluation conducted by individual is only a little better than no evaluation at all. This is
regardless of who does it, how completely he does the job, or how valid his findings may be. All
the people affected by it must participate in the process of appraisal. Involvement is essential to
its success. Without it, the gains from the evaluations will be minimal, if they accrue at all.
3. Evaluation musty be continuous
- To establish a sound basis for an improvement program, evaluation must be done continuous
process, although its form, focus and emphasis may shift.
4. Evaluation must be specific
- People affected by and/or involved in the activities, as well as in their operations must know
what is being done well, what might be done better, and how improvement can be done better,
and how improvement can be made. Thus evaluation must specially pinpoint both their
strengths and weaknesses for it serve its purpose.
5. Evaluation must provide the means and focus for the change agents to appraise themselves of
their practices and outputs
- Probably, the most convincing evaluator is the change agent himself. When he personally
identified deficiency own his work, he does not need to be convinced of the importance of
providing a remedy for it. Because evaluation is a process, it has more value to those who go
through it.
6. Evaluation must be based on uniform objective methods and standards.
- Preliminary to effective evaluation is the establishment of standards and criteria which must be
acceptable, readily applied and observable in results and/ or in the process of evaluation.
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Without them, everyone involved in the evaluation will produce findings different from each
other. They will also have different conclusions. Such situations make it difficult, if not possible,
to plan and implement a workable evaluation.
COMMON TYPES OF EVALUATION
1. Formative Evaluation
- ensures that a program activity is feasible, appropriate, and acceptable before it is fully
implemented. It is usually conducted when a new program or activity is being developed or
when an existing one is being adapted or modified.
2. Process/ Implementation Evaluation
- Determines whether program activities have been implemented as intended. Focus on
ways program implementation might be improved to better meet the objectives. It also
determines if legally prescribed processes are being followed and assure that individual
rights are not violated.
3. Outcome/ Effectiveness Evaluation
- Measures program effects in the target population by assessing the progress in the outcome
objectives that the program is to achieve. Focus on the results of program activity, the
extent to which a program meets its objectives in terms of impact on the environment.
4. Impact Evaluation
- Assess program effectiveness in achieving its ultimate goals.
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POLICY EVALUATION CHALLENGES
1. Lack of resources or clear responsibility for evaluation

2. Fear of evaluation and lack of familiarity with policy evaluation methods
3. Lack of “control” over policy evaluation
4. Rapid pace of policy
5. Political scrutiny and desire for quick production of results
6. Lack of strong evidence base to support policy
7. External and contextual factors such as economic conditions or public awareness
8. Access to appropriate data
9. Lack of appropriate measures
10. Difficulty in identifying appropriate comparison communities
EVALUATION is never perfect, it seeks to eliminate or at least, reduce the wide range of human
error that is inevitable in the application of subjective opinion.
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TOPIC 4: ADMINISTRATION AND POLITICS
4.1 ADMINISTRATION AND POLITICS DEFINITION

Administration
‘ad’ and ‘ministrare’ Latin
“to serve or to manage”
Administration means management of affairs, public or private
“Public Administration is a detailed and systematic application of law.” – Woodrow Wilson
“Public Administration consists of all those operations having for their purpose the fulfillment of
public policy as declared by authority.” – L.D. White
Politics
‘Politika’ or “polis’ Greek, meaning “affairs of the cities”
 Politics involves making common decisions for a group of people
 It is the activity by which differing interest within a given unit of rule are conciliated by
giving them a share in power in proportion to their importance to the welfare and survival
of the whole community.
“The capacity to say no to something dangerous or inimical to public interest” – Senate President
Jovito Salonga
“The field of politics aims to answer the question: Who shall make the law and what shall it be?” -
Former US President Woodrow Wilson
“Man is a political animal” – Aristotle
If this is true, then politics is not only prevalent in our lives, but inevitable. We must
understand politics to meaningfully participate in it.
4.2 POLITICS IN ORGANIZATION

 Politics is the practice and theory of influencing other people. More narrowly, it refers to
achieving and exercising positions of governance – organized control over a human
community, particularly a state.
 Organizational politics are informal, unofficial, and sometimes behind-the-scenes efforts to
sell ideas, influence an organization, increase power, or achieve other targeted objectives.
Dimension in political behavior:

 Legitimate political behavior refers to normal everyday
 Illegitimate political behaviors that violate the implied rules of the game.
Functions of Organizational Politics

 Helps people to adapt and helps the organization to succeed in ways that the formal
structure alone cannot guarantee
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 Overcoming personal inadequacies, coping with change, channelizing personal contacts,

and substituting for formal authority.
The Conciliation of Interests

 Politics is a complex activity
 When interests are uniform, there are no politics
 The unique character of political activity lies in its publicity.
 People cannot opt out of politics.
 Politics presupposes an established order.
Is politics the only way to conciliate interests?

Certainly, there are many ways to reconcile differences. But politics is a particular way of
reconciling differences.
 Tolerance, respect, support and compromise are the language of politics.
 Politics itself admits differences.
“Politics is the art of compromise to achieve certain end” – Sen. Ernesto Maceda
When to resort to politics?
A Political Predicament arises when:
 A given set of persons require a common policy.
 These people submit mutually exclusive alternatives.
Is politics good or bad?

More often than not, politics is viewed with decision. However, as politics entails the conciliation
of diverse interest, its natural object is the common good.
Political Partnership
In the social-scientific sense, ideology is a coherent set of ideas which provide a basis for organized
political action
 Account of existing power relationships
 A model of a defined future
 An outline of how political change can and should be brought about
“A political alliance, also known as coalition or bloc, is cooperation by members of
different political parties, in countries with parliamentary system, on a common
agenda.”
1. Liberalism “People understand their own business, and their own interests better, and
care for them more, than the government does or can be expected to do.”
2. Conservatism “It is not he adherence to the old and tried, but against the new and
untried?”
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3. Socialism Its goal is to abolish the capitalist market economy and replace it with a society
constructed on the basis of common ownership.
Other Ideological Traditions: Fascism, Anarchism, Green Politics, Cosmopolitanism,
Feminism
What is Political Party?

A group of people that is organized for purpose of winning government power, by electoral or
other means.
Characteristics of a Political Party:

1. Has an organized structure with the lines of authority and power distribution.
2. Seek to attract popular support in the form of votes.
3. Seeks power directly thru electoral method
4. Prepared to support a candidate and fight for victory in an election. (to gain power)
Politics and Administration Dichotomy

“Administration has to be removed from the hurry and strife of politics.”
“Every political activity of the government should be distinguished and separated from every
administrative activity of the same very government.”
“Administration cannot be divorced from its connections with the branches of Public Law without
being distorted and robbed of its true significance. Its foundations are too deep and permanent
principles of politics.”
“The politics-administration dichotomy rests on a functional-structural view of the government
authority between elected and administrative officials along the functional lines.” - Woodrow
Wilson
Public Administration scholars proposed numerous explanations and theoretical models in their
attempts to understand the role of public administration in the political process and we talk of
these three schools:
1. The Separation School

 Separation of politics from administration
 Separating politics from administration to the extent possible for both normative and
pragmatic reasons
 The Separation Scholars view that the governmental realm is divided into two zones:
Politics and Administration
“The function of politics is to provide guidance or set the task for administration.”
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“The function of public administration is to provide neutral competence to the policy

process.”
“Elected officials should provide political guidance through political leadership,
policy leadership, legislative thought and legislative oversight.”
So, what is Public Administration really doing?

“Public Administration’s primary responsibility is to enable public policies into concrete
implementation in conformity with legislative intentions and instructions.”
Primary values which guide Public Administration:

1. Neutrality - People in the governmental structure should know where to stand and what do
they do and report and conform accordingly
2. Hierarchy - Public employees and activities or any kind of public activity or administrative
activity should be none partisan and should be devoid of any kind of agenda of politics.
3. Expertise - Administrators should be in the know-how of all the events that are going to take
place or that have already taken place so that they are in a position to formulate better policies as
when needed.
Why did the Separation School want separation between politics and administration?
 POLITICAL CORRUPTION
 ADMINISTRATIVE TYRANNY
2. The Political School

 There should be a broad policy role for public administration.
“Vague and ambiguous legislations, lack of technical knowledge and resources

available to elected officials and difficulties in monitoring and controlling
bureaucratic behavior are a few used to signify the critical role of public
administrators in the policy process.”
 It takes the fact that politics and administration can never be separated from a pragmatic
and normative view.
Normative standpoint:
 Public Administrators should not confine their domain to just mere implementation of
politics but expand their role to include policy advocacy and formulation.
 The Political School supports that public administrators critically examine the moral
implications of policies prior to figuring out what is more efficient way of accomplishing
them.
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 Administrators should have the autonomy to choose from which masters to serve ---
executive, legislative and judiciary and act accordingly.
Pragmatic standpoint:
 Administrators are not just mere policy workers they should also actively involve in any
kind of policy making.
 What determines the legitimacy of public administration is not just a function of an official
authority granted to them by legislative enactments but whether the policy goals which
they pursue are socially and politically desirable.
“In the ideal world of the political public administrators work with other members
of the political community to reach for effective solutions to the policy problems in
pursuit of their ultimate goal on a democratic society.”
3. The Interaction School

 Both of being there, both performing their own task at the same time both
should be well equipped so that they should not over step their boundaries
and step into the shoes of the other.
 Seeks a middle ground between separation and political schools.
View of Interaction School:

a. Public Administration to fully remain accountable and responsive to elected
officials
b. Accepting the role of administrative competence for sound policy making
c. In the ideal world, public administrators maintain a productive partnership
with elected officials partnering within informing and helping them in the
policy process yet remain accountable and responsive to the elected officials.
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BUDGETING
AND FINANCIAL
MANAGEMENT
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TOPIC 5: BUDGETING AND FINANCIAL MANAGEMENT
5.1 Brief History

The first Indian Budget was presented by James Wilson on February 18, 1869. Wilson,
whose designation was Finance Member of the India Council that advised the Indian Viceroy, was
also the founder of The Economist and described by Karl Marx as an “economical mandarin of
high standing.
Creation of the Budget Commission. As the agency accountable for “carrying out the
President’s responsibility of preparing the budget,” the DBM dates back its institutional history to
its birth as the Budget Commission on April 25, 1936 with the issuance of Executive Order No.
25 by Commonwealth President Manuel L. Quezon. The National Assembly certified the creation
of the Commission on September 30, 1936.
The establishment of the Philippine Commonwealth formally created a Budget Office,

initially under the Department of Finance. This Office was eventually subsumed into the Budget
Commission created in 1936.
A new Budget Office created within the Commission, by virtue of Administrative Order No.
1 dated May 11, 1936, served as executive arm of the Commission.
The Budget Commission, under the President’s direct supervision and control, was a
triumvirate composed of the Director of the Budget Office as Chairman and Executive Director,
the Director of the Civil Service, and the Auditor General.
5.2 BUDGET
 According to Felix Negro budget defined as work plans.
 it is an estimation of revenue and expenses over a specified future period of time and is
usually compiled and re-evaluated on a periodic basis (Investopedia)
 it is placed primary emphasis on controlling expenditures
WHY WE DO BUDGETING?
 it is to prevent overspending, waste & misuse of taxpayer’s money.
 it is to fulfil important functions in the economy of the nation because Budgeting act as a
means to carry out several objectives of the public organization.
Some of the important roles of budget in the national economy are:
 Prioritization of the allocation of the public resources

 Achieving policy goals through prudent financial planning
 Establishing accountability regarding the usage of the tax payer’s money
 Financial controls also ensure compliance to rules and increase in efficiency
3 Main Goals of Budget & Financial Management

1. Efficient Allocation of Resources- is: That combination of inputs, outputs and
distribution of inputs, outputs such that any change in the economy can make someone better
off (as measured by indifference curve map) only by making someone worse off
(pareto efficiency)
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2. Equitable Income Distribution-It refers to the distribution of income that is 'fair,'

but the concept of 'fair' is subjective. Distribution of wealth and income is the way in which
the wealth and income of a nation are divided among its population.
3. Macroeconomic Stabilization- is a condition in which a complex framework for

monetary and fiscal institutions and policies is established to reduce volatility and encourage
welfare-enhancing growth.
5.2.1 CONCEPTS OF BUDGETING

1. Line Item Budgeting & Objective of Expenditures- is a commonly used financial
accounting technique used to forecast costs for expenditures that ideally support an
organization's strategic business goals and objectives.
 is a form of budget presentation that clusters proposed expenses by department or cost
center. The presentation typically shows the actual expenditure or budget from the prior
period for comparison purposes, so that one can quickly see if there are significant
changes budgeted from the prior period.
 Control emphasis is associated with this concept. In its most rigid form, this concept
means listing every single position and piece of equipment on separate lines in the
expenditure estimates.
2. Lump-Sum Budgeting- refers to very general, non-specific approach

to budgeting which leaves a great deal of discretion to the owner of the grant. ... Though
the lump sum budget might have categories of spending, those might be very generally
defined.
 Allows transferring funds not only between objects but also between organizations.
3. Advent of the Management Approach

 Focuses in achieving work results under strong executive leadership.
 This came to be known as the MANAGEMENT APPROACH, there are two purpose
combined (1) to control the rate of agency spending and at the same time (2) achieving
positive & concrete work result, as measurable as possible.
4. Performance Budgeting/Program Budgeting- refers to a budget in terms of

functions, programmers and performance units (functions, activities and projects) reflecting
the revenues and expenditures of an Organization or Government.
 it is a concept by adopting budget based upon function, activities and projects.
 PLANNING-PROGRAMMING-BUDGETING THEORY
 Is a budget in which expenditures are based primarily on programs of work and
secondarily on character and object. It is a transitional type of budget between the
traditional character and object budget, on the one hand, and the performance budget
on the other.
 There is nothing new about each component as taken separately, what is
claimed to be new is the total pattern of ideas into which they are fitted.
Planning-is the determination of the basic goals of the organization and the selection of
the programs best calculated to achieve theses goal.
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Programming-entails the scheduling & execution, as efficiently as possible, of the

specific projects required to implement these programs.
Budgeting-is the process of converting the goals, programs and projects into money
estimates for review within the administrative branch and final action by legislatures.
5.2.2 PRINCIPLES OF BUDGETING
1. Budget should be managed within clear, credible and predictable limits for fiscal
policy.
a) The starting point – without it, all other policy objectives suffer
b) “Fiscal rules” helpful for some, not necessary for others
2. Budget should be closely aligned with the medium- term strategic priorities of
government.
a) “Other side of the coin” – matching available resources with priorities and plans – “top-
down” rather than traditional “bottom up” approach
b) Medium- term expenditure framework – important tool
3. The Capital budgeting framework should be designed to meet national

development needs in a cost-effective and coherent manner.
a) Grounded in appraisal of economy capacity gaps, infrastructural development needs and
sectoral/ social priorities
b) Neutrality in assessing PPP or Traditional Infrastructure Procurement
c) Elements of a national framework for public investment
4. Budget documents and data should be open, transparent and accessible.

a) Clear, factual budget reports to inform all key budget stages
b) “Accessibility” – open data formats, citizen’s budget or summary
c) Design and use budget data in support of open government, integrity, evaluation and
policy coordination across levels of government
5. Debate on budgetary choices should be inclusive, participative and realistic.

a) Beyond “access” to “engagement”
b) Primary role of parliament – ex ante as well as ex post
c) A role of citizens, CSOs also - in contributing to a realistic debate about trade-offs and
opportunity costs
6. Budgets should present a comprehensive, accurate and reliable account of the

public finances.
a) Include all expenditures and revenues – “budget sincerity”
b) Full national overview: levels of government, whole public sector
c) Full budget accounting: either accruals or cash, but providing complementary information
needed to present a full picture
7. Budget execution should be actively planned, managed and monitored.

a) Budgets as authorized should be implemented fully and faithfully
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b) Clear regulation of roles for execution, implementing and accounting

c) Single treasury fund – minimize special-purpose funds and ear- marking
d) Some flexibility for virement can promote efficient and value-for-money
8. Performance, evaluation and value for money should be integral to the budget
process.
a) Performance information: routinely presented in a way which informs, and provides useful
context for, the budget allocations
b) Should clarify- not obscure or impede- accountability and oversight
c) Regular evidence-based evaluation and review of programs
d) Ex ante evaluation of substantive new policy proposals
e) Periodic review of government’s expenditure priorities
9. Longer-term sustainability and other fiscal risks should be identified, assessed

and managed prudently.
a) Promote resiliency of budgetary plans
b) Clarity about identification and management of fiscal risks
c) Regular long-term sustainability/ inter-generational report, with near-term and longer –
term policy messages
10. The integrity and quality of budgetary forecasts, fiscal plans and budgetary
implementations should be promoted through rigorous quality assurance,
including independent audit.
a) Quality and integrity of budgetary forecasts and fiscal plans
b) Role for IFIs or other Institutional mechanisms for impartial input to budgeting
c) Internal auditing within all ministries and public agencies
d) Fundamental role of Supreme Audit Institution as guardian of public trust: its reports
should be aligned with budgetary cycle, and it can enhance quality of performance
accountability frameworks more generally.
What are the three types of government budgets?

A government budget is an annual financial statement which outlines the estimated government
expenditure and expected government receipts or revenues for the forthcoming fiscal year.
Depending on the feasibility of these estimates, budgets are of three types -- balanced budget,
surplus budget and deficit budget. Mentioned below are brief explanations of these three types of
budgets:
1. BALANCED BUDGET
3. A government budget is said to be a balanced budget if the estimated government
expenditure is equal to expected government receipts in a particular financial year.
Advocated by many classical economists, this type of budget is based on the
principle of “living within means.” They believed the government’s expenditure
should not exceed their revenue. Though an ideal approach to achieve a balanced
economy and maintain fiscal discipline, a balanced budget does not ensure financial
stability at times of economic depression or deflation. Theoretically, it’s easy to
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balance the estimated expenditure and anticipated revenues but when it comes to
practical implementation, such balance is hard to achieve.
 MERITS OF A BALANCED BUDGET
- Ensures economic stability, if implemented successfully.
Ensures that the government refrains from imprudent expenditures.
 DEMERITS OF A BALANCED BUDGET

- Unviable at times of recession and does not offer any solution to problems
such as unemployment.
2. SURPLUS BUDGET
A government budget is said to be a surplus budget if the expected government
revenues exceed the estimated government expenditure in a particular financial
year. This means that the government’s earnings from taxes levied are greater than
the amount the government spends on public welfare. A surplus budget denotes the
financial affluence of a country. Such a budget can be implemented at times of
inflation to reduce aggregate demand.
3. DEFICIT BUDGET
A government budget is said to be a deficit budget if the estimated government
expenditure exceeds the expected government revenue in a particular financial
year. This type of budget is best suited for developing economies, such as India.
Especially helpful at times of recession, a deficit budget helps generate additional
demand and boost the rate of economic growth. Here, the government incurs the
excessive expenditure to improve the employment rate. This results in an increase
in demand for goods and services which helps in reviving the economy. The
government covers this amount through public borrowings (by issuing government
bonds) or by withdrawing from its accumulated reserve surplus.
 MERITS OF A DEFICIT BUDGET

Helps in addressing public concerns such as unemployment at times of
economic recession.
Enables the government to spend on public welfare.
 DEMERITS OF A DEFICIT BUDGET

Can encourage imprudent expenditures by the government.
Increases burden on the government by accumulating debts.
5.3 WHAT IS FISCAL POLICY?

Fiscal policy refers to the "measures employed by governments to stabilize the economy,
specifically by manipulating the levels and allocations of taxes and government expenditures.
Fiscal measures are frequently used in tandem with monetary policy to achieve certain goals." In
the Philippines, this is characterized by continuous and increasing levels of debt and budget
deficits, though there have been improvements in the last few years.[2]
The Philippine government’s main source of revenue are taxes, with some non-tax
revenue also being collected. To finance fiscal deficit and debt, the Philippines relies on both
domestic and external sources.
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5.3.1 MAJOR OBJECTIVES OF FISCAL POLICY:

1. Full Employment:
The first and foremost objective of fiscal policy in a developing economy is to achieve
and maintain full employment in an economy. In such countries, even if full employment is
not achieved, the main motto is to avoid unemployment and to achieve a state of near full
employment. Therefore, to reduce unemployment and under-employment, the state should
spend sufficiently on social and economic overheads. These expenditures would help to
create more employment opportunities and increase the productive efficiency of the
economy.
In this context, Prof. Keynes made the following recommendations to
achieve full employment in an economy:
(a) To capture the excessive purchasing power and to curb private spending:
(b) Compensate the deficiency in private investment through public investment;
(c) Cheap money policy or lower interest rates to attract more and more private
entrepreneurs.
2. Price Stability:
There is a general agreement that economic growth and stability are joint objectives
for underdeveloped countries. In a developing country, economic instability is manifested
in the form of inflation. Prof. Nurkse believed that “inflationary pressures are inherent in
the process of investment but the way to stop them is not to stop investment. They can be
controlled by various other ways of which the chief is the powerful method of fiscal policy.”
3. To Accelerate the Rate of Economic Growth:
Primarily, fiscal policy in a developing economy, should aim at achieving an
accelerated rate of economic growth. But a high rate of economic growth cannot be
achieved and maintained without stability in the economy. Therefore, fiscal measures such
as taxation, public borrowing and deficit financing etc. should be used properly so that
production, consumption and distribution may not adversely affect. It should promote the
economy as a whole which in turn helps to raise national income and per capita income.
4. Optimum Allocation of Resources:
Fiscal measures like taxation and public expenditure programs, can greatly affect
the allocation of resources in various occupations and sectors. As it is true, the national
income and per capita income of underdeveloped countries is very low. In order to gear the
economy, the government can push the growth of social infrastructure through fiscal
measures. Public expenditure, subsidies and incentives can favorably influence the
allocation of resources in the desired channels.
Prof. R.N. Tripathi suggests the following steps to raise the saving ratio
which provides the required finance for developmental schemes:
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(i) Direct physical control.

(ii) Increasing the rate of existing taxes.
(iii) Introduction of new taxes,
(iv) Public borrowing of non-inflationary nature,
(v) Deficit financing.
5.3.2 WHO SETS FISCAL POLICY:

Both the President and Congress set fiscal policy, actually. In the United States, fiscal
policy is directed by both the executive and legislative branches. In the executive branch, the
two most influential offices belong to the president and the Secretary of the
Treasury, although contemporary presidents often rely on a council of economic advisers as
well. In the legislative branch, the U.S. Congress passes laws and appropriates spending for
any fiscal policy measures. This involves participation, deliberation and approval from both
the House of Representatives and the Senate.
Fiscal policy is how Congress and other elected officials influence the economy using
spending and taxation. It is used in conjunction with the monetary policy implemented
by central banks. It influences the economy using the money supply and interest rates.
 TYPES OF FISCAL POLICY

1. Expansionary fiscal policy is a form of fiscal policy that involves
decreasing taxes, increasing government expenditures or both, in order to
fight recessionary pressures.
2. Contractionary fiscal policy is a form of fiscal policy that involves
increasing taxes, decreasing government expenditures or both in order to
fight inflationary pressures.
 TOOLS OF FISCAL POLICY

The first tool is taxation. That includes income, capital gains from investments,
property, and sales. Taxes provide the income that funds the government. The downside of
taxes is that whatever or whoever is taxed has less income to spend on themselves. As a
result, taxes are unpopular.
The second tool is government spending. That includes subsidies, transfer
payments including welfare programs, public works projects, and government salaries.
Whoever receives the funds has more money to spend. That
increases demand and economic growth.
 CRITICISM ON FISCAL POLIY:

1. The government may have poor information about the state of the economy and
struggle to have the best information about what the economy needs.
2. Time lags. To increase government spending will take time. It could take several
months for a government decision to filter through into the economy and actually affect
Aggregate Demand. By then it may be too late.
3. Crowding out. Some economist argue that expansionary fiscal policy will not
increase aggregate demand, because the higher government spending will crowd out the
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private sector. This is because the government have to borrow from the private sector who
will then have lower funds for private investment.
4. Government spending is inefficient. Free market economist argue that the higher
government spending will tend to be wasted on an inefficient spending projects. Also, it
can be difficult to reduce spending in the future because interest groups put political
pressure on maintaining stimulus spending as permanent.
5.4 THE BUDGET PROCESS

 Budget Preparation (guided by Budget Calendar)
1. DBCC – Development Budget Coordination Committee is headed by DBM Secretary
and its members are the Secretary of Finance, the NEDA Director-General and the Bangko
Sentral Governor, with the Office of the President for general oversight.
DBCC determines the overall macro-economic targets, expenditure levels, the revenue
projection, deficit levels and the financing plans.
2. Budget Call is issued by DBM once the budget is approved. Budget call defines the
budget framework. This require agencies to prepare their budget in accordance with the set
guidelines, procedures and timetables set by DBM.
3. Regional Development Committee (RDC) Consultation make sure that respective
budget proposals are align with the region’s development needs and priorities.
4. DBM consolidates the budget proposals and submits it to the Cabinet where the
budget is discussed with the President.
Once the budget is approved the President submits it to the Congress. This must be done
no more than 30 days after the opening of its regular session (as per 1987 Constitution).
 Budget Legislation
1. House of Representative reviewed the budget and summons the agencies to justify
their budgets, with the DBM assisting and providing inputs.
Commission of Appropriations presents to the House Body and passes it to 3rd Reading.
2. Senate Finance Committee for another round of hearings and deliberations.
Presents amendments to the House Budget Bill to the Senate for approval.
3. Bicameral Conference Committee (composed of members of both Houses) is
convened to resolve differences. When both houses arrive at a common version, it will be
submitted to the President. If the President has disagreements on it, he can exercise line-
item Veto Power.
4. General Appropriations Act (GAA) – the law that contains new appropriations in
terms of specific amount, all authorize to be spent by the government for a given year.
The approved budget becomes effective on the first day of the budget year concerned or
when it is signed by the President, whichever comes later.
 Budget Execution
1. Allotment – DBM issues this to authorize agencies incur obligations.
2. Obligations
3. Cash Allocations – DBM issues disbursement authorities such as Notice of Cash
Allocation, to authorize to pay the obligation it incurs.
4. Disbursement – settle obligations.
 Budget Accountability
1. Performance Targets serves as the plan of the agency of the year.
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2. Monthly/Quarterly Reports – Trial balances of agencies which are submitted to

DBM and COA on a monthly/quarterly/yearly basis, this reports how the agency use up
their allotments and cash allocations
3. Assessment of Agency Performance – COA figures prominently in the assessment of
agency performance.
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HUMAN
RESOURCE
MANAGEMENT
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TOPIC 6: HUMAN RESOURCE MANAGEMENT
6.1 DEFINITION
Human resource - The personnel department of an organization dealing with the
recruitment, administration, management and training of employees.
Management - represents the role of HRM as part of management that implies that it is not
only an administrative function that carries out the formulated policies but also a managerial
function that contribute to strategy formulation
Human Resource Management
-Defined as strategic and coherent approach to the management of an organization’s most
valued asset- the people working there who individually and collectively contribute to
achievement of its objectives. (Armstrong (2006)
- It is the planning, organizing, directing and controlling of the procurement, development,
compensation, integration and maintenance & separation of human resources to the end
that individual, organizational & social objectives are accomplished. (Edwin B. Flippo)
 Nature/Characteristics of Human Resource Management

1. Inherent Part of management-Human resource management is inherent in the
process of management. This function is performed by all the managers throughout the
organization rather that by the personnel department only. If a manager is to get the best
of his people, he must undertake the basic responsibility of selecting people who will work
under him.
2. Pervasive Functions -Human Resource Management is a pervasive function of
management. It is performed by all managers at various levels in the organization. It is not
a responsibility that a manager can leave completely to someone else. However, he may
secure advice and help in managing people from experts who have special competence in
personnel management and industrial relations.
3. Basic to all Functional Areas -Human Resource Management permeates all the
functional area of management such as production management, financial management,
and marketing management. That is every manager from top to bottom, working in any
department has to perform the personnel functions
4. People Centered -Human Resource Management is people centered and is relevant in all
types of organizations. It is concerned with all categories of personnel from top to the
bottom of the organization.
5. Personnel Activities/Functions -Human Resource Management involves several
functions concerned with the management of people at work. It includes manpower
planning, employment, placement, training, appraisal and compensation of employees. For
the performance of these activities efficiently, a separate department known as Personnel
Department is created in most of the organizations.
6. Continues Process -Human Resource Management is not a ‗one shot ‘function. It must
be performed continuously if the organizational objectives are to be achieved smoothly.
7. Based on Human Relations -Human Resource Management is concerned with the
motivation of human resources in the organization. The human beings can‘t be dealt with
like physical factors of production. Every person has different needs, perceptions and
expectations. The managers should give due attention to these factors. They require human
relations skills to deal with the people at work. Human relations skills are also required in
training performance appraisal, transfer and promotion of subordinates
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6.2 HUMAN RESOURCE EVOLUTION

 Period before revolution
- employees had no rights
- no job or wages surety
- Employees treated as servants
- one-way communication
 Industrialization period
- the term Human Resource Management saw a major evolution after 1850
 Social responsibility era

- started showing humanistic approach towards the workers
- Hawthorne’s experiment - “shifted the focus of HR from increasing worker’s
productivity to increasing worker’s efficiency through greater work satisfaction”
- Robert Owen (British Industrialist, reformer & humanitarian)
“He viewed that social & economic environment influence physical, mental &
psychological development of workers: hence he felt that to improve the productivity, it is
necessary to improve the condition of employees with the availability of satisfactory living
and working conditions.”
Managerial Functions:
Functions of HRM  Planning
 Organizing
 Staffing
 Directing
 Controlling
Operational Functions:
 Procurement
 Development
 Compensation
 Maintenance
 Motivation
 Integration
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Personal Objectives - To assist an employee in

achieving their personal goals, at least in so far as
these goals enhance the individual’s contribution
to the organization.
Functional Objectives - To maintain the
department’s contribution at a level appropriate to
the organization’s needs.
Organizational Objectives - To recognize the
role of HRM in bringing about organizational
effectiveness.
Societal Objectives - To be ethically and socially
responsible to the needs and challenges of the
while minimizing the negative impact of such
demands upon the organization.
6.3 PUBLIC PERSONNEL ADMINISTRATION

- The management of all an agency's human resources in a manner that assures the
best output with the least costly input, while protecting and enhancing the welfare of the
workers (Hanlon & Pickett, 1984).
-Is the establishment and application of policies and procedures for the procurement,
deployment and maintenance of a public organization's work force (Siegel & Myrtle, 1985)
Functions of Personnel Administration
1. Manpower Planning
2. Recruitment, Selection, Evaluation, Training, Career Development,
Performance Appraisal & Promotion
3. Salary Structuring
4. Employees Welfare
 Manpower Planning- Organizations whether large or small, whether public or private

are in constant need of manpower. They require men and women for different levels of
positions for performing different kinds of jobs at different places and intervals. The
number with defined skills and specializations needed at different periodic intervals have
to be forecasted.
The objectives of manpower planning are:

 To ensure optimum use of human resources currently employed
 To assess or forecast future skills requirements if organizations overall objectives are to be
achieved
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 To provide control measures to ensure that necessary resources, are available as and when
required
 To determine recruitment level
 To anticipate the weaknesses of organizational procedures and avoid unnecessary
dismissals.
 Recruitment- is the process of finding and hiring the best and most qualified candidate
for a job opening, in a timely and cost- effective manner. It can also be defined as the
“process of searching for prospective workers and stimulating them to apply for jobs in the
organization”.
 Spoil System - with political connections and/ or supporters lavished with promises of
position. In return for political support. Based on the principle that loyalty was more
important qualification than merit and competence.
 Merit System - The applicant is determined by the ability to pass the series of series of
screening and selection process. Based on the competency of the applicant.
The sources of recruitment can be broadly classified into two:
 Internal- consist of employees who are already on the payroll of a firm. It also includes
former employees who have returned to work for the
organization. Recruitment from internal sources is done to fill up vacancies through
promotion, re-hiring and transferring employees within the company.
 External- refers to the method adapted by the organization to attract people from the
organization through a thorough assessment of their qualifications, skills and potential.
Selection- is the process used for hiring individuals from the pool of job applicants having the
required qualifications, knowledge, skills and competence to fill the vacant positions in the
organization.
Evaluation- is the process of assessing an employee's job performance and productivity.
The assessment is conducted utilizing previously established criteria that align with the goals
of the organization and the specific responsibilities of the employee being evaluated.
Training- also known as employee training, means training employees on operating
procedures and standards. It also increases employees' productivity and knowledge. Free
Management Library states that employee training increases efficiency, effectiveness and
productivity along with morale and job satisfaction.
 Formal- Inculcate administrative skills in the personnel through well defined courses.
 Informal- Doing the work and learning from mistakes. The ultimate success of informal
training depends upon the experience and seniority of the senior officer and his/ her
interest in the new entrant.
The basic aims of training are always;

 Inculcating fresh knowledge among the employees
 Upgrading their skills
 Familiarizing the induct of the organization, its environment, works conditions, rules,
norms and goals
 Attuning the employees to the new needs of the organization
Performance appraisal- the process of assessing employee performance by way of

comparing present performance with already established standards which have been already
communicated to employees, subsequently providing feedback to employees about their
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performance level for the purpose of improving their performance as needed by the
organization.
- It should be of regular and continuous nature and should evaluate the quality, quantity,
and styles of performance
- It should include also an appraisal of the growth potential of an employee.
Career Development- usually refers to managing one’s career in an intra- organizational

scenario. It involves training on new skills, moving to higher job responsibilities, making a
career change within the same organization, moving to a different organization or starting
one’s business.
- A lifelong process of managing learning, work, leisure, and transitions in order to move
toward a personally determined and evolving preferred future.
-
Promotion- a process through which an employee of a company is given a higher share of
duties, a higher pay-scale.
There are two principles which are used in the system of promotion:
 Seniority- is an age-old principle. Employees attach great importance to the

length of service
 Merit- a scientific system of ‘performance appraisal’ needs to be developed.
 Salary Structuring
Following are the requirements for the development of a sound pay system
 The pay structure should be simple and rational
 The pay of post should be related to the duties and responsibilities attached to that
post.
 It should take into consideration the qualification and experienced prescribed.
 Comprehensibility and adequacy are the standard tasks of a sound pay structure.
 Good compensation plans, well- administered, have a salutary affect on the entire
organization
 Employees are happier in their work, cooperation and loyalty are higher, productive
output is up and quality is better.
 Employees Welfare
 Welfare of employees is one of the most important functions of personnel

administration, a good personnel system always gives topmost priority to the wellbeing
of the employees.
 A sound personnel policy, proper recruitment and promotion techniques, conducive
training methods, and etc. create a certain physical and mental condition of the
employees so necessary for good performance.
 These conditions need to be maintained as well.
 Employees benefit programs create and stimulate morale which contributes to the
creation and maintenance of favorable attitude towards work and work environment
 These programs include fringe benefits such as holidays, different types of leave
entitlement, education facilities, canteen facilities, leave, travel fare concession.
 A proper retirement scheme is also very essential for employee’s welfare.
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 Proper retirement benefits attract talented persons to the organization, they help the
system of promotion, through these benefits efficiency of employees increases.
6.4 THE PILLARS OF PUBLIC ADMINISTRATION
 According to National Academy for Public Administration (NAPA), there are four pillars of
Public Administration: Economy, Efficiency, Effectiveness and Social Equity (4 E’s). While
not the only values in local government decision-making and service delivery, these four
E’s are considered to be the core values that support and drive the practice of public service
implementation.
 It is a way of balancing public administration’s actions throughout the society.
 In this attempt of keeping all four pillars equal, it allows us in public administration to
make decisions best for the common good.
Economy
 The process or system by w/c goods and services are produced, sold and bought, made or
use of, in a country or region (Merriam-Webster)
 The careful use of money, resources…
 The economic policy of a country is determined by broad indicators like Gross Domestic
Product (GDP) and Bar Capita Income and these guide the economic administration to.
Economics
 A social science that analyzes the production, distribution of the goods and services
 It’s all about how we behave, businesses behave and how the government behaves.
 (A decision of money and finances)
Two Main Branches

a. Microeconomics – focuses on the decision of an individual or a business itself
b. Macroeconomics – Analyzes the economy of the entire nation.
Roles of Government in Economy

a. Provide a well-functioning legal framework and political system
Ex. Creating a corporation, the Gov’t will provide legal status for business. Owning a
real estate, the Gov’t will provide the Property Rights.
(remove: results to stable political environment)
b. Play the regulatory role to provide a competitive market place.

The Government regulates the market place and tries to ensure a healthy competitive
market place for the goods and services that are transacted in and out of the country.
(remove: competition is essential to innovation and to choice and if the monopolists
tries to oppress then the government steps in)
c. Redistributing Income
Some redistribution must occur so the economy will not grind to a halt
Transfer Payments – transferring a payment from one person to another (ex. SSS)
Market Intervention – the government will step in and set minimum or maximum
amount of prices, a price control for supply and demand. (ex. NFA Rice prices in recent
years)
Taxation – the action, process, or system of taxing people or things.
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(ex. Gov’t take taxes from people and redistributed to the government projects which is
beneficial to the people)
d. Reallocating Resources – means taking resources from one individual, group or sector
and putting in somewhere else. These means dealing with externalities and public
goods/services.
Externalities – is a spillover effect to someone other than a buyer or a seller involved in
a transaction. (ex. 2nd hand smoke, buyer and seller of tobacco were happy but someone
on the external transaction gets a cancer, therefore, the government taxes the
externalities to fight the pollution or minimize 2nd hand smoke)
Public Goods/services – are economic products that are consumed collectively and
benefits the people, like highways, sanitation, schools, national defense, police and fire
protection.
Scarcity
 the basic economic problem
 Individuals have unlimited needs but the resources available to satisfy those wants are
limited. Which leads individuals to make choices.
Opportunity Cost
 Every economic decision has an opportunity cost. It represents the profit of the value of
something that must be given up to acquire or achieve something else better. The value a
person could receive but passes up in pursuit of another option.
 “What did you gave up to get it?”
(ex. Owning 2 houses, but you only live in 1. The other 1 could be a potential for an income,
but you chose not to)
(for PA practitioners, after implementing a policy, what could be a an opportunity cost, for
example the Rice Tariffication Law?)
Why is Economy important?

With the understanding of the economy, the government ensure to make the rights
decisions on maintaining the stability of economic growth with low inflation and the highest
possible level of employment.
Efficiency
 The ability to do something or produce something without wasting, materials, time and
energy (Merriam-Webster Dictionary)
 The quality or degree of being efficient.
 According to Woodrow Wilson, “It is the object of administrative study to discover, first,
what government can properly and successfully do, and secondly, how it can do these
proper things with the utmost possible EFFICIENCY and the least possible COST either of
money or energy.
 Efficiency the relationship between input and output. Output includes a quality dimension.
Efficiency is just a measure. We can speak of the efficiency of a motor, of an employee or of
an organization. We can be happy or unhappy with the level of efficiency.
Perspective of Efficiency
 Weberian Model – from a German Sociologist named Max Weber.

- The “Ideal Type” Bureaucracy
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- Public structures are structured as bureaucracies which provides rational and

efficient organizations to public organizations.
- A systematic control between a country and a particular organization which
requires a systematic chain of discipline and control which can be referred or
can be done by a leader or authority.
Principles of Bureaucracy
1. Job Specification – divided into simple, routine and fixed category based on the
competence and functional specialization. (insert, Do what you are hired to do!!!)
2. Authority Hierarchy – hierarchy must be clear to everyone to improve performance.

Officers are organized in hierarchy in which higher officers control lower position holders.
3. Forms Selection – all organizational members are to be selected on the basis of technical
qualifications and competence demonstrated by training, education or formal examination.
4. Formal Rules and Regulations – to ensure uniformity and to regulate actions of employees,
managers must depend heavily upon formal organizational rules and regulations. Thus,
rues or law leads to impersonality in interpersonal relations.
5. Impersonality – rules and controls are applied uniformly, avoiding involvement w/
personalities and preferences of employees.
6. Career orientation – career-building opportunity is offered, promotions and salary hikes
are strictly based on technical competence. They work for a fixed salaries and pursue their
career within the organization.
Common mistakes of Efficiency and Effectiveness
Efficiency Effectiveness
Performing the best possible manner w/ the Accomplishing a purpose by producing an
least resource, time and effort intended result
Doing things the right way Doing the right things
Concerned with the present Elated to the future
Effectiveness
 Producing a result that is wanted. Having an intended effect.
 Being effective is doing work that has impact, makes a difference and gets a
result.
Some effectiveness measures are:

1. How well of the output of the process meets the requirement of the end user or
customer.
2. How well the output of the sub-process meets the requirements of the next phase in the
process.
3. How well the inputs from external; suppliers meet the requirements of the process.
Ways to improve effectiveness…

1. Better communication
2. Interaction
3. Leadership
4. Direction
5. Adaptability
6. Positive environment
Relationship effectiveness & efficiency

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-Efficiency needs effectiveness and vice versa; These pillars must be at balance start or it will fall
apart. “Use caution when implementing an effective and efficient strategy, as it must be a balanced
approach; performing to much of one or the other will offset each other and delay your
organizational goals” (Deming, 1950)
Social Equity
 Fair, just and equitable management of all institutions serving the public directly or by
contract; and the fair equitable distribution of public services and implementation of
policy; the commitment to promote fairness, justice and equity in the formation of public
policy. (National Academy of Public Administration, NAPA)
 Not necessarily equal but fair.
4 Main Criteria of Social Equity measures according to NAPA:

1. Procedural Fairness – includes the examination of issues surrounding the due process,
equal protection and equal rights for policies. This area is based on managerial processes
including promotion, hiring and award of contracts.
2. Distributional Equity – Involves fostering a commitment to provide resources, equal access
and targeted intervention. Concerns the equity distribution of benefits and services to the
citizenry. Ensuring equity in this area would require public administrators to review
services, practices, and policies in order to analyze the level of access diverse groups of
citizens have to public services.
3. Process Equity – the quality of services delivered to diverse groups and the consistency of
this quality. The quality of services should be the same regardless of the distributional
criterion that is used.
4. Outcome Disparity – measured difference between two groups on an outcome of interest.
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PUBLIC
MANAGEMENT
SKILLS 71 | P a g e
TOPIC 7: PUBLIC MANAGEMENT SKILLS
PUBLIC MANAGEMENT SKILLS
7.1 LEADERSHIP
a. Boss vs. Leader
B. THE 21 IRREFUTABLE LAWS OF LEADERSHIP
1. The Law of the Lid (Leadership Ability Determines a Person’s Level of Effectiveness’)
Brothers Dick and Maurice came as close as they could to living the American
Dream— without making it. Instead a guy named Ray did it with the company they had
founded. It happened because they didn’t know the Law of the Lid.
2. The Law of Influence (The True Measure of Leadership Is Influence—Nothing More,

Nothing Les)
Her husband had everything: wealth, privilege, position, and a royal title. Yet instead of
him, Princess Diana won over the whole world. Why? She understood the Law of Influence.
3. The Law of Process (Leadership Develops Daily, Not in a Day)

Theodore Roosevelt helped create a world power, won a Nobel Peace Prize, and became
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president of the United States. But today you wouldn’t even know his name if he hadn’t
known the Law of Process.
4. The Law of Navigation (Anyone Can Steer the Ship, But It Takes a Leader to Chart the
Course)
Using a fail-safe compass, Scott led his team of adventurers to the end of the earth—
and to inglorious deaths. They would have lived if only he, their leader, had known the Law of
Navigation.
5. The Law of E. F. Hutton (When the Real Leader Speaks, People Liste)
Young John went into his first board meeting thinking he was in charge. He soon found
out who the real leader was and learned the Law of E. F. Hutton in the process.
6. The Law of Solid Ground (Trust Is the Foundation of Leadership)

If only Robert McNamara had known the Law of Solid Ground, the War in Vietnam—
and everything that happened at home because of it—might have turned out differently.
7. The Law of Respect (People Naturally Follow Leaders Stronger Than Themselves)
The odds were stacked against her in just about every possible way, but thousands and
thousands of people called her their leader. Why? Because they could not escape the power of
the Law of Respect.
8. The Law of Intuition (Leaders Evaluate Everything With a Leadership Bias)

How is it that time after time Norman Schwarzkopf was able to sense problems while
other leaders around him got blindsided? The answer lies in the factor that separates the great
leaders from the merely good ones: the Law of Intuition.
9. The Law of Magnetism (Who You Are Is Who You Attract)

Why are the Dallas Cowboys, once revered as “America’s Team,” now so often reviled
and the subject of controversy? The Law of Magnetism makes it clear.
10. The Law of Connection (Leaders Touch a Heart Before They Ask for a Hand)
Elizabeth Dole has mastered it. If husband Bob had done the same, he might have become
the forty-third president of the United States. It’s called the Law of Connection.
11. The Law of the Inner Circle (A Leader’s Potential Is Determined By Those Closest to Him)
John already used time management to the fullest, but he wanted to accomplish more. His
priorities were already leveraged to the hilt, and there were no more minutes in a day! How did
he go to a new level? He practiced the Law of the Inner Circle.
12. The Law of Empowerment (Only Secure Leaders Give Power to Others)
Henry Ford is considered an icon of American business for revolutionizing the automobile
industry. So what caused him to stumble so badly that his son feared Ford Motor Company
would go out of business? He was held captive by the Law of Empowerment.
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13. The Law of Reproduction (It Takes a Leader to Raise Up a Leader)

What do the top NFL head coaches have in common? You can trace their leadership
ability to just a handful of mentors. That’s also true for hundreds of CEOs. More than 80
percent of all leaders are the result of the Law of Reproduction.
14. The Law of Buy-In (People Buy Into the Leader, Then the Vision)
The first time Judy Estrim started up a company, it took her six months to find the money.
The second time it took her about six minutes. What made the difference? The Law of Buy- In.
15. The Law of Victory (Leaders Find a Way for the Team to Win)
What saved England from the Blitz, broke apartheid’s back in South Africa, and won the
Chicago Bulls multiple world championships? In all three cases the answer is the same. Their
leaders lived by the Law of Victory.
16. The Law of the Big Mo (Momentum Is a Leader’s Best Friend)

Jaime Escalante has been called the best teacher in America. But his teaching ability is only
half the story. His and Garfield High School’s success came because of the Law of the Big Mo.
17. The Law of Priorities (Leaders Understand that Activity Is Not Necessarily
Accomplishment)
Jack Welch took a company that was already flying high and rocketed it into the stratosphere.
What did he use as the launching pad? The Law of Priorities, of course.
18. The Law of Sacrifice (A Leader Must Give Up to Go Up)

He was one of the nation’s most vocal critics on government interference in business. So why
did Lee Iacocca go before Congress with his hat in his hand for loan guarantees? He did it
because he understood the Law of Sacrifice.
19. The Law of Timing (When to Lead Is as Important as What to Do and Where to Go)
It got him elected president of the United States. It also cost him the presidency. What is it?
Something that may stand between you and your ability to lead effectively. It’s called the Law
of Timing.
20. The Law of Explosive Growth (To Add Growth, Lead Followers—To Multiply, Lead
Leaders)
How did a man in a developing country take his organization from 700 people to more than
14,000 in only seven years? He did it using leader’s math. That’s the secret of the Law of
Explosive Growth.
21. The Law of Legacy (A Leader’s Lasting Value Is Measured By Succession)

When many companies lose their CEO, they go into a tailspin. But when Roberto Goizueta
died, Coca-Cola didn’t even hiccup. Why? Before his death, Goizueta lived by the Law of
Legacy.
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I. LEADERSHIP STYLE
a. Autocratic
Characteristics:
• “Authoritarian”
• The leader makes all the decision
• Leaders dictate all the work methods and process
• Group members are NOT encouraged to provide input
• Little room for creativity
Appropriate when Drawbacks

• Quick decisions are necessary  Opinions and suggestions of subo
• Emergency situation rdinates are totally ignored
• Leader is most knowledgeable  Communication is top-down
• When work is not getting done
• Inexperienced or unmotivated
workers
b. Democratic
Characteristics:
• Leader participate in the group
• Encourages ideas and opinions
• Leader guides or facilitates

c. Laissez-Faire
• Lots of ideas needed
Characteristics: • Delay in decision making
• •Effective decisions
Hands-off style • Won’t work if team isn’t skille
• •Important
People make
that decisions
the groupwithout
feels guidancedfrom the leader
or motivated
Delegating
•goodor committed

• Teams are highly skilled • Takes more time
and motivated • Won’t work if team isn’tskilled o
• Independence is value r motivated
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II. CONTINUUM OF LEADERSHIP BEHAVIOR

by Robert Tannenbaum and Warren Schmidt
Boss-centered Leadership
Area of authority
by the manager
Area of freedom b
y subordin
ate
Subordinate-centered Leadership
The Model The Structure

 Relationship between
o Level of freedom  Boss-centered leadership
o Level of authority o McGregor’s Theory X
 Addresses the problem  Subordinate-centered l
o Be “democratic eadership
o Maintain authority o McGregor’s Theory Y
SEVEN LEADERSHIP STYLE
1. Sells -Leader tell the team what to do and expect them to do it

2. Tells-Make their decision then explains the logic behind the decision to their team
3. Suggest
 Present ideas, invites questions
 Very little influence on the decision
4. Consults
 Presents a tentative decision
 Consult employees
 Some influence on the decision
5. Joins
 Subordinate suggest
 Capitalize on the knowledge of the staff
6. Delegates - Ask the team to make decision, within limits that the leader sets
7. Abdicates - Subordinates makes decision within prescribed limits
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Deciding How to Lead?
Forces in the
Manager
Forces in the Forces in the

Subordinates Situation
a. Forces in the Manager

• Their value system
• Their confidence in the subordinates
• Their own leadership inclination
• Their feelings of security in an uncertain situation
b. Forces in the Subordinates

• Independence
• Responsibility
• High tolerance to ambiguity
• Interested
• Knowledge
• Learned to share in decision making
c. Forces in the Situation

• Type of organization
• Group effectiveness
• The problem itself
• The pressure of time
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7.2 HUMAN MOTIVATION
MOTIVATION
 Motivation is an inner drive that directs a person’s behavior toward goals.
 A goal is the satisfaction of a need
 A need is the difference between a desired state and the actual state.
 Is a management skill that involves persuading people to act in a certain way,
 It involves being aware of the factors that lead people to act in a certain way.
The basic model of motivation shows that when a need exists, an individual engages in
goal-directed behavior designed to satisfy that need.
Morale – an employee’s attitude toward his or her job, employer, and colleagues.
 High Morale
 High levels of productivity
 High returns to stakeholders
 Employee loyalty
 Low Morale
 Absenteeism
 Lack of commitment
 High turnover
 Morale Boosters:
 Respect
 Involvement
 Appreciation
 Compensation
 Promotion
 Pleasant work environment
 Positive organizational culture
Perceptions of Rewards
 Intrinsic rewards
- personal satisfaction derived from goal attainment
 Extrinsic rewards
- benefits/recognition received from someone else.
Theory of Motivation
 Classical Theory of Motivation
Money – sole motivator for workers.
Taylor & Gilbreth – scientific focus on work tasks & productivity.
Satisfactory pay & job security – motivate employees to work hard.
Hawthorne Studies
 Elton Mayo – postulated that physical conditions in workplace stimulate productivity.
 Productivity increased regardless of light levels
 Hawthorne Effect – marks beginning of concern for human relations in the workplace
 Theories of Employee Motivation

Colgate-Palmolive
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- provides new parents three additional weeks of paid leave in addition to the
leave mandated by the Family Leave Act.
Maslow’s Hierarchy of Needs

 Physiological needs – basic needs for food, water, shelter
 Security needs– protection from physical & economic harm
 Social needs – need for love, companionship
 Esteem needs – self-respect and respect from others
 Self-actualization – maximizing one’s potential
 Herzberg’s Two-Factor Theory

 Hygiene factors – focus on the work setting not the content of the work – wages,
working conditions, company policies, job security.
 Motivational factors – focus on content of the work itself – achievement,
recognition, involvement, responsibility, advancement
 McGregor’s Theory X and Theory Y

 Theory X
- Assumption that workers generally dislike work and must be forced to do their
jobs.
 Theory Y
- Humanistic view of management. Assumption workers like to work and seek
out responsibility to satisfy social, esteem, and self-actualization needs.
The type of management style used depends on:

 Workers attitudes
Good worker = Theory Y
Lazy worker = Theory X
 Type of work they are doing
Skilled = Theory Y
Unskilled = Theory X
Therefore, managers need to be aware, of which style best suits the situation.
 William Ouchi Theory Z

- the assumption that how much people are willing to contribute to an
organization depends on their assessment of the fairness (equity) of the rewards
they will receive in exchange.
Equity Theory
A management philosophy that stresses employee participation in all aspects of company
decision making.
 Expectancy Theory
Assumption that motivation depends not only on how much a person wants something but
also on how likely he or she is to get it.
Strategies for Motivating Employees
Behavior Modification – changing behavior and encouraging appropriate actions by relating the
consequences of behavior to the behavior itself. “Behavior is a function of its consequences.”
Strategies for Motivating Employees

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Job Design – strategies managers use to help improve employee moti vation:
• Job rotation
• Job enlargement
• Job enrichment
• Flexible scheduling
• Job rotation – movement of employees from one job to another to relieve the boredom
often associated with job specialization.
• Job enlargement – addition of more tasks to a job instead of treating each task as separate.
• Job enrichment – incorporating motivational factors (achievement, recognition,
responsibility) into the job.
Flexible scheduling strategies –
 Flextime
 Compressed workweek
 Job sharing
Importance of Motivational Strategies
 Foster employee loyalty
 Boost productivity
 Influence on pay, promotion, job design
 Nature of relationships
 Nature of the job itself
 Characteristics of the organization
7.2 DECISION MAKING, POLICY DECISIONS & GROUP DYNAMICS
Decision Making
 Decision making involves choosing between two or more alternatives
 Remember that not making a decision is a decision
 It has four major elements
 Problem definition: clearly there are more issues, questions, and problems
than individuals or society has the time or resources to confront.
 Problems are plentiful; attention is scarce.
 In order for problems to get attention they have to first get on the policy agenda
 As the problem emerges and gains attention, it also tends to gain focus and
take shape
 See problem definition notes below.
 Information search: The definition between problem definition and information is
never sharp. When we are vaguely aware of some problem, our first step is often to
learn more about it. This learning process often gives the problem focus.
 Time is often a big factor in information search. When time is short we often
Satisfice rather than optimize (see discussion on bounded rationality below).
 Choice: Weighing options and selecting among alternatives are often the visible
part of decision-making processes.
 However, choices are rarely clear and when clear alternatives are know,
the consequences of these actions is often poorly understood.
 Similarly, our preferences are rarely clear or constant when viewed over time.
 Evaluation: Decisions do not end with a choice among alternatives. Few choices are
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final and most are continually reconsidered in light of new information.

 Even if choices are not repeated, current choices become precedents for
future decision
 Most difficult aspect of evaluating choices is to establish criteria for evaluation
and to not fall victim to common decision-making problems like cognitive
bolstering (discussed below) where you search for information to justify
rather than scrutinize past decisions.
 Constraints on decision making
 Upper Limits of a Decision: Limitations on how far a decisionmaker can go
 Lower Limits of a Decision: Minimum that must occur for problem to be solved
 Strategic Limiting Factors: Factor whose availability in the right form, at the right
place and time will establish a new system of conditions
 Individual differences: individuals have different decision-making styles
 Different ways of thinking (e.g., some are logical, some process information
serially, some are intuitive or creative, some view interconnections better than
others, etc.)
 Some are more tolerant of ambiguity
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 Combination of these two factors creates four styles

 Directive style have low tolerance for ambiguity and seek rationality
 Analytical types accept ambiguity and seek rationality
 Conceptual style tend to be intuitive and accept ambiguity
 Behavioral styles work well with others, are intuitive and have a low tolerance for
ambiguity
 Organizational constraints
 Managers are strongly influenced by the criteria that they will be evaluated on
 Reward systems influences decision makers by suggesting to them what choices
are preferable in terms of a personal payoff
 Organizations often impose time constraints
 Organizations often give preference to historical precedents and decisions are often
made in the context of a stream of decisions
 Decision makers tend to rely on heuristics, judgmental shortcuts, when making decisions
 Availability heuristic: the tendency for people to base their judgments on information
that is readily available to them
 Representative heuristic: Decision makers tend to assess the likelihood of an
occurrence by trying to match it with a preexisting category
 Escalation of commitment: is an increased commitment to a pervious decision in spite
of negative information
 Improving Creativity
 Direct instruction: ask people to be creative. It works because people tend to accept
obvious solutions and this often prevents people from exploring creative solutions
 Attribute listing: list attributes of alternatives and examine them fully to generate
new alternatives or eliminate them
 Lateral thinking: instead of thinking beginning to end, other avenues are explored
– perhaps starting with the solution and working towards the beginning
 Cultural differences
 People from different cultures often make decisions in different ways by giving different
importance to rationality, their belief in the ability of people to solve problems, and
emphasis on solving problems
Rational Decision Making Process

 Ration decision makers are value maximizers that try to reach an optimum decision given
a set of constraints
 Model of decision making is commonly attributed to economists who have a clear and
consistent system of preferences, knowledge choices, and computation tools that
permit the selection of the optimum choice
 Six steps in the rational model
 Define the problem
 Identify decision criteria
 Weight the criteria
 Generate alternatives
 Rate each alternative on each criterion
 Compute the optimal decision
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 Assumptions
 Problem Clarity: problem is clear and unambiguous
 Known options: decision makers can identify all of the alternatives and relevant
decision criteria. Decision makers must also be aware of all of the possible
consequences associated with each alternatives
 Clear preferences: criteria and alternatives can be ranked and weighted to reflect
and analyze their importance
 Constant preferences: specific decision criteria and the weights remain stable over time
 No time or cost constraints: rational decision makers can obtain full information about
the criteria and alternatives because there are no time or cost constraints
 Maximum payoff: the rational decision maker will choose the alternative producing
the highest payoff
 Strengths
 Focuses on the need to translate lofty goals into concrete action
 Priority setting
 Structure follows strategy
 Design organization after goals have been established
 Recognizes the need to analyze, experiment, or evaluate to see what works
 Highlights the role of feedback throughout the process
 Recognizes that you must periodically scan the environment for new threats
and opportunities
 Requires rigorous communication about goals, alternatives, and resource allocation
 Weaknesses
 Announcement of goals and policies can centralize and freeze an organization
 Goals and policies provide a focal point for organizing opposition
 Goals and policies can be very difficult to change
 De-emphasizes role of politics, bargaining, human behavior, and other subjective factors
 Assumes that the planner can peer into the future
 Limits to strict rationality
 Typically there is uncertainty about both means and ends
 Can almost never clearly determine the risks and payoffs associated with each alternative
 Rarely are all alternatives and their consequences known
 Preferences are often unformed and changing
 Rarely have the time, resources, energy, or mental capacity to evaluate all
alternatives and their consequences
 Too mechanical an approach to what is a much more complex process
Bounded Rationality
 When most people are faced with complex problems, people often respond by reducing
the problem to a level that is readily understood
 When faced with a choice, most decision makers do not struggle to fine the best, or
optimal, solution, most stop when they find the first acceptable solution – a
concept Simon (1947) calls satisficing
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 Model recognizes the inherent limitations of the rational model

 Problem is often not clearly defined
 Values and goals are not always clearly defined
 Knowledge of consequences is always fragmented, incomplete, or totally unavailable
 Lack of information on the problem, the alternatives, the criteria, and the impact
of choosing certain alternative seriously limit the judgments of decision makers
 Time and cost constraints seriously limit the search for full information
 Imperfections in humans also limit the acquisition and analysis of information
 Concept of satisficing or bounded rationality was developed by Simon (1947)
 For large-scale decisions the there is too much information and uncertainty
which overloads the cognitive capacities of managers
 Managers are intendedly rational in that they strive for rationality
 They do not optimize, they satisfice: they search for solutions that are both satisfactory
and sufficient
 list of criteria is far from exhaustive and are looking for a solution that is good enough
or will achieve an acceptable level of performance
 A satisficing choice is the first acceptable one a decision maker encounters
 Advantages of Bounded Rationality
 Theories of decision making should be based on human capacities
 Even if the thorough search and deliberate choice associated with strict rational choice
were possible, the effort might not be worth the reward due to the high decision costs
it would impose
 If the information is not immediately or readily available, adhering to the cannons
of strict rationality will only encourage delay
 Steps are the same as the rational model, but there is only a limited search and evaluation
of alternatives and decision makers “satisfice” instead of optimize
Incremental Model
 Incremental model is generally associated with politics and the political approach to
public administration. Dual argument for its use:
 It is the approach most characteristic of American public administration
 It is the model that should be used
 Lindbloom (1959, 1980) and others view the policy-making process as a response to
short- term political conditions, by small increments, according to events and
developments, and not according to rational, information-based analysis
 Agrees with the notion of bounded rationality
 Incremental decision maker is more concerned with reaching an agreement on a final
outcome than making an “optimal” decision
 Assumptions
 Model does not assume a clear definition of goals (objectives) of decisions
 Steps
 Approach begins with an existing situation where means and ends are often intermixed
 Analysis is limited and focused on alternatives that can be agreed upon or accepted
 Decision-making process is pragmatic and concerned with reaching agreement among
the parties involved
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 The decisional tools and calculations are less objective and less systematic than
the rational model
 Tends to use bargaining and compromising techniques that provide for the
proportional representation of interests, minimize conflict, and lead to
agreement
 Administrators strive for satisfactory decisions after examining a rather limited set
of alternatives
 Limitations of the rational model are not necessarily the strengths of the incremental model.
 It undermines many of the traditional values of public administration such as
economy, efficiency, and effectiveness
 Often results in political alliances and power centers that dominate decision processes
in organizations.
 Often criticized for its inherent conservative outlook that seeks adjustments to the
status quo and avoids radical departures
 It is based on a bargaining concept, which often doesn’t work well when resources are
limited. Bargaining also obscures the real desires of participants in the decision making
process. Accordingly, it can get too wrapped up in political gamesmanship
 Incrementalists often downplay the use of models which provide clear information
and delineate alternatives
 There is a lack of imagination in that there is no way to do something “new”. Only a
little more or less of the same. It is inherently conservative
Non-rational Theories of Decision Making

 Attempt to explain seemingly chaotic decision processes and are fundamentally
different from rational models
 However, rational and non-rational approaches are not inherently contradictory in
that subscribing to one framework does not require rejecting the other
 Differences between rational and non-rational models are based, in part, on focusing
on different aspects of the complex social processes we call choice or decision making
 Basics of non-rational models
 Choices are made, but they do not result from a deliberate balancing of pros and cons
or costs and benefits
 Choices are generally described as decision outcomes resulting from the
interaction between two structures or sets of rules
 Decision structures are sets of rules that determine what problems and solutions will
be allowed for discussion and how disagreements will be resolved
 Rules-based on majority vote, consensus, or arbitrary authority will obviously
yield different results
 Access structures are sets of rule that define which individuals or groups have
standing and are allowed to participate in decision making
 Non-rational models suggest that decision outcomes result from the interaction of
decision and access structures rather than by the calculation of expected utility or
maximizing objectives
 Non-rational models suggest that determining and enforcing rules of the game is
more important to the decision-making process than is careful analysis
 Accordingly, non-rational models are inherently political in nature
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 Decision outcomes (choices) are the result of the mix of actors, problems, and solutions
Garbage Can Model
 It gives a sense for how decisions are made when decision makers have pervasive
differences of opinion. Accordingly, it is primarily an organizational model -- organized
anarchies
 Goals are unclear and often conflict
 Participation in decision-making is unpredictable and fluid
 An agency is more or less a loose collection of ideas and proposals rather than a well
ordered structure
 Information comes into play at multiple points in the decision-making process and
is interpreted in various ways
 Organization is a collection of choices looking for problems, issues and feelings looking
for decision situations in which they might be aired, solutions looking for issues to
which they might be the answer, and decision makers looking for work
 Decisions are made in when different streams come together
 Organized anarchies have three characteristics
 Members of the organization do not define their preferences about policies and goals
very precisely. In those rare occasions when they are defined precisely, they often
conflict with each other. Organization is a “loose collection of ideas” instead of a
coherent structure. It discovers its preferences through action more than it acts on the
basis of preferences.
 Technology is as unclear as the preferences. Many members do not understand what all
aspects of organization do.
 Participation in decision making is extremely fluid and even erratic. Participants drift
in and out of the decision making process. Sometimes a member will attend critical
meetings other times they will not.
 Organizations tend to be “loosely coupled” in that the members have lose control and
communication with one another. It is often unclear who has the authority to make
certain decisions. Remain loosely engaged, even for important issues, because other
matters will preoccupy them
 Decision-making process is composed of four separate streams
 Problems
 Problems arise and disappear, change shape or significance, and are combined and
separated over time - Issues come to be defined as problems and become the focus
of government action
 Solutions
 Policymakers draw their solutions to problems from a standard “tool kit” or
entrepreneurs may advocate and win approval for innovative solutions that
define new ways of responding to problems on the agenda
 Participants
 Participants move in and out of situations in which choices are made termed
“choice opportunities” in which they look for chances to promote their ideas or
themselves. Ideas, analyses, arguments, persuasion, and less visible participants
(Bureaucrats, congressional staff, lobbyists, and think tanks) may influence the
most.
 Choice opportunities
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 Problems, political, and policy streams rarely connect. When they do connect -
“Coupling” - policy entrepreneurs take advantage of these windows of opportunity
to make major policy changes.
 When the four streams do connect with each other, the result is often a major
decision. Connecting up these four streams is described as the “garbage can model”.
 Decisions are the function of a mix of problems, solutions, participants, and
participants resources (i.e., the garbage can) and how that mix is processed
 “Choice opportunity” is the mix that occurs within the garbage can
 Effectiveness hinges on the ability to reach consensus on matching a problem with a solution
 This model appears to have great utility in public organizations
 Implications of the garbage can model for understanding government decision making
 Turf battles and other struggles over who has access to deliberations and who has
the right to make choices are a central element of decision making
 Solutions and problems may arise independently
 At times, decisionmakers invent novel solutions for problems
 Other times, decisionmakers have solutions and look for problems in which to
use them, or advance their use
 It describes how decisions are guided and manipulated. The particular mix
of problems, solutions, and actors is not necessarily accidental
Consensus Models
 Involves more than one decision strategy and may use various decision rules
 Decision structures include
 Voting
 Agreement of a small group of people who are generally experts who act in a jury-like
process
 When the group of experts deliberates a decision, relies upon a consultant, and
follows certain steps, it may be following a simplified form of Delphi technique which
helps refine group judgment by
 Establishing a clear, operational question or problem for the group to work on
(often the consultant’s job)
 Generate ideas in writing from all participants about the question/problem
before discussion begins to maximize the variety of views
 Conduct discussions in an environment that does not inhibit the diversity of ideas
and opinions, but does discourage lobbying for any part of a decision
 Involves carefully controlled feedback that establishes the outcome in clear, specific,
and manageable numbers of prioritized items
 Merges judgments of people with computational techniques
 Individual initiative is another widely used strategy where the leading manager
makes decisions with the support of senior staff
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Administrative Routine
 The garbage can model and consensus models describe a level of fluidity and change that
often does not exist in government decision making. Especially when attention shifts from
major issues to minor administrative matters
 Decision and access structures are much more rigid and fixed. Participation and
decision making become more rule bound
 Overtime, rules will become accepted as givens, simply the way things are done
 Two step process called institutionalization
 Involves first codifying the rules of access and decision making in the form of both
written directives and unwritten norms, and then internalizing the rules to the point
that they are no longer seen as choices to be reconsidered
 As the decision process becomes rule bound, major choices begin to be based not on
rational analysis nor on the fluid mix of solutions, problems, and participants, but
instead rely on what March and Olsen (1984) call the political structure
 The institutionalized political structure often precludes many problems from
consideration and many groups from influence
Reasonable Choice Models

 Both rational and nonrational models while providing well-articulated theories of
decision making, but both types of models tend to be somewhat impersonal
 Taken to extremes, both rational and nonrational models reduce human judgment
to computation
 Nonrational models portray decision outcomes as the result of forces beyond
individual control
 A less clearly articulated, but emerging view of decision making places a stronger emphasis
on value statements and interpretations of history
 Values enter rational decision models in the form of preferences, but these
preferences are generally defined in terms of self-interest
 Both the rational and nonrational models attempt to be value neutral models of choice
 Underneath our analysis of problems, alternatives, and desired outcomes are beliefs
and values that we may not be entirely aware of, but they invisibly guide our decisions
 The criterion of reasonable choice is the combination of bounded rationality and values
 One of the clearest ways values shape decision making is in our reliance on history
 Our recollections, both personal and learned, have a strong grip on our perceptions
 To ignore history disregards the successes and failures of our predecessors and
our heritage of values.
 However, to assume that future events will repeat the past (e.g., the next war will be
like the past) overlooks contemporary changes in the nature of the problem and the
situation
 Richard Neustadt and Ernest May (1986) in Thinking in Time: The Use of History
for Decision-Makers examine the positive uses of history in decision making is
examined
 They argue that history guides choices by altering how problems and solutions
are perceived
 History guides decision making primarily through analogy
 Whenever we see an event we immediately compare it to some similar event
 Choice of analogies is rarely the conscious and not subject to critical analysis
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 Historical analogies enter deliberations as interpretations of events based on personal

and institutional histories
 Uses of history reflect our values. Therefore, use of analogies can be improved if they
are more closely scrutinized
 The suggest a closer examination of the similarities and differences between
the current situation and our choice of historical analogies
Group Decision Making Techniques
 Nominal group Technique

 Ensures every group member has equal input in the process by restricting
interpersonal communication during the decision-making process
 Work alone and write down ideas to solve a problem
 No discussion until all ideas presented
 Open discussion to clarify, no criticism
 Secret ballot on preferred solution to rank order options
 Repeat steps if necessary
 Devil’s Advocate
 Challenge the assumptions and assertions of the group
 Brainstorming
 Generate ideas without criticism
 Dialectical Inquiry
 Assign groups with a role to play
 Electronic meetings
 Can blend techniques like brainstorming and nominal group technique using
new software technology
 Allows for anonymity, honesty, and speed. Moreover, participants do not have to be
physically present at the same location
 Collaborative, Consensus Decision Making
 Collaboration = the pooling of ideas and/or resources (e.g., information, money, etc.)
by 2 or more stakeholders to solve a set of problems which neither can solve
independently
 Ranges from discussing problems to reaching agreement on binding actions
 Decisions are made by consensus. In other words, all parties more-or-less agree
to decisions. Very different than majority rule
 Collaborative, consensus-based decision-making effort may use some of the
other group decision-making techniques as well
 Emerging process - It is unclear to what extent it improves natural
resource management
 Implications of using collaborative/consensus-based decision making
 Requires new skills as you go from expert opinion role to an empowerment role as
a mediator, catalyst, or broker
 Requires lateral decision-making instead of hierarchical
 Need to conceptualize problems from organizational perspectives
 Need a domain perspective where an agency is just one of many actors joined by a
common set of interests or problems
 Need more flexible organizational procedures
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 Examples: Standing committees, associations, friends groups, open decision-making

 All emphasize sustained dialog between stakeholders to resolve differences and
to advance a shared vision
 Public input must be tailored to the unique demands of a situation rather than using
the same approach in all situations or for all issues
 Advantages to Consensus Decision-Making
 Ensures that affected interests are part of the decision-making process
 Encourages participants to work towards mutually acceptable solutions
 Considers diverse perspectives and interests
 Encourages the cooperative systematic analysis of technical information
 Process results in mutually acceptable decisions while improving relationships
among diverse and competing interest groups
 Obstacles to Collaborative and Consensus Decision Making
 Institutional
 Culture may hinder collaboration, may be resistant to decentralized
decision making, lack the necessary flexibility in agency procedures
 Advocacy groups may resist collaboration because they view compromise as
watering down of their principles
 Relational factors
 Organizations that have been bitter adversaries in the past often find it difficult
to reach consensus on anything
 Attempts at collaboration could actually deepen divisions by encouraging
parties to “protect their turf” and find other avenues to achieve their desired
outcomes
 Power differences
 Collaboration may be hindered when power differences exist between parties.
 Some participants may not be perceived as having a legitimate right to
participate in consensus based forums which tend to view participants as equals
 Obstacles may be difficult to overcome when:
 Conflict is rooted in basic ideological differences
 One stakeholder has the power to take unilateral action
 Constitutional issues or legal precedents are sought
 Past interventions have been unsuccessful
 Issues are too threatening because of historical antagonism
 A legitimate convenor can’t be found
 These instances are likely to result in litigation or limited collective action.
 Negotiators and convenors need to make a realistic assessment of their ability
to overcome these obstacles
 Nominal group technique, dialectical inquiry, and devil’s advocate tend to produce
more information and greater range of choices. However, participants tend to feel
better about decisions made using a collaborative consensus based process
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When to Use Group Decision-Making
 Problem is uncertain, complex, and has potential for conflict

 Problem requires interagency/intergroup cooperation
 Problem and solution have important personal/organizational consequences
 Significant, but not immediate, deadline pressures
 Widespread acceptance and commitment are critical to successful implementation
Advantages and Disadvantages of Groups
 Advantages
 Can bring in more knowledge, information, approaches, and alternatives and thus leads
to a broader perspective for defining problems
 Assist diagnosing underlying cause and effects
 Participation can increase the organizational members’ understanding and acceptance
of decisions
 More complete knowledge and information tends to be generated
 Greater diversity and thinking leads to innovative solutions
 Members have a better idea of what the group decided and why and can carry
this information back to others in the organization
 Easier to implement in that it can lead to greater acceptance of decisions
 Disadvantages
 Time-consuming
 Expensive
 Results in compromise solutions
 Hard to assess responsibility for decisions
 Social pressures can bolster majority decisions regardless of their quality
 Aggressive members can stifle more capable members
 Groups may press for conformity and move toward solutions too rapidly by
stifling dissent
 Some members concentrate only on winning from their own individual or
unit’s perspective
 Groups may make riskier decisions by creating an environment which
disperses responsibility for a decision
Common Flaws in Decision Making
 Stereotyping
 Stereotyping reduces complex choices to simplistic formulas
 When faced with complex problems, people tend to simplify the problem. While this can
help determine the important outlines of a problem, these simplifications can become
one-dimensional caricatures of people and problems that can place blinders
on decision makers. This can limit decision making
 Examples are numerous
 People who receive government aid are lazy welfare cheats
 Cognitive Bolstering
 The information search process is often narrowed by the need to justify or
explain previous choices
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 Cognitive bolstering involves magnifying the value of chosen action and denigrating the
value of rejected alternatives
 Achieved by exaggerating favorable consequences, minimizing unfavorable
consequences, denying adverse feelings, minimizing personal responsibility,
and other means
 It represents the abandonment of critical evaluation of information which is increased
by stress
 When individuals are forced to make rapid decisions based on uncertain
information and are held accountable for results, they spend considerable effort
highlighting information supporting their views and suppressing information that
raises doubts
 Defensive Avoidance
 Defensive avoidance occurs when individuals commonly avoid making decisions which
have unpleasant choices or entail risk
 One form of defensive avoidance is similar to cognitive bolstering it involves suppressing
or ignoring information which could require action
 Often involves avoiding decisions by obsessional mulling over information and options
 Gathering more and more information becomes a means of avoidance
 Not making a decision is a choice with consequences just as making a decision has
consequences
 Entrapment (Escalation of Commitment)
 Negative side of commitment. In most cases, commitment to groups and decisions is
positive. Unfortunately, individuals can become committed to failures as well as
successes
 When individuals publicly announce their commitment to a course of action it becomes
difficult for the to change their minds. There prestige and careers may be associated with
its success or failure
 Once commitment is made, we make every attempt to make it work. This can result in
the “escalation of commitment” hoping that additional effort will make it work
 The throwing good money after bad money scenario
 As a result, commitment can restrict the evaluation of information or the choice
of alternatives
 This course of action is particularly likely when evidence of success or failure is unclear.
 When there is even the faint hope of successes prior commitment will encourage
future commitment
 Groupthink
 All of the above problems can be amplified in group settings, while groupthink is
primarily a group problem
 Groups tend to seek and enforce unanimity. Dissent is suppressed and conformity of
behavior is suppressed
 Irving Janis (1972) calls the extreme suppression of minority of dissenting views
groupthink. Groupthink occurs when the pressures for conformity are so extreme that
the group acts as if it had only one mind. This robs the group of one of its primary assets
-- the critical, evaluative faculties of the group members
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 Groupthink has eight symptoms. Note how they include the four problems above.
The end result of these eight symptoms is the loss of critical evaluation of
information and options
 The group shares an illusion of its own superiority and invulnerability. Members
see themselves as the “best and brightest”
 The group collectively avoids and discounts information that calls into question
either its choices or its own superiority. members engage in collective cognitive
bolstering
 The group believes in the inherent morality of its goals. This is especially common
in groups working for a specific cause or an elected official. Members equate their
views with the public interest.
 The group develops negative stereotypes of other groups and of dissenters.
These stereo types allow the group to dismiss out-of-hand legitimate
challenges
 The group attempts to silence internal dissenters. Dissenters are often the
brunt of jokes that emphasize their disloyalty
 Group members censor their own self-doubts. They internalize group pressures
to conform.
 Even though overt and self-censorship is prevalent, the group perceives the
lack of dissent as unanimity.
 Certain members of the group take on the role of “mind guards” or watchmen
who protect leaders and the group from dissenting views
 Group shift is a special case of groupthink. The decision of the group may be riskier
or more cautious than individual decisions. The greater occurrence is to shift
towards risk
 Examples of disasters attributed in part to groupthink include President Kennedy’s
Bay of Pigs fiasco and the Challenger Disaster
 Steps you can take to avoid groupthink
 encourage members to act as critical evaluators and impartial decision makers
 Accept criticisms of your own actions
 Invite outside experts to join the discussion and criticize conclusions
 Require members to discuss the matters with others outside the group
 Assign two or more groups to work on a problem separately
 Assign a member to play devil’s advocate
 Break the group into subgroups at key points
 Set aside time to review threats to the groups decisions and possible
weaknesses in them
 At major decision points hold last chance sessions in which members can air
their reservations
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GOVERNANCE
AND
ADMINISTRATIVE
REFORMS 94 | P a g e
TOPIC 8: GOVERNANCE AND ADMINISTRATIVE REFORMS
I. GOVERNANCE
 The word “governance” came from the Latin verb “gubernare,” or more
originally from the Greek word “kubernaein,” which means “to steer.” Basing
on its etymology, governance refers to the manner of steering or governing, or of
directing and controlling, a group of people or a state.
 Governance is commonly defined as the exercise of power or authority by
political leaders for the well-being of their country’s citizens or subjects.
 Comprises all of the processes of governing – whether undertaken by
the government of a state, by a market or by a network – over a social
system (family, tribe, formal or informal organization, a territory or across
territories) and whether through the laws, norms, power or language of an
organized society. It relates to "the processes of interaction and decision-making
among the actors involved in a collective problem that lead to the creation,
reinforcement, or reproduction of social norms and institutions". In lay terms, it
could be described as the political processes that exist in and between formal
institutions.
In the 1980’s, scientists broadened the meaning of governance as including, not just
government actors, but also civil-society actors.
Today, governance includes three sectors:
 public sector (state actors and institutions)
 civil society (non-governmental organizations)
 the private sector (households and companies)
Difference between Government and Governance:

Government Governance
-control and domination -decentralization and relational

management
-refers to a central institution
which wields power over its -concept of decentralization of power
subjects and the need for inter-sectoral
management
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Processes and Actors In Governance

Two processes in Governance:
1. Decision making- refers the process by which a person or group of
persons, guided by socio-political structures, arrive at a decision involving
their individual and communal needs and wants.
2. Implementation of the decision- actualization or materialization of the
plan or decision.
Informal Actor and Bad Governance

organized crime syndicates and powerful families.
Their influence is felt more clearly in local governments, and in rural and
urban areas.
the cause of corruption, in that legitimate government objectives are
distorted by their illegal and private interests.
*When these actors and informal structures disrupt, corrupt and upset the legitimate
objectives and ideals of the society, bad governance will result which is considered as
the chief problem of the society.
II. ADMINISTRATIVE REFORMS
Gerald E. Caiden, Dynamics of Public Administration -
reform of public administration can be dated to the second
half of the nineteenth century.
USA was the pioneer in the field of administrative reforms.
*American capitalism started its progress from the middle of

the nineteenth century and this resulted in the large amount of investments in various
fields. But it was found that public investment and private initiative in the field of
economic development must be accompanied by rapid and proper change in the field
of public administration. But the public services and public administration lagged
behind the growth of both private and public investments and a necessity for
reforming the public administration was felt.
THREE (3) TYPES OF REFORMS
Structural- structure and working of public administration are reformed. New
methods or systems are introduced.
Example: decentralisation, delegation, or hierarchical methods are
introduced for the betterment of public administration
Behavioural- It has been found that the public administrators or bureaucrats do not
always behave properly with the people or clients.
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Organisation Development- open model of administration.

III. INTERRELATIONSHIPS BETWEEN GOVERNMENT AND
INSTITUTIONS
What is Institution?
-social structure in which people cooperate and which influences
the behavior of people and the way they live.
-has rules and can enforce rules of human behavior.

Government is an institution.
Example:
Government is an institution in the broad sense. DSWD is an
institution in the specific sense.
Education is an institution in the broad sense. Caraga State
University is an institution in the specific sense.
Some important institutions are:
1. Education- A society controls how young ones are prepared to be
useful adult members of society.
2. Marriage- This is how society protects itself by controlling the way
people live together, have children and care for them
3. Kinship- Society controls how people who are related, or not
related, should act to each other. This includes inheritance.
4. Religion- Societies have ways in which people's religious beliefs
are celebrated.
5. Government- Societies set up an institution to have power to
make decision for the good of society.
6. Law- Societies decide what is right and wrong, and what
punishments there are for doing wrong.
7. Trade- Societies have ways of controlling the way food and other
goods pass from one person to another.
8. Defense- Societies set up institutions to protect themselves against
attack.
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GOVERNANCE CHALLENGES IN THE 21ST CENTURY
Anti-Corruption
Corruption is the abuse of a public or private office for personal gain. It involves officials
in the public and private sectors improperly and unlawfully enriching themselves and/or
those close to them, or inducing others to do so.
Corporate Governance
Good corporate governance helps an organization achieve its objectives; poor corporate
governance can speed its decline or demise. Poor corporate governance was identified as
a key weakness in a number of economies at the time of the late 1990's Asian financial
crisis. Strengthening good corporate governance practices in the Asia and the Pacific
region can prevent the conditions that could lead to financial crisis while helping to
foster long-term growth.
Decentralization
Decentralization, as a reform measure, reconfigures power relationships between and
among a country’s governance institutions for more effective and efficient public
management. Over the last three decades, numerous countries of the Asia and Pacific
region have engaged in decentralization and local government reforms due to regime
transformation, state rebuilding in the aftermath of internal unrest and war, or to
strengthen sub-national governments in order to improve their service delivery for
citizens.
Domestic Resource Mobilization
Public services delivery can be costly and require a steady source of financing. For many
developing countries in Asia, one of the biggest challenges is how to pool more resources
to improve public financial management and enhanced government capacity, while
managing debt and creating more opportunities for private sector investments.
E-governance and ICT
Information and communication technology (ICT) can help improve the delivery of
public services, allow greater public access to information, and play an important role in
public administration reforms in many countries in Asia and the Pacific. E-governance
refers to ICT-enabled reform measures to promote more efficient and cost-effective
government, more convenient government services, and more government
accountability to citizens.
Fragile and Conflict-Affected Situations (FCAS)
Weakened governance capacity, economic and social disruption, geographic isolation,
and insecurity are just some of the unique challenges faced by countries in fragile and
conflict-affected situations. Public services delivery systems seldom function well, and
the government's ability to guarantee the basic security of its people is often limited.
Civil unrest may turn to costly large-scale and violent civil conflict that may impact
neighboring countries and the global community.
Local Governance
Improved local governance is crucial for transparent, accountable, efficient and effective
delivery of public services at the local level. Increasingly, decentralization has put the
spotlight on local government performance in the delivery of development agendas.
Multilateral financial institutions, including ADB, have opened doors to local
government projects through subsovereign lending mechanisms.
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SHIFT IN GLOBAL GOVERNANCE
What is Global Governance?

“…sum of the many ways individuals and institutions, public and private, manage their
common affairs…” (Commission on Global Governance)
or world governance is a movement towards political cooperation among transnational
actors, aimed at negotiating responses to problems that affect more than one state or
region. (Wikipedia)
“There must be, not a balance of power, but a community of power; not organized rivalries, but
an organized, common peace.” -President Woodrow Wilson
United Nations
Franklin D. Roosevelt
United States, Great Britain, the Soviet Union and China plus 22 Nations VS. Axis
powers
By 1945, 51 nation states are member
Philippines and The United Nations

The United Nations (UN) System in the Philippines began in 1945 when the Philippines
joined 49 other nations in signing the United Nations Charter in San Francisco, USA.
Commonwealth of the Philippines (1945-1946)
Carlos P. Romulo
Pieces of Global Governance
International Law
a collection of agreements that represent the will and consent of nation-states with
respect to the rules that govern their relationships.
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International Norms and Soft Law

International norms exist as constraints on foreign policy, yet norms are also the
product of the foreign policies of states and other actors.
The term soft law is used to denote agreements, principles and declarations that are not
legally binding.
International Organizations (IGOs)
or intergovernmental organization is an organization established by a treaty or
other instrument governed by international law and possessing its
own international legal personality, such as the United Nations, the World
Health Organization and NATO.
Non-Governmental Organization
is any non-profit, voluntary citizens' group which is organized on a local, national or
international level.
International Regimes
an international process and collection of rules. Sometimes, when formally organized, it
can transform into an intergovernmental organization. They are, however, not actors or
non-governmental organizations.
Global Conference
a unique forum bringing together the world's largest humanitarian network and nearly
every government. It is a major event on the humanitarian calendar and the
premier global forum to enhance and inspire humanitarian debates.
Ad hoc Arrangements
Something ad hoc is put together on the fly for one narrow or pressing purpose. For
example, a government committee arranged to address one specific problem, would be
an ad hoc committee. More loosely, it can mean "spontaneous," "unplanned," or "on the
spot."
Private Governance
various forms of private enforcement, self-governance, self-regulation, and informal
mechanisms that private individuals, companies, and clubs, as opposed to government,
use to create order, facilitate exchange, and protect property rights.
TYPES OF GOVERNANCE
1. PUBLIC GOVERNANCE
It refers to the formal and informal arrangements that determine how public decisions
are made and how public actions are carried out, from the perspective of maintaining a
country’s constitutional values when facing changing problems and environments.
2. PRIVATE GOVERNANCE
Private governance occurs when non-governmental entities, including private
organizations, dispute resolution organizations make rules and/or standards which have a
binding effect on the “quality of life and opportunities of the larger public”. Simply put, private-
not public- entities are making public policy.
3. PUBLIC-PRIVATE PARTNERSHIP
Public-private partnerships involve collaboration between a government agency and a
private-sector company that can be used to finance, build, and operate projects, such as public
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transportation networks, parks, and convention centers. Financing a project through a public-
private partnership can allow a project to be completed sooner or make it a possibility in the
first place.
4. CORPORATE GOVERNANCE
Corporate governance is the combination of rules, processes or laws by which businesses
are operated, regulated or controlled. The term encompasses the internal and external factors
that affect the interests of a company’s stakeholders, including shareholders, customers,
suppliers, government regulators and management.
5. e-Governance Services
The e-governance and e-governance services is a holistic concept that defines and
assesses the impact that information technology and communication have on government
practices and relations between government and society as a whole. The e-governance not only
supports improved access to information and political processes but also an approach called
participatory fundamentally change the relationship between government and society.
6. Economic And Financial Governance
The economic and financial governance is an essential prerequisite for promoting
economic growth and reduce poverty.
The main objectives of economic and financial governance are:
Promote macroeconomic policies that contribute to sustainable development;
Implement economic policies are transparent, predictable and credible;
Promote sound financial management;
Fight against corruption and money laundering;
Accelerate regional integration by promoting the harmonization of monetary, trade and
investment between states
7. Environmental Governance and Natural Resources
Environmental governance refers to all processes, rules, practices and institutions that
contribute to the protection, management, conservation and exploitation of biodiversity,
ecosystem and mineral resources in their various modalities in perspective reconciling
sustainable development and poverty reduction. It also refers to the mechanisms and
institutions, both formal and informal, encompassing the norms and values, behaviors and
conditions around which organizing citizens, organizations, social movements and the various
interest groups defending their differences and exercise their rights to access and exploit natural
resources.
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THE CHARACTERISTICS OF GOOD GOVERNANCE
1. Participatory
Good governance essentially requires participation of different sectors of the society.
Participation means active involvement of all affected and interested parties in the
decision-making process.
2. Rule of the Law
It demands that the people and the civil society render habitual obedience to the law.
It also demands that the government acts within the limits of the powers and functions
prescribed by the law. In more concrete terms, rule of law means “peace and order,”
“absence of corruption,” “impartial and effective justice system,” “observance and
protection of human rights,” and “clear, publicized, and stable laws.”
3. Effectiveness and Efficiency
It demands “enhancement and standardization of the quality of public service
delivery consistent with international standards,” “professionalization of bureaucracy,”
“focusing of government efforts on its vital functions, and elimination of redundancies or
overlaps in functions and operations,” “a citizen-centered government,” and “an improved
financial management system of the government.”
4. Transparency
It is an indicator of good governance, means that people are open to information
regarding decision-making process and the implementation of the same. It means that
information on matters of public concern are made available to the citizens or those who will
be directly affected.
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When there is transparency, people are placed in a better position to know and
protect their rights as well as denounce corrupt or fraudulent practices in the public sector
and in the private sector.
5. Responsiveness
It means that institutions and processes serve all stakeholders in a timely and
appropriate manner. It also means that actors and structures of governance easily give
genuine expression to the will or desire of the people. In other words, the interests of all
citizens must be well protected in a prompt and appropriate manner so that each of them
can appreciate and take part in the process of governance. While responsiveness is also a
characteristic sought from the private sector and civil society, more is demanded from the
government or the public sector.
6. Equity and Inclusiveness
Equity and inclusiveness means that all the members of the society, especially the
most vulnerable ones or the grassroots level, must be taken into consideration in policy-
making. Everyone has a stake in the society and no one should feel alienated from it.
Particularly, those who belong to the grassroots level must not only be the subject of
legislation but they must be given the opportunity to participate in decision or policy
making.
7. Consensus Oriented
Governance is consensus oriented when decisions are made after taking into
consideration the different viewpoints of the actors of the society. To meet the consensus, a
strong, impartial, and flexible mediation structure must be established. Without such,
compromises and a broad consensus cannot be reached that serves that best interest of the
whole community.
8. Accountability
Accountability means answerability or responsibility for one’s action. It is based on
the principle that every person or group is responsible for their actions most especially when
their acts affect public interest. The actors have an obligation to explain and be answerable
for the consequences of decisions and actions they have made on behalf of the community it
serves.
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NEW PARADIGMS
IN PUBLIC
ADMINISTRATION 104 | P a g e
TOPIC 9: NEW PARADIGMS IN PUBLIC ADMINISTRATION
9.1 EVOLUTION OF PUBLIC ADMINISTRATION
The evolution of Public Administration as a practice and discipline can be categorized into
two major phases namely:
1. Traditional /Classical phase
2. Modern phase.
HIGHLIGHTS IN THE EARLY HISTORY OF PUBLIC ADMINISTRATION

 400 B.C. Plato
- Plato recognizes the separation between management and develops the
concept of democracy.
 325 B.C. Alexander the Great
- Applied the principle of line and staff to help conquer most of the known
world.
 1525 Machiavelli
- Recognized the need for consent and cohesiveness in an effective organization
and tried to identify leadership traits. Established leadership qualities in
subordinates.
Phases in the Evolution of Public Administration
PHASE INDICATIVE PERIOD
Traditional / Classical 1800s to 1950s

Public Administration
Modern Public 1950 to the present

Administration
Development
Administration (1950s-
1960s)
New Public Administration
(1960-1970s)
New Public Management
(1980s -1990s)
Reinventing Government
(1990s)
PA as Governance (1990s
to the present)
TRADITIONAL PHASE PA AS PRACTISE & DISCIPLINE
 1800’s- 1950’s
 Beginning of Public Administration originated in Monarchial Europe where household
officials divided into 2. = * In charge in Public Affairs* Personal Services( Caiden e.g.
Royal Blood )
 Not Public Administration of the public but Administration for the public.
 It is client-oriented public administration.
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MODERN PUBLIC ADMINISTRATION PHASE
1950’s- 1960’s
Development Administration focuses on emerging/developing countries. Rebuild in terms
of economic, political, and administrative capacity.
1960s to 1970s
New Public Administration ( NPA)
Recognized its significance in the field of philosophy, content purposes, processes, and
techniques
1980’s-1990’s
 New Public Management and Reinventing Government strategies took place
where organizational reforms were demanded. Shifted from a client- or customer-
oriented to being more “business-oriented”
 In the Philippines- this takes place more on after the People Power Revolution.
 there was a shift from an authoritarian to a democratic system during the late 80s.
1990’s to Present
 Public Administration as Governance -It involves a wider perspective and deeper
meaning mostly refers to government that “involves the institutionalization of a system
through which citizens, institutions, organizations, and groups in a society articulate
their interests, exercise their rights, and mediate their differences in pursuit of the
collective good”
The evolution of Public Administration as a Field of Study

 In the Philippines-Public administration as academic field of study formally begun with
the establishment by the Americans of the Institute of Public Administration (IPA)
in the University of the Philippines (UP) in 1952.
The Roots of Public Administration as distinct Field of Study traced in 1800’s- 1950’s.
1887 Woodrow Wilson

 Write a Classic Essay “ The study of Public Administration “ there was a serious claim
that public administration should be a self-conscious, professional field. Suggested the
distinction between politics and administration.
1900 Frank Goodnow

 Father of American Public Administration
 presented a more meticulous examination of politics-administration dichotomy in his
book, “Politics and Administration” supplanted the traditional concern with the
separation of powers among the various branches of the government.”
1926 Leonard D. White

 Published first textbook in the field of public administration. His book,” Introduction to
the Study of Public Administration”, is one of the most influential texts in public
administration.
1946 MAX WEBER

 a German sociologist who is known as the “Father of Modern Sociology,”
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 He presented some major variables or features of bureaucracy such as: hierarchy,

division of labor, formally written rules and procedures, impersonality and neutrality.
1948 DWIGHT WALDO

Write the book “ The Administrative State “
1950s’- 1960’s
 Development Administration as a field of study emerged with the Third World
Countries as the focal point.
1970’s Landau- as a social change.

 1980’s –more on Reform after Peoples Power Revolution more lectures and writings as
New Public Management evolve.
 New Public Management & Re inventing Government essentially launched by several
Luminaires Christopher Hood (1991), Christopher Pollitt (1990), Michael Barzeley ( 1992 )
 1990- present
 Public Administration as Governance- Learning associated with the use of Technology.
9.2 NEW PARADIGMS OF PUBLIC ADMINISTRATION
THE NEW PUBLIC ADMINISTRATION (NPA)
The New Public Administration (NPA) has emerged from the Minnowbrook
Conference in 1968. It was inspired by Dwight Waldo who brought together young
administrators and scholars to discuss the crucial issues and varying perspective of public
administration. In this context, Waldo concluded that neither the study nor the practice of
public administration was responding suitably to the escalating turmoil and the complications
that arose from those conditions. Part of the reasoning for this Waldo argued, was the general
mistrust that had become associated with public administration itself. A call to revamp the
ethical obligations of the service sector was necessary in rebuilding the public's trust of
government and bureaucracy in which had been plagued by corruption and the narrow self-
interests of others. Moving toward a more ethical public service, then, required attention to the
underlying values that support public service-and public servants-in any sector.
New Public Administration theory deals with the following issues:
Democratic citizenship- refers directly to the belief in creating a government where the
"common man" has a voice in politics. For such an approach to work, citizens must become
aware, knowledgeable, and active in their communities and nations. True democratic citizenship
requires more than voting for representatives. It requires using one's own mind, voice, and
actions.
Public interest- refers to the collective common good within society, to which is the main
objective of public interest.
Public policy- the means by which new public policy is enacted, and introduced. Not limited in
participation of the public but encouraged involvement.
Services to citizens- providing and upholding the moral and ethical standard in regards to
meeting the needs of citizens through institutions and bureaucracies.
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Some Features of NPA:
Responsiveness: The administration should bring about certain internal as well as external
changes so that public administration could be made more relevant to the social, economic,
political and technological environment. For this to happen the administration has to be more
flexible and adaptable to the various changes.
Client Centricity: this means that the effectiveness of the administrator should be judged not
only from the point of view of the government, but from that of the citizens. If the administrative
actions did not improve the quality of life of citizens then they are not effective notwithstanding
whatsoever rationality and efficiency they may have.
Structural Changes in Administration: the new public administration approach calls for
small, flexible and less hierarchical structures In administration so that the citizens
administration interface could become more flexible and comfortable. The organizational
structure should be in with the socially relevant conditions.
REINVENTING THE GOVERNMENT
David Osborne & Ted Gaebler are the father of Reinventing Government. This concept was
coded in their book of Reinventing Government – How the Entrepreneurial Spirit is
Transforming the Public Sector. There are included the 10 (ten) principles which are most
important in Reinventing Government. Such as:-
1. Catalytic government: Steering rather than rowing
2. Community-owned government: Empowering rather than serving
3. Competitive government: Injecting competition into service delivery
4. Mission-driven government: Transforming rule-driven organizations
5. Results-oriented government: Funding outcomes, not inputs
6. Customer-driven government: Meeting the needs of the customer, not their bureaucracy
7. Enterprising government rather than spending
8. Anticipatory government: Prevention rather than cure
9. Decentralized government: From hierarchy to participation and teamwork
10. Market-oriented government: Leveraging change through the market
THE NEW PUBLIC MANAGEMENT (NPM)
-NPM was accepted as the "gold standard for administrative reform in the 1990s. The idea for
using this method for government reform was that if the government guided private-sector
principles were used rather than rigid hierarchical bureaucracy, it would work more efficiently.
NPM promotes a shift from bureaucratic administration to business-like professional
management. NPM was cited as the solution for management ills in various organizational
context and policy making in education and health care reform.
-The basic principle of NPM is can best be described when split into seven different aspects
elaborated by Christopher Hood in 1991. Hood also invented the term NPM itself. They are the
following:
1. Decentralization- NPM advocates often shifted from a unified management system to a

decentralized system in which managers gain flexibility and are not limited to agency
restrictions.
2. Management- Because of its belief in the importance and strength of privatizing government, it
is critical to have an emphasis on management by engaging in hands-on methods. This theory
allows leaders the freedom to manage freely and open up discretion.
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3. Performance standards- It’s important to maintain explicit standards and measures of

performance in a workforce. Using this method promotes clarification of goals/intent, targets,
and indicators for progression.
4. Output controls- The third point acknowledges the "shift from the use of input controls and
bureaucratic procedures to rules relying on output controls measured by quantitative
performance indicators". This aspect requires using performance based assessments when
looking to outsource work to private companies/groups.
5. Competition- This characteristic focuses on how NPM can promote competition in the public
sector which could in turn lower cost, eliminate debate and possibly achieve a higher quality of
progress/work through the term contacts. Competition can also be found when the government
offers contracts to the private sectors and the contract is given in terms of the ability to deliver
the service effectively, quality of the goods provided, hence this will increase competition
because the other private sector which did not get the contract will make strides to improve the
quality and ability thereby facilitating competition.
6. Private-sector management- This aspect focuses on the necessity to establish short-term labor
contracts, develop corporate plans or business plans, performance agreements and mission
statements. It also focuses on establishing a workplace in which public employees or contractors
are aware of the goals and intention that agencies are trying to reach.
7. Cost reduction- The most effective one which has led to its ascent into global popularity focuses
on keeping cost low and efficiency high. "Doing more with less" [12] moreover cost reduction
stimulates efficiency and is one way which makes it different from the traditional approach of
management.
9.3 NEW PUBLIC SERVICE

Is a movement grounded in the public interest, based on the ideals of democratic
governance, and in a renewed civic engagement that is now being manifest in the way we
interact with political leaders, engage with citizens and the way we bring about positive
changes in organizations.
 It focusses on citizens, community and civil society. “Serve Citizens, Not Customers”
 The primary role of public servant is to help citizens articulate and meet their shared
interests rather than to control or steer society (Dendhart and Dendhart, 2000)
FOUR CONTEMPORARY PRECURSORS
1. DEMOCRATIC CITIZENSHIP
 Focuses on the rights and obligations of citizens as defined by the legal system
 Citizens look beyond their self-interest to the larger public interest. Adopting a broader
and long term perspective.
 “Citizens as citizens” (Rather than merely voters) Should share authority and reduce
control, and should trust the efficacy of collaboration. (King and Stivers 1998)
2. Models of community and civil society
HOW ARE PUBLIC ADMINISTRATORS AFFECTED BY AND HOW DO THEY
AFFECT COMMUNITY AND CIVIL SOCIETY?
A. Public administrators can count on existing stock “Social Capital” to build even
stronger networks.
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B. Public administrators can contribute to building community and social capital.

“Citizens don’t always get what they want, but including them personalizes the work
we do- connects public administration to the public. And this connection leads to
understanding for both citizens and administrators”.
3. Organizational Humanism and New Public Administration
 Emphasizes the use of intrinsic motivation to grow personnel qualifications, thereby
increasing the economic efficiency of an organization.
 “Skill in self awareness, In effective diagnosing, in helping individuals grow and become
more creative in coping with dependent-oriented Employees”
Postmodern public administration
-Is the antithesis of positivism and the logic of objective social science.
-It is overly preoccupied with efficiency, leadership, management, and organization.
 Modern life as hyper reality. A blurring of real and unreal.
 Modern era has occurred recently. Mass media, Information systems and technologies
are new forms of politics in life
 Characterized postmodernity as particularly authoritarian and unjust
 Concerned with objective knowledge and its development
 Concerned with values and the search for truth than in characterizations of knowledge.
(Fredireckson & Smith, 2003)
9.4 GOVERNANCE
PARADIGM SHIFT
 is a fundamental change in approach or underlying assumption.
 Fundamental change in an individual’s or a society’s view of how things work in the
world.
Example:
 -email and scan replaced the fax machine and courier services.
 -orders for securities can now be placed directly by the client via internet and are
sometimes executed in seconds.
 Today, increasingly complex societies force public officials to develop new models of
governance.
 The traditional, hierarchical model of government simply does not meet the demands of
this complex, rapidly changing age. (example: top- to- bottom decision making)
 Rigid bureaucratic (strict/complex) systems that operate with command-and-control
procedures (military procedures), and inward-looking cultures and operational models
are deemed to be particularly ill-suited (inappropriate) to addressing problems that
often transcend (go beyond) organizational boundaries. (example: community
consultation to address the pressing needs of the people)
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 Problems have become both more global and more local as power disperses and
boundaries (when they exist at all) become more fluid.
 One size-fits-all solutions have given way to customized approaches as the complicated
problems of diverse and mobile populations increasingly defy simplistic solutions.
 QUESTION: Do governments know what they are doing? Why should we trust them?
 The demand for good government has a long history, but seldom have the forms of
government been under greater challenge.
 Dissatisfaction and disillusionment/disappointment about political solutions are
common.
 In a climate of social values that stress participation and democracy, bureaucracies with
their centralized structures of authority and control are anachronistic (not fit). (example
of social value: respect, justice/fairness, honesty, service, contribution, responsibility,
family, community)
 Political Democracy, societal transformations, and technological progress have modified
the structures and values of public administration.
 A complex process of functional and social differentiation has gradually eroded the
rigidities of hierarchical authority structures and further mitigated the old perceived
antinomy between structure and change.
 The strains on modern government caused by the growing complexity and scale of
operation have brought into sharp focus the problem of capacity: how much, a human
organization can comprehend, absorb, process and accomplish effectively.
 Throughout the world today, there is a mounting challenge to centralized, hierarchical,
control-oriented structures.
 From another perspective; Jan Kooiman (2006) offers a working definition of “SOCIAL
POLITICAL” or “INTERACTIVE” governing and governance as follows:
 Governing can be considered as the totality of interactions, in which public as well as
private actors participate, aimed at solving societal problems or creating societal
opportunities; attending to institutions and contexts for these governing interactions;
and establishing a normative foundation for all those activities.
 Governance can be seen as the totality of theoretical conceptions on governing.
 Governance refers to self-organizing, inter-organizational net-works characterized by
interdependence, resource exchange, rules of the game, and significant autonomy from
the state.
 Governance means there is no one center but multiple centers; there is no sovereign
authority because networks have considerable autonomy.
 According to H. George Frederickson (1997) there are at least 3 distinct conception of
governance:
 1. Governance is simply a surrogate word for public administration and policy
implementation, thus governance theory is an intellectual project attempting to unify the
various intellectual threads running though a multidisciplinary literature into a
framework that covers this broad area of government activity.
 2. Governance equates to the MANAGERIALIST movement. This is particularly
evident in nations associated with the Westminster Model, where NPM followed from
serious attempts to reform the public sector by defining and justifying what government
should and should not do, and to reshape public service provision by attacking the
pathologies of bureaucracy.
 3. Governance is a body of theory that comprehends lateral relations, interinstitutional
relations, the decline of sovereignty, the diminishing importance of jurisdictional
boarders, and a general institutional fragmentation.
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 The hierarchical model of government persists, but its influence is steadily waning,
pushed by government’s needs to solve ever more complicated problems and pulled by
new tools that allow innovators to fashion creative responses.
 This push and pull is gradually producing a new model of government in which
executive’s core responsibilities no longer center on managing people and programs but
on organizing resources, often belonging to others, to produce public value.
 Government agencies, bureaus, divisions and offices are becoming less important as
direct service providers, but more important as generators of public value within the web
of multiorganizational, multigovernmental, and multisectoral relationships that
increasingly characterize modern government.
 Thus government by network bears less resemblance to a traditional organizational chart
than it does to a more dynamic web of computer networks that can organize or
reorganize, expand or contract, depending on the problem at hand.
 Networks can serve a range of impromptu purposes, such as creating a marketplace of
new ideas inside a bureaucracy or fostering cooperation between colleagues.
 Public-private networks come in many forms, from ad hoc networks that are activated
only intermittently – often in response to a disaster - to channel partnerships in which
governments use private firms and nonprofits to serve as distribution channels for public
services and transactions.
9.5 THE NEW PUBLIC ADMINISTRATION GOVERNANCE


 The New Use of Governance does not point at state actors and institutions as the only
relevant institutions and actors in the authoritative allocation of values.
 They all, to some extent, focus on the role of networks, in the pursuit of common goals.
THE CHALLENGES
 The accountability problem presents networked government with its most difficult
challenge
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 When the authority and responsibility are parceled out across the network, who is to
blame when something goes wrong? How does government relinquish some control and
still ensure the results?
How do network managers balance the need for accountability against the benefit
of flexibility?
 Governments have traditionally tried to address most of these issues of governance and
accountability through narrow audit and control mechanisms. Although such tools help,
they should not constitute the greater part of an accountability regime.
 Network partners, faced with intrusive and frequent performance and price audits, tend
to become rigid and risk averse. Innovation collapses and trust suffers, reducing the
essential value of the relationship.
 Additionally, traditional accountability mechanisms, which rely on process
standardization, clash with the very purpose of the network: To provide a decentralized,
flexible, individualized, and creative response to a public problem.
CORPORATE GOVERNANCE
 Whereas the governance discussions in the public sectors is relatively recent, the term
GOVERNANCE is much more common in the private sector where debate about
CORPORATE GOVERNANCE has been going on for quite some time.
 CORPORATE GOVERNANCE refers to issues of control and decision-making powers
within the private (corporate) organizations.
 Corporate Governance’ is the watchword of those who wish to improve the accountability
and transparency of the actions of management, but without fundamentally altering the
basic structure of firms.
GLOBAL GOVERNANCE
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 The new demands of accountability to international markets and standards may clash
with the traditional lines of accountability.
 Some commentators (Rhodes 1994, 1997; Davis 1997) have characterized these trends as
‘HOLLOWING OUT OF THE STATE’, in which the combined effects of globalization,
International Obligations, Privatization and reduced regulation deplete the capacity of
government to shape and organize society.
 Pessimist suggest that globalization means that government everywhere have become
powerless and that managing globalization is impossible, since globalization is shaped by
markets, not by government.
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DEVELOPMENTS
IN PUBLIC
ADMINISTRATION
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TOPIC 10: DEVELOPMENTS IN PUBLIC ADMINISTRATION
The Phases of Public Administration

Phases Indicative Period
Traditional Public Administration 1800s to 1950s
Modern Public Administration 1950s to the present
Development Administration (1950s to

1960s)
New Public Administration (1970s)
New Public Management (1980s to 1990s)
Reinventing Government (1990s)
PA as Governance (1990s to the present)
Government versus Governance
Government is a group of people who rule or run the administration of a country. In

other words, it may be said that a government is the body of representatives that
governs and controls the state at a given time. Government is the medium through
which the power of the state is employed.
Governance is the act of governing or ruling. It is the set of rules and laws framed by
the government that are to be implemented through the representatives of the state.
Simply put, governance is what governments do.
The OLD Public Administration
 Large bureaucracy, slow and inefficient
 Low quality of civil service
 Citizens unaware of their rights
 Limited resources
 Lack of capacity building for citizens and politicians
 Excessive and overlapping
 Weak performance and results-based management system
 Lack of culture of competitiveness
 State has strong monopoly position (excessive regulation)
 Discrete information process (lack of transparency)
 Poor accountability mechanisms
Towards New Public Management

 The citizen as customer is king
 Transparency
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 Decentralized service delivery systems

 Accountability through participation
 Enhance the quality of public services through increased flexibility, effectiveness,
and efficiency
New Public Management: Elements

1. Lean State
 Cutting back on excessive regulation
 Prioritizing the freedoms of citizens
 Defining the core functions of government
 Developing Public-Private Partnerships (PPP)
 Active participation of civil society in governance- from planning,
budgeting, and implementation to monitoring and evaluation
 Leveraging resources
 Lean Government refers to the application of lean production (also
known as "Lean") principles and methods to both identify and then
implement the most efficient, value added way to provide government
services. Government agencies have found that when Lean is
implemented, they see an improved understanding of how their own
processes work, that it facilitates the quick identification and
implementation of improvements and that it builds a culture
of continuous improvement.
 Lean for government focuses on governing and serving citizens with
respect and continuously improving service delivery by cutting out
"waste" and "inefficiency" in processes; this in turn will result in better
services overall, engaged civil servants as well as more value for tax-
supported programs and services. Generally, proponents also see that a
lean government is a means to expand the capacity of government to
provide more services per unit of investment.
2. Separation of Decision-making levels

 Separation of the strategic level (deciding what has to be done; setting
targets and time frames; and defining the budget) from the operative
level (deciding how things have to be done; delivery of services;
reporting) of decision-making.
3. Lean Management
 Focus on efficiency, continuous improvement and capacity building
 Development of new ledership style
 Management by objective
 Teamwork
 Flat organization
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 Performance incentives
4. New Service Attitude
 Customer orientation: satisfaction in the center of all considerations,
behavioral changes
5. New Model of Control
 Quality Management
 Decentralization
 Benchmarking
 Results-oriented
 Product approach
Windows for NPM

 Local government Code of 1991 (RA 7160) – local autonomy law adopted
decentralization as a development strategy; devolved power and authority to local
government units. It fosters the opportunity to reforms that allows for greater
transparency, accountability and participation through the establishment of
Local Special Bodies including Local Development Councils.
 Performance incentives provided by LGU competitions, such as the Galing Pook
Award, Panibagong Paraan, and the Local Governement eadership Award
 Grants and technical assistance provided by the donor agencies
LOCAL GOVERNANCE INNOVATIONS

 Environmental Governance
 Disaster Preparedness
 Transparency and Accountability
 Conflict Management
 Improving Delivery and Quality of Services
 Protecting the Vulnerable Sectors
 Local Economic Development
NPM TOOLS FOR LOCAL GOVERNANCE

 Capability Building Tools
 E-Governance
 Public-Private Partnership
 Outsourcing
 Participatory Local Development Planning
 Benchmarking
 Employing LGU Watch
 Adoption of Local Citizen’s Charter
 Multi-Stakeholders Forum
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FUTURE OF
PUBLIC
ADMINISTRATION
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TOPIC 11: FUTURE OF PUBLIC ADMINISTRATION
THE GROWING POPULATION AND PUBLIC ADMINISTRATION
What is POPULATION?
 POPULATION derive from the Latin word populus mean” people”
 A group of individuals of the same species occupying a particular geographic area. May be
relatively small and closed, as on an island or in a valley, or they may be more diffuse and without
a clear boundary between them and a neighboring of the same species.
 The current population of the Philippines is 108,479,284 as of Monday, September 30, 2019,
based on Worldometers elaboration of the latest United Nations data.
 The Philippines population is equivalent to 1.4% of the total world population and ranks number
13 in the list of countries (and dependencies) by population. The population density is 363 per
Km2 (939 people per mi2).
Philippines Population Control and Management Policies
 Establishment of POPCOM
The Commission on Population (POPCOM) is a government agency mandated as the over-all
coordinating, monitoring and policy making body of the population program.
 The Population Act

The Population Act [RA 6365] passed in 1971 made family planning part of a strategy for national
development. Subsequent Presidential Decrees required increased participation of public and private
sectors, private organizations and individuals in the population programme.3+
 The Population Management Program

The Ramos administration launched the Philippine Population Management Program (PPMP) in 1993.
This was modified in 1999, incorporating "responsible parenthood" as a central theme.
 Responsible Parenthood and Family Planning Program

The Responsible Parenthood and Natural Family Planning Program's primary policy objective is to
promote natural family planning, birth spacing (three years birth spacing) and breastfeeding which are
good for the health of the mother, child, family, and community. While LGUs can promote artificial family
planning because of local autonomy, the national government advocates natural family planning.
 Collateral outcomes
If the Philippines population management policies and programs have had no measurable impact on
population growth, they have produced one notable outcome. The notion that the government should
manage population growth and instruct the population in fertility control and "responsible parenthood"
has become part of the normal social, political and health care landscape in the Philippines.
 Influence of the Catholic Church
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Over 80% of Filipinos are Catholic, so it is not surprising to encounter assertions that population
management infrastructure and operations "largely reflect the Catholic Church's position on family
planning which emphasizes responsible parenting, informed choice, respect for life and birth spacing.
"The Catholic bishops of the country have been accused of opposing and hampering population
management and fertility reduction policies. On the other hand, Church officials have sometimes
suggested or encouraged "Church-government collaborative partnerships" involving "principled
collaboration" by the Church. One such partnership was formalized.
Population Policy Under Different Government Administrations
Under the Marcos Administration (1969-1986)

 Policy Statements in Legislation and Presidential Decrees
 Policy Statements in Philippine Development Plans
Under the Aquino Administration (1986-1992)

 Medium-Term Philippine Development Plan 1987-1992
 The 1973 Constitution and the 1987 POPCOM Population Policy Statement
Under the Ramos Administration (1992-1998)

 POPCOM Population Program Plans
Under the Estrada Administration (1998-2001)

 Directional Plan for the Philippine Population Program 2001-2004
Under the Arroyo Administration (2001-2010)

 DOH National Family Planning Policy
Under the Aquino Administration (2010-2016)

 Responsible Parenthood and Reproductive Health Act of 2012
Policy Population Under Duterte Administration(2016-present)
1. RH Law or Reproductive Health Law
The Responsible Parenthood and Reproductive Health Act of 2012 (Republic Act No. 10354), is a
law in the Philippines, which guarantees universal access to methods of contraception, fertility control,
sexual education, and maternal care.
Some of the reasons why we need RH Law?

a. To respond to the clamor of the Philippine population who want the Reproductive Health
Care Bill passed into law
b. To prevent unintended pregnancies
c. To prevent maternal deaths related to pregnancy and childbirth
d. To prevent infant mortality
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e. To help individuals and couples choose freely and responsibly when to have children
f. To reduce abortion rates
g. To give rape victims a better chance to heal from their ordeal
h. To prevent early pregnancy and sexually transmitted diseases especially among adolescents
i. To address the rising HIV/AIDS case
2. National Program on Population and Family Planning (NPPFP)
 Approved by President Rodrigo R. Duterte last March 04, during the 35 th Cabinet Meeting
 NPPFP’s goal, with the initiatives of the National Economic and Development Authority (NEDA),
Department of Health (DOH) and the Commission on Population and Development (POPCOM),
are tasked to harmonize these contexts and create a sustained commitment towards a holistic
national development, influencing health, education and economic outcomes.
3. Adolescent Pregnancy Bill (Senate Bill 1482; House Bill 4742)
 Which calls for the development of a national plan for the prevention of teenage pregnancy
 Refers to the access of full range of methods, techniques and services that contribute to the
reproductive health and well-being or young people by preventing and solving reproductive
health-related programs.
4. POPDEV Bill (House Bill 4689)
 This Act is known as “Local Population Development Act of 2016”

 Which seeks to establish population and development offices in local government units.
 HB. 4689 which mandates for the creation of local population development office in all provinces,
cities and municipalities, is seen to strengthen the local structure of the population program
through the mandatory establishment and operation of Population Offices to ensure effective
population management strategies at the local level
ENVIRONMENTAL CONCERN AND PUBLIC ADMINISTRATION
ENVIRONMENTAL FACTORS OF PUBLIC ADMINISTRATION
 NATURE
 SOCIETY
TOP ENVIRONMENTAL CONCERNS
1. CLIMATE CHANGE- Global Warming

 Caused by human activities which result to increase in Greenhouse gases in Atmosphere
 The effects are climate is changing, heat waves, drought & wildfire, storms & precipitation
 Climate Change Act (2007)
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o create National Framework Program on climate change, mitigation, adaptation &

communication
o establish mechanism to reduce greenhouse gas emission from energy, power,
transport & manufacturing sectors
 Philippine Upland Development Program

o cushions the impacts of global financial crisis & climate change through green
jobs
2. ECOSYSTEMS & ENDANGERED SPECIES
 Philippines is a Megadiversity Country
 Most endangered of the world’s biodiversity hotspots
 Wildlife Resources Conservation Act (RA 9147)

o promotes practice of protecting animal species & their habitat
3. DEFORESTATION
 Deforestation Rate: 1900 hectares /day
 Prediction “The Philippines will be completely denuded by 2025”
 The effects: flooding, water shortage, soil erosion, mudslides
 National Greening Program (DENR)

 Forest Protection Program/Anti-Illegal Logging Program
o aim to improve the nations forest cover & continued protection of all existing
forests in the country.
o from 2011-June 30, 2018, rehabilitated 1.87M hectares, 1.56B seedlings planted,
4.3M jobs, benefitting 614, 128 individuals.
4. POLLUTION
 Plastic Pollution – Philippines is the 3rd biggest source of plastic leaking into seas worldwide
(2015)
 Air Pollution
 Water Pollution
 Ecological Solid Waste Management Act (RA 9003)

o managing waste in the country
o LGUs are tasked to craft their own local solid waste management plans under this
law
o reusing, recycling, and composting wastes generated in their jurisdictions
o as of May 2019, less than half of all LGUs have approved 10-year solid waste
management plan
o as of August 2019, 65 cities / municipalities – enforced ordinances prohibiting
/regulating the use of plastics
 Waste segregation
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 Buhay Zero Waste

 No Single Use Plastic
5. WATER SCARCITY
 Proposal for a Department of Water

o that would centralize all activities having to do with water source, distribution,
and supply
6. OVERPOPULATION
 Responsible Parenthood & Reproductive Health Act (2012) – RH LAW

o Reproductive Health Law
o Universal access to contraception, fertility control, sexual education & maternal
care
7. PUBLIC HEALTH
 Immunization
 Polio Outbreak
 National Dengue Epidemic –highest fatality rate in Southeast Asia-622 died, 146, 062 cases (Jan-
Jul 23, 2019)
 DOH funds to build toilets

 Malasakit Centers in DOH Hospitals
 New law “allow minors to get HIV test without parent consent”
OTHER ENVIRONMENTAL ISSUES
 GENDER
 Anti-Discrimination Bill – SOGIE
o Sexual Orientation & Gender Identity or Expression
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THE FUTURE OF PUBLIC ADMINISTRATION
ADMINISTRATIVE PROCESSES IN GOVERNMENT
Complexity Is Here to Stay

 Contemporary public administration is amazingly complex and it is become more complicated all
the time.
Dominant Public Administration Will Be Defined by Politics

 Historically, American public administration has always been defined by dominant political
groups, parties, or coalitions.
o “Government by gentlemen”.
o Jacksonian Revolution.
o Progressive movement.
o New Deal.
o Administrative Procedure Act of 1946.
o National Performance Review
Law Will Continue to Be Central to Public Administration

 In 1926, Leonard white correctly assumed that public administration was more concerned with
management than law.
 In 2002, the relative importance of law is much greater and likely to expand
 The courts have been deeply involved in the operation of some administrative institutions and
systems.
Performance
 The New Public Management’s emphasis on performance is probably a permanent addition to the
mix of public administration’s concerns.
Driven by two changes:

o Tax and expenditure limitations at state and local level.
o Globalization makes poor performance more of a liability.
 The need for performance is clear, but prescriptions for it may be inadequate.
Disaggregation of Public Administration

 Leonard White assumed that public administration was a single process.
 Most modern public administrators would disagree.
o Separation of powers and federalism.

o Generalization versus specialization.
o No coherent paradigm or conceptual framework.
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Decomposition of the Civil Service

 Disaggregation promotes decomposition of the civil service.
 The concepts of a unified federal, state, or local employers and a unified civil service are
disappearing.
 Information technology also promotes decomposition.
The Changing Face of Management

 premised on the belief that as a function management must change.
 regards managers as bottlenecks, placing its faith in empowered employees, private-public
partnerships, and entrepreneurs.
 Information technology is already changing the need for managers and their functions.
Personal Responsibility
 There is broad agreement that public administrators should be held responsible for their actions.
 It also assumes that employees will be held accountable for results.
 Contemporary constitutional law makes public administrators legally liable for violations of
constitutional rights.
 Ethics codes demand that public employees avoid even the implication of impropriety.
 External methods of accountability are being reinforced with the belief that administrators should
have a personal sense of responsibility.
 Often generates conflicts with older, traditional managerial standards.
A New Administrative Culture

 Whether public administration moves beyond its current crossroads, it is likely that a new
administrative culture will emerge.
 Public administrators of the future will have to be more at ease with complexity, law, and
flexibility.
 They will be performance oriented, have a strong service ethic, span boundaries, and be adroit at
conflict avoidance and resolution.
 The public sector will increasingly manage without managers.
CHALLENGES OF PUBLIC ADMINISTRATION IN THE FUTURE
BALANCE-COMPETING VALUES
 Responsiveness, competent performances, protection of rights, and sensitivity to
community values are vital traditions in American democratic governance
WORKFORCE-CHANGES
 Public-sector organizations currently face major issues due to retirement, workforce
transition, and succession planning
GROWING DEMOGRAPHIC-ETHNIC DIVERSITY
 In the years ahead, most local communities will grow in size and be composed of an
older and more diverse group of citizens
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THE GROWTH OF INCOME INEQUALITY

 There are clear implications for administrators of the growing income gap between the
bottom and top of the economic spectrum
PERMANENT FISCAL CRISIS
 Many officials have been sounding the alarm for decade over rising debt, growing costs
of entitlements, and ownership of the U.S debt.
PROLIFERATION OF GOVERMENTAL JURISDICTION
 Local jurisdictions have grown dramatically since the 1960s. The pressures that have
created these governing entities are not going to dissipate in the foreseeable future.
INCREASING RELIANCE ON TECHNOLOGY

 The rapid growth of the information age has contradictory consequences for the work
of government.
SUPPORT TO FUTURE PUBLIC ADMINISTRATION
1. TOOLS (creativity, collaboration)

 It is important that administrators possess the tools necessary to perform this role
2. SUPPORT
 Career administrators occupy unique positions that enable them to maintain continuity
overtime and provide the institutional support necessary for making democracy
meaningful in the daily lives of citizens
3. OBLIGATION
 With these positions comes an obligation that helps preserve the integrity of many
governing systems- an obligation to work through changes in the future.
4. VALUES
 This obligation requires the balancing of competing values, which is a challenging but
not impossible task
FIVE PA FUTURE TRENDS AND CHALLENGES
Recognize and defend the unique contribution of public administration

The foundation for a new strategic plan should be a clear view of what public administration
has and can continue to contribute to governance in the United States.
Public administrators have always:

• helped to shape policy that serves the public,
• implemented policy and delivered services with a commitment to effectiveness and fairness,
accountability to political oversight and responsiveness to the public,
• managed resources with a commitment to efficiency and economy, and
• acted with independence guided by a commitment to the public interest.
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Expand the Commitment to Equity

PA cannot ignore the heritage to uphold and promote “equity” – procedural fairness and
greater citizen access. The future of PA rests on establishing a modern, professional, democratic
standards of fairness and due process and reducing favoritism and arbitrary treatment of citizens.
Respond proactively to the “New Governance”

New definition of upholding the 4 E’s means effective collaboration - public agencies working
along with nonprofits in addressing public problems and increasingly nonprofit and private business
being used as the agent for delivering public services.
Strategic Manpower Development issues in Public Sector

Growing number of retirements from government service means we need to educate and
develop and professionally train future public administrators!
 MPA programs must be ready to meet this challenge, and Universities and ASPA needs to
contribute to expanded professional development.
 May be useful to consider a campaign to recruit a “new generation of public servants.”
 But, call to service must not be to promote secure positions or to be a compliant technocrat —
but to inspire the new PA Generation to innovate, collaborate, effectuate and transform!
Recruit more students interested in doing Policy Research

Campaign to recruit “New Governance Scholars.” – students who enter programs in public
administration and public policy to gain understanding of:
 How societies govern themselves and to

 Generate new knowledge about the formation and implementation of policy,
 Political-administrative relations, implementation, the relationship between citizens and
government
 The management of public resources, the performance of public-private networks.
THE GOVERNMENT OF THE FUTURE
 The first item for the government of the future would be to remove the opaqueness and the
secrecy surrounding its activities and instead embrace accountability and transparency as the
motto. For instance, the government of the future is one where the citizenry is made aware of the
decisions taken by it rather than hiding under archaic laws and regulations in the name of
confidentiality.
 Apart from this, the government of the future is one that is proactive instead of reactive where it
anticipates the changing trends and responds accordingly instead of knee jerk reactions to events
and incidents. This means that the public servants have to be responsive to all the stakeholders
including their superiors, the elected representatives, and most importantly the citizenry instead
of favoring a particular section over the other.
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THE FUTURE OF PUBLIC ADMINISTRATION: E-GOVERNMENT
Reinventing Government in the Information Age
 Information is a central resource for all activities.

 In pursuing the democratic/political processes, in managing resources, executing
functions, measuring performance and in-service delivery, information is the basic
ingredient' (Isaac-henry 1997: I 32).
 Information age reform means an increasing role for information systems in public
sector change.
 Information technology (IT) can be defined as computing and telecommunications
technologies that provide automatic means of handling information.
 Information systems (IS) can be defined as systems of human and technical
components that accept, store, process, output and transmit information.
Information System–Supported Reform
1. Information to support internal management. This includes information about staff for
personnel management, and information about budgets and accounts for financial
management.
2. Information to support public administration and regulation. This includes
information that records the details of the main 'entities' in any country people,
business enterprises, buildings, land, imports/exports, etc.,
3. Information to support public services. This includes education (school records), health
(patient records), transport (passenger movement information) and public utilities
(customer billing information)
4. Information made publicly available
 Information government wishes to disseminate such as press releases, consultation
papers, details of policies, laws and regulations, and details of benefits and
entitlements;
 Information government collects that it may make available such as demographic
or economic statistics;
 Information government is required to supply such as performance indicators,
audited accounts, internal policy documents and correspondence, and responses to
requests from citizens or journalists or politicians.
 The role of information technology is much wider that just public administration
Reform.
 E-government refers to the delivery of information and services online through the
internet or other digital means.
 The e-government promises a new horizon in public administration as it will cut costs
and improve efficiency; meet citizen expectations; improve citizen relationship;
enhance citizen participation in administrative processes; increase effectiveness of
public control; facilitate economic development
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 Information is no longer “walled in”, no longer constrained by time and space.

Information is widely available to people regardless of status, position, wealth,
location, race, ethnic or culture.
 Information technology gives a new impetus to democracy as it opens up and widens
the way and means for popular participation in public decision-making processes.
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PA 203 – INTRODUCTION TO PUBLIC ADMINISTRATION

5.2 BUDGET ........................................................................................................................................... 52

TOPIC 1: PUBLIC ADMINISTRATION, DEFINITION, CONCEPTS,

1.1 WHAT IS PUBLIC ADMINISTRATION?

1.2 BRIEF OVERVIEW OF PRE-COLONIAL FORM OF GOVERNMENT

1.2.1 Pre-colonial Form of Government

 kin-based (blood relations)

- Functions of the barangay as a political organization includes:

- Responsible for mediation and conciliation of disputes and the prevention

- are titles used for native royalty

- in communities with Islam Influences – possesses almost “absolute

Leaders Duties/ Responsibilities

Datu/ Hari/ Raja/ Sultan Political and Economic Leadership

Babaylan/ Spiritual and Psychological matters

Bayani/ Raja Muda/ Specializes in Warfare and Security

Panday/ Manghahabi/ Responsible for Crafts and Technology

1.2.2 Public Administration in Pre-colonial Philippines

 Decisions or ordinances concerning the entire community is made through a consensus

1.3 THREE BRANCHES OF GOVERNMENT: ROLES AND ITS

1.3.1 EXECUTIVE BRANCH/ DEPARTMENT

Organizational Structure of the Executive Branch /Department

Key Roles of the Executive Branch

 THE CABINET (SECRETARIES)

22 Existing Department in the Philippine Government

POWERS OF THE PHILIPPINE PRESIDENT

1. Executive Power (Section 1)

- power to administer and enforce the laws, including the

2. Power of Appointment (Sections 14, 15 and 16)

-the power to select an individual who is to exercise the functions of

 Appointment – the act of selection or designation by the

a. Permanent Appointment - issued to a person who meets all

b. Acting or Temporary Appointment - made without security

c. Regular Appointment -requires confirmation of the

d. Ad Interim Appointment - requires confirmation of the

e. while the Congress is in recess. It shall only be effective only (a)

3. Power of Removal - the power to remove officials appointed by the

4. Power of Control (Section 17) - the power granted to an officer to alter,

 Power of General Supervision

5. Military Powers and Power to Enforce Laws (Section 18)

 The President as the Commander-in-Chief

 he is authorized to direct movements of the naval and military

 Suspension of Writ of Habeas Corpus

 Writ of Habeas Corpus -an order requiring a person or an officer

6. Pardoning Power (Section 19) - Power to grant reprieves,

 Scope of the Pardoning Power

7. Borrowing Power (Section 20) - pertains to the power to contract or

- must have a prior concurrence of the Monetary Board

 The President as the Chief Diplomat - the President exercises

a. Power to Send and Receive Diplomats - power to

b. Power of Recognition - power to recognize the legitimacy

c. Treaty-Making Power - power to enter into treatise and

the nation, suggesting to the legislature some important policies that

11. Other Powers of the President

1.3.1 LEGISLATIVE BRANCH

 SENATE (UPPER HOUSE) - Ratifies treaties and approves presidential

1.3.2 JUDICIARY BRANCH

 SUPREME COURTS – To ascertain whether the laws are executed and

1.4 CLASSICAL, MODERN AND POSTMODERN APPROACHES OF

1.4.1 THE PUBLIC AND PRIVATE ADMINISTRATION

Public Administration is a political process. On the other hand, the Private

Meaning Public administration refers to orderly Private administration is the

What is it? It is a political process. It is a business activity.