Dubnick, Melvin J. and H. George Frederickson, Public Accountability: Performance Measurement, The Extended State, And The Search For Trust. (Washington DC: National Academy of Public Administration / Dayton, OH: The Kettering Foundation, 2011).
Abstract:
In an Academy partnership with the Kettering Foundation, National Academy of Pubic Administration Fellows Melvin J. Dubnick and H. George Frederickson have completed a study of accountability. The study, Public Accountability: Performance Measurement, The Extended State, and the Search for Trust, is a treatment of the strengths and weaknesses of contemporary applications of accountability to public affairs. The working title of the study was Public Accountability: From Ambulance Chasing to Accident Prevention, but that title was thought to lack the dignity such an important subject deserves. Dubnick and Frederickson challenge the often assumed relationship between performance measurement and accountability. They give special attention to accountability challenges associated with the outsourcing of government work, what they call the Extended State. And, they provide examples of effective public accountability in the context of high trust public-private partnerships.
AI-Generated Summary:
This document explores the concepts, challenges, and implications of public accountability and performance measurement within modern government and administrative systems.
Concept and Ambiguity of Accountability
- Accountability is a social relationship involving at least two parties with expectations for account giving.
- Its broad and ambiguous nature makes it susceptible to rhetorical use and manipulation.
Relationship Between Accountability and Performance
- Modern reforms often assume a direct link between accountability and improved government performance.
- The connection is untested, and the relationship is complex, especially in the context of the Extended State.
Promises and Problems of Pre-Factum Mechanisms
- Pre-factum mechanisms aim to prevent issues before they occur, like record-keeping and audits.
- Overreliance on these tools can disconnect them from post-factum accountability, leading to dysfunctions.
Challenges in the Extended State
- Outsourcing and third-party management complicate accountability, control, legitimacy, and performance.
- The belief that accountability mechanisms alone can achieve core governance goals is unsubstantiated.
Control, Legitimacy, and Performance Objectives
- Governments seek control through bureaucratic processes, legitimacy via democratic norms, and performance outcomes.
- These objectives are often addressed with pre-factum measures, which may create new problems.
Historical and Modern Control Mechanisms
- Bureaucratic control relies on hierarchy, standard procedures, and merit-based appointments.
- Dark sides include dehumanization and bureaucratic thoughtlessness, impacting accountability quality.
Effectiveness and Limitations of Bureaucratic Accountability
- Pre-factum arrangements were initially linked to post-factum controls but proved effective on their own.
- These mechanisms rely on a simple logic that imposing accountability ensures compliance and control, aiming for efficiency and rationality.
Promises and Challenges of Performance Measurement
- Performance measurement is widely adopted to assess and improve organizational effectiveness, often linked to accountability.
- In practice, measures are interpretative, biased, and often serve as tools for debate rather than objective facts, with outcomes difficult to attribute directly to programs.
Democratic Legitimacy and Citizen Engagement
- Accountability is central to democracy, primarily through elections and legal norms, but these are intermittent and often favor incumbents.
- Citizens desire broader participation and direct engagement, emphasizing deliberation and local involvement over traditional electoral accountability.
Impact of Outsourcing and Extended State
- Delegating public functions to third parties complicates accountability and democratic legitimacy.
- Effective structuring of relationships between elected officials and agencies is essential to maintain accountability in delegated or outsourced functions.
Problems with Performance-Based Accountability
- There is an inherent paradox where accountability systems often focus on paperwork rather than actual performance.
- Research shows that increased accountability can sometimes worsen decision-making and organizational performance due to cognitive and institutional complexities.
Limitations of Performance Measurement as a Policy Tool
- Measures are often proxies, surrogates, or process indicators, not direct outcomes, especially in complex or intractable social issues.
- Comparing organizations across different contexts is problematic, and causality remains difficult to establish reliably.
Innovation and High-Stakes Testing
- High-pressure performance regimes like No Child Left Behind can stimulate innovation but often lead to gaming and superficial improvements.
- Overly managed environments may hinder genuine innovation, favoring risk-averse behaviors and short-term gains over long-term progress.
Political and Social Influences on Policy
- Policy shifts are driven more by circumstances, values, and rhetoric than by performance data.
- Resilient institutions and trusted processes are crucial for effective responses to crises, beyond mere accountability measures.
Role and Limitations of Performance Metrics
- Performance measures are interpretative and often serve as questions rather than definitive facts.
- They are useful for guiding questions, incremental improvements, and comparisons but are limited by data quality and contextual differences.
Challenges of Innovation Management
- Innovation thrives in loosely managed, flexible environments, not in tightly controlled, highly measured settings.
- Excessive performance pressures can stifle creativity and lead to dysfunctional behaviors, especially in education and public services.
Evolution of Performance Measurement Systems
- The Balanced Scorecard (BSC) shifted from a performance measurement tool to a strategic management framework.
- BSC aims to create organizations capable of shaping future circumstances through coherent measures, but results depend heavily on culture and leadership.
Limitations of Performance Measurement in Public Sector
- Performance measures often reinforce old machine management models, reducing flexibility and innovation.
- Measures tend to focus on processes or surrogates rather than outcomes, limiting their impact on long-term investments and innovation.
The Extended State and Outsourcing Impact
- The modern federal government relies heavily on third parties, with more contract employees than civil servants.
- Outsourcing complicates accountability, especially as agencies contract out most substantive work, making oversight challenging.
Accountability in Third-Party Networks
- Accountability weakens as implementation travels through layers of third parties, especially in loosely coupled arrangements.
- Performance measurement mechanisms are less effective when third parties are distant from agency goals, reducing accountability.
Accountability Cultures and Trust
- High-trust cultures, based on professionalism and shared values, foster effective accountability even in decentralized systems.
- Trust reduces reliance on strict pre- and post-factum mechanisms, crucial for managing complex, outsourced public functions.
High-Reliability Organizations and Accountability
- Systems like commercial air travel exemplify high-reliability organizations with tight coupling, redundancy, and extensive training.
- These systems operate with a strong accountability culture rooted in shared norms and high trust, ensuring safety and efficiency.
Reconceptualizing Public Accountability
- Modern public administration emphasizes the public’s broader concept beyond government, including nonprofits and private firms.
- Strengthening public accountability involves fostering high-trust cultures across all organizations engaged in public work.
Challenges of Outsourcing and Collaboration
- Outsourcing reduces traditional accountability, but professional and moral communities can sustain high-trust accountability.
- Effective governance in the Extended State depends on developing accountability cultures that promote trust and shared values.
Concept of Collaborative Governance and Public Goals
- The book emphasizes engaging private sectors at all government levels to achieve public goals more effectively.
- It highlights the distinction between governance (engagement) and government (formal authority).
Role of Nongovernmental Organizations in Public Work
- Many nonprofits and corporations contract for public tasks, acting as trusted partners.
- The emergence of a public ethos and pre-factum accountability in these organizations is questioned.
Accountability in Modern Governance
- Accountability involves organizational control, performance measurement, and democratic oversight.
- Democratic accountability is weak at the national level but stronger locally through social capital and civic deliberation.
Social Capital and High-Trust Cultures
- High social capital correlates with better health, education, safety, and economic strength.
- High-trust environments foster effective public accountability and civil deliberation.
Public Accountability and Its Applications
- Public accountability is vital for modern policy, involving both post-event and pre-emptive practices.
- Its success depends on organizational culture, trust, and context-specific practices.