Chief Executives and Administrative LeadershipIntroduction to Public Administration

Introduction

• The human relations school of organizational theory stressed the importance of leadership.

• Leadership is one of the key factors that can determine:• The success or failure of a public organization to deliver services, administer

policy, and properly function.• Whether subordinates “fall in line” with the will of both elected and unelected

leaders.• How well agencies perform.

The Context of Administrative Leadership

• Chief executives are typically elected officials or officials immediately responsible to elected officials (city managers).• Chief executives are viewed by the public as being primarily responsible for the success or failure of public organizations.• The reality however is that chief executives cannot always influence the bureaucracy as there is variation in the amount of

powers that chief executives possess:• Chief executives face challenges from other principals:

• Legislative branch• Judiciary• Media• Opposition parties

• Chief executives may also face:• Internal opposition (not a principal)

• Two primary factors shape the ability of chief executives to influence the bureaucracy:• The general nature of the relationship between the two actors • Tools of control chief executives possess to influence the bureaucracy

Executive-Bureaucratic Relationship

• All chief executives seek to have their policy goals become formalized policy.• Policy development – general political and governmental process of formulating relatively concrete goals and

direction for government activity and specific programs related to these goals.• Expertise:

• Relationship between the level of expertise possessed by an agency and the level of independence the agency has.• Chief executives can close this knowledge gap to a certain extent by calling upon experts outside the agency (including other agencies).

• Chief executives also need to have administrators implement their programs and policies.• Policy implementation – general political and governmental process of carry out programs to fulfill specified

policy objectives (putting policy into effect).• Creates chief executive dependence upon agencies to accomplish executive goals.

• The final dilemma is that chief executives need agencies to continue to comply with the preferences of the executive.• Chief executives can use:

• Agenda setting (public influence)• Legislative role (legislative influence)• Administrative role (bureaucratic influence)

Executive Controls Over the Bureaucracy

• Four categories of controls:• Budgetary Controls• Legislative Controls• Personnel Controls• Information Controls

Executive Controls Over the Bureaucracy: Budgetary Controls (Federal)

• The Office of Management and Budget (OMB)• Budget Decisions

• Works directly for the president.• Has direct knowledge of the executive’s policy preferences and priorities. • All budget requests by other agencies are sent to the OMB (centralization).• Limitations:

• Divided government• Clashes over the budget.

• Government shutdowns under Clinton.

• OMB Preclearance of Proposed Rules (Central Clearance)• Executive orders – formal statements by the president with which executive agencies are required to comply.• Executive order 12291 (2/17/1981)

• All agencies are required to conduct cost-benefit analyses of any new rules. • No rule may be promulgated if the total costs outweigh the total benefits.

• Executive order 12498 (1/4/1985)• All agencies must submit their cost-benefit analyses to the OMB for review.• OMB must examine agency analysis and provide a report to the agency and the president, noting objections• All agencies must respond to OMB objections either by withdrawing or amending the proposed rule, or by formally contesting the OMB.

• OMB can then bring all rules into line with presidential goals and agenda.

Executive Controls Over the Bureaucracy: Budgetary Controls (State)

• Variation• With 50 states with 50 different constitutions, there obviously great variation with

respect to how much power executives at the state and local level have over budgets.

• Generally speaking, governors and local chief executives have less power over the budget when compared to the president.• State constitutions place limits.

• Recent strengthening of gubernatorial power.

Executive Controls Over the Bureaucracy: Legislative Influence

• The president shares the legislative power through:• Veto power – constitutional power of an elected chief executive to overrule a bill passed

by a legislature.• This includes appropriation bills.

• 43 out of 50 governors have:• Line-item veto – constitutional power under which a governor may disapprove of some

provisions of a bill while approving others.• Congress attempted to give this power to the president, but this was ruled unconstitutional: • Clinton v. City of New York (1998)

• Legislative influence increases power over the budgets of agencies.• More control

Executive Controls Over the Bureaucracy: Personnel Controls

• Patronage vs. Merit• Patronage is based on political loyalty to the chief executive.• Merit is based on the qualifications of civil servants including education, experience, expertise, and competence.

• Appointment/Removal Power• President appoints roughly 3,000 bureaucratic officials.

• Includes:• Cabinet members• Heads of agencies• Senior Executive Service• Ambassadors

• The president will appoint likeminded individuals to these positions in order to increase the likelihood that his/her policy preferences will extend further into the bureaucracy.

• Fear of removal is intended to ensure that appointees follow the president’s will.• Limitations:

• Impossible to monitor 3,000 people• Appointments of top-level officials does not ensure lower-level bureaucrats will follow.

• Heclo – “A government of strangers.”• Bureaucratic resistance – feature of administrative agencies that emphasizes gradualism and caution when dealing with newly appointed leadership.• “Going native”

• Appointees can have other loyalties:• Senate confirmation

Executive Control Over the Bureaucracy: Personnel Controls

• Reorganization• Reorganization – authority delegated by the legislature to the chief executive to add or subtract staff positions, or to restructure organizational

arrangements, to achieve policy goals as well as increased economy, efficiency, and effectiveness of bureaucratic agencies.• The latter part of the definition is usually the most attractive reason for reorganization as the public views the bureaucracy as ineffective and inefficient.

• Example:• Homeland Security Act of 2002

• Reorganization may include:• Reduction-in-Force – subtraction of staff positions or agencies.

• Consolidation • Streamlining

• Restructuring of organizational arrangements• Purpose:

• Helps achieve policy goals.• Increased economy, efficiency, and effectiveness

• Control:• Threat of job loss• Threat of dissolving the agency

• Limitations:• Not a tool that can be used over and over or it will seem illegitimate.

Executive Controls Over the Bureaucracy: Information Resources

• Information Resources• Control of information

• The ability of a chief executive to control information can determine his or her ability to maintain control over the bureaucracy.• Considerations:

• The complexity of the bureaucratic structure• The level of specialization of knowledge

• The Executive Office of the President• Strategies:

• Increase the scope and authority of the EOP.• Create task forces.• Foster the ability of information to flow from the bottom up without fear of reprisal.• Make use of external sources of information (interest groups, media).• Creating informal lines of information• Withholding of information:• Executive Privilege – the claim, largely unsupported by federal courts, made by presidents that confidential information exchanged between

themselves and advisors cannot be released without the president’s approval.• Classifying information

• While these strategies exist, the information gap between the president and expert bureaucrats remains a problem for chief executives seeking to maintain control over the bureaucracy in hopes of achieving policy goals.

Factors that Affect Chief Executive “Success”

• Legislative support• Divided government• Public support

• The ability of the executive to push for preferred policies and programs• Crisis management• Control over personnel decisions• Effective use of reorganizations

• The ability to control and obtain information

Information Not Covered

• Organizational Setting of Leadership• Approaches to the Study of Leadership• Traits Approach• Situational Approach

• Challenges of Administrative Leadership• Leader as…• Director• Motivator• Coordinator• Catalyst• Gladiator• Crisis Manager

• What Makes an Effective Leader?