Elements
of Effective
Governance
Measurement,
Accountability
and Participation

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Elements of Effective Governance: Measurement,
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Kathe Callahan
Rutgers University

Newark, New Jersey, U.S.A.
CRC is an imprint of the Taylor & Francis Group,
an informa business
Boca Raton London New York
Elements
of Effective
Governance
Measurement,
Accountability
and Participation

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Elements of effective governance: measurement, accountability, and participation
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ix

CONTENTS




SECTION I: INTRODUCTION TO GOVERNMENT
PERFORMANCE
1

Results-Oriented Government 5

Exploring Results-Oriented Government 8
National Performance Review 12
Government Performance and Results Act (GPRA) 14
Program Assessment and Rating Tool (PART) 16
Mandating Results 17
Facing Challenges Associated with Results-Based Management 18
Dealing with the Ramifications of Results Orientation 19
References 20

2

Why Measure? 23

Why Public Managers Should Measure Performance 26
The Limitations of Performance Measurement 41
What the Skeptics Have to Say 41
Conclusion 44
References 45

3


What to Measure? How to Measure? 47

Where to Begin 47
What to Include? 49
Performance Indicators 49
Before Getting Started 54
Clarifying the Purpose of the Performance Measurement System 55
Building a Team 56
Articulating the Overall Mission 57
Developing Measurable Objectives 57
Identifying the Program to Be Measured 59
Stating the Purpose and Identifying the Desired Outcome 60
Selecting Measures or Indicators 60

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Elements of Effective Governance

Clarifying the Link between Performance Target and Mission 61
Setting Standards for Performance and Outcomes
(Targets for Accomplishment) 61
Locating Models 62
Developing a Data Collection and Reporting System 62
Monitoring and Communicating Results 64
Performance Reporting 64
Developing Criteria for a Good Set of Performance Measures 68

Conclusion 69
References 70

4

Communicating Results 73

What to Include in a Performance Report 76
Reporting Formats 101
Conclusion 103
References 103

SECTION II: INTRODUCTION TO PUBLIC SECTOR
ACCOUNTABILITY
5

Public Sector Accountability 107

What Exactly Do We Mean by Public Sector Accountability? 109
Accountability, Responsibility, and Obligation 110
Approaches to Accountability and Accountability Frameworks 112
Traditional Accountability 113
Multiple and Competing Expectations 114
Bureaucratic Accountability 114
Legal Accountability 115
Professional Accountability 115
Political Accountability 116
Compliance, Performance, and Capacity 116
Finances, Fairness, and Performance 117
Accountability Environment 118

Accountability Relationships and Behaviors 120
Conclusion 122
References 123

6

Accountability Dilemmas 125

The Dilemma of Meaning 125
Accountability, the Word—Accountability, the Concept 126
Administrative Rhetoric and Reform 127
Accountability Paradox 130
The Dilemma of Compliance 131
The Dilemma of Performance 132
Unintended Consequences 135
Accountability for Performance with Interagency Collaborations 138
Conclusion 140
References 142

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Contents

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xi

SECTION III: INTRODUCTION TO PUBLIC PARTICIPATION
7


Citizen Participation 149

Dilemma of Meaning 150
Language of Reform 151
Democratic Theory and Citizen Participation 153
Direct and Indirect Participation 156
Rationale for Public Participation 157
Conventional Participation 158
Problems with Conventional Participation 161
Collaborative Governance 161
The Dilemmas of Citizen Participation 166
Conclusion 168
References 169

8

Models of Participation 173

Models of Citizen Participation 175
From Active to Passive 177
Customer–Owner Model 178
Citizen as Shareholder 180
An Evolutionary Continuum 180
Changing Relationships and Administrative Reform 182
Measurement and Accountability 188
References 189

9

The Changing Role of Public Administrators 193


Changing Expectations 196
Models of Management and Management Skills 197
Traditional Public Administration 197
New Public Management 198
New Public Service 199
Citizen Governance 200
Transformation of Governance 201
Investing in Human Capital 204
Conclusion 207
References 208

SECTION IV: INTRODUCTION TO AN INTEGRATED
APPROACH
10

Strengthening the Concepts 213

A Model for Improving Outcomes and Results 216
Performance Measurement 218
Public Sector Accountability 221
Citizen Participation 223
Successful Initiatives 226
Advancing an Integrated Framework 229
References 231

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Elements of Effective Governance

SECTION V: INTRODUCTION TO CASE STUDIES
11

Can Baltimore CitiStat Work for Other Communities? 237

Phineas Baxandall and Charles C. Euchner

What Is CitiStat? 239
Similar But Different: What CitiStat Is Not 242
Six Simple Rules for Launching CitiStat 243
Frequently Asked Questions 250
What Is to Be Done? 253
Appendix 1 Excerpt from CitiStat Transportation Report 255
Appendix 2 Map from CitiStat Parks and Recreation Report 258
Appendix 3 Excerpts from CitiStat Health and Human Service Report 259

12

The Myth of Performance-Based Accountability:
The Case of Newark Charter Schools 261

Louisa Visconti

Evolution to Performance-Based Accountability 263
New Jersey’s Charter Movement 265
Newark’s Charter Schools 265

The Scope and Sample of the Study 266
Profiles of the Study Sample 267
Research Methods and Analysis 269
Findings 269
Conclusions Regarding Charter School Accountability 278
References 279

13

Citizen-Driven Government Performance:
Process and Implementation Strategy 281

Overview of the Community 281
The Early Stages of the Project 283
Assessment Phase 285
Performance Measurement, Strategic Planning, and “Public Vision” 287
Opportunities and Challenges Identified Early in the Project 288
Flexible Plans and Strategies 290
Types of Meetings and Group Processes for Citizen Participation 291
Key Accomplishments, Products, and Observations 291
Lessons Learned Concerning Citizen-Driven Performance Assessment 304
Postscript 307
Observation on the Community Characteristics 308

14

A Unique Civic Engagement Tool: AmericaSpeaks:
21st Century Town Meeting 309

Maria D’Agostino


21st Century Town Meetings 311
Process 313
Cases: 21st Century Town Meetings 314
Listening to the City 314

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xiii

Americans Discuss Social Security 317
Citizen Summits in Washington, D.C. 318
Neighborhood Action 319
Citizen Summit I and Citizen Summit II 319
Citizen Summit III 322
Summary 323
References 325

15

Fairfax Measures Up: Key Factors in the
Design and Implementation 327

Angie McGuire and Kathryn Kloby

Fairfax County, Virginia: Background 328

Structure and Services 328
Four Keys for Designing a System of Performance 331
Implementation: The Performance Measurement Infrastructure 334
Information Technology 335
The Family of Measures Approach 336
The Performance Measurement Team 339
Professional Training 341
The Role of Listening 342
Broadening the Measurement Focus: Strategic Planning and Thinking 342
Citizen Participation 345
Conclusion 347
References 347

Index 349

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xv

THE EDITOR

Kathe Callahan

is an assistant professor of public administration at
Rutgers, the State University of New Jersey, Campus at Newark. Professor
Callahan publishes on the topics of citizen participation, government
performance, and public sector accountability. Her research has been
published in the


Public Administration Review, Public Performance and
Management Review, International Review of Public Administration,

the

Journal of Public Budgeting, Accounting and Financial Management,

and
the

International Journal of Public Administration

. Along with Marc
Holzer, she co-authored the book

Government at Work

, which highlights
the practices of innovative public sector programs and tells the stories of
public servants dedicated to improving the performance of government
programs and enhancing the overall quality of life.

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xvii

PREFACE


As an academic who teaches courses on performance measurement and
public sector accountability, I continually ask myself, and my students,
questions about government performance. What can be done to strengthen
performance measurement systems so that the information collected
informs decision making and ultimately contributes to improved govern-
ment performance? How can we develop indicators of performance that
are meaningful to citizens and public administrators? How do we effec-
tively communicate these measures to the public so that citizens can hold
government accountable for results that really matter? How can we develop
appropriate participation techniques to foster and sustain meaningful
citizen involvement? This book provides students and practitioners with
the opportunity to wrestle with these questions by acquainting them with
the basic themes, concepts, and competencies of accountability, govern-
ment performance, and citizen participation.
I wrestled with these questions myself, and I struggled with the dilem-
mas associated with each of these concepts as I wrote this book. I am an
advocate of direct citizen participation, I recognize the value of perform-
ance measurement and the importance of public sector accountability;
however, I found myself questioning the value of each of these concepts
as I presented the opposing views and the problems associated with
holding individuals and organizations accountable for results and the
burden placed on organizations to measure, document, and report just
about everything they do. I was able to reconcile this conflict when I
acknowledged that the problems associated with each concept do not
undermine the value and importance that each brings to democratic
governance, but rather the problems reflect the way each concept has
been conceptualized and implemented under the New Public Management.
The dilemma associated with performance measurement is not with
the value of the management tool itself, but with how it has been


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Ⅲ

Elements of Effective Governance

implemented in many public organizations. The problem is too much data
is being collected and too much measuring is going on. The public sector
needs to focus on a few compelling measures of performance that can
tell the story of how well, or how poorly, a public organization or program
is performing. These measures should resonate with a variety of stake-
holders—citizens, elected officials, the media, business leaders, nonprofit
organizations, researchers, and public sector employees—to advance dia-
logue and discussion surrounding government performance, to inspire
managerial thinking that promotes informed decision making, and ulti-
mately improve government performance.
The dilemmas associated with accountability result from the narrow
way it has been defined in recent years. Accountability is the word we
use most often when we attempt to sort out issues of right and wrong,
good and bad, honest and dishonest, fair and unfair; yet relying too much
and too often on any word reduces its long-term value and credibility.
The reality in today’s managerial environment is that many public admin-
istrators feel the pressure of the

word

accountability, not the obligation

of the

concept

of accountability. The expectation to measure everything
they do and to give detailed accounts of their performance has relegated
the broad concept associated with good governance to a narrow mana-
gerial concept. Public administrators have little time to reflect on the broad
concept of accountability and their moral commitment to serve the public.
The dilemma with citizen participation rests, in part, with the competing
perspectives of what it means to be a citizen and what it means to
participate. There is a great divide between the ideal of direct citizen
participation and the actual practice of citizen participation. The ideal is
something we can all embrace as it is intuitively appealing. The actual
practice of citizen participation is far more complex and difficult for many
to envision. Meaningful participation is often perceived as inherently prob-
lematic because there is confusion about what it looks like in practice and
what it is supposed to accomplish. Citizen participation, in the context of
this book, refers to the involvement of citizens in the administrative deci-
sions of the state, yet even with this explicit definition questions remain
surrounding what it actually looks like and how it takes shape. All too
often, what passes for citizen participation is a hollow exercise that rein-
forces the administration’s position and denies citizens a true voice in the
process. The challenge for many public administrators is finding the right
balance between rational, responsive, and efficient administration with
open, deliberate, and collaborative decision making.
The primary focus of this book is local government, but the ideas are
applicable to other levels of government, as well as the nonprofit sector.
The discussion of administrative reform takes place at the federal level,
yet how these reforms impact local government is widely recognized.


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Preface

Ⅲ

xix

Throughout the book the terms public administrator and public manager
are used interchangeably, as are the terms public organizations and public
agencies. When I refer to citizens, I refer to citizens in the broadest
sense—inhabitants of a particular place, residents of a city or town. The
term is not meant to exclude members of society who by place of birth
are not entitled to the privileges or bound by the obligations legally
associated with formal citizenship.
Finally, the ideas and concepts presented here are not new; they have
been presented before, but what I have attempted to do is bring them
together under one heading and demonstrate the importance of their
mutually reinforcing relationships. The assumptions and dilemmas pre-
sented in this book reflect the contributions of researchers and academics
whose work I admire and whose writings resonate with me; in particular,
Bob Behn, Mel Dubnick, Kevin Kearns, Janet Kelly, Don Kettl, Cheryl
King, Phil Jos, Beryl Radin, Nancy Roberts, Barbara Romzek, and Hindy
Schachter. I hope this book resonates with readers in a similar way and
that it presents some questions and makes some observations that public
administrators and students of public administration will find useful as
they design and develop strategies to improve government performance,
demonstrate accountability, and facilitate meaningful dialogue with the
public they serve.


Kathe Callahan

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xxi

CONTRIBUTORS

Phineas Baxandall

Rappaport Institute for Greater Boston
John F. Kennedy School of Government
Harvard University
Cambridge, Massachusetts

Maria D’Agostino, Ph.D.

Rutgers University—Campus at Newark
Graduate Department of Public
Administration
Newark, New Jersey

Charles C. Euchner

Rappaport Institute for Greater Boston
John F. Kennedy School of Government
Harvard University

Cambridge, Massachusetts

Kathryn Kloby

Graduate Department of Public
Administration
National Center for Public Productivity
Rutgers University—Campus at Newark
Newark, New Jersey

Angie McGuire

Office of Economic Development
State of New Jersey
Basking Ridge, New Jersey

Louisa Visconti, Ph.D.

Bipartisan Solutions, Inc.
Pelham, New York

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xxiii

INTRODUCTION

The purpose of this book is to explore the relationship between govern-

ment performance, public sector accountability, and citizen participation.
There are assumed relationships between these concepts, and the assump-
tions are that greater accountability leads to better performance and the
more the public is involved in the governance process, and in particular
the measurement of government performance, the more they can hold
government accountable for its results. These assumptions are intuitively
appealing. If we hold people accountable for their performance, their
performance will improve. If the governing process is open and transpar-
ent, it will be more accountable. If citizens are meaningfully involved in
setting public sector goals and objectives, standards of performance will
be more relevant. However appealing, these assumptions are rife with
questions, dilemmas, and paradoxes. Does greater accountability actually
improve performance? Do outcome measures really measure what matters
to citizens?
This book is organized into five sections. The first section explores
the basics of performance measurement. Why we should measure, what
we should measure, how we should measure, and how we should
communicate what we measure. The second section looks at public sector
accountability and in particular what we mean by accountability and how
it can be achieved. The dilemmas associated with accountability for results
and compliance-based accountability are also addressed. The third section
of the book explores the rationale for and against direct citizen partici-
pation. This section explores the value of involving citizens in policy
decisions and policy implementation, and it explores the challenges asso-
ciated with creating and sustaining meaningful citizen participation. The
changing roles and expectations for public administrators are discussed
in this section as well. If we expect public administrators to be facilitators
of democracy as well as deliberators who effectively engage the public

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xxiv

Ⅲ

Elements of Effective Governance

in dialogue about government performance and accountability, we need
to reconsider our expectations surrounding what they do, how they do
it, and how programs in public administration prepare them to be effective
administrators. Likewise, citizens need to reconsider their expectations for
government performance and accountability and their role in achieving
both.
The fourth section of the book provides an integrated discussion of
performance measurement, accountability, and citizen participation and
attempts to demonstrate how the strategic alignment of these critical con-
cepts can lead to more effective governance. And, finally, the fifth section
of the book provides in-depth case studies of a variety of efforts to
implement performance measurement, hold individuals and organizations
accountable for results, and involve the public in the deliberative process.
The cases are detailed narratives that reflect the reality of introducing and
sustaining change in local and county governments, and numerous lessons
can be learned from their successes as well as their failures. Through
theoretical and practical discussions this book highlights the important
dimensions of, as well as the challenges associated with, government
performance, accountability, and citizen participation.

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