The handbook of federal government leadership and administration : transforming, performing, and innovating in a complex world

333 Pages·2017·2.95 MB·English

by  Rosenbloom

The Handbook of Federal Government
Leadership and Administration
The editors have assembled a first-rate group of contributors to assess the enduring ques-
tions about federal executive branch leadership and bureaucratic service in America. The
authors’ mix of academic and practical experience provides the reader a nice balance
of perspectives. They recognize that effective federal bureaucratic leadership is more
important than ever.
Paul Teske, University of Colorado Denver, USA
Public management is context dependent, rather than generic. That may sound obvi-
ous, but in the late 1920s through the 1930s, a dominant strand of thought considered
public administration to be a “single process,” wherever practiced. Today by contrast,
federal administration is distinguished from private enterprise, nonprofit management,
and state and local governmental practices by the combined effects of its scope and
scale; the constitutional separation of powers, federalism, and protection of individual
rights; and administrative law requirements for stakeholder participation, representa-
tion, transparency, privacy, due process, and other democratic-constitutional values.
The Handbook of Federal Government Leadership and Administration is a state-of-
the-art guide to the unique features of federal administration, informed by the latest
theoretical developments, research, and practical applications and the leadership and
management of federal agencies.
Written by “pracademics” with federal practitioners specifically in mind, the hand-
book is designed to bridge the gap between academic and applied public administration
by identifying what resonates with practitioners as they search for usable theories and
research findings to improve performance. Combining rigor and relevance in the study
and practice of federal administration, it includes chapters on theory, history, reform
initiatives, leadership, necessary skill sets, budgeting, power and influence, political
embeddedness, change management, separated and shared executive, legislative, and
judicial powers, effective communication, ethics, and emerging concepts and challenges.
It will be essential reading for federal practitioners, scholars, and “pracademics” alike.
David H. Rosenbloom is a Distinguished Professor of Public Administration in the
School of Public Affairs at American University, USA.
Patrick S. Malone is a professor and the Director of Key Executive Leadership Pro-
grams in the School of Public Affairs at American University, USA.
Bill Valdez is a retired Senior Executive, having served 20 years at the U.S. Depart-
ment of Energy, and is the President of the Senior Executives Association and an
Adjunct Faculty at American University.
American Society for Public Administration
Series in Public Administration and Public Policy
David H. Rosenbloom, PhD, Editor-in-Chief
Mission: Throughout its history, ASPA has sought to be true to its founding princi-
ples of promoting scholarship and professionalism within the public service. The
ASPA Book Series on Public Administration and Public Policy publishes books
that increase national and international interest for public administration and dis-
cuss practical and cutting-edge topics in engaging ways of interest to practitioners,
policy makers, and those concerned with bringing scholarship to the practice of
public administration.
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The Handbook of Federal Government Leadership and Administration
Transforming, Performing, and Innovating in a Complex World
Edited by David H. Rosenbloom, Patrick S. Malone, and Bill Valdez
The Handbook of Federal
Government Leadership
and Administration
Transforming, Performing, and Innovating
in a Complex World
Edited by David H. Rosenbloom,
Patrick S. Malone, and Bill Valdez
First published 2017
by Routledge
711 Third Avenue, New York, NY 10017
and by Routledge
2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN
Routledge is an imprint of the Taylor & Francis Group, an informa business
© 2017 Taylor & Francis
The right of the editors to be identified as the authors of the editorial material, and of the authors for
their individual chapters, has been asserted in accordance with sections 77 and 78 of the Copyright,
Designs and Patents Act 1988.
All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form
or by any electronic, mechanical, or other means, now known or hereafter invented, including
photocopying and recording, or in any information storage or retrieval system, without permission in
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Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are
used only for identification and explanation without intent to infringe.
Library of Congress Cataloging-in-Publication Data
Names: Rosenbloom, David H., editor. | Malone, Patrick S., editor. | Valdez, Bill, editor.
Title: The handbook of federal government leadership and administration: transforming,
performing, and innovating in a complex world / edited by David H. Rosenbloom, Patrick S.
Malone, and Bill Valdez.
Description: New York, NY: Routledge, 2016. | Series: ASPA series in public administration &
public policy | Includes bibliographical references and index.
Identifiers: LCCN 2016020666 | ISBN 9781498756402 (hardback: alk. paper) |
ISBN 9781315439242 (ebook)
Subjects: LCSH: Administrative agencies—United States—Management. |
Public administration—United States. | Government productivity—United States.
Classification: LCC JK421 .H287 2016 | DDC 352.23/60973—dc23
LC record available at https://lccn.loc.gov/2016020666
ISBN: 978-1-498-75640-2 (hbk)
ISBN: 978-1-315-43924-2 (ebk)
Typeset in Times New Roman
by codeMantra
Contents
List of Figures vii
List of Tables viii
Preface ix
DAVID H. ROSENBLOOM
Acknowledgments xi
1 The Bureaucratic Landscape: Origin and Implications for the
FederalLeader 1
PATRICK S. MALONE
2 Federal Administrative Leadership in the American
Political System 24
ROBERT F. DURANT
3 Theory and Practice in Federal Government Executive
Branch Leadership and Administration: Developing Rigorous
ApproachestoEffective Government 55
BILLVALDEz
4 Leadership and Management: The Use of Distributed Power
andInfluence in a Changing Federal Government 78
ANDREW RAHAMAN
5 Leadership Development: An Investment Necessary
to Increase Federal Employee Engagement and Federal
GovernmentProductivity 113
ROBERT M. TOBIAS
6 Administering and Leading in theFederal Government:
The Need for an Adaptive Leadership Approach for
21st-Century Leaders 136
RUTHzAPLINAND BILLVALDEz
vi Contents
7 Leading with Integrity 153
DONALD G. zAUDERER
8 Communicating to Drive Engagement and Trust 171
ANGELO IOFFREDA
9 A Review of Federal Government Reform Initiatives
Since the Passage of the Government Performance
and Results Act of 1993 197
NANCY KINGSBURY
10 Change Management in Federal Government Organizations 209
RUTH S. WAGNER
11 Leading in the Context of Constitutional Government 237
JOSEPH V. KAPLAN
12 Understanding the Federal Budget: Where Policy Meets Money 252
NEILE L. MILLER
13 Emerging Challenges for Federal Government Leaders 271
Data as an Asset—Big Data: Lost in Space 271
JOYCE HUNTER
Workforce Analytics: Data-Driven Human Capital Management 277
ANITA BLAIR
Cultivating Resilience: A Modern Day Organizational Imperative 282
DAVID A. BRAY AND CHARLES R. RATH
Do’s and Don’ts of Social Media in the Federal Government 288
KIM MOSSER KNAPP
The Entrepreneurial Species within the Federal Government
Innovation Ecosystem 294
AVERY SEN
About the Editors 305
About the Contributors 307
Index 311
Figures
4.1 Framework of the Existing Definition of Leadership 101
4.2 A Framework Based on the Direction, Alignment,
Commitment Ontology 103
4.3 Responses to the Question: What Kind of Leader and
Leadership Skillsand Traits Do We Need Now and
into the Future? 106
10.1 Lewin’s Original Change Theory: Unfreeze-Change-Refreeze 219
10.2 Bridges’ Transtions Model Depicting the Dominance of
the Three Phases over Time 221
12.1 “The Vicious Cycle”: Organizational Involvement in
Budget Process 260
12.2 Federal Budget Process Overview 262
13.1 The Relationship between Big Data and Open Data 274
Tables
1.1 United States Constitution—Article 2 2
1.2 The Government of the United States 5
4.1 Elements of Management and Leadership 85
4.2 The Power Taxonomy of French and Raven (1959) 86
4.3 Major Theories of Leadership from the 1890s to the Present 88
4.4 Overview of Leadership Theories and Social Systems from
1890 to the Present 99
4.5 Comparisons of Evolving Views of Leadership 100
4.6 Evidence of Direction, Alignment, and Commitment 102
5.1 Government-Wide Employee Engagement Scores (%) 119
5.2 Intrinsic Work Experience Questions (%) 120
5.3 Supervisors Lead Questions (%) 121
5.4 Leaders Lead Questions (%) 122
5.5 Training Provided to Members of the SES (%) 124
9.1 Legislative Reforms Supporting the CFO Act and GPRA,
1990–1996 201
10.1 Planned and Emergent Change: Features, Descriptions,
and Synonyms 212
10.2 Examples of Internal Drivers of Change 216
10.3 Kotter’s Eight-Step Process for Leading Change 220
10.4 Recommendations for Enhancing Change Management 225
10.5 The Change Equation 227
Preface
David H. Rosenbloom
The Handbook of Federal Government Leadership and Administration: Trans-
forming, Performing, and Innovating in a Complex World uniquely contributes
to contemporary knowledge about U.S. federal administration. First, it provides a
state-of-the-art guide, informed by the latest theoretical developments, research,
and practical applications, to the leadership and management of federal agencies.
Second, it is largely written for federal practitioners by “pracademics” (public
administration practitioners, with academic appointments who teach graduate
courses at universities). Third, it can help bridge the gap between academic and
applied public administration by identifying what resonates with practitioners as
they search for usable theories and research findings to improve performance. In
short, the book is a self-conscious collaborative effort by pracademics, practitio-
ners, and academics, mostly associated with American University’s Key Execu-
tive Leadership Programs, to achieve the elusive goal of combining rigor and
relevance in the study and practice of federal administration. Each of these dis-
tinctive features of the book merits further elaboration.
The underlying premise for the book’s focus on federal leadership and admin-
istration is that public management is context dependent, rather than generic.
Nowadays this may seem obvious, but that was not always the case. In the late
1920s through the 1930s, a dominant strand of thought considered public adminis-
tration to be a “single process,” wherever practiced. Today by contrast, we recog-
nize that federal administration is distinguished from private enterprise, nonprofit
management, and state and local governmental practices by the combined effects
of its scope and scale; the constitutional separation of powers, federalism, and
protection of individual rights; and administrative law requirements for stake-
holder participation, representation, transparency, privacy, due process, and other
democratic-constitutional values. The distinctive characteristics of federal admin-
istration are analyzed throughout the book’s chapters on theory, history, reform
initiatives, leadership, necessary skill sets, budgeting, power and influence, politi-
cal embeddedness, change management, separated and shared executive, legisla-
tive, and judicial powers, effective communication, ethics, and emerging concepts
and challenges.
The book’s editors relied heavily on pracademic authors in an effort to
combine theory, research, and practice. Failure to connect these three aspects
of applied knowledge has been a longstanding problem in the field of public