Public Personnel Management: Current Concerns, Future Challenges 9781000953527, 1000953521

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“This book provides an essential collection of human resource management topics for the public sector from leaders in the field. From current issues, like New Ways of Working and the impact of COVID-​19, to core topics, like social equity, the law, and workforce planning, Norma Riccucci provides a thoughtful compilation for students, scholars, and practitioners alike.” Jaclyn Piatak, The University of North Carolina at Charlotte, NC, USA

Public Personnel Management Public Personnel Management has served as an essential, concise reader for public personnel and human resource management courses in the fields of public administration, political science, and public policy for more than 30 years. Since the first edition was published in 1991, the book has provided professors and students alike with an in-​depth look at cutting-​edge developments beyond standard textbook coverage, to cultivate a broad understanding of the key management and policy issues facing public and nonprofit HRM today. Original chapters have been written expressly for the text by leading public administration scholars, each focusing on specific and sometimes controversial concerns for public personnel management, such as social equity, labor relations, public employee rights, and the operation of nonprofits. Now in an extensively revised seventh edition, Public Personnel Management presents new, original chapters to examine developments of interest to researchers and practitioners alike, including New Ways of Working (NWW), remote work, the effects of the COVID-​19 pandemic on public service workforces, work–​life balance, patterns of discrimination and employees’ perceptions of fairness, affirmative action, generational differences in the workforce, and—​as the field of public personnel management becomes more internationalized—​chapters addressing human resource management across Europe and NWW practices in Switzerland. These, together with the other chapters, ensure that Public Personnel Management will remain a field-​defining book for the next 30 years. Norma M. Riccucci is Board of Governors Distinguished Professor at the School of Public Affairs and Administration at Rutgers University, Newark. She is the author of several books in the areas of public sector human resource management and public management, including Managing Diversity in Public Sector Workforces (2nd edition, 2021) and with co-​ authors Katherine C. Naff and Madinah F. Hamidullah of Public Personnel Management in Government (8th edition, 2020). Riccucci has received several national awards including the Public Management Research Association’s H. George Frederickson Award and the American Political Science Association’s John Gaus Award. In June 2022, she was awarded the Doctor Honoris Causa from IDHEAP, the Swiss Graduate School of Public Administration, University of Lausanne, Switzerland. She is a fellow of the National Academy of Public Administration (NAPA).

Public Personnel Management Current Concerns, Future Challenges Seventh Edition Edited by Norma M. Riccucci

Designed cover image: Getty Images Seventh edition published 2024 by Routledge 605 Third Avenue, New York, NY 10158 and by Routledge 4 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN Routledge is an imprint of the Taylor & Francis Group, an informa business © 2024 selection and editorial matter, Norma M. Riccucci; individual chapters, the contributors The right of Norma M. Riccucci to be identified as the author 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 writing from the publishers. Trademark notice: Product or corporate names may be trademarks or registered trademarks and are used only for identification and explanation without intent to infringe. First edition published by Longman 1991 Sixth edition published by Routledge 2017 Library of Congress Cataloging-​in-​Publication Data Names: Riccucci, Norma, editor. Title: Public personnel management : current concerns, future challenges / edited by Norma M. Riccucci Description: Seventh edition. | New York : Routledge, 2024. | “First edition published by Longman 1991. Sixth edition published by Routledge 2017”–T.p. verso. | Includes bibliographical references and index. Identifiers: LCCN 2023014854 (print) | LCCN 2023014855 (ebook) | ISBN 9781032516745 (hbk) | ISBN 9781032516677 (pbk) | ISBN 9781003403401 (ebk) Subjects: LCSH: Civil service–United States–Personnel management. | Civil service–Personnel management. Classification: LCC JK765 .P947 2024 (print) | LCC JK765 (ebook) | DDC 352.60973–dc23/eng/20230525 LC record available at https://lccn.loc.gov/2023014854 LC ebook record available at https://lccn.loc.gov/2023014855 ISBN: 978-1-032-51674-5 (hbk) ISBN: 978-​1-​032-​51667-​7 (pbk) ISBN: 978-​1-​003-​40340-​1 (ebk) DOI: 10.4324/​9781003403401 Typeset in Garamond by Newgen Publishing UK

In loving memory of my cousin, my bro, John Catani.

CONTENTS About the Contributors  xi Preface  xvii

Chapter 1

Public Personnel Management: Its Significance for Government Performance  1 Jessica E. Sowa

Chapter 2

Human Resources Practices and Research in Europe  17 Lotte Bøgh Andersen, Peter Leisink, and Wouter Vandenabeele

Chapter 3

New Ways of Working and Job Outcomes in Public Organizations: The Mutual Gains and Conflicting Outcomes Perspective  34 David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery

Chapter 4

Diversity, Social Equity, and Representative Bureaucracy: Talk versus Walk  57 Susan T. Gooden

Chapter 5

Generational Differences and the Public Sector Workforce  69 Madinah F. Hamidullah

Chapter 6

Affirmative Action and the Law  81 Norma M. Riccucci

Chapter 7

How Federal Court Decisions on Discrimination Reflect Organizational Justice Violations  92 Ellen V. Rubin

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Chapter 8

Understanding and Improving the Work Lives of LGBTQ Public Employees  103 Roddrick Colvin

Chapter 9

The Rule of Law and Public Service  122 Robert Roberts

Chapter 10

The Lasting Impact of COVID-​19 on State and Local Government Workforces  136 Helen H. Yu

Chapter 11

Public Sector Unions: Demands, Emotions, and Behavior  148 Randall S. Davis

Chapter 12

Workforce Planning in Turbulent Times  163 Heather Getha-​Taylor

Chapter 13

The Role of Human Resource Management in Cybersecurity  175 Jared J. Llorens

Chapter 14

Telework in Government  185 Willow S. Jacobson

Chapter 15

Human Resources Management in Nonprofit Organizations  205 Shahrin Upoma and Meghna Sabharwal

Index  222

ABOUT THE CONTRIBUTORS Lotte Bøgh Andersen is Professor in the Department of Political Science at Aarhus University, Denmark. Her research interests include leadership, motivation, behavior, and performance of public employees; she has also contributed to research concerning professionalism, economic incentives, and motivation crowding theory. Her recent books include Managing for Public Service Performance and Public Governance Paradigms. She has been a member of several national commissions and prioritizes cocreation of knowledge between practice and research. In addition to her academic career, she is captain of the reserve in the Danish army. She is Center Director of Crown Prince Frederik Center for Public Leadership. Roddrick Colvin is a Professor of Public Administration at San Diego State University. He has written extensively on police officers and their shared perceptions. He is the author of Gay and Lesbian Cops: Diversity and Effective Policing, which was one of the first large-​ scale empirical studies on policing and sexuality. His current research interests explore the relationships between diversity, equity, and inclusion in police departments and improved policing outcomes, including community trust and legitimacy. Most recently, he has been exploring anti-​Black racism and criminal processing systems. Colvin earned undergraduate degrees in political science and philosophy at Indiana University—​Bloomington, a graduate degree in public administration at Seattle University, and a Ph.D. in public administration at the University at Albany (SUNY). Frédéric Cornu is a Ph.D. candidate in the Public Management and Human Resource Management unit at the Swiss Graduate School of Public Administration, University of Lausanne. The main research topic of his thesis is related to the study of the relationships between New Ways of Working (NWW) and job performance. In particular, he is interested in understanding how organizational and individual values might interact with these variables. His publications and research interests include the sociology of organizations, cross-​sectoral comparison, HRM practices, organizational culture, P–​O fit, work engagement, and job performance. He has published several articles on these different subjects in international scientific journals. Randall S. Davis is an Associate Professor and Interim Director of the School of Management and Marketing in the College of Business and Analytics at Southern Illinois University. His research examines the environmental and psychological mechanisms that contribute to individual and organizational performance in the public sector. He has conducted research on several topics in public management, including employee motivation, goal ambiguity, red tape, work stress, and public employee unionization. Yves Emery is an Honorary Professor of Human Resource Management and Public Management at the Swiss Graduate School of Public Administration, University of Lausanne. Now retired, he has been research director and consultant in many public organizations, at national and international levels. His main areas of interest and publications are HRM and quality management in the public sector, work identities and motivation, competency management and employability, rewards systems, and training

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xii  About the Contributors strategies in public organizations. Currently, he co-​leads a scientific project on New Ways of Working (NWW) and their impacts on public employees and organizations. Heather Getha-​Taylor is a Professor in the School of Public Affairs and Administration at the University of Kansas. Her research considers the forces transforming public governance and the associated implications for effectively managing human resources. She serves as Editor-​in-​Chief of Public Personnel Management and is a graduate of the Maxwell School of Citizenship and Public Affairs, Syracuse University. David Giauque is a Full Professor of Human Resource Management and Public Management at the Swiss Graduate School of Public Administration, University of Lausanne. Previously, he was Director of the Institute of Political Studies at the University of Lausanne and Vice-​Dean of the Faculty of Political and Social Sciences. His publications and research interests include human resource management in public organizations, values and ethics, leadership, health and well-​being in public organizations, new public management reforms, motivation of public agents, and the sociology of organizations and public administrations. He has published numerous books and articles on these different topics in internationally recognized scientific journals. Currently, he co-​leads a scientific project with respect to New Ways of Working (NWW) and their impacts on public employees and organizations. Susan T. Gooden is Dean and Professor of the L. Douglas Wilder School of Government and Public Affairs at Virginia Commonwealth University. She is an internationally recognized expert on social equity. She is Immediate Past-​ President of the Network of Associated Schools of Public Policy, Affairs and Administration (NASPAA). Gooden is an elected fellow of the congressionally chartered National Academy of Public Administration and is Past President of the American Society for Public Administration. Her books include Racial Equity, COVID-​19, and Public Policy: The Triple Pandemic (2023); Global Equity in Administration (2020); Why Research Methods Matter (2018); Race and Social Equity: A Nervous Area of Government (2014); and Cultural Competency for Public Administrators (2012). Madinah F. Hamidullah is an Associate Professor in the School of Public Affairs and Administration (SPAA) at Rutgers University—​Newark. Her research focuses on diversity and gender differences in public and nonprofit organizations, and undergraduate education. Her work has appeared in Administration & Society, American Review of Public Administration, International Journal of Public Sector Management, Public Organization Review, and Public Management Review. Hamidullah was awarded the 2018 SPAA Faculty Service Award for outstanding service to students, faculty, and the greater SPAA community. Willow S. Jacobson is the Robert W. Bradshaw Jr. Distinguished Professor of Public Administration and Government at the School of Government at the University of North Carolina at Chapel Hill. Currently, Jacobson serves as the Director of the UNC-​CH Master of Public Administration program. She previously served as the Director of the LGFCU Fellows program, which she helped create in 2011 to develop local government leaders in North Carolina. Her research focuses on human capital management, organizational theory, and leadership. She has published in a range of journals, including Public

About the Contributors  xiii Administration Review, Journal of Public Administration Research and Theory, Review of Public Personnel Administration, and Public Personnel Management. Jacobson earned a Ph.D. from Syracuse University. Peter Leisink is Emeritus Professor of Public Administration and Organization Science at Utrecht University School of Governance, the Netherlands. His research interests are in the areas of management and organization of public service organizations, strategic human resource management’s contribution to public service performance, leadership, public service motivation, and changes in public sector employment relations. Leisink has advised management in government organizations, the police, elderly homes, hospitals, schools, and public transport. Over 10 years, he served as co-​chair of the EGPA Study Group Public Personnel Policies, which resulted in the edited volume Managing for Public Service Performance: How People and Values Make a Difference, which was edited by Leisink, Andersen, Brewer, Jacobsen, Knies, and Vandenabeele. His website lists his articles in international journals and other publications. Jared J. Llorens is Dean of the LSU E. J. Ourso College of Business at Louisiana State University and a Professor in the Department of Public Administration. In 2020, Llorens was named a Fellow of the National Academy of Public Administration. He is the former editor-​in-​chief of Public Personnel Management and his research has been published widely in various academic outlets. He is also a co-​author of the widely adopted textbook Public Personnel Management: Context and Strategies, 6th and 7th editions. Before beginning his academic career, Llorens worked in human resource management with the U.S. Office of Personnel Management and the U.S. Department of Labor in Dallas and Washington, D.C. Llorens received his BA from Loyola University of New Orleans, his MPA from the LBJ School of Public Affairs at the University of Texas at Austin, and his Ph.D. in Public Administration from the University of Georgia’s School of Public and International Affairs. Karine Renard is a Ph.D. candidate in the Public Management and Human Resource Management unit at the Swiss Graduate School of Public Administration, University of Lausanne. She is currently writing her thesis on New Ways of Working (NWW) and their impacts on employee well-​being and health. Her focus is on perceptions of human resources practices and the context in which they take place. Her publications and research interests include human resource management; human resource practices; psychological climate; trust in organization; work–​life balance; hybrid work; and cross-​ sectoral comparison. She has published articles on these topics in internationally recognized scientific journals. Norma M. Riccucci is Board of Governors Distinguished Professor at the School of Public Affairs and Administration at Rutgers University, Newark. She is the author of several books in the areas of public sector human resource management and public management. Riccucci has received several national awards, including the Public Management Research Association’s H. George Frederickson Award and the American Political Science Association’s John Gaus Award. In June 2022, she was awarded the Doctor Honoris Causa from IDHEAP, the Swiss Graduate School of Public Administration, University of Lausanne, Switzerland. She is a fellow of the National Academy of Public Administration (NAPA).

xiv  About the Contributors Robert Roberts has taught at James Madison University since 1982. He is the author or co-​author of White House Ethics (1988); with Marion T. Doss, From Watergate to Whitewater: The Public Integrity Wars (1997); with Tony Eksterowicz, Public Journalism and Political Knowledge (2000); Ethics in U.S. Government: An Encyclopedia of Investigations, Scandals, Reforms and Legislation (2001); and with Scott Hammond, Encyclopedia of Presidential Campaigns, Slogans, Issues and Platforms (2004). Articles by Professor Roberts have appeared in the Public Administration Review, International Journal of Public Administration, Public Integrity, PS (Political Science), and Politics & Policy. His most recent book is the Death of Public Integrity (2021). Professor Roberts has taught state and local government since the early 1980s. He holds a BA., M.P.A. J.D. and Ph.D. in Public Administration from Syracuse University. Ellen V. Rubin’s work focuses on public personnel management, including understanding perceptions of fairness in the public sector workplace and how fairness is tied to performance. Her published work appears in journals including the Journal of Public Administration Research and Theory and the Review of Public Personnel Administration. Rubin earned her Ph.D. from the University of Georgia. Prior to joining academia, Rubin worked at the U.S. Government Accountability Office. Meghna Sabharwal is a Professor in Public and Nonprofit Management at the University of Texas at Dallas, with a research focus on public human resources management, diversity, equity, and inclusion, comparative HR, and high-​skilled immigration. She has published three books and 60 peer-​reviewed journal articles, and presented at over 200 conferences. She is the winner of several best paper awards and serves as an associate editor for the Review of Public Personnel Administration and Public Integrity, and as an editorial board member for several public administration journals. She received the 2021 Outstanding Public HR scholar award from the Section on Personnel Administration and Labor Relations (SPALR) of the American Society of Public Administration. Jessica E. Sowa is a Professor in the Joseph R. Biden Jr. School of Public Policy and Administration, University of Delaware. Her research focuses on human resource management in government and nonprofit organizations, and she is the editor-​in-​chief of the Review of Public Personnel Administration and the co-​editor-​in-​chief of Perspectives on Public Management and Governance. Shahrin Upoma is a President’s Postdoctoral Fellow in the leadership and management area at the Humphrey School of Public Affairs. Her research interests lie at the intersection of diversity, equity, and social justice in public and nonprofit management. Her commitment to promoting diversity and inclusion through her teaching and research is grounded in her personal experience as a woman of color, first-​generation student, and immigrant. She was awarded a Ph.D. in Public Affairs from the University of Texas at Dallas, where she also served as a teaching assistant. She earned a master’s degree in economics from the University of North Texas, and a bachelor’s degree in economics from the University of Dhaka, Bangladesh. Wouter Vandenabeele is an Associate Professor in Human Resources Management at Utrecht University and Visiting Professor at the Catholic University of Leuven (Belgium). He is a member of the executive board and treasurer of the International Research Society for Public Management (IRSPM). He is also a member of the European Group

About the Contributors  xv of Public Administration, the American Society of Public Administration, and the Public Management Research Association. He is an editorial board member of various national and international academic journals. Helen H. Yu is an Associate Professor and the Graduate Chair of the Public Administration Program at the University of Hawai‘i at Mānoa. She is a veteran and a retired federal law enforcement officer. Her research interests include public personnel management, specifically the recruitment, hiring, promotion, and retention of women and minorities in non-​ traditional occupations, leadership theory and strategies, and social equity. She serves on several editorial and professional boards and has numerous peer-​reviewed publications. She was also most recently an associate editor of the journals Review of Public Personnel Administration (ROPPA) and the Journal of Public and Nonprofit Affairs ( JPNA).

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PREFACE This book has served students, academics, and practitioners of public personnel and human resources management in the fields of public administration, political science, and public policy for the last 30 years. Since its first edition in 1991, it has included cutting-​edge issues in the field—​topics that go well beyond textbook coverage. The book is designed to provide readers with a broad understanding of the key management and policy issues facing the field today. The seventh edition provides a major overhaul from the last edition, reflecting the changes and shifts that have occurred in the field. Some of the topics new to this seventh edition include New Ways of Working (NWW), a human resources approach introduced into public and private organizations worldwide and facilitated by mobile devices and internet functionalities. The impact of COVID-​19 on public service workforces, which has had a major effect on work–​life balance and telework, is also new to this edition. So too are concerns about patterns of discrimination complaints and employees’ perceptions of fairness. These and the other topics covered are at the frontier of the practice and study of public personnel and human resources management. Human resources practices across Europe are also addressed, which reflects how the field of public personnel management has become much more internationalized over the last several years. Social equity, diversity, affirmative action, and generational differences in the workforce continue to dominate the landscape and current challenges to public personnel, and these are also addressed. In addition, a number of new, prominent authors are also included, adding to the numerous innovative perspectives of public sector human resources management. Additional issues and ongoing challenges to the field are addressed in this edition. Significant topics and issues, such as the experiences of lesbian, gay, bisexual, transgender, queer, or questioning (LGBTQ+​) employees are also featured. So too are essential traditional features in public sector human resources management, such as labor relations, public employee rights, and the operation of nonprofits. These, as well as the other chapters, represent the critical issues that will shape and define the field in years to come.

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PUBLIC PERSONNEL MANAGEMENT: ITS SIGNIFICANCE FOR GOVERNMENT PERFORMANCE Jessica E. Sowa

INTRODUCTION Public personnel are the very heart of government—​they are the “hands and feet of government” (Guy & Sowa, 2022: 1). They are the means through which broad policies passed by elected officials are transformed into actions that affect the lives of every citizen and person in the United States. Public personnel work in numerous areas, from community health to property tax assessment to wildlife conversation (Zavattaro et al., 2023). They are the tax analyst working for the federal government at the Internal Revenue Service, the county or municipal election administrator ensuring an efficient and fair election, and the municipal clerk taking town meeting minutes for a small local government. From the federal level, with 15 cabinet departments and subagencies to staff (along with all the independent agencies, government corporations, and other boards and committees), 50 state governments, and over 89,000 local government units, there is a great need for qualified and dedicated public employees to do the work for the state (U.S. Census Bureau, 2019). For effective government at all levels, the management of public personnel is essential (Steijn & Knies, 2021; Guy & Sowa, 2022). The recruitment and selection of highly qualified and public service-​oriented individuals, their continued training and development, and the management of their performance (with associated rewards and punishments) are all part of the process of public personnel management. Scholars studying public personnel management have gained significant insights into this process and what structures, policies, and actions affect critical governmental and employee outcomes (see Selden, Schimmoeller, & Thompson, 2013; Jin & McDonald, 2017; Borst & Knies, 2021; Hameed, Ijazm, & Sabharwal, 2022 for a few examples). However, the increasingly turbulent and changing environment facing governments today requires continued attention to how public personnel management can adapt while still maintaining the core public service values essential for an effective and accountable administrative state. This chapter explores the current environment of public personnel management in the United States, with a focus on how human resource management (HRM) is integrally tied to the performance of government. Public personnel systems must emphasize DOI: 10.4324/9781003403401-1

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2  Jessica E. Sowa strategic alignment between the workforce complement and the goals of the government unit or units (Tompkins, 2002; Ko & Smith-​Walter, 2013). Public personnel must be highly qualified and dedicated to the public interest, they should be representative of the people they service, and they must also balance political responsiveness with politically neutral competence and professionalism—​something that is increasingly challenging in this time of growing political polarization (Fuenzalida & Riccucci, 2019; Simas, Clifford, & Kirkland, 2020; Shapiro, 2023). In addition, people want meaningful work and humane workplaces where they are treated well and can make a difference, so public personnel systems must consider this in their design and operation (Grindle & Hilderbrand, 1995; Tummers & Knies, 2013). Effective personnel systems in government must ensure the engagement and overall well-​being of public employees so they remain motivated to fulfill public purposes to their best of their abilities. In 2023, at the time of writing, the value of government employees was being questioned by many in elected positions due to political polarization, misunderstandings of the effectiveness of public employees, and the ever-​present desire to blame the bureaucracy for political failures. With more and more “wicked” policy problems, such as the COVID-​19 global pandemic and climate change, this questioning is happening at a time where effective public personnel are needed more than ever, as they are on the frontline of public service, facing these wicked problems and seeking solutions for the good of the public. To frame the discussions that follow in this edited volume, this chapter begins by briefly reemphasizing the need to remember the strategic importance of employees in terms of achieving the goals of government and how public personnel management should embody a strategic approach. It then addresses some of the challenges facing this system, including tensions between core values in the system and challenges that may inhibit the engagement of current public employees and the ability to keep open a strong pipeline of future highly skilled and motivated public employees. The chapter concludes by highlighting some of the changes facing governments that require attention on the part of HR managers and public personnel systems to ensure continued and effective government performance.

PUBLIC EMPLOYEES AS THE MOST STRATEGIC ASSET OF GOVERNMENT The study and practice of HRM across sectors advanced significantly with the recognition of the role of human capital as a critical input to organizational performance (Pfeffer, 1998). Personnel are not a cost to be minimized; rather, they are a valuable resource. This means personnel management cannot be solely about compliance with employment law and regulation of employee behavior. An organization’s people are its most strategic asset so should be invested in and developed to maximize their value in achieving the organizational goals (Combs et al., 2006; Boselie, 2010; Mostafa, Gould-​Williams, & Bottomley, 2015). Public personnel systems and practices should focus on recruiting people into public agencies who are highly qualified with the specific competencies needed for individual agencies and the work of those people should be directly aligned with the goals of the organization to foster a strong connection between people and performance (Tompkins, 2002; Sowa, 2020). In addition, a strategic approach to public personnel management also has a larger normative value, as it places an emphasis on the inherent value of people as a valuable, rare, and non-​imitable resource—​what is called the resource-​ based view (RBV)—​(Boon, Eckardt, Lepak, & Boselie, 2018), which can be a powerful

Chapter 1  •  Significance for Government Performance  3 way of communicating to public employees how essential they are for government to provide public value. Numerous studies have demonstrated how those who seek work in government are motivated to help government accomplish its goals (i.e., public service motivation) (see Ritz, Brewer, & Neumann, 2016 for a review of this literature); embedding in public personnel systems the recognition that these public service motivated employees are critical to meet the strategic objectives of government creates a powerful message to connect to employees that could impact long-​term employee outcomes such as satisfaction and retention. Adopting a strategic approach to managing people can take many different forms (see Boon et al., 2018 for a discussion of the differences between strategic human capital and strategic human resource management models), but fundamentally these approaches involve • a recognition of the strategic importance of people; • engaging in workforce planning to ensure the right mix of people for the organization’s goals (see Chapter 12 of this book for more discussion); • the use of metrics to assess and evaluate the human resource complement of an organization and make adjustments with evidence-​based decision-​making, and • building a mix of personnel systems and practices that maximize the value of employees (Selden, 2009; Jacobson & Sowa, 2015; Sowa, 2020). The strategic systems and practices may look different between organizations, consisting of different bundles of high-​performance or high-​impact work practices (HPWPs) that are aligned in a way that is the best fit for that particular organization (Mostafa, Gould-​Williams, & Bottomley, 2015). To evaluate and understand which HPWPs impact performance and how, scholars have adopted a model referred to as the Ability–​Motivation–​Opportunity (AMO) model (Applebaum et al., 2000). The argument underpinning this model is that performance is a function of the degree to which employees have the appropriate abilities to do their jobs at a high level, the motivation to exercise those abilities, and the right opportunities to contribute to organizational performance: “employees will perform well when they are able to do so (i.e., abilities); they have the motivation to do so (i.e., motivation); and when their work environment provides the necessary support for them to express themselves (i.e., opportunity to participate)” (Obeidat, Mitchell, & Bray, 2016: 580). Effective, strategic public personnel systems should include bundles of practices that tap all the dimensions of the AMO model. Governments have been adopting strategic approaches to personnel management, with evidence of positive results for performance (Ko and Smith-​Walter, 2013; Lim, Wang, and Lee, 2017; Plimmer, Bryson, and Teo, 2017). The U.S. federal government began embedding a strategic approach in its personnel system in the late 1990s, with human capital planning for agencies, the creation of chief human capital officers in 2002 to monitor progress, and comprehensive performance management processes designed to align employee performance with agency goals (GAO, 2003). However, implementation of strategic approaches has been uneven across government, as it does require a shift in philosophy about the role of personnel management and an investment in the capacity of human resource (HR) and other managers to fully embrace these practices (Tompkins, 2002; Jacobson and Sowa, 2015). While the efficacy of HPWPs and a strategic approach to HRM has been documented, recent research focused on how employees experience these systems has raised some questions that require attention on the part of

4  Jessica E. Sowa government HR managers. Scholars have demonstrated that traits and behaviors that can have positive outcomes on employee performance, such as PSM, also can be double-​ edged swords in certain situations, producing stress or negative outcomes (Van Loon, Vandenabeele, & Leisink, 2015; Jensen, Andersen, & Holten, 2019). In addition, scholars have demonstrated that when the balance between job demands and resources is upset, problematic employee outcomes can occur (Borst & Knies, 2021). Scholars have begun to dig deeper into the bundles of HRM practices considered to be HPWPs, arguing that different subsets of practices may affect employees in different ways. Ogbonnaya and Messersmith (2019) differentiate between practices that produce mutual gains for employees and the organization (a win–​win situation) and those that lead to conflicting outcomes, where HRM practices may produce increased stress and job demands for workers, thereby leading to negative outcomes such as burnout and emotional exhaustion. Chapter 3 of this book explores the mutual gains and conflicting outcomes associated with new ways of work, but as government organizations increasingly handle more work with fewer resources, the possibility of once-​ positive HRM practices leading to exhausted and burned-​ out employees is a real possibility (see Conway et al., 2016; Potipiroon & Faerman, 2020; Davis & Stazyk, 2022 for studies of emotional exhaustion in the public service). Therefore, especially considering the challenges faced by government employees since the start of the COVID-​19 pandemic in 2020, public personnel management in practice and HR researchers cannot rest on their laurels about the value of a strategic approach to HRM. Research and practice have demonstrated the overall value of adopting bundles of strategic HRM practices designed to enhance employees’ abilities, motivation, and opportunities to participate, but these bundles impact employees in complex ways and attention must be placed on monitoring these impacts and adjusting to not negatively affect public employees, especially at a time when there are new challenges on the horizon for public personnel management.

CHALLENGES FOR PUBLIC PERSONNEL MANAGEMENT While we recognize the critical importance of public personnel and their management for government performance, such personnel management is embedded in a political and societal context, where challenges can arise. These challenges must be recognized by practitioners, HRM scholars, and future public servants in order to make the necessary changes to update systems and practices. This is to produce positive change where needed and counter negative forces to preserve the systems and employees who do so much good for government and society. Therefore, this section describes two important challenges facing public personnel systems today: the tension of finding the right balance between public values in public personnel systems and the need to monitor employee engagement at a time when there are growing vacancies in government and attracting the next generation of public service workers must be made a priority.

Balancing Values in Public Personnel Management Public personnel systems evolved over time in the United States, with different values reflected in these systems at different periods of history (Ingraham, 2005). There has been continuing debate about what the composition of the workforce should look like and the relationship between those who express the will of government (elected officials) and those who administer that will (public employees) (Overeem, 2005; Bishu & Kennedy, 2020). All agree that effective public servants are the end goal,

Chapter 1  •  Significance for Government Performance  5 but what constitutes effectiveness is a contested space. Different values gain more weight depending on one’s point of view, particularly among those value tensions between merit, neutral competence and equity, and between those values and political responsiveness. When modern public personnel systems were implemented from the late 1880s onward, whether referred to as merit or civil service systems at different levels of government, the foundational principle of these systems was the need for qualified employees to do the business of government—​employees who were selected on their merit, not on the basis of their political preferences (Van Riper, 1958; Ingraham, 2005). As government became larger and more professionalized, individuals were needed who were trained and able to do the work of public office, rather than those rewarded for political loyalty. These public employees should demonstrate neutral competence in their work, “a wealth of knowledge and skills available in the corridors of the bureaucracy that all elected officials, no matter what their political persuasion, could call upon for both useful and disinterested advice in designing national policy” (Rourke, 1992: 539). To ensure this neutral competence so these employees were able to give this disinterested advice, public personnel systems were designed to afford employees a certain level of protection from partisan political interference (Ingraham, 2005). The original design of public personnel systems where employees were protected from political whims was to encourage the development of bureaucratic expertise that extended beyond the cycles of political change. While this may have been the intention, this did not mean problems did not arise in the implementation of merit systems, as the operational definition of merit and how it has been institutionalized over time has been argued to produce systematic inequities in the public workforce (Riccucci, 1991; Portillo et al., 2020). While the progressive reform movement that sought to remove the spoils system from government was concerned with the performance of government, there was a flipside to this concern, embedded with xenophobic and racist underpinnings (Portillo et al., 2020). While the movement toward implementing merit systems championed politically neutral employees, this merit-​based hiring “reinforced the legitimacy of native-​born White constituents” (Portillo et al., 2020: 522). By arguing for structured hiring procedures such as competitive exams to prevent hiring “unqualified” candidates, the reforms associated with merit-​based hiring unfortunately created structures that perpetuated inequities in the public service workforce. Examining local government hiring, Portillo et al. (2020: 521) argue that merit as an underlying principle became a rationalized myth in government, where the concept was reified without critical examination as to whether it could lead to problematic outcomes; they stated that while “we would like to think that merit-​based, neutral hiring results in the best possible candidates filling open positions, we may in fact be institutionalizing practices that reinforce racialized and gendered hierarchies within public organizations.” Equity is a core pillar of public administration (Riccucci, 2021; McCandless et al. 2022) and scholars studying representative bureaucracy have highlighted how the representativeness of the public sector workforce matters for the outcomes of government (Bradbury & Kellough, 2011; Riccucci et al., 2018). The public encounter between citizens and public servants conveys important meaning about someone’s relationship with government and their value in society (Guy, 2021). Having a government workforce that looks like and has similar experiences and understandings as the citizens they serve has both normative importance and practical implications for public personnel management, although more than simple passive representation is needed to achieve the desired equity goals. Public personnel management systems and practices must find a way to

6  Jessica E. Sowa balance merit and neutrality with the construction of a diverse, equitable, and inclusive workforce. Diverse workforces are not without challenges to manage; differences lead to conflict, but also robustness and richer outcomes if attention is placed on building truly inclusive workplaces (Sabharwal et al., 2014; Riccucci, 2021). It is also important to recognize that equity and merit are not dichotomous values with no overlap; scholars arguing for more equitable and inclusive workplaces in government are not arguing for the wholesale discarding of merit and neutrality. Instead, they are emphasizing the critical examination of public personnel practices to surface hidden biases and rationalized myths that may be leading to disparate treatment and/​or impacts on different groups of possible public servants who could produce real value for government agencies (Riccucci, 1991; Roberts, 2010; Portillo et al., 2020). While we are in a time where discussions of issues of diversity, equity, and inclusion are increasingly being weaponized by political actors (Zavattaro & Bearfield, 2022), public personnel management scholars and practitioners must continue to monitor the balance between the values of neutrality and merit and equity to foster the most effective and representative public workforce. In addition to tensions with equity, neutrality also ran up against the needs of elected officials at all levels of government who wanted to tip the scales of public servants toward more political responsiveness. At the federal level, from the passage of the Pendleton Act in 1883, presidents have been trying to harness the power of the career bureaucracy to accomplish their political goals, taking different approaches to direct bureaucratic expertise toward their political ends (Wood & Waterman, 1991; Ingraham, 2005). While the tactics employed differed, what connects the actions of presidents (and political leaders at other levels of governments) is a certain level of cynicism and distrust that public personnel would be sufficiently responsive to the needs of these elected officials and faithfully implement their preferred policies (Rourke, 1992; West, 2005). Efforts to exert political control over the bureaucracy ranged from the use of political appointment power to radically change the direction of federal agencies (President Reagan) to administrative reform to encourage accountability and performance on the part of public personnel (Presidents Clinton and George W. Bush) (Wood & Waterman, 1991; Thompson, 2000; Lavertu, Lewis, & Moynihan, 2013). While neutral competence and merit have remained bedrock principles of a professional public service, as government’s scope became more expansive and complex, the idea that politics was completely divorced from the administration of government was recognized as unrealistic. As such, career public servants would have to balance their professional competence and expertise against the preferences of their political leaders to balance neutral competence with political responsiveness (Kaufman, 1956; Ingraham & Ban, 1988; Svara, 2001). Neutral competence can be responsive to political officials, as it is independent expertise that can be used by career employees to cooperate with and give their best judgment toward the current political leaders, whoever those leaders should be, while always keeping in mind the broader interests of the public (Heclo, 1975). Employees who disagree with political leaders are welcome to make their own choices about their future employment, including exit, voice, or loyalty (Golden, 1992; Whitford & Lee, 2015), although some choose different and sometimes questionable methods of dissent (O’Leary, 2020). Fundamentally, a neutrally competent public employee can serve the needs of different political leaders, but they are also a force for continuity between changing political regimes. Others have argued that this view is naïve—​that public agencies are not neutral and should not be allowed to frustrate the ability of elected officials to carry out the

Chapter 1  •  Significance for Government Performance  7 will of the people. Therefore, the better measure perhaps should be responsive competence: using the power of the executive to make policy decisions and through political appointees to direct career officials to follow changing political dictates and implement the will of elected officials (Aberbach & Rockman, 1994; Wolf, 1999). Aberbach and Rockman (1994: 462) describe the debate between neutral competence and responsive competence as one that “comes down to one over where the line between political and administration should be drawn and what criteria should be used in determining the proper mix of officials in a given set of positions.” Different tactics have been used to swing the balance between neutral competence and responsive competence, but recent efforts on the part of the Trump Administration have pushed the pendulum farther than ever before in the direction of complete political control, raising serious concerns for the federal bureaucracy. President Trump undertook actions during his presidency that directly challenged the expertise and professionalism of public personnel (Friedman, 2023; Shapiro, 2023), but the most potentially devastating and polarizing action on the part of the Trump Administration was Executive Order 13957 creating Schedule F in the Excepted Service, which was passed on October 21, 2020 (see Chapter 9). This order allowed for agencies to remove career protections from a wide swathe of career employees with policymaking roles (broadly interpreted), fundamentally creating a large new cadre of political appointed workers in the career services, which would then give the president the power to fire possibly thousands of formerly career employees at their will or whim (Moynihan, 2022). While this executive order was rescinded by the incoming Biden Administration, the ideas behind it have not gone away and they pose a fundamental risk to the future of the administrative state and public personnel as we know it (Moynihan, 2022). When civil servants are viewed as the enemy, public servants are punished for correcting erroneous information (see the National Oceanic and Atmospheric Administration and Hurricane Dorian), and the president seeks complete and unitary power over public personnel, this could have devastating consequences for fundamental constitutional principles, let alone those public values underpinning the federal personnel system (Liebert & Condrey, 2021; Moynihan, 2022; Shapiro, 2023). Public personnel across levels of government must be able to speak truth to power and hold elected officials accountable to the people. There are significant threats to public personnel arising at the state level that show a troubling trend in weaponizing public servants for political purposes or placing public servants in positions that challenge their professional ethics and where they must change their professional behavior lest they face negative consequences. Examples include Governor Ron DeSantis in Florida signing legislation that allows for the monitoring of instructional materials in K–​12 classrooms (Salam, 2023), Governor Abbott in Texas attempting to use child protective services staff to investigate the parents of transgender children for abuse (Dey & Harper, 2022; Perez, 2022), and other states floating legislation that would allow teachers to be sued by parents if they disagree with the materials or viewpoints presented in classroom. All of these suggest an increasingly politicized and hostile environment for many career public employees.1 At a time where many governments are struggling to fill openings (discussed in the next section), we need to ensure that the public personnel systems can hire the best employees who represent the diversity and complexity of the people of the United States. We also need to ensure that these employees can do their work in a way that allows them to balance political needs with professional expertise in a manner that serves the greatest good. The question, then, is how to recruit and keep this next generation of public employees, which leads to the second challenge discussed in this chapter.

8  Jessica E. Sowa

How to Engage Employees While the word “crisis” is often overused in relation to employment assessments and projections across sectors in the United States, it is fair to argue that governments at the federal, state, and local levels are struggling with staffing their personnel complements. The U.S. Bureau of Labor Statistics reported preliminary December 2022 job openings across government at over one million (Bureau of Labor Statistics, 2023). As of late 2022, there were numerous reports across levels of government of shortages of critical workers, some driven by the challenges and subsequent burnout of working during COVID-​19 and others by slow wage growth in the public sector and lengthy hiring processes that result in the loss of qualified candidates to other employees (Brey, 2022; McKinsey & Company, 2022). Scholars and practitioners have bemoaned the “great resignation” being experienced in workplaces across the sectors, as people have chosen to leave their positions post-​pandemic rather than return to positions that did not offer sufficient opportunities or the flexibilities that many grew to appreciate during the early period of mandatory work from home in 2020 and 2021 (Parker & Horowitz, 2022). Alongside the great resignation is growing discussion of disengagement in the workforce, where people are no longer willing to go above and beyond for their employers without sufficient acknowledgment—​characterized by some as “quiet quitting” (Klotz & Bolino, 2022). Since the 1990s and the managerialist approach associated with the New Public Management, public organizations—​and the employees within them—​have been told to do more with less, experiencing a death by a thousand cuts as workforces shrank but the need for government services and the complexity of problems being encountered by government continued to grow (Moe, 1994; Omari & Paull, 2015). This kind of working environment necessitated new ideas from HRM practitioners and scholars to maintain the performance and morale of government workforces and one answer came in the form of increased attention to employee engagement (MSPB, 2008).2 As a concept, engagement emphasizes recognition of the ways in which people connect or fail to connect to their work roles and the impact this has on their work, performance, and well-​being (Kahn, 1990). Kahn (1990: 694) defines engagement as “the harnessing of organizations’ members selves to their work roles. In engagement, people employ and express themselves physically, cognitively, and emotionally during role performance.” As scholars further developed the concept of employee engagement, it was argued that employee engagement is an attitude that one holds toward one’s work and organization, but also involves behaviors that can affect performance on the job (Vigoda-​Gadot, Eldor, & Schohat, 2013). Scholars have examined engagement in comparison or relation to burnout and have further specified the components or dimensions of engagement: (1) vigor, which is characterized by high energy at work and resilience and persistence in the face of challenges; (2) dedication, which involves a strong connection and pride in one’s work; and (3) absorption, which means one’s work is so engaging that one can get lost in it and lose track of time so that time at work feels like it goes by fast (Schaufeli et al., 2002; Eldor, 2018; Breaugh, 2021). Why has employee engagement become a central concept in public personnel management? One reason goes back to the recognition of the strategic role of people in meeting the mission of government organizations. As governments adopted more strategic approaches to HRM, there was recognition that good personnel management is both transactional (e.g., taking care of pay and benefits, having clear and legally compliant policies in place) and transformational (e.g., using personnel systems and practices to leverage the human capital in organizations to achieve the broader strategic goals of

Chapter 1  •  Significance for Government Performance  9 agencies). Both aspects are important for fostering employee engagement; job demands-​ resources theory ( JD-​R) emphasizes how the balance between the demands of jobs and the resources (including job, organizational, and personal resources) an employee can bring to bear impacts their ability to remain engaged and their overall well-​being (Bakker & Demerouti, 2007; Borst, Kruyen, & Lako, 2019, Bauwens, Decramer, & Audenaert, 2021). Therefore, as governments work to recruit and retain qualified and motivated public personnel, it is critical for the long-​term performance of these agencies to monitor levels of employee engagement and understand the impact that various HR policies and practices have on this engagement. What are some of the factors that impact employee engagement? Leadership matters for employee engagement—​how supervisors interact with employees, how they reward and recognize employees, and their level of support positively impacts engagement ( Jin & McDonald, 2017; Hameduddin & Fernandez, 2019; Lee, Rocco, & Shuck, 2020). Work environments matter, including the organizational climate and culture, and interactions between colleagues, as well as the degree to which an organization provides employees with opportunities to grow and develop, which should contribute to their continued engagement (Shuck et al. 2011; Jin & McDonald, 2017; Hameduddin & Fernandez, 2019). The nature of jobs matters, with job resources including the characteristics or design of jobs that help an employee manage the demands of their job, including the variety of skills they can bring to the job, the nature of tasks in terms of significance and identity, how much autonomy they have in their work, and the nature of feedback given on their performance (Shuck et al. 2011; Lee, Rocco, & Shuck, 2020). In addition to those factors within the control of the organization, home and personal resources can also affect employee engagement. Home resources are “the aspects of the home situation that help reduce home demands and foster growth, development, and well-​being in the home domain” (Hakanen et al., 2011: 10). With growing permeability between work and home life, attention to the role of home resources in how employees connect to their work and organizations is increasingly important. While most home resources, such as family support and family capital, are within the personal purview of the employee, public organizations can assess their work–​life balance policies, flexible work schedules, telecommuting policies, and other family-​friendly policies that could help employees keep their home resources in balance in relation to the demands of their jobs. Finally, there are personal resources, which include the overall mental and emotional competence of employees, their career experiences and resources, and other aspects of physical and psychological resources that affect individual well-​ being and how they can handle the demands of their jobs (Lee, Rocco, & Shuck, 2020). Again, while some of these may be outside the direct control of supervisors or personnel systems, others can be considered in terms of how supervisors relate to employees (e.g., encouraging an employee who appears sick to take the day off) or can be built into assessment procedures (e.g., assessment of resilience and emotional intelligence). Understanding employee engagement and its contributing factors is critical for public personnel systems to produce public value. While public personnel systems are about policies and practices designed to align human capital with organizational goals to achieve government outcomes, at the core of these systems are people, and attention to employee engagement has highlighted that the best systems do not work if people are disengaged or burned out by their work. The federal government in the United States, through the Office of Personnel Management (OPM), has made understanding employee engagement a central pillar of its work through surveys since 2002—​what started out at the biannual Federal Human Capital Survey and is now the annual Federal

10  Jessica E. Sowa Employee Viewpoint Survey (FEVS). In addition, numerous states have adopted surveys of employee engagement, including New Mexico, Vermont, California, Washington, Michigan, and others.3 We know employee engagement matters for employee well-​being and performance, and scholars have isolated many of the factors that contribute to engagement, but there remains a measurement challenge holding back the ability to truly assess employee engagement in government and make necessary adjustments to public personnel systems and practices. While the FEVS includes an employee engagement index (EEI), this measure captures the conditions conducive for or that contribute to engagement versus actual engagement itself—​it measures the antecedents of engagement (Hameduddin & Fernandez, 2019). This measurement of antecedents (conditions necessary for engagement to occur) is also common across HR research in the private and public sectors, but it raises questions for how to produce concrete and useful suggestions for personnel managers to improve HR systems and to better train managers to monitor and encourage employee engagement (Lee, Rocco, & Shuck, 2020; Abner, Alam, & Cho, 2022). Especially at a time where the public sector workforce in the United States is emerging from an unprecedented event that disrupted many lives and workplaces, measuring the true state of employee engagement across the different levels of government is essential. We must convene the best HR practitioners and scholars to assess what the findings mean across jobs, specialties, areas of public service work, and generations of workers (who experience different balances of job, personal, and home resources). This is urgent in order to make changes to existing personnel systems or build the next generation of effective public personnel systems to maintain government performance.

MOVING FORWARD Public employees have gone through a lot of stress and challenges since the world changed in 2020. These changes (e.g., schools, workplaces, and other venues shutting down) highlighted the central importance of government and its personnel in the lives of everyday citizens—​government was there to pick up the trash, work with nonprofits to make sure that children were fed at a time when schools were closed, and to coordinate the delivery of the COVID-​19 vaccine to millions of Americans. As we (hopefully) come out on the other side of these stressful times, it is important to both celebrate the importance of public personnel for public good and reexamine our existing practices. The strategic value of public personnel for government performance is clear, but public personnel systems must be reviewed periodically to make sure they are still harnessing that value. In addition, as growing political polarization in this country may lead to many public employees facing tough ethical choices in doing their jobs, we must have a national dialogue on the balance between being responsive to political leaders and responsive to the broader public good. Workplaces have changed—​we have many different generations of workers in the workplace, who may have different values and goals for their work (see Chapter 5 for more discussion on this). As younger generations enter public service, how do we adjust our public personnel management practice to meet the needs of these new employees? In addition, the massive disruption to workplaces during COVID-​ 19, sending many workers to work from home for a significant period, has raised questions about what the future of public service workplaces should look like. Chapter 10 examines the impact of COVID-​19 on state and local workplaces and Chapter 14 examines the many unanswered

Chapter 1  •  Significance for Government Performance  11 questions that exist around the future of telework, returning to work (physically), and the balance between different modalities. Public personnel have been, and continue to be, a force for good and have produced value across the federal, state, and local levels in the United States. Thankfully, many dedicated scholars and practitioners remain focused on adjusting these systems to meet current challenges and provide support for the continuity of these systems.

Notes 1. A few examples include in Oklahoma: www.for​bes.com/​sites/​pete​rgre​ene/​2022/​02/​ 04/​oklah​oma-​propo​sed-​bill-​would-​fine-​teach​ers-​10000-​for-​contra​dict​ing-​a-​stude​ nts-​religi​ous-​bel​ief/​?sh=​3bdba​b431​a16; Arizona: www.abc15.com/​news/​state/​bill-​ allow​ing-​pare​nts-​to-​sue-​teach​ers-​head​ing-​to-​the-​gover​nor; and Utah: www.slt​rib. com/​news/​polit​ics/​2022/​02/​03/​bill-​allow​ing-​utah. 2. In the literature, many use the terms employee engagement and work engagement interchangeably, while others differentiate between these terms. For the sake of brevity, employee engagement is broadly used to capture how people relate to their work and their broader organization in which they are doing their work. 3. A sample of states with employee engagement surveys are Washington: https://​ ofm.wa.gov/​state-​human-​resour​ces/​workfo​rce-​data-​plann​ing/​state-​emplo​yee-​ eng​agem​ent-​sur​vey; Vermont: https://​hum​anre​sour​ces.verm​ont.gov/​data/​emplo​ yee-​eng​agem​ent; New Mexico: www.env.nm.gov/​wp-​cont​ent/​uplo​ads/​2022/​ 04/​2022-​04-​25_​-​_​OSI_​2022_​Employee_​Eng​agem​ent_​Surv​ey_​R​epor ​t_​fi​nal.pdf; Michigan: www.michi​gan.gov/​dtmb/​about/​eng​agem​ent; and California: www.gov​ ops.ca.gov/​what-​we-​do/​emplo​yee-​eng​agem​ent-​sur​vey

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14  Jessica E. Sowa the perception of federal agency mission accomplishment. Public Personnel Management, 46(2), 91–​117. McCandless, S., Bishu, S. G., Gomez Hernandez, M., Paredes Eraso, E., Sabharwal, M., Santis, E. L., & Yates, S. (2022). A long road: Patterns and prospects for social equity, diversity, and inclusion in public administration. Public Administration, 100(1), 129–​148. McKinsey & Company. (2022). What workers want is changing. This could be good for government. www.mckin​sey.com/​ind​ustr​ies/​pub​lic-​and-​soc​ial-​sec​tor/​our-​insig​hts/​what-​work​ ers-​want-​is-​chang​ing-​that-​could-​be-​good-​for-​gov​ernm​ent Merit System Protection Board, U.S. (2008). The power of federal employee engagement. www. mspb.gov/​stud​ies/​stud​ies/​The_​Power_​of_​Federal​_​Emp​loye​e_​En​gage​ment​_​379​024.pdf Moe, R. C. (1994). The“ reinventing government” exercise: Misinterpreting the problem, misjudging the consequences. Public Administration Review, 54(2), 111–​122. Mostafa, A. M. S., Gould-Williams, J. S., & Bottomley, P. (2015). High-performance human resource practices and employee outcomes: The mediating role of public service motivation. Public Administration Review, 75(5), 747–​757. Moynihan, D. P. (2022). Public management for populists: Trump’s Schedule F executive order and the future of the civil service. Public Administration Review, 82(1), 174–​178. O’Leary, R. (2020). The ethics of dissent: Managing guerrilla government, 3rd ed. CQ Press. Obeidat, S. M., Mitchell, R., & Bray, M. (2016). The link between high performance work practices and organizational performance: Empirically validating the conceptualization of HPWP according to the AMO model. Employee Relations, 38(4): 578–​595. Ogbonnaya, C., & Messersmith, J. (2019). Employee performance, well-being, and differential effects of human resource management subdimensions: Mutual gains or conflicting outcomes?. Human Resource Management Journal, 29(3), 509–​526. Omari, M., & Paull, M. (2015). Public sector work intensification and negative behaviors. Journal of Organizational Change Management, 28(4): 603–​613. Overeem, P. (2005). The value of the dichotomy: Politics, administration, and the political neutrality of administrators. Administrative Theory & Praxis, 27(2), 311–​329. Parker, K., & Horowitz, J. M. (2022). Majority of workers who quit a job in 2021 cite low pay, no opportunities for advancement, feeling disrespected. Pew Research Center. www.pewr​ esea​rch.org/​fact-​tank/​2022/​03/​09/​major​ity-​of-​work​ers-​who-​quit-​a-​job-​in-​2021-​cite-​low-​ pay-​no-​opport​unit​ies-​for-​adva​ncem​ent-​feel​ing-​disre​spec​ted Perez, Jr., J. (2022). Texas judge halts Abbott’s transgender investigation order. Politico. www.polit​ico.com/​news/​2022/​03/​11/​texas-​judge-​abb​ott-​tran​sgen​der-​invest​igat​ion-​order-​ 00016​802 Pfeffer, J. P. (1998). The human equation: Building profits by putting people first. Harvard Business Press. Plimmer, G., Bryson, J., & Teo, S. T. (2017). Opening the black box: The mediating roles of organisational systems and ambidexterity in the HRM-​performance link in public sector organisations. Personnel Review, 46(7), 1434–​1451. Portillo, S., Bearfield, D., & Humphrey, N. (2020). The myth of bureaucratic neutrality: Institutionalized inequity in local government hiring. Review of Public Personnel Administration, 40(3), 516–​531. Potipiroon, W., & Faerman, S. (2020). Tired from working hard? Examining the effect of organizational citizenship behavior on emotional exhaustion and the buffering roles of public service motivation and perceived supervisor support. Public Performance & Management Review, 43(6), 1260–​1291. Riccucci, N. M. (1991). Merit, equity, and test validity: A new look at an old problem. Administration & Society, 23(1), 74–​93. Riccucci, N. M. (2021). Managing diversity in public sector workforces, 2nd ed. Routledge.

Chapter 1  •  Significance for Government Performance  15 Riccucci, N. M., Van Ryzin, G. G., & Jackson, K. (2018). Representative bureaucracy, race, and policing: A survey experiment. Journal of Public Administration Research and Theory, 28(4), 506–​518. Ritz, A., Brewer, G. A., & Neumann, O. (2016). Public service motivation: A systematic literature review and outlook. Public Administration Review, 76(3), 414–​426. Roberts, R. N. (2010). Damned if you do and damned if you don’t: Title VII and public employee promotion disparate treatment and disparate impact litigation. Public Administration Review, 70(4), 582–​590. Rourke, F. E. (1992). Responsiveness and neutral competence in American bureaucracy. Public Administration Review, 52(6): 539–​546. Sabharwal, M., Hijal-​Moghrabi, I., & Royster, M. (2014). Preparing future public servants: Role of diversity in public administration. Public Administration Quarterly, 38, 206–​245. Salam, E. (2023, January 24). Florida teachers forced to remove or cover up books to avoid felony charges. The Guardian. www.theg​uard​ian.com/​us-​news/​2023/​jan/​24/​flor​ida-​mana​ tee-​cou​nty-​books-​certif​i ed-​media-​spe​cial​ist Schaufeli, W. B., Salanova, M., González-​Romá, V., & Bakker, A. B. (2002). The measurement of engagement and burnout: A two sample confirmatory factor analytic approach. Journal of Happiness Studies, 3, 71–​92. Selden, S. C. (2009). Human capital: Tools and strategies for the public sector. CQ Press. Selden, S., Schimmoeller, L., & Thompson, R. (2013). The influence of high performance work systems on voluntary turnover of new hires in US state governments. Personnel Review, 42(3), 300–​323. Shapiro, S. (2023). Trump and the bureaucrats: The fate of neutral competence. Springer. Shuck, B., Reio Jr, T. G., & Rocco, T. S. (2011). Employee engagement: An examination of antecedent and outcome variables. Human Resource Development International, 14(4), 427–​445. Simas, E. N., Clifford, S., & Kirkland, J. H. (2020). How empathic concern fuels political polarization. American Political Science Review, 114(1), 258–​269. Sowa, J. E. (2020). Reinvigorating the spirit of strategic human resource management. Public Personnel Management, 49(3), 331–​335. Steijn, B., & Knies, E. (Eds.). (2021). Research handbook on HRM in the public sector. Edward Elgar. Svara, J. H. (2001). The myth of the dichotomy: Complementarity of politics and administration in the past and future of public administration. Public Administration Review, 61(2), 176–​183. Thompson, J. R. (2000). Reinvention as reform: Assessing the National Performance Review. Public Administration Review, 60(6), 508–​521. Tompkins, J. (2002). Strategic human resources management in government: Unresolved issues. Public Personnel Management, 31(1), 95–​110. Tummers, L. G., & Knies, E. (2013). Leadership and meaningful work in the public sector. Public Administration Review, 73(6), 859–​868. Van Loon, N. M., Vandenabeele, W., & Leisink, P. (2015). On the bright and dark side of public service motivation: The relationship between PSM and employee well-​being. Public Money & Management, 35(5), 349–​356. Van Riper, P. P. (1958). History of the United States Civil Service. Peterson and Co. Vigoda-​ Gadot, E., Eldor, L., & Schohat, L. M. (2013). Engage them to public service: Conceptualization and empirical examination of employee engagement in public administration. The American Review of Public Administration, 43(5), 518–​538. West, W. F. (2005). Neutral competence and political responsiveness: An uneasy relationship. Policy Studies Journal, 33(2), 147–​160.

16  Jessica E. Sowa Whitford, A. B., & Lee, S. Y. (2015). Exit, voice, and loyalty with multiple exit options: Evidence from the US federal workforce. Journal of Public Administration Research and Theory, 25(2), 373–​398. Wolf, P. J. (1999). Neutral and responsive competence: The Bureau of the Budget, 1939–​1948, revisited. Administration & Society, 31(1), 142–​167. Wood, B. D., & Waterman, R. W. (1991). The dynamics of political control of the bureaucracy. American Political Science Review, 85(3), 801–​828. U.S. Census Bureau. (2019). Census Bureau Releases 2017 Census of Governments Data and Individual State Descriptions Report. www.cen​sus.gov/​newsr​oom/​press-​relea​ses/​2019/​ gove​rnme​nts.html Zavattaro, S. M., & Bearfield, D. (2022). Weaponization of wokeness: The theater of management and implications for public administration. Public Administration Review, 82(3), 585–​593. Zavattaro, S. M., Sowa, J. E., Henderson, A. C., & Edwards, L. H. (Eds.). (2023). Portraits of public service: Untold stories from the front lines. SUNY Press.

2

HUMAN RESOURCES PRACTICES AND RESEARCH IN EUROPE Lotte Bøgh Andersen, Peter Leisink, and Wouter Vandenabeele

Although the main objective of public personnel practices and HRM is similar in Europe and the United States—​ through active HRM strategies and leadership to motivate employees and ultimately achieve organizational performance objectives—​ there are several differences. The context within which HRM takes place differs between the continents and also within Europe at the level of nation-​states. The scientific traditions in Europe and the United States are also slightly different. As these differences relate to both practice and research, this chapter first describes the characteristics of European HR practices followed by a discussion of public sector HRM research in Europe. Before we summarize the main points in the conclusion, we also discuss our expectations for future European human resources research and practice.

EUROPEAN HUMAN RESOURCES PRACTICES: PAST, PRESENT, AND POTENTIAL For many reasons, Europe is even more diverse than North America (Meyer & Hammerschmid, 2010; Pollitt & Bouckaert, 2011). First, Europe is far from synonymous with the European Union (EU). Since Brexit, only 27 of the 50 internationally recognized sovereign states with territory located within Europe are members of the EU. There are also huge economic and social differences within Europe. This makes the continent very diverse, which evidently has an impact on public sector HR practices. To be able to make a coherent presentation, this chapter focuses mainly on EU member states (with an occasional brief excursion to other European countries, notably the United Kingdom). Second, there are several different types of administrative traditions (Pollitt & Bouckaert, 2011; Parrado et al., 2013) on the European continent. These remain relevant even for those nation-​states that have joined the EU. This is related to the very basic institutional framework, which differs between European countries, and the framework dealing with the relations between the EU and the member states being different from the institutional framework in the United States. While the states in the United States also have different state-​level constitutions and statutory laws, the US Constitution is a much older and more pervasively institutionalized common frame for public HR practices. By contrast, in Europe national differences in administrative traditions have contributed to differences DOI: 10.4324/9781003403401-2

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18  Lotte Bøgh Andersen, Peter Leisink, and Wouter Vandenabeele in the development of HRM over time and continue to influence the nation-​states’ adaptation to joint EU policy frameworks, which are meant to affect HR practices, including those in the public sector. We will elaborate on this source of differences throughout this chapter. We will provide a conceptual clarification and historical illustration here. According to Peters (2008: 118), an administrative tradition is a “historically based set of values, structures and relationships with other institutions that defines the nature of appropriate public administration within society.” While the Anglo-​Saxon administrative model is pluralistic (the government is just one stakeholder, alongside those from civil society and business), both the Prussian and Scandinavian administrative models are organicist, with strong decentralization of power and groups from civil society embedded within the decision-​making process. The Napoleonic administrative model has a strong centralist decision-​making, while the former communist regimes also share a specific administrative tradition (Parrado et al., 2013). This is relevant for this chapter, because HR policies are typically more centralized in administrative traditions where the state has a more central role (Napoleonic models and to some extent also the post-​communist model), while the state plays a less direct role in HR policies in, for example, the United Kingdom (Anglo-​Saxon model) and Scandinavia. Historically, differences in national administrative traditions are reflected in two different approaches to public service employment regulation (Bach & Kessler, 2007). The sovereign employer approach involves state control in shaping HR practices, meaning that the government has the authority to unilaterally determine pay and conditions for civil servants, who have an employment statute but no formal participation in collective bargaining by trade unions. Prime examples of this approach are France, representing the Napoleonic type, and Germany, Austria, and Switzerland, representing the Continental administrative Rechtsstaat tradition. The other approach to public service employment regulation is the model employer approach, of which the United Kingdom is an example. This approach is based on the state setting an example to private employers on how employees should be treated by offering high levels of job security, good pensions, and a willingness to recognize trade unions. Under the influence of New Public Management (NPM), significant changes in public employment regulation have occurred since the 1990s, but the historical differences continue to remain relevant, among others things in the influence they have on the way in which NPM ideas are translated in HR practices (Bach & Bordogna, 2016). Third, it is also important to take into account the different types of welfare states (Esping-​Andersen, 1990) in Europe. These vary from states where the public sector is much bigger, but more decentralized, as in social democratic regimes compared with liberal and corporatist-​statist regimes. Especially when analyzing the adoption of workplace HR arrangements for work–​family support, much variation can be explained by differences in welfare-​state contexts. Employers in the social-​democratic welfare states adopt fewer additional childcare measures and leave arrangements to the state compared with employers operating in other welfare regime types. Because the welfare state already provides these services, employers in the social-​democratic regime offer the most flexible work arrangements. Den Dulk et al. (2012: 2804) argue that this indicates that public provisions create a normative climate that increases social expectations and “a sense of entitlement” regarding work–​family support. For the abovementioned reasons, there are significant differences within Europe between countries—​ for instance, regarding what services are actually provided by public sector organizations. Compare, for instance, the United Kingdom, which provides healthcare services to all citizens through the publicly funded and organized National Health Service (NHS) and the Netherlands, where healthcare services are provided by

Chapter 2  •  Human Resources Practices and Research In Europe  19 private nonprofit organizations based on public plus collective funding. There are also differences within countries between different types of services—​for instance, regarding the position of the citizen or “customer”: see the citizen’s choice and voice positions for police on the one hand and for education on the other hand. These important contextual differences are related to significant differences in HR practices on which this chapter concentrates. A description of European HR practices could, as a result of the abovementioned variation, quickly become overly complex. There are, however, a number of specific developments, which foster a global understanding of both similarities and differences between European and American HR practices. These are captured by the following three themes: • the past—​the way New Public Management was implemented in key European states; • the present—​the high level of institutionalized employee participation and its contribution to public HR practices; and • the future—​the way the New Public Governance is evolving right now in Europe. The following sections will focus on these three themes. We begin with the past and examine the way NPM was implemented. Although many of the more fundamental differences in Europe originate before NPM, this is our point of departure, because the different forms of implementation of this governance paradigm are highly relevant for European HR practices today.

The Past (and Present) of HR Practices: European Versions of New Public Management NPM is a shorthand concept for a set of loosely related ideas about government and public service reform with the key objective being to create a public sector that works better and costs less. Coining the term “New Public Management,” Hood (1991) argued that seven overlapping doctrines appear in most discussions of NPM: 1. “hands-​on professional management” in the public sector; 2. explicit standards and measures of performance; 3. greater emphasis on output control; 4. shift to disaggregation of units in the public sector; 5. shift to greater competition in the public sector; 6. stress on private sector styles of management practice; 7. stress on greater discipline and parsimony in resource use. The NPM movement started in the late 1970s. Kettl (2005: 8) argues that it had its true start in New Zealand, but many researchers see its implementation in the United Kingdom (UK) under Prime Minister Margaret Thatcher as its most important manifestation (Gruening, 2001: 2). The British NPM reforms are better known and therefore also more influential in shaping reforms in other European countries. Thatcher was in office between 1979 and 1990, and she more than anybody else personifies the European version of NPM. The reforms in the United Kingdom aimed at shrinking the size of and imposing market-​style discipline in public organizations (Kettl, 2005: 8). In order to understand what these changes implied for public sector HRM, we must first identify the nature of personnel management before NPM set in. Farnham

20  Lotte Bøgh Andersen, Peter Leisink, and Wouter Vandenabeele and Horton (1996) characterize the traditional pattern of personnel management in the United Kingdom as (1) paternalist, purported to protect and promote the well-​being of the workforce, (2) as involving standardized employment practices, which were (3) established collectively with the involvement of trade unions, and (4) went along with the aspiration of public organizations to be a model employer, setting a standard in areas such as staff training and employee participation for private employers to emulate. Boyne, Jenkins, and Poole (1999) used these characteristics to examine the extent to which public personnel policies had, over more than two decades of NPM, become more similar to private sector HRM, which they characterized as: (1) rational management, oriented at performance; (2) involving flexibility and differentiation; (3) more individualist; and (4) best practice HRM. Based on a survey study of managers of both public and private organizations, examining the patterns of HRM, Boyne et al. (1999: 417) concluded that HRM continued to vary significantly between the public and private sectors: the traditional style of paternal, standardized, and collectivized HRM continued to be more prevalent in public than private organizations by the mid-​1990s. Using NPM-​inspired developments in the United Kingdom as a starting point, we can illustrate some of the similarities and differences in the way NPM was implemented in European states by looking at the primary HR reforms recognized by Ingraham (2005): increasing flexibility, reform of pay, decentralization, and devolution. The increasing interest in performance went along with initiatives to change pay systems and introduce pay-​for-​performance elements. A study of pay systems in six European countries (Belgium, Denmark, Germany, Sweden, the Netherlands, and the United Kingdom) by Willems, Janvier, and Henderickx (2006) showed that by 2005 all central governments, except Sweden, basically continued to rely on pay scales with fixed increments and on seniority as an important base for pay increases. To the extent that pay-​for-​ performance elements had been included in the pay system, it accounted for only a small percentage of pay increases. Equity remained the primary value orientating pay policies in all countries. Similarly, NPM had a great influence on the performance management focus in Europe as well as in the United States (Moynihan, 2008). Examining the degree of decentralization of HR decision-​making in central government across the 27 EU Member States Meyer and Hammerschmid (2010) showed that by 2006, overall HR decision-​making was still highly centralized. Decentralization, to the extent that this occurred, did not mean a higher degree of autonomy for individual managers because other actors such as employee representatives were typically involved in the decision-​making. However, there were important differences. First, there was considerable variation in the extent of centralization between HR practices. Some, such as salaries, codes of conduct and ethical standards, head count reduction, and basic working time arrangements, typically were decided at the central level. Other HR practices, such as performance-​related pay, performance management, training and development, and flexible working time patterns, tended to be decided at lower hierarchical levels. Second, there were considerable differences between countries. Distinguishing between Anglo-​ Saxon, Continental, Scandinavian, Southern and Eastern European Member States, Meyer and Hammerschmid (2010) found that HR decision-​making ranged from most centralized in Eastern European countries to less centralized in Anglo-​Saxon and Scandinavian EU Member States, with Southern European and Continental Member States occupying a position in between. However, Anglo-​Saxon and Scandinavian countries did not differ significantly from Continental EU Member States regarding collective decision-​making—​ that is, the involvement of other actors such as trade unions—​while Southern and Eastern European Member States featured less involvement of multiple actors. We will elaborate

Chapter 2  •  Human Resources Practices and Research In Europe  21 on this feature of employee participation in the next section. Overall, the type of administrative tradition is the most important variable explaining the differences in the degree of centralization and collective decision-​making in HR practices. Exemplifying how country-​level differences in the adoption of NPM can significantly alter management practices at the state level, Hansen et al. (2013) found that that the capacity to accomplish interdepartmental coordination depends on the type of managerialism. If the focus of top civil servants is exclusively on achieving goals set for their specific departments, rather than for the central government as a collective, this may hinder a coherent government-​wide strategic management, including HRM. When management’s focus is on the silos, increasing the risk of losing sight of the whole, the HR strategy tends to align with the departments at the expense of the strategic long-​term goals of the organization as a whole (Boselie, 2010). This compartmentalization of HR’s focus grew during the 1990s in tandem with the devolution of HRM authority. Bringing information about public HR practices up to date, Knies et al. (2022) showed that, for eight European countries, public organizations when compared with private organizations continued over the 1999–​2015 period to make significantly less use of various forms of performance-​related pay, although individual performance-​related pay has become more present as HR practice. Although appraisal systems have become equally common in public and private organizations since 2010, public organizations make significantly less use of performance appraisal information for pay decisions. Bach and Kessler (2022: 285–​287) argue that the distinctive pattern of public sector practice was also evident in the post-​2010 period of austerity and in recent years when pay determination returned to prevailing norms. This distinctive pattern includes the enduring characteristic of the sovereign or model employer traditions and the respective roles these allow for central government regulation and collective employee voice. Evaluating the heritage of NPM, including its influence on public sector HRM, there is growing concern about whether two decades of public management reform have helped to improve public services. There is public criticism that some reform policies such as liberalization and the introduction of market mechanisms have actually produced negative effects in some contexts (Aberbach & Christensen 2014; Hood & Dixon 2015a, 2015b; Torfing et al., 2020). Such concerns refer, for example, to the salaries and bonuses of public managers in agencies (e.g., housing corporations, hospitals, and higher education), the outsourcing of services and employees, and changes in the status of civil servants. The COVID-​19 crisis exposed how NPM in several countries had eroded public sector capacity (Mazzucato & Kattel, 2020). In terms of Hood’s (1991) conceptualization, Lambda-​type values such as robustness and resilience were required to cope with the COVID-​19 crisis instead of the previously dominant Sigma-​type values of efficiency and effectiveness that helped shape NPM. This evaluation corresponds to the core argument in recent academic HR-​contributions that highlight the increasing importance of new governance paradigms (Torfing et al., 2020; Andersen et al., 2021).

The Present of European HR Practices: Highly Institutionalized Employee Participation and Its Contribution to Public HR Practices The pluralist HRM perspective, which recognizes different stakeholders such as trade unions and work councils, which may have interests that conflict with the employer’s in some aspects of the employment relationship (Boselie, 2010: 226), has contributed to prominence being given to employee participation. Its importance is illustrated by the 2002 EU Directive that requires EU Member States to provide for information and

22  Lotte Bøgh Andersen, Peter Leisink, and Wouter Vandenabeele consultation arrangements covering all enterprises—​public and private—​with 50 or more employees. This may seem a radical state intervention, but the Directive codified a principle of what was basically a long-​established practice in most countries. Employee participation at the individual and collective levels is a distinctive feature of the European ‘social model’. Employee participation has always been a typical feature of public HR practices, as shown by Farnham and Horton’s (1996) characterization of public HRM in the United Kingdom and its relevance to other European states (Leisink & Knies, 2018; Bach & Kessler, 2022). Although trade union participation in the determination of employment conditions has not been pervasive in all European states (for example, France) and not common at all times (for example, the 2008–​2012 austerity period) (Bach & Bordogna, 2016), public organizations when compared with private organizations are more likely to recognize trade unions for the purpose of collective bargaining and to have consultative committees or works councils (Leisink et al., 2021). The degree of managerial autonomy has increased, which resonates with the NPM doctrine as described by Hood (1991), but it is constrained because institutional arrangements provide trade unions and works councils with the rights of negotiation, approval and/​or advice (Leisink et al., 2021; Bach & Kessler, 2022). The typical feature of institutionalized employee participation has arguably had an impact on public HR practices. Over the years, the equal treatment and representative bureaucracy logic of government organizations (Groeneveld & Van de Walle, 2010) and the anti-​inequality, pro-​solidarity logic of European trade unions have aligned to promote equal pay for equal jobs, and employment opportunities for vulnerable groups in the labor market. Employee participation rights enabled trade unions to effectively resist performance-​related pay practices or to ensure that these practices operate differently from the way they do in the private sector (Bach & Kessler, 2022). On the other hand, unions supported public organizations’ work–​ life balance policies and programs for women and women returners, responding to and favoring the strong female proportion of the public sector workforce (Den Dulk et al., 2012). Over the years, public organizations have made more use of equal opportunities HR practices than private organizations have. However, the adoption of HR practices has converged across public and private sector organizations, and this also holds true for equal opportunity HR practices. While public organizations support significantly more action programs for minorities and for people with disabilities, today private organizations are equally strongly supportive of action programs for women and older workers (Knies et al., 2022). Labor market competition is undoubtedly a force driving this convergence process.

The Present (and Potential Future) of European HR Practices: Coproduction and Network Governance Especially in the north-​western European countries, which are characterized by strong states and well-​organized civil societies, interactive, inter-​organizational, and indirect forms of governing are right now unfolding with varying degrees of strength (Torfing et al., 2013: 10). Evolving around participatory and networked processes based on interdependency, collaboration, and trust, these new types of governance can be seen as a response to increasing citizen expectations and demands, and growing societal complexity and fragmentation. This New Public Governance wave (Osborne, 2010) transforms the European political-​administrative systems towards more interactive forms of governing. Individual coproduction is when the benefits are individually enjoyed and provided, while collective coproductive activities (where citizens can either act

Chapter 2  •  Human Resources Practices and Research In Europe  23 individually or together) result in collective goods, the benefits of which may be enjoyed by the entire community (Bovaird et al., 2015). Service provision is increasingly shifting from public employees doing the service for the citizens to an enabling logic where the individual citizens perform the task for themselves (e.g., elderly people who are supported in cooking their own meals instead of having them delivered). These changes also affect public sector HRM. The biggest change potential for HR practices lies in a potential spread of collective coproduction of public services. A large-​sample survey in five European countries indicates that there are differences between different European administrative traditions but the common denominator is that individual coproduction is more widespread than collective coproduction (Bovaird et al., 2015). When public organizations become arenas for coproduction, it changes the context for HR practices because it fundamentally questions whether these practices should remain directed towards the employees only or toward organizational members in a broader understanding, also including volunteers and the relevant citizens. Human service organizations ignore the HR consequences involved at their own peril. Local-​level coproduction initiatives in the Netherlands, for instance, have shown that self-​employed care professionals take over the job formerly done by employees of human service organizations because self-​employed people are more flexible in providing custom-​ made support. As a response, human service organizations attempt to reform their HR practices, allowing more flexibility and empowering their employees to deliver services in coproduction with clients and volunteers as they see fit, but some trade unions tend to oppose such reforms.

RESEARCH ON PUBLIC SECTOR HRM There are many similarities between the research on HRM taking place in the United States and that occurring in Europe, but there are also small differences in emphasis. Especially for the generic HRM literature, it is relevant to distinguish between an Anglo-​ Saxon tradition and an European/​Rhineland countries tradition (Brewster, 2007). The former is relatively more focused on organizational goal achievement in a shareholder perspective (the owners), and tends to have a unitary view on organizational goals and to be less interested in conflicts of interests with other stakeholders. The latter European tradition typically has a broader stakeholder perspective and (relatedly) a greater focus on mutual gains and the wider context. In addition, European scholars have typically done more to emphasize the need to be aware of both managers’ HR actions and employees’ perceptions. Even though these observations are broad generalizations, it is relevant to go into more detail concerning some of the topics regarded as distinctive: mutual gains, the interest in both managers and employees, and the importance of context. As a final issue related to research on public sector HR, we address the question of the embeddedness of public sector HR research and how its organizational affiliation affects cooperation with other disciplines.

Conflicting Outcomes and/​or Mutual Gains As mentioned, the main objective of public personnel practices and HRM in both Europe and America is to use active HRM strategies and leadership to motivate employees and ultimately achieve high organizational performance (see also Chapter 3). HR research in both continents is also focused on contributing to understand how this can be done. However, the understanding of performance might be slightly different. While there is a

24  Lotte Bøgh Andersen, Peter Leisink, and Wouter Vandenabeele broad recognition that public organizations have multiple, sometimes even conflicting, goals—​implying that performance should be understood as a multidimensional concept—​ this has been especially important for European HR research (Andersen, Boesen, & Pedersen, 2016). This also relates to the understanding of who should decide what performance is in public organizations—​who are the relevant stakeholders (Andersen, Brewer, & Leisink, 2021)? In the European context, public personnel policies are thus very much seen in relation to the outcomes they help create; however, as we will show, there tends to be a little more critical discussion of what outcomes we should look at. Core areas of interest in HR’s contribution to organizational outcomes involve the importance of HRM systems, the devolution of HR responsibility, and the role of line managers in the implementation of HR policies. This has generated research into specific HR policies, such as talent management, High Performance Work Systems (HPWS), and people management. However, in their critical review, European scholars Keegan and Boselie (2006) argue that the HRM research field is lacking dissensus-inspired analyses and tends to be over-​enthusiastic about HR practices. Specifically, public sector HR research on public service motivation (PSM) focused almost exclusively on positive effects until around 2010 (Ritz et al., 2016: 421). More critical research now analyzes stress, sickness presenteeism, and other aspects of employee well-​being (e.g., Giauque et al., 2012; Van Loon, Vandenabeele, & Leisink, 2015; Jensen et al., 2019). Connected to this critical perspective, and also to the discussion of stakeholders versus shareholders, a key question has been whether employee outcomes are (only) a means to the end of achieving organizational performance or a goal in themselves. The review study by Van de Voorde et al. (2012) finds that employee well-​being in terms of happiness and good relationships at work is congruent with performance, supporting the mutual gains perspective, but that health-​related well-​being appears to conflict with performance. Relatedly, employees’ attributes (e.g., PSM, job satisfaction, commitment) and the role played by HR policies such as training and development in terms of influencing these attributes have been systematically investigated. Here, the difference between Europe and the United States is insignificant: HR researchers all over the world investigate these questions, which are important for the efforts to find (new) ways to improve public service performance through public personnel policies.

Combining Analyses of Leaders and Employees The combined focus on leaders at different hierarchical levels and employees has characterized a lot of European HR research in recent years (Knies & Leisink, 2014; Jacobsen et al., 2022). The role of the line manager in the implementation of personnel policies has increased throughout the public sector, and the devolution of HR responsibility to the line has theoretically been accompanied by a conceptual framework that differentiates between intended personnel policies, and implemented and perceived personnel (or HR) practices (Wright & Nishii, 2013). It is recognized that managers may implement intended HR policies in different ways and that the ultimate effect, be it organizational performance or employee well-​being, of personnel (HR) policies depends on the perceptions employees have of the intended policies, the policies’ aims as communicated by senior management, and, most importantly, their implementation by their own manager. A variety of factors may affect how line managers implement personnel policies, among them their knowledge and abilities, the support that HR staff offer to line managers, red tape, and the discretionary room they have (Knies, Op de Beeck, & Hondeghem, 2021).

Chapter 2  •  Human Resources Practices and Research In Europe  25 This is also linked to the increased attention to leadership in public organizations (e.g., Vandenabeele, 2014; Jacobsen et al., 2017, 2022). Leadership has gained prominence as a topic in the public sector (Backhaus & Vogel, 2022), as is also demonstrated by the number of dedicated research centers that have been established recently, most notably the Crown Prince Frederik Center for Public Leadership at Aarhus University and the Leiden Leadership Centre at Leiden University. Leadership is conceptualized as involving not just the design of mission, vision, and strategy at the top level of organizations, but also as a style of leadership that motivates employees to contribute to achieving public service performance. In the HRM literature, the term “people management” refers to this dual aspect of the implementation of HR practices and leadership by line managers (Knies, Leisink, & Van de Schoot, 2020). Recognition of the important role played by public managers at different levels calls for research that focuses on their implementation of personnel policies and leadership, as well as research into the antecedents and consequences of their people management. Theoretical models converge on the idea that the contribution of HRM is mediated by its impact on the attributes and behaviors of employees, with the work by Wright and Nishii (2013) on strategic HRM and organizational behavior, where they integrate multiple levels of analysis, a huge inspiration. This is exemplified in the article by Jacobsen et al. (2015) that investigates how leader-​perceived and employee-​perceived leadership is associated with organizational performance. This is tested for transformational and transactional leadership, as both types of practices are expected to increase performance. Combining answers from 1,621 teachers and their 79 Danish high school principals, the authors find that leader-​intended and employee-​perceived transformational and transactional leadership are only weakly correlated and that only employee-​perceived leadership practices (both transformational and transactional) are significantly related to objectively measured school performance. The results indicate that it is important to distinguish between intended and perceived leadership, and that leaders should be aware of how their practices are perceived by their employees. This distinction also holds for leadership identity that measures the extent to which individuals with formal managerial responsibilities perceive themselves as leaders rather than just professionals (Grøn et al., 2020). Grøn et al. (2023) find that employees see their leader as having a significantly more dominant professional identity compared with the leader’s own perceptions of a more dominant leadership identity. This gap can, however, be reduced through leadership training.

The Importance of Context Pollitt (2013) characterizes context as the missing link in public policy and management research, and HRM researchers (Boxall, Purcell, & Wright, 2007; Parry, Morley, & Brewster, 2021) have also called for balancing contextual relevance and research rigor. There are significant differences between countries, as illustrated by the traditions and changes in public management and public sector employment. Backhaus and Vogel (2022) demonstrate that administrative traditions matter in terms of the effectiveness of leadership. Kjeldsen and Andersen (2013) show the relevance of different welfare state regimes when studying employee outcomes. Furthermore, sectoral contexts are also important, exemplified by the difference in the characteristics of healthcare providers in the United Kingdom and the Netherlands, and the differences in the choice/​voice position the citizen/​client has between local government and police on the one hand, and healthcare and education on the other. The context of the economic crisis led to research

26  Lotte Bøgh Andersen, Peter Leisink, and Wouter Vandenabeele of the consequences of austerity measures for public employment and public services (Bach & Bordogna, 2016). Similarly, demographic and labor market changes generate research into the mix of HR practices that can make the public sector an attractive employer for the younger generation of employees and that at the same time adapt to the needs of older workers who have to work longer (Van Harten & Vermeeren, 2021). Relatedly, European HR scholars have been aware of the importance of fit with the environment. At the organizational level, this has led to studies of the role of person–​job fit and person–​organization fit in relation to both performance (Leisink & Steijn, 2009; Mostafa & Gould-​Williams, 2013; Van Loon et al., 2017) and employee outcomes (Steijn, 2008; Gould-​Williams, Mostafa, & Bottomley, 2015; Van Loon, Vandenabeele, & Leisink, 2015). At the macro level, there are studies of the fit between the organizational strategy, including its HR strategy and the institutional context (Boon et al., 2009; Vandenabeele et al., 2013). A HRM system that fits the external environment and achieves a balance between competitive pressures (or cost effectiveness) and institutional pressures presumably creates a positive synergistic effect on organizational performance and the social legitimacy of the organization’s strategy. This might, however, be more difficult to achieve for organizations composed of different subunits that face different contexts. For example, the same HR practices might not work in the western part of Aarhus Municipality (where citizens generally score low on socioeconomic variables) compared with the more affluent northern part.

Combining Insights from Different Disciplines How HRM is studied affects what we see. While public administration in the United States is typically placed in its own departments, there is far more variation in Europe. In the Netherlands, we see PA departments very similar to the typical US department. One example is the Utrecht University School of Governance (www.uu.nl/​en/​organ​isat​ ion/​utre​cht-​uni​vers​ity-​sch​ool-​of-​gov​erna​nce), which studies public issues and public organizations in their interaction with the developments in politics and society, including private organizations with public duties, such as hospitals and social care providers. In contrast, public administration is typically part of political science departments in Denmark, as at Aarhus University (http://​ps.au.dk/​en). The latter separates public administration from the generic HRM research, but counteracts the general tendency in HRM to overlook the importance of politics, symbols, and power (Boselie, 2010: 110). Although the organization of research does matter, much European HRM research combines insights from different scientific fields, including economics, psychology, and sociology, and investigates how HRM interventions impact public service performance. The complexity of this research area warrants a multidisciplinary approach. The relationship between HRM and public service improvement has, for example, been approached through theoretical papers that deal with mechanisms such as public service motivation and commitment linking HRM and performance, and psychological theory (such as self-​ determination theory) has been very useful in these types of analyses. Theoretical innovation from neighboring disciplines has also come from systemic epistemology and living systems theory, inspiring scientific management approaches based mainly on standardization to be replaced by new management theories. These new approaches hold that public (and private) organizations have to foster a diverse workforce in terms of competencies, personality traits, and motivations, in order to enhance their capability to evolve and to learn. Public organizations were among the first to emphasize the importance of employing a diverse workforce that reflects the diversity

Chapter 2  •  Human Resources Practices and Research In Europe  27 of the population and argued this by referring to public values of legitimacy and social justice. In the United States, this was echoed in the literature on “representative bureaucracy” (Bradbury & Kellough, 2011), and there is also a European version of this literature (Groeneveld & van de Walle, 2010; Groeneveld & Meier, 2022). While the central claim of this literature in both the United States and Europe is that bureaucracy should represent the society it serves, the European approach pays relatively less attention to ethnicity, perhaps due to the composition of its populations.

WHAT WILL CHARACTERIZE EUROPEAN HUMAN RESOURCES MANAGEMENT RESEARCH AND PRACTICE IN THE YEARS TO COME? Right now, the major challenge for public sector HRM in Europe is how it can contribute to the resilience of public organizations and vital public services that will continue to be influenced by the effects of some very big societal developments. How can public services, for example, be aligned to a context with an influx of refugees and asylum-​seekers in Europe? This will have a major impact on governments’ and public organizations’ abilities to deliver public services in a context with an increasing diversity of citizens. Economic, ecological, and demographic challenges affect all OECD countries and confront public organizations with the need to change (Lodge & Hood, 2012). However, the proximity of Southern Europe in particular to the refugee challenge and the disruptive challenges for Europe related to the war in Ukraine pose major public issues not just for government policies in general, but also for European human resources practices specifically. It is difficult to make predictions, but taking the present developments as a point of departure, we can see four trends in European HRM research and practice. First, the strengthened emphasis on goal attainment and performance seems to continue in both European and North-​American HR research. HR scholars from the two continents often work together in this strand of research. One example is the collaboration in the field of representative bureaucracy and public service performance between European scholars—​Rhys Andrews (Cardiff University, UK), Sandra Groeneveld (Leyden University, Netherlands), and Eckhard Schröter (Zeppelin University, Germany)—​and US scholars—​ Kenneth Meier (American University, Washington). This development is expected to contribute to placing the study of public personnel management and HRM as even more central within the general public administration research community. Relatedly, measurement of performance will remain a key issue, not only in a technical sense but also regarding the fundamental question of whether the missions of public organizations and the public value they create are adequately captured by (quantitative) research. Second, employee outcomes such as motivation and commitment continue to attract interest, as they are relevant for hiring and retention purposes as well as for improving public services (Vandenabeele, 2013; Vandenabeele et al., 2013). Combined evolutions of health, international political, and subsequent economic crises are likely to put further pressure on public sector funding. Given demographic evolutions that create an ever-​growing labor market shortage, strategies of public employer branding will become even more important. The research trend here goes towards applying newer research methods such as vignettes (Vandenabeele & Jager, 2020; Weske et al., 2020; Cordes & Vogel, 2022) and field experiments (Keppeler & Papenfuß, 2021) to assess the effectiveness of particular HR interventions or instruments. This also allows the studies

28  Lotte Bøgh Andersen, Peter Leisink, and Wouter Vandenabeele to account for new technological realities such as social media and artificial intelligence (Keppeler, 2022). Over and above this interest in hiring, public sector HRM practice and research will need to focus on the employability of employees in the longer term in order to maintain staffing levels (De Cuyper et al., 2011; Van Harten & Rodrigues, 2022). Employees will have to work longer (ageing society) and be able to adapt to ongoing changes in the organization of work (information technology, networks, coproduction of public services). Sustainable employment also requires HRM to pay attention to the health and vitality of public sector employees and enable line managers to alert employees to the risks of burnout. It will take a major effort of public personnel policies in Europe to move from the traditional focus on job security to a practice of flexicurity and sustainable employability of employees, involving the shared responsibility of government employers and employees themselves. Third, methodological sophistication increases and will probably continue to increase in the future, instigated by editorial boards’ decisions to no longer publish articles where perceived independent and dependent variables are measured using the same source (e.g., the same questionnaire to the same employee measuring motivation and performance). Here, European research in human resource practices may have certain advantages because it is (at least in many European countries) easier to use experimental methods and draw on external performance data. Fourth, we expect that HRM will have to deal increasingly with the consequences of the increase of public service provision in organizational networks for personnel policies. This includes issues such as whether the status of public employees inhibits network collaboration, how network governance impacts hierarchical responsibility, and what sorts of competences are needed by employees operating in organizational networks. More generally, from the multiple competing governance paradigms, will a dominating paradigm manifest itself or will we continue to see competing and overlapping logics of governance in the European public sectors? The overall challenge for public personnel policies and HRM is whether and how performance can be managed and what people management must look like to make a significant contribution to public service performance that is relevant for different stakeholders. “Improving public services” was the rhetoric that accompanied two decades of public management reform; it was also invoked by government programs that wanted to frame austerity measures as more than just cutbacks, and the current challenges will no doubt encourage public organizations to use this notion as a rallying cry for the future.

Conclusion Understanding HR practices and research in Europe (compared with the United States) requires knowledge about the administrative traditions in different European countries. Whether the government is only seen as one stakeholder (as in the Anglo-​Saxon model) or decision-​making is more central (as in the Napoleonic tradition), for example, makes a difference for public HRM. Moreover, the different types of welfare states have different implications—​for instance, for the size of the public sector and scope of public services. Based on an understanding of these fundamental institutional differences, it is especially relevant to gain insight in European human resources practices to study how New Public Management was implemented in key European states and to be aware of the higher level of institutionalized employee participation in almost all European

Chapter 2  •  Human Resources Practices and Research In Europe  29 states. Right now, the New Public Governance wave transforms the European political-​ administrative systems towards more interactive forms of governing. European HRM research especially focuses on conflicts of interest between multiple stakeholders and on mutual gains (rather than only analyzing HRM from a unitarist shareholder perspective). Relatedly, European scholars typically emphasize the need to be aware of both managers’ HR actions and employees’ perceptions. Still, there are many similarities between the European and American approaches, and the overall goal of HR—​through active HRM strategies and leadership to motivate employees and ultimately achieve organizational performance objectives—​is the same.

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Chapter 2  •  Human Resources Practices and Research In Europe  31 Jensen, U. L., Andersen, L. B., & Holten, A. L. (2019). Explaining a dark side: Public service motivation, presenteeism, and absenteeism. Review of Public Personnel Administration, 39(4), 487–​510. Keegan, A., & Boselie, P. (2006). The lack of impact of dissensus inspired analysis on developments in the field of HRM. Journal of Management Studies, 43, 1491–​1511. Keppeler, F. (2022). No thanks, Dear AI! Understanding the effects of disclosure and deployment of artificial intelligence in public sector recruitment. https://​pap​ers.ssrn.com/​sol3/​pap​ ers.cfm?abst​ract​_​id=​4232​641 Keppeler, F., & Papenfuß, U. (2021). Employer branding and recruitment: Social media field experiments targeting future public employees. Public Administration Review, 81(4), 763–​775. Kettl, D. F. (2005). The global public management revolution, 2nd ed. Brookings Institution. Kjeldsen, A. M., & Andersen, L. B. (2013). How pro-​social motivation affects job satisfaction: An international analysis of countries with different welfare-​ state regimes. Scandinavian Political Studies, 36(2): 153–​176. Knies, E., Borst, R., Leisink, P., & Farndale, E. (2022). The distinctiveness of public sector HRM: A four-​wave trend analysis. Human Resource Management Journal, 1–​27. https://​ doi.org/​10.1111/​1748-​8583.12440 Knies, E., & Leisink, P. (2014). Leadership behavior in public organizations: A study of supervisory support by police and medical center middle managers. Review of Public Personnel Administration, 34(2), 108–​127. Knies, E., Leisink, P., & Van de Schoot, R. (2020). People management: Developing and testing a measurement scale. International Journal of Human Resource Management, 31(6), 705–​737. Knies, E., Op de Beeck, S., & Hondeghem, A. (2021). Antecedents of managers’ people management: Using the AMO model to explain differences in HRM implementation. In P. Leisink, L. B. Andersen, G. Brewer, C. B. Jacobsen, E. Knies, & W. Vandenabeele (Eds.), Managing for public service performance: How people and values make a difference. Oxford University Press, pp. 123–​141. Leisink, P., Borst, R., Knies, E., & Battista, V. (2021). Human resource management in a public-​sector context. In E. Parry, M. Morley, & C. Brewster (Eds.), The Oxford handbook of contextual approaches to human resource management. Oxford University Press, pp. 415–​436. Leisink, P., & Knies, E. (2018). Public personnel reforms and public sector HRM in Europe. In E. Ongaro, & S. Van Thiel (Eds.), The Palgrave handbook of public administration and management in Europe. Palgrave, pp. 243–​259. Leisink, P., & Steijn, B. (2009). Public service motivation and job performance of public sector employees in the Netherlands. International Review of Administrative Sciences, 75(1), 35–​52. Lodge, M., & Hood, C. (2012). Into an age of multiple austerities? Public management and public service bargains across OECD countries. Governance: An International Journal of Policy, Administration and Institutions, 25(1), 79–​101. Mazzucato, M., & Kattel, R. (2020). COVID-​19 and public-​sector capacity. Oxford Review of Economic Policy, 36(Supp. 1), S256–​S269. Meyer, R. E., & Hammerschmid, G. (2010). The degree of decentralization and individual decision making in central government human resource management: A European comparative perspective. Public Administration, 88(2): 455–​478. Mostafa, A., & Gould-​Williams, J. (2013). Testing the mediation effect of person–​organization fit on the relationship between high performance HR practices and employee outcomes in the Egyptian public sector. The International Journal of Human Resource Management, 25(2), 276–​292.

32  Lotte Bøgh Andersen, Peter Leisink, and Wouter Vandenabeele Moynihan, D. (2008). The dynamics of performance management: Constructing information and reform. Georgetown University Press. Osborne, S. (2010). The new public governance: Emerging perspectives on the theory and practice of public governance. Routledge. Parrado, S., Van Ryzin, G. G., Bovaird, T., & Löffler, E. (2013). Correlates of co-​production: Evidence from a five-​nation survey of citizens. International Public Management Journal, 16(1), 85–​112. Parry, E., Morley, M., & Brewster, C. (Eds.). (2021). The Oxford handbook of contextual approaches to human resource management. Oxford University Press. Peters, B. G. (2008). The Napoleonic tradition. The International Journal of Public Sector Management, 21(2), 118–​132. Pollitt, C. (Ed.). (2013). Context in public policy and management: The missing link? Edward Elgar. Pollitt, C., & Bouckaert, G. (2011). Public management reform, 3rd ed. Oxford University Press. Ritz, A., Brewer, G. A., & Neumann, O. (2016). Public service motivation: A systematic literature review and outlook. Public Administration Review, 76(3), 414–​426. Steijn, B. (2008). Person–​environment fit and public service motivation. International Public Management Journal, 11(1), 13–​27. Torfing, J., Andersen, L. B., Greve, C., & Klausen, K. K. (2020). Public governance paradigms. Edward Elgar. Torfing, J., & Triantafillou, P. (2013). What’s in a name? Grasping New Public Governance as a political-​administrative system. International Review of Public Administration, 18(2), 9–​25. Van de Voorde, K., Paauwe, J., & Van Veldhoven, M. (2012). Employee well-​being and the HRM–​ organizational performance relationship: A review of quantitative studies. International Journal of Management Reviews, 14(4), 391–​407. Van Harten, J., & Rodrigues, R. (2022). Future challenges related to retaining an employable workforce. In B. Steijn, & E. Knies (Eds.), Research handbook on HRM in the public sector. Edward Elgar, pp. 337–​348. Van Harten, J., & Vermeeren, B. (2021). Managing employees’ employability: Employer and employee perspectives. In P. Leisink, L. B. Andersen, G. Brewer, C. B. Jacobsen, E. Knies, & W. Vandenabeele (Eds.), Managing for public service performance: How people and values make a difference. Oxford University Press, pp. 278–​296. Van Loon, N., Vandenabeele, W., & Leisink, P. (2015). On the bright and dark side of public service motivation: The relationship between PSM and employee well-​being. Public Money & Management, 35(5), 349–​356. Van Loon, N. M., Vandenabeele, W., & Leisink, P. (2017). Clarifying the relationship between public service motivation and in-​role and extra-​role behaviours: The relative contributions of person–​ job and person–​ organization fit. American Review of Public Administration, 47(6), 699–​713. Vandenabeele, W. (2013). Motivation, job satisfaction and retention/​turnover in the public sector. In R. Burke, C. Cooper, & A. Noblet (Eds.), Human resource management in the public sector: Achieving high quality service and effectiveness. Edward Elgar, pp. 214–​235. Vandenabeele, W. (2014). Explaining public service motivation: The role of leadership and basic needs satisfaction. Review of Public Personnel Administration, 34(2), 153–​173. Vandenabeele, W., & Jager, S. (2020). Government calling revisited: A survey-​experiment on the moderating role of public service motivation in assessing employer attractiveness. Frontiers in Psychology, 11, 559011. Vandenabeele, W., Leisink, P., & Knies, E. (2013). Public value creation and strategic human resource management: Public service motivation as a linking mechanism. In P. Leisink, P. Boselie, M. van Bottenburg, & D. Hosking (Eds.), Managing social issues: A public values perspective. Edward Elgar, pp. 37–​54.

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3

NEW WAYS OF WORKING AND JOB OUTCOMES IN PUBLIC ORGANIZATIONS: THE MUTUAL GAINS AND CONFLICTING OUTCOMES PERSPECTIVE David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery

INTRODUCTION New Ways of Working (NWW) is a relatively new concept that emerged in the late 1990s to describe new organizational work patterns in the public and private sectors. The concept includes teleworking, but encompasses a broader definition of flexible forms of work than is typically used (see also Chapter 14). Telework is a traditional organizational practice that has recently become more widespread because of the COVID-​19 pandemic and its related confinement measures (Beckel & Fisher, 2022; Camacho & Barrios, 2022). NWW includes other new emerging forms of work, such as working independently of a specific location. Here, workers are allowed to work at their office or elsewhere (including at home, in a restaurant, or in a coworking building) independently of a specific and standard work schedule and according to the tasks performed—​referred to as activity-​based working (ABW) or workspace flexibility. Despite seeming innovative and new, the practices covered by NWW are not absolutely novel. With various concepts emerging in the international literature on the new world of work (Kelliher & Richardson, 2012; Wessels et al., 2019), this chapter aims to elucidate NWW, a human resources (HR) approach introduced into many organizations worldwide and facilitated by mobile devices and internet functionalities (Blok et al., 2012; de Leede & Heuver, 2017). NWW’s most common definition is that it constitutes forms of work that allow workers to choose when and where they work, using information and communication technologies (ICT) available anywhere and at any time (Nijp et al., 2016; Renard et al., 2021; ten Brummelhuis et al., 2012).

34

DOI: 10.4324/9781003403401-3

Chapter 3  •  New Ways of Working and Job Outcomes in Public Organizations  35 Several factors explain the emergence and appeal of NWW. The first concerns a workforce that has become increasingly demanding regarding work–​ life balance. Employees working in private or public organizations want to better balance the stress of their professional and personal lives. Therefore, organizations wishing to retain a valuable workforce must provide new and enticing working conditions for their employees (Brandl et al., 2019; Mitev et al., 2021; Vayre et al., 2022). Second, ecological considerations have been raised as a possible basis for developing these NWW. Not having to commute to the office can potentially reduce commuting expenses and greenhouse gas emissions. Finally, the digitalization of work might create more flexible working conditions than in previous classical organizational structures, supposedly observed in most industrialized countries implementing lockdowns during the COVID-​19 crisis (Crowley et al., 2021; Nguyen, 2021). Nevertheless, it is apparent that if generalized and mandatory telework will not be the norm in the future, hybrid forms of work (i.e., working partly at the office and partly teleworking) will continue to be used in most organizations, especially public ones (Brandl et al., 2019; Giauque, 2022; Mitchell & Brewer, 2022). Therefore, hybrid work organizations relying on face-​to-​face and remote employees will become the norm. In such a context, it becomes imperative to identify the impacts and effects of NWW practices on organizations and their employees; this chapter is dedicated to exploring these issues. It will explicate NWW relying on the literature and fostering an understanding of their effects on employee performance and well-​being. To do so, we will consider the existing literature and empirical data from our ongoing research.1 Our reflections will be structured around the theoretical framework of the “mutual gains” or “conflicting outcomes” model. Can NWW simultaneously positively affect performance and well-​being (mutual gains perspective)? Alternatively, are they detrimental to workers’ well-​being while improving their performance, or vice versa (conflicting outcomes perspective)?

A MUTUAL GAINS, CONFLICTING OUTCOMES THEORETICAL LENS NWW is a field of scientific investigation where practical aspects often precede theoretical considerations. Reflections on certain human resource management (HRM) practices aiming to increase the working time flexibility (e.g., flextime) were developed as early as the 1970s (Ajzen et al., 2015). However, the concept of NWW came mainly from the Netherlands, beginning in the 1990s (Vos & van der Voordt, 2001; van der Voordt, 2003; Jemine et al., 2019). Furthermore, according to Blok et al. (2016: 157), “there is no clear theory which provides a foundation for NWW and the scientific proof for the effectiveness of NWW so far is very limited.” Similarly, according to Nijp et al. (2016), currently there are few empirical results to clearly identify the effects of NWW. The literature on the outcomes of NWW is evolving and most of the scientific studies available consider only one or two NWW practices (e.g., mainly flextime or activity-​based offices). There are discrepancies in this literature. Thus, like any other HRM practice, NWW practices can produce beneficial effects, such as increased motivation, commitment to work, autonomy at work, and improved reconciliation between work and private life, hence positively affecting employee performance. However, these NWW practices can also negatively impact employee motivational levels, creating feelings of social isolation, work situations lacking social interactions, and organizational support, pushing employees to work exponentially, and increasing their working hours, thus causing stress or burnout.

36  David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery To analyze the positive and negative effects of NWW practices, it is important to have a theoretical framework that can consider divergent effects. Therefore, we propose using mutual gains versus conflicting outcomes perspective (Paauwe, 2009; Van de Voorde, 2009; Van De Voorde et al., 2012) for two reasons. First, this framework is fairly well recognized in the contemporary literature. It allows classification of the effects of HR practices by distinguishing between performance and well-​being. Second, the scientific literature reveals that NWW can affect employees and employers in different ways. Studying the positive and negative effects of NWW on public employees also allows us to anticipate negative organizational impacts of poor employee performance. Consequently, this chapter is structured around the HR–​performance link framework. We refer to discussions on mutual gains versus conflicting outcomes of NWW practices (Peccei & Voorde, 2019; Ho & Kuvaas, 2020). First, the mutual gains perspective optimistically views the impacts of HRM practices on organizational performance and employee well-​ being (Guest, 2011; Ogbonnaya & Messersmith, 2019). This optimistic view is based primarily on social exchange theory (Blau, 1964; Colquitt et al., 2014), which explains that employees who perceive organizational support, particularly through HR practices, will be more inclined to commit themselves to their organization in a reciprocal movement. Contrarily, ability, motivation, and opportunity (AMO) theory (Appelbaum et al., 2000) suggests that specific HR practices, particularly those developing employee abilities, employee motivation, and professional opportunities, will also increase work involvement. Therefore, they positively impact employee and organizational performance, and employee well-​being. The more pessimistic version of the relationship between HR practices and the effects on organizations and their employees is based on the idea that there are conflicting outcomes between performance objectives and employee well-​ being. The central argument of such a pessimistic view is simple and straightforward: pursuing organizational goals, such as efficiency and performance, can negatively affect employee well-​being. In other words, HR practices can negatively impact employee well-​ being without positively impacting the organization. They can also positively impact organizational performance without impacting employee well-​being, or positively impact organizational performance while deteriorating employee well-​being. The last critical version comes primarily from labor process theory (Godard & Delaney, 2000; Ramsay et al., 2000). As we will see later in the chapter, the common thread of our literature review is related to this conflict of perspectives, particularly the mutual gains versus conflicting outcomes, to identify the current empirical results in the context of these two perspectives.

LITERATURE REVIEW: NWW, PERFORMANCE, AND WELL-​BEING There is inconsistency between the definitions of NWW used in the literature, with the term defined differently over the last two decades. NWW is more of an “umbrella concept” than a clearly defined theory with clearly identified and defined dimensions. Furthermore, authors sometimes use various names, such as NWW, flexible working, flexible work practices (Kingma, 2019), and flexible work arrangements (Blok et al., 2012; Schmoll & Süß, 2019). Table 3.1 summarizes how the concept has been developed in the literature. It is drawn from a recent literature review by the authors of this chapter.

newgenrtpdf

Concepts

Contents

Main focus

Flexible work Comprise practices including Work delivery and employer–​ arrangements time and space flexibility, employee relations career breaks, and family-​ related leave. Telework or Focus on working outside the The primary interest is in telecommuting employer’s premises with the workplace and the the support of ICTs. The technologies used. Flexibility work can be performed in working time is also in different places, not mentioned in the literature. necessarily at home, and with the support of different technologies (e.g., smartphones, computers, tablets). NWW They allow choosing the place Work delivery (time and (inside or outside the office) location) and time to work. They are also interested in new forms of work that allow increased job flexibility and autonomy. Source: Adapted from Renard et al., 2021, p. 11.

Main purpose

Necessary conditions

Increased flexibility for employers and employees

Contractual flexibility of time

Allow increased flexibility New communication in work and individual technologies are autonomy. Increased essential, as is a new flexible working hours management philosophy. to cope with the vagaries of life.

Flexibility of work delivery (flexible work execution)

Knowledge workers Extensive use of ICT Empowerment of workers

Chapter 3  •  New Ways of Working and Job Outcomes in Public Organizations  37

Table 3.1 Comparison of flexible work arrangements, telework or telecommuting, and NWW

38  David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery In general, flexible work arrangements represent practices allowing greater flexibility to employees and cover a wide range of work arrangements. Teleworking, or telecommuting (Caillier, 2012; de Vries, Tummers, & Bekkers, 2019), refers to flexibility of time and place, particularly in relation to the use of new information and communication (ICT) technologies. It is more challenging to synthesize the definitions of NWW found in the literature, and the concept is undertheorized. However, for the purposes of this chapter, we propose the following definition of NWW: As part of a broader transformation of the world of work and organizations, NWW are made of practices, supported by ICT, intended to increase the flexibility, autonomy, work performance, as well as well-​being of knowledge workers in their delivery of daily work, letting them choose when and where to work. (Renard et al., 2021: 12) In other words, five dimensions constitute the operational definition of our NWW concept: (1) flexibility in working time; (2) geographical flexibility of workplace; (3) easy and quick access to colleagues and supervisors; (4) easy and quick access to organizational information and knowledge; and (5) adequate material equipment to work outside traditional offices.

NWW and Employee Performance Since the New Public Management (NPM) reforms of the 1990s, public administration (PA) has increasingly focused on the quality and timeliness of public service delivery and cost reduction (Verbeeten & Speklé, 2015). In other words, performance has become a cornerstone of modern PA (Pollitt & Bouckaert, 2011). Consequently, public employees’ job performances have become a topic of interest among PA scholars. We define job performance as the “scalable actions, behavior and outcomes that employees engage in or bring about that are linked with and contribute to organizational goals” (Viswesvaran & Ones, 2000: 216). Generally, researchers divide job performance into two dimensions: in-​role and extra-​role performance (Blom et al., 2020). In-​role performance comprises “officially required outcomes and behaviors that directly serve the goals of the organization” (Bakker et al., 2004: 85). This type of performance is thus related to the completion of the core tasks of an employee. Extra-​role performance is “discretionary behaviors on the part of an employee that are believed to directly promote the effective functioning of an organization, without necessarily directly influencing a person’s target productivity” (Bakker et al., 2004: 85). These discretionary behaviors build a psychosocial environment favorable to cooperative and individual performances. Although these behaviors are not formally required or rewarded, some scholars and managers consider them an integral facet of job performance (Podsakoff et al., 2009). In this chapter, we focus mainly on in-​role performance because it measures individual performance oriented to the organizational goals. In the next section, we review the nascent literature on the relationship between NWW and job performance, and NWW and well-​being. We then present the initial results from a survey administered to various Swiss public organizations in 2021. In the field of PA, researchers started investigating the antecedents of both types of job performance in the early 2000s (Caillier, 2012; de Geus et al., 2020). Various studies

Chapter 3  •  New Ways of Working and Job Outcomes in Public Organizations  39 have revealed that in-​role and extra-​role performance share some predictors: public service motivation (Pandey & Stazyk, 2008; Ritz et al., 2014), work engagement (Akingbola & van den Berg, 2019; Borst et al., 2020), HRM practices (Luu, 2019; Blom et al., 2020), job autonomy ( Jong & Ford, 2021), and person–​organization fit (Bright, 2007; Akingbola & van den Berg, 2019), to name a few. In this chapter, we introduce a potential independent variable impacting job performance in public sector organizations: NWW. The COVID-​19 pandemic has accelerated the implementation of NWW in organizations (Belzunegui-​Eraso & Erro-​Garces, 2020; Carillo et al., 2021). In the public sector, employees were forced to work remotely at the onset of the pandemic (Schuster et al., 2020). NWW practices are a lever of in-​role and extra-​role performance (Kingma, 2019). First, time and location flexibility (e.g., flexible schedule and teleworking) allows employees to better manage their working time and avoid commuting between home and office. Therefore, they can devote a greater proportion of their psychological and physical energy to performing their work duties than to commuting (ten Brummelhuis et al., 2012). Moreover, these practices lead to increased job autonomy, immersing employees in their work and increasing their productivity levels (Gerards et al., 2018; Van Steenbergen et al., 2018). With ABW (or workspace flexibility), employees can choose their workplace based on the workload: silent rooms for concentration or open offices for interactions with coworkers. Thus, ABW promotes communication and collaboration between the organization’s members. Hence, employee performance and group cohesiveness are expected to increase (Arundell et al., 2018), with the latter leading to organizational citizenship behaviors (Organ et al., 2006). Finally, access to organizational knowledge allows people to better communicate with coworkers, helping employees become engrossed in their work and benefit from organizational knowledge. Moreover, ICT tools (e.g., video conferencing tools) contribute to building social bonds between colleagues (ten Brummelhuis et al., 2012). However, research addressing the relationship between NWW and job performance remains scarce (Renard et al., 2021). Furthermore, the extant studies explored the link between NWW and in-​role performance. Data collected from a sample of Dutch employees of a private company revealed a weak positive correlation between NWW and in-​role performance. This study highlighted that variables such as trust or social cohesion were more strongly associated with in-​role performance than NWW practices (de Leede & Kraijenbrink, 2014). Another sample of Dutch workers from an insurance firm confirmed the previous results: NWW were positively related to in-​role performance, but less than other factors such as empowerment, team cohesion, or support between colleagues (de Leede & Heuver, 2017; de Leede & Nijland, 2017). Conversely, data from a Dutch financial company showed no significant statistical relationship between NWW and in-​role performance (Nijp et al., 2016). In the field of PA, two studies based on a sample of Swiss public employees revealed a positive relationship between NWW and in-​ role performance (Cornu, 2022; Giauque et al., 2022). However, this research showed two additional insights. First, job autonomy had a stronger relationship with in-​role performance than NWW (Giauque et al., 2022). Second, an achievement-​ orientated organizational culture negatively moderated the relationship between an NWW facet, time-​ and-​ location flexibility, and in-​ role performance (Cornu, 2022). Despite the findings showing a positive relationship between NWW and in-​role performance, questions remain around the variance in job performance.

40  David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery

The Good and the Dark Side of NWW Relative to Employees’ Well-​Being The concept of well-​being is difficult to define, and scholars do not agree on a single definition. However, scholars agree that work-​related well-​being is multidimensional. The definition adopted in this chapter considers both positive and negative dimensions of work-​ related well-​ being (Warr, 1987; Grant et al., 2007). Doing so allowed us to investigate whether NWW practices have the same or different effects on different components of work-​related well-​being. This contributes to the increasing debate on whether tradeoffs exist between different dimensions of work-​related well-​being (Grant et al., 2007) when implementing HR practices. Studies have found different effects of HR practices on employees’ well-​being (Van De Voorde et al., 2012). This chapter provides some correlations between NWW practices, stress perception, and work engagement. The literature prior to the pandemic demonstrated that the NWW’s impact on employees’ well-​being was not straightforward (ten Brummelhuis et al., 2012; Peters et al., 2014; Nijp et al., 2016; Van Steenbergen et al., 2017; Gerards, de Grip, & Baudewijns, 2018) and interaction variables may be of the utmost importance. Most empirical evidence regarding NWW outcomes is derived from case studies in the private sector in the Netherlands. Moreover, different NWW dimensions have been investigated in the empirical literature. Prior to the COVID-​19 pandemic, there was no consensus on whether telework positively or negatively impacted well-​ being (Fletcher et al., 2020; Lunde et al., 2022). With respect to well-​ being, job satisfaction is the most studied HR outcome, whereas health and stress outcomes are less investigated in the research. Before the COVID-​19 pandemic, the possibility of teleworking seemed to reduce stress levels and fatigue, even though there was little empirical evidence (Gajendran & Harrison, 2007; Tavares et al., 2021). The few studies conducted during the pandemic showed that telework negatively impacted stress levels in different countries and diverse organizations (Saba & Cachat-​Rosset, 2020; Carillo et al., 2021; Giauque et al., 2022). For instance, one could imagine that flexibility in time would favor workers’ autonomy because they would be free to manage their job schedules, and thus it would serve as a job resource favoring the well-​being of public employees (Sardeshmukh et al., 2012). On the other hand, the dimension of a flexible workplace or ABW could have some unintended effects, as workers could experience difficulties concentrating and storing their work belongings, therefore, showing job dissatisfaction.

THE EMPIRICAL STUDY Sample This study is based on a large-​scale, self-​reported survey. We received funding from the Swiss National Science Foundation to investigate NWW developments and impacts on Swiss public organizations. In this research context, we contacted several public organizations, encouraging them to participate in our survey on the provision and use of NWW practices. Five organizations agreed to distribute our questionnaire to their employees. The participating public organizations were two Swiss cantons and two municipalities, and a large public university, all located in the French-​speaking part of Switzerland. Therefore, our research cannot be considered as representative of all public organizations in Switzerland because other linguistic regions have not been investigated.

Chapter 3  •  New Ways of Working and Job Outcomes in Public Organizations  41 To optimize the response rate in our online survey, we contacted the HR departments of the participating organizations, whereupon their executive members gave official approval for the study. After the test phase (the test of our questionnaire by some public employees), a link to the online questionnaire was sent to the HR departments, which invited employees to complete the survey within three weeks. A reminder to complete the questionnaires was sent after one-​and-​a-​half weeks. The data collection extended over a relatively long period (October 2021 to February 2022) to accommodate each organization’s schedule because our sample comprised many participating organizations. Furthermore, to ensure privacy, answers were directly saved on a server belonging to our university. Thus, employees did not have access to the data. The respondents were briefed about the research procedure in detail. This served two purposes: increasing the participation rate and functioning as a baseline requirement to reduce common method biases (Podsakoff et al., 2003). Out of a total of 11,675 questionnaires distributed among the five public organizations, 2,150 valid and reliable responses were received, representing a return rate of 18.25 percent. In the overall sample of 2,150 respondents, 51.5 percent were women, the average age was 48 years, and 51 percent had children under their care. The educational level was high: 25.1 percent had been in a vocational track (elementary schools to professional baccalaureate), while 69.4 percent had received a higher education (college degree to university diploma). Regarding their organizational tenure, 32 percent had been with their current organizations for up to five years, while 68 percent had been with their organizations for more than five years.

Measures Appendix A presents all variables and items, while Appendix B provides construct reliability and validity criteria of the variables included in our research model. Our analysis model had three dependent variables and four independent variables. All items used in our questionnaire were developed using a five-​point Likert scale (1 =​strongly disagree to 5 =​strongly agree).

Dependent Variables • Work engagement. This variable was measured based on four items corresponding to the short version of the Utrecht Work Engagement Scale. These items have already been tested in the literature and are considered reliable for measuring employees’ work engagement (Seppälä et al., 2008; Demerouti et al., 2010; Xanthopoulou et al., 2012; Schaufeli et al., 2019). The Cronbach’s Alpha for this scale is 0.84. • In-​role performance. We used three items to measure the in-​role performance variable. This is a shortened measure of the original measure, which has seven items (Palvalin et al., 2015; Palvalin, 2016; Palvalin & Vuolle, 2016). The Cronbach’s Alpha for this scale is 0.78. • Stress perception. This measure of perceived stress was based on four items from the Work Tension Scale (Fields, 2002: 123). The Cronbach’s Alpha for this variable in our research is 0.83.

Independent Variables Our independent variables were related to the NWW concept. Based on the available literature (Gerards, de Grip, & Baudewijns, 2018; Gerards et al., 2020), we measured

42  David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery the influence of five different variables on our dependent variables. The first variable, “flextime,” was drawn from the literature. We used two items to measure the ability of respondents within our organizations to determine their work schedule (or to change it) by deciding when they started and finished work. The Cronbach’s Alpha for this variable is 0.86. The second variable related to NWW was the respondents’ perceived freedom to determine the location where they could work. Thus, this is a measure of geographic flexibility, which we named “location flexibility.” The Cronbach’s Alpha for this scale is 0.67. The third variable in relation to NWW was the actors’ perceptions of their ability to contact their coworkers and supervisor quickly and at any time. We used two items for measuring it. The Cronbach’s Alpha for this scale is 0.69. The fourth variable in relation to NWW was the respondents’ perceptions of access to information. This variable was measured with two items. The Cronbach’s Alpha for this measure in our research is 0.79. Finally, we incorporate a fifth dimension into our NWW variables. In telecommuting situations, it is also important to know if the respondents feel they have adequate workspace and equipment at home, because telecommuting has become an established form of work for most Swiss public employees. We therefore constructed a variable, based on two items, called “material equipment.” The Cronbach’s Alpha for this variable is 0.81.

STATISTICAL ANALYSES To test the different NWW practices and understand whether they can have mutual gains (performance and well-​being) or conflicting effects (performance but not well-​ being, or well-​being but not performance), we created a model with the SmartPLS 4 software, which allowed the simple and efficient realization of partial least squares structural equation modeling (PLS-​SEM). The construction of analysis models via PLS-​SEM is recommended under several conditions (Hair et al., 2017; Sarstedt et al., 2017; Hair et al., 2019), including the following: 1. When researchers want to test a theoretical model from a predictive perspective. 2. When the structural model to be tested is complex and includes several variables, indicators, and relationships between variables. 3. When the research objective is to understand a phenomenon by exploring theoretical developments or extensions of already established theories. For the above reasons, we created an analytical model to test our theoretical reflections in an exploratory manner. Figure 3.1 describes the model used for the PLS-​SEM. To test our model, we took several steps to ensure the normality, reliability, and validity of our data. We tested our model (via the Consistent PLS-​SEM algorithm, as our model only included reflective variables) and tested the reliability and validity of the constructs using four indicators (Cronbach’s alpha, composite reliability [rho_​a], composite reliability [rho_​c], average variance extracted [AVE]). Overall, the variables were reliable and valid. Only one of the variables obtained low reliability and validity scores (flexibility location), but the AVE was within the acceptability threshold (>0.500).

Chapter 3  •  New Ways of Working and Job Outcomes in Public Organizations  43

FIGURE 3.1 The PLS-​SEM model relied upon in our research

We then checked the discriminant nature of our analysis model, ensuring that the variables and measures included in our model were not highly related to each other. To verify the discriminative character of our model, we used the Heterotrait-​Monotrait ratio. We ensured that the threshold of 0.85 was respected for each of our constructs. Finally, we also checked whether our data did not suffer from multicollinearity. Hence, we checked that our variance inflation factor (VIF) indicators were below the recommended threshold of 2.5. We verified this for the indicators and all latent variables in our analysis model. This also indicated that our data were not affected by common method bias. Hence, we can conclude that the data are reliable and valid. The SmartPLS 4 software also offers several measurements of fit of the tested models. We took two measures of fit into account, following the recommendations from the literature. These were the standardized root mean square residual (SRMR) and the normed fit index (NFI). These indicators of goodness of fit showed that our model was good (SRMR =​0.069; NFI =​0.907). The SRMR was below the recommended threshold of 0.08 and the NFI was above the recommended threshold of 0.900 (Lohmöller, 1989; Dijkstra & Henseler, 2015). Finally, to obtain the necessary information to evaluate the relationships between the variables, we performed a PLS-​SEM using a bootstrapping of 5,000. This method randomly generates (with replacement) subsamples from the original dataset. It is recommended to use a large number of bootstrap subsamples (at least 5,000) to ensure a sufficient approximation.

44  David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery

RESULTS Table 3.2 presents the results of the PLS-​SEM (PLSc-​SEM) bootstrapping. It reports the relationships between the variables in our model and the level of significance. As seen in Figure 3.1, the NWW variables have distinct relationships with the dependent variables. Thus, the possibility of having easy and fast access to colleagues and supervisors (colleagues access) was correlated and statistically significant with the three dependent variables. It reduced the stress perceived by the respondents and supported the perceived in-​role performance and work engagement. The variable has a “mutual gains” effect, as can be seen in the analysis model. Time flexibility (flextime) was not statistically and significantly correlated with the three dependent variables. In contrast, flextime was statistically and significantly correlated with the respondents’ perceived stress. Therefore, having the freedom to determine one’s schedule and being free to change it can mitigate stress. Hence, the variable has “conflicting” effects with the performance and well-​being variables. Information access, an essential element when working independently of a specific location and schedule, was not significantly and statistically correlated with the three dependent variables. Therefore, it is not a determining factor in the NWW framework. The fourth variable (location flexibility), dealing with the respondents’ geographic and location freedom, was significantly correlated with the three dependent variables. Hence, it is beneficial in handling stress, as it was statistically and negatively correlated with perceived stress. The same was true for in-​role performance, implying that geographic flexibility may lead to a negative perception of respondents’ evaluations of their work effectiveness and quality. This negative perception is probably related to the physical distance from colleagues and supervisors, which makes it difficult to judge the quality and efficiency of the work performed. However, location flexibility was positively and statistically significantly related with work engagement. Finally, the fifth variable, the adequacy of workspace and technical equipment for telecommuting (material equipment), was not statistically and significantly correlated with the three dependent variables. This implies that from the respondents’ perspectives, the variable was not a major determinant of stress, performance, or commitment at work.

DISCUSSION Our research highlights several interesting aspects. First, it shows that NWW practices, like other HRM practices, can differently affect aspects of performance (in-​role performance and work engagement) and those related to employee well-​being. The empirical findings demonstrate the validity of a theoretical reflection on this dichotomy between “mutual gains” and “conflicting outcomes” (Van De Voorde et al., 2012; Guest, 2017; Ho & Kuvaas, 2020). Consequently, the theoretical reflection constituting the common thread of this chapter is confirmed by the results of the data analysis. This is because NWW sometimes has positive effects on some of the dependent variables and sometimes has negative effects. The utilization of the mutual gains versus conflicting outcomes theoretical perspective is therefore very relevant. Our investigation also highlights the importance of considering HR and NWW practices individually. In our investigation, it would not have been possible to identify differences in effects or impacts between different NWW practices had we measured them collectively, included in an HR bundle. Some scientific literature considers studying bundles of HR practices important because these bundles may have significant synergistic

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values)

Colleagues access -​> Perceived stress Colleagues access -​> In-​role performance Colleagues access -​> Work engagement Flexitime -​> Perceived stress Flexitime -​> In-​role performance Flexitime -​> Work engagement Information access -​> Perceived stress Information access -​> In-​role performance Information access -​> Work engagement Location flexibility -​> Perceived stress Location flexibility -​> Performance in-​role Location flexibility -​> Work engagement Material equipment -​> Perceived stress Material equipment -​> In-​role performance Material equipment -​> Work engagement

Original sample (O)

Sample mean (M)

Standard deviation (STDEV)

T statistics (|O/​STDEV|)

P values

–​0.310 0.126 0.217 –​0.079 0.056 0.056 0.041 0.085 –​0.035 –​0.110 –​0.118 0.130 0.016 0.043 0.031

–​0.311 0.126 0.217 –​0.080 0.055 0.057 0.042 0.085 –0.034 –​0.110 –​0.116 0.130 0.015 0.044 0.031

0.038 0.043 0.043 0.037 0.039 0.037 0.043 0.048 0.045 0.042 0.045 0.042 0.038 0.042 0.042

8.158 2.926 5.028 2.110 1.443 1.510 0.958 1.777 0.767 2.612 2.606 3.138 0.425 1.036 0.749

0.000 0.003 0.000 0.035 0.149 0.131 0.338 0.076 0.443 0.009 0.009 0.002 0.671 0.300 0.454

Chapter 3  •  New Ways of Working and Job Outcomes in Public Organizations  45

Table 3.2 Relationships between the research variables (mean, standard deviation, T values, and P

46  David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery effects (Gooderham et al., 2008; Subramony, 2009; Chowhan, 2016). However, our study highlights that it is not always helpful to abandon an individual analysis of the effects of these practices, even if the current scientific literature mainly considers bundles of HR practices. The investigation also shows that NWW literature must be considered seriously in the future, and that it is worth studying the impacts of NWW on public organizations. It is clear from the survey results that certain NWW practices (e.g., flextime, location flexibility, access to colleagues and supervisors) are important in the context of organizational hybridity. Access to information and material equipment were not major issues for the survey respondents. This may be because the organizations already had material conditions for working in a hybrid mode in the wake of the COVID-​ 19 pandemic. Interestingly, a previous study found that access to information was an important factor that could mitigate negative stress on employees (Andrulli & Gerards, 2022). As noted, in our research this factor had no impact on the dependent variables (work engagement, in-​role performance, stress). Moreover, material equipment is not related to our research model’s dependent variables. However, it is unclear whether these material aspects are fully met in all national and organizational contexts. They are therefore worth considering, and future research could confirm or refute our empirical results. Ability to reach coworkers and supervisors was the only NWW variable that demonstrated the “mutual gains” effect in our study. The variable supports our respondents’ in-​ role performance and work engagement while mitigating perceived stress. This vital implication underlines that hybrid work environments cannot ignore social relationships, despite being virtual (Ajzen & Taskin, 2021). Organizations cannot forego a certain level of social cohesion (de Leede & Kraijenbrink, 2014). This concern for relationality, and its importance in the functioning of work collectives, is also reflected in certain companies asking employees to return to offices following the calming of the COVID-​19 crisis. However, this decision may also be due to other reasons, such as control of employees’ work. Flexibility in the geographical or location of employees is also an important NWW practice. However, it may have unexpected effects. Based on our survey, it contributed to reducing perceived stress; however, it also had a negative but significant impact on the respondents’ perception of their performance at work. At the same time, it reinforced work engagement. These contradictory results can be interpreted using the theories mentioned previously. The positive relationship between work engagement and location flexibility possibly implies that employees perceive this practice as organizational support (Shantz et al., 2014; Kim et al., 2022; Van Doninck et al., 2022). Based on the social exchange theory, when an HR or NWW practice is perceived as “supportive,” employees will tend to be more engaged in their work than before (Gould-​Williams, 2016; Mostafa et al., 2019). However, the geographical distance from the organization can also have deleterious effects, including negatively affecting perceived performance. This is probably because the geographical distance reduces the feedback employees can receive from their colleagues or supervisors (Sardeshmukh et al., 2012). Furthermore, the geographical distance no longer allows employees to compare their skills and performance with those of their peers. Geographical distance also decreases the perception of career or professional development opportunities. The AMO theory (Appelbaum et al., 2000) can also provide a valuable framework to explain the somewhat “mysterious” relationship between geographical flexibility, performance, and work engagement. Geographical distance can potentially deleteriously affect employees’ career paths, personal development,

Chapter 3  •  New Ways of Working and Job Outcomes in Public Organizations  47 and motivation. Distance does not always favor employees’ professional development. The old adage “out of sight, out of mind” can easily apply here.

Conclusion, Limitations, and Future Research This chapter has focused on the importance of NWW practices in public organizational work hybridity. Based on the debate on the mutual gains or conflicting effects of HR practices, and literature review on NWW and their effects on performance and well-​ being, we surveyed Swiss public employees on NWW practices and their impacts. This empirical study tested the theoretical model of mutual gains and conflicting outcomes by precisely demonstrating that NWW practices can affect work engagement, perceived in-​role performance, and perceived stress differently. The intellectual interest of the theoretical lens used in this chapter is confirmed by the empirical results with respect to a recent empirical study developed in Switzerland, which demonstrates that NWW practices might be differently related to diverse work outcomes (work engagement, in-​ role performance, stress). However, the study has some limitations. The first limitation relates to the sample, including size, derived from only one country and sector, and the cross-​sectional design, which could affect the generalizability of the results. The second limitation concerns the definition of NWW. As discussed in our literature review, the concept is unclear, unstructured, and poorly defined. Furthermore, the composition of the NWW practices is not stabilized. We arbitrarily tested the five NWW practices; however, other variables or dimensions may be included in future research models. Moreover, our empirical model tested relationships between NWW practices and dependent variables (perceived stress, in-​ role performance, and work engagement) without incorporating other variables. However, it seems clear that socio-​demographic variables, such as age, the presence of children in the household, the position held, the hierarchical level occupied, and the occupation rate, may also explain the respondents’ perceptions of NWW practices. Similarly, previous studies demonstrated that gender might clearly influence teleworking perceptions (Belzunegui-​Eraso & Erro-​Garces, 2020; Lunde et al., 2022; Vayre et al., 2022). Future research should address these questions and issues to identify which actors’ profiles see NWW as an advantage and which see it as a disadvantage. Similarly, researchers could investigate whether other organizational factors interact with these NWW practices and create favorable or unfavorable conditions for work engagement, in-​ role performance, and stress perception. For instance, recent studies demonstrate that working in an organization where hierarchies are favorable to work–​life balance might contribute to rapid development, diffusion, and use of NWW practices (Boulet & Parent-​Lamarche, 2022; Dandalt, 2022; Vayre et al., 2022). Forms and styles of leadership could also be a lever or a hinderance when explaining the social acceptability, use, or diffusion of NWW practices. For instance, previous studies noted that transformational leadership could be a better fit for hybrid work organizations than transactional leadership (Ehrnrooth et al., 2021; Gerards et al., 2021; Mitchell & Brewer, 2022). Thus, different leadership styles could be studied to determine whether they interact with NWW practices and individual or organizational outcomes. Similarly, organizational culture may strongly mediate or moderate the correlations found in our research. Finally, another stream of interesting research that could be pursued is to elucidate differences of perceptions on NWW practices between different types of organizations. For

48  David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery instance, comparing public, private, and semi-​public organizations could be interesting. As values matter for explaining management practices (Andrews et al., 2017; Park et al., 2018; Lee et al., 2019), it is highly likely that public and private employees’ perceptions of NWW practices might be different. Studying the relationship between organizational culture and NWW practices could be of great interest. In the public sector, researchers could also investigate whether differences regarding perceptions and real use of NWW practices might be explained by the fact that public policies provided by governments are different. The specificities and constraints regarding the characteristics of diverse public policies might act favorably or unfavorably towards developing, implementing, and using NWW practices. In this respect, previous research has demonstrated the influence of public policy domains, or policy environment, on public service motivation (Anderfuhren-Biget et al., 2014). This could also constitute a prolific research avenue for the study of NWW practices. Consequently, our study is exploratory and opens interesting perspectives for future research concerning NWW practices and their impact on public organizations. Many questions surrounding NWW and the development of hybrid work organizations are yet to be scientifically investigated. It is certain that PA scholars will undertake the challenge in the future.

Note 1. This chapter is based on empirical research funded by the Swiss National Science Foundation (fund no. 100018_​185133).

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Chapter 3  •  New Ways of Working and Job Outcomes in Public Organizations  55

Appendix A List of variables and items Variables

Items

Independent variables:

Your company provides flexible working arrangements. Would you please indicate whether you agree or disagree with the following statements (1 =​completely disagree; 5 =​completely agree)

Flexitime (two items)

I am free to set my own work schedule. I am free to change my work schedule to choose when I start and finish my work.

Location flexibility (two items)

I am free to choose where I work, at home or at my workplace. I am free to change my work location.

Colleagues access (two items)

I can reach my colleagues quickly. I can reach management quickly.

Information access (two items)

I can find all the information I need for my work on my computer, smartphone, and/​or tablet. I can access all information required for my job anywhere and at any time.

Material equipment (two items)

My workspace at home is suitable for remote work. The technical equipment I have at home is suitable for remote work.

Dependent variables:

Would you please indicate whether you agree or disagree with the following statements: (1 =​completely disagree; 5 =​completely agree)

Work engagement (4 items)

I have a lot of energy for my work. I am passionate about my job. When I get up, I want to go to work. I am proud of the work I do.

Stress perception (4 items)

My work tends to affect my health. I work under a lot of pressure. My job makes me nervous and/​or agitated. Problems at work give me insomnia.

Performance in-​role (3 items)

I perform my tasks efficiently. My performance is good in terms of my personal goals. The quality of my work is high.

56  David Giauque, Frédéric Cornu, Karine Renard, and Yves Emery

Appendix B List of variables: construct reliability and validity criteria Variables

Cronbach’s Alpha

Composite reliability (rho_​a)

Composite reliability (rho_​c)

Average variance extracted (AVE)

Colleagues access Flexitime Information access Location flexibility Material equipment Perceived stress Performance in-​role Work engagement

0.698 0.860 0.795 0.669 0.811 0.832 0.782 0.848

0.723 0.861 0.800 0.679 0.831 0.846 0.793 0.856

0.707 0.860 0.797 0.673 0.818 0.835 0.781 0.844

0.550 0.755 0.663 0.508 0.694 0.562 0.546 0.578

4

DIVERSITY, SOCIAL EQUITY, AND REPRESENTATIVE BUREAUCRACY: TALK VERSUS WALK Susan T. Gooden

The Federal Government is at its best when drawing upon all parts of society, our greatest accomplishments are achieved when diverse perspectives are brought to bear to overcome our greatest challenges, and all persons should receive equal treatment under the law. (PR ESI D EN T JO SEPH R. BI D EN , JR . EXECU TI V E ORDE R 14035)

Diversity and social equity efforts have two core dimensions: talk and walk (Frederickson, 2005). Applied to public personnel management, diversity “talk” includes the articulation of the importance of diversity, and the subsequent communication of its importance through diversity plans and initiatives, as well as statements of commitment from senior leadership. Diversity “walk” includes successful implementation of diversity plans, including the realization of desired outcomes. The diversity “walk” is advanced by an organizational culture, which includes engaged leadership that fosters serious expectations, monitoring, and accountability along the way. For many years, public administrators have espoused public sector values of diversity, equity, and representative bureaucracy. However, as this chapter examines, there are some important characteristics of federal employment that are not well aligned with the broader values articulated by diversity talk. Following a brief overview of the concepts of social equity, diversity, and representative bureaucracy, the chapter highlights the importance of Executive Order 14035 in the promotion of diversity, equity, inclusion, and accessibility in the federal government workforce. It concludes by discussing several important current federal employment government trends that should be considered in order to foster greater success in achieving a representative bureaucracy. Social equity is directly related to the democratic principle of justice. The concept of social equity: refers to the promotion of equality in a society with deep social and economic disparities. It embodies the goal that the members of all social groups DOI: 10.4324/9781003403401-4

57

58  Susan T. Gooden will have the same prospects for success and the same opportunity to be protected from the adversities of life. ( Johnson & Svara, 2011: 3) It recognizes the historical, political, social, and economic influences that structurally influence the prospects for access, opportunity, and outcomes for non-​dominant groups in society, including women, racial and ethnic minorities, LGBTQ+​individuals, and people with disabilities. Social equity is not only concerned with who is employed within government, but with how government provides its services in a fair and impartial manner. Social equity requires government to consider not only whether a program is effective or good, but also for whom is it good (Frederickson, 2005). Hiring and retaining a diverse, representative public sector workforce is an important factor in achieving social equity. Mosher (1968: 15) argues that representativeness concerns the origin of individuals and the degree to which, collectively, they mirror the whole society … A public service, and more importantly the leadership personnel of that public service, which is broadly representative of all categories of the population in these respects, may be thought of as satisfying Lincoln’s prescription of government by the people. Persons drawn from diverse groups … will bring to bear upon decisions and activities different perspectives, knowledge, values, and abilities. And, the products of their interactions will very likely differ from the products were they all of a single genre. (Mosher, 1968: 16) As Riccucci (2015: 197) explains, “The theory of representative bureaucracy holds that government workforces will perform better and more democratically if their demographic makeup reflects the population they serve.” Kranz (1976) argues that representative bureaucracy improves government service by ensuring that decisions and services are responsive to the needs of the public clients. He further argues that it provides both symbolic and real legitimacy to the work of public service institutions. Moreover, inattention to workforce diversity in government can lead to client dissatisfaction with public service delivery organizations (Rice, 2010). Table 4.1 provides an overview of federal executive branch employment in the United States by gender, race/​national origin, and disability status from 2000 to 2020. In general, the overall federal workforce during this period increased by 425,417 employees, which resulted in net increases for all reported groups. However, diversity percentages have not changed dramatically over the last decade. The percentage of women in federal employment virtually remained unchanged. The percentage of minorities increased by 4.7 percent, with Hispanics and Asian/​Pacific Islanders constituting the greatest increases (+​1.58 percent and +​1.0 percent, respectively). The percentage of federal employees with disabilities increased by 1.4 percent. Additionally, about a third (31 percent) of all federal employees have Veterans’ preference, which has increased by over 6 percent since 2014, although retention of Veterans is an area of concern (Interagency Veterans Advisory Council, 2021). As a basis of comparison based on 2020 U.S. Census data, women constitute 50.1 percent of the population. White people comprise 61.6 percent, Black people 12.4 percent, Hispanics 18.7 percent, Asians 6 percent, American Indians 1.1 percent, and two or more races 10.2 percent ( Jones et al., 2020). Additionally, individuals with disabilities constitute 12.7 percent of the working-age civilian population (U.S. Census

Chapter 4  •  Diversity, Social Equity, and Representative Bureaucracy  59

Table 4.1 Executive branch (non-postal) employment by gender, race/​ national origin, disability status (2000–​2020) 2000

Total (September) Gender Women % women Men % men Race/​national origin Non-​minority % Non-​minority Total minorities % Minority Black % Black Hispanic % Hispanic Asian/​Pacific Islander (includes Native Hawaiian) % Asian/​Pacific Islander American Indian/​Alaska Native % American Indian

2010

2020

1,755,689

2,108,639

2,181,106

790,169 45.0 965,520 55.0

928,196 44.0 1,180,443 56.0

961,846 44.1 1,219,204 55.9

1,224,836 69.8 530,853 30.2 298,701 17.0 115,247 6.6 78,969

1,406,609 66.7 702,030 33.3 368,814 17.5 163,975 7.8 124,446

1,345,534 61.7 829,454+​ 38.0 397,587 18.2 204,695 9.4 150,008

4.5 37,936 2.2

5.9 44,795 2.1

6.9 35,459 1.6

2000 1,755,689 120,525 7.1 19,827 1.2 1,578,865 92.9 56,299 3.2

2010 2,108,639 145,035 6.8 19,354 1.0 1,915,423 93.2 48,181 2.4

2018^ 2,130,510 181,204 8.51 40,037 1.88 1,800,443 84.51 108,826 5.11

Disability Total Disabled % disabled EEOC specified disability % EEOC specified disability Not disabled % not disabled Not identified % not identified

Sources: For gender and race/national origin, see: U.S. Office of Personnel Management, Federal Workforce Data: FedScope, www.fedsc​ope.opm.gov; for disability, see U.S. Equal Employment Opportunity Commission, The EEO Status of Workers with Disabilities in the Federal Sector, www. eeoc.gov/​fede​ral-​sec​tor/​repo​rts/​eeo-​sta​tus-​work​ers-​disab​ilit​ies-​fede​ral-​sec​tor. ​This number of total minorities for the year 2020 includes the category “More than one race,” which was not included in previous years and is excluded in the breakdown of categories. +

^

2018 is the most recent year of data available from the EEOC.

60  Susan T. Gooden Bureau, 2022). Applying the concept of representative bureaucracy, these data suggest that, in general, women, Hispanics, and people with disability remain underrepresented in federal public personnel employment, with Hispanics having the largest degree of underrepresentation (9.3 percent).

LOTS OF TALK … Table 4.2 provides a summary of several federal policies that form the legal foundational basis for equal employment opportunity in federal employment. While it is the Equal Employment Opportunity Commission’s (EEOC) role to enforce these policies, within the Office of Personnel Management (OPM), the Office of Diversity, Equity, Inclusion, and Accessibility (DEIA) “examines policy options, government-​wide data trends, and employee survey findings that affect OPM’s management of HR policy, specifically including diversity and inclusion throughout the Federal government” (OPM, n.d.a.). In 2011, President Barack Obama established Executive Order 13583, which established a coordinated government-​wide initiative to promote diversity and inclusion in the federal workforce. As a result of Executive Order 13583, the 2016 Government-​ wide Inclusive Diversity Strategic Plan was designed to establish a coordinated government effort to promote diversity and inclusion of the federal workforce, with a focus on transparency (within legal constraints) and data-​driven decision-​making. President Biden has issued nine Executive Orders directly related to the issues of diversity, equity, inclusion, and accessibility in the federal workforce (see Table 4.3). The first Executive Order (13985) focuses on advancing racial equity and support

Table 4.2 Summary of federal equal employment opportunity laws • Title VII of the Civil Rights Act of 1964 (Title VII) prohibits employment discrimination based on race, color, religion, sex, or national origin, sexual orientation or gender identity. • The Equal Pay Act of 1963 (EPA) protects men and women who perform substantially equal work in the same establishment from sex-​based wage discrimination. • The Age Discrimination in Employment Act of 1967 (ADEA) protects individuals who are 40 years of age or older. • Title I and Title V of the Americans with Disabilities Act of 1990, as amended (ADA) prohibit employment discrimination against qualified individuals with disabilities in the private sector, and in state and local governments. • Sections 501 and 505 of the Rehabilitation Act of 1973 prohibit discrimination against qualified individuals with disabilities who work in the federal government. • Title II of the Genetic Information Nondiscrimination Act of 2008 (GINA) prohibits employment discrimination based on genetic information about an applicant, employee, or former employee. • The Civil Rights Act of 1991 provides, among other things, monetary damages in cases of intentional employment discrimination. Source: U.S. Equal Employment Opportunity Commission, www.eeoc.gov/​facts/​qanda.html

Chapter 4  •  Diversity, Social Equity, and Representative Bureaucracy  61

Table 4.3 President Biden’s Executive Orders on DEIA in the federal workforce

Executive Orders

Description

E.O. 13985 on Advancing Racial Equity and Support for Underserved Communities Through the Federal Government

First Executive Order signed by President Joe Biden on January 20, 2021, to advance racial equity and support for underserved communities throughout the federal government.

E.O. 13988 on Preventing and Combating Discrimination on the Basis of Gender Identity or Sexual Orientation

Also signed on January 20, 2021, this Executive Order strives for LGBTQIA+​equity in the federal government.

E.O. 14020 on Establishment of the White House Gender Policy Council

Strives to establish a comprehensive approach within the federal government to advance equal rights and opportunities, regardless of gender or gender identity.

E.O. 14031 on Advancing Equity, Justice, and Opportunity for Asian Americans, Native Hawaiians, and Pacific Islanders

The purpose of this order is to build on those policies by establishing the President’s Advisory Commission on Asian Americans, Native Hawaiians, and Pacific Islanders, and the White House Initiative on Asian Americans, Native Hawaiians, and Pacific Islanders.

E.O. 14035 on Diversity, Equity, Inclusion, and Accessibility in the Federal Workforce

Issues guidance to increase the availability of paid internships, fellowships, and apprenticeships; reduce reliance on unpaid internships and similar programs; and improve outreach to and recruitment of individuals from underserved communities.

E.O. 14041 on the White House Initiative on Advancing Educational Equity, Excellence, and Economic Opportunity through Historically Black Colleges and Universities

Advances educational opportunities and reduces barriers to expand programming for Historically Black Colleges and Universities (HBCUs), as well as strengthen capacity to participate in federal programs.

E.O. 14045 on the White House Initiative on Advancing Educational Equity, Excellence, and Economic Opportunity for Hispanics

Directs agencies to address discriminatory practices and challenges facing Hispanic students and reduce barriers to participation in federal employment and education.

E.O. 14049 on the White House Initiative on Advancing Educational Equity, Excellence, and Economic Opportunity for Native Americans and Strengthening Tribal Colleges and Universities

Advances educational and economic opportunities for Native Americans through partnerships with public, private, philanthropic, and nonprofit entities.

(Continued)

62  Susan T. Gooden

Table 4.3 (Continued) Executive Orders

Description

E.O. 14050 on White House Initiative on Advancing Educational Equity, Excellence, and Economic Opportunity for Black Americans

Directs agencies to address discriminatory practices and challenges facing Black students and reduce barriers to participation in federal employment and education opportunities.

Source: U.S.A.I.D. (n.d.).

for underserved communities through the federal government. As Executive Order 13985 avows: Affirmatively advancing equity, civil rights, racial justice, and equal opportunity is the responsibility of the whole of our Government. Because advancing equity requires a systemic approach to embedding fairness in decision-​making processes, executive departments and agencies must recognize and word to redress inequities in their policies and programs that serve as barriers to equal opportunity. In 2021, under President Biden, the White House issued the Government-​wide Strategic Plan to Advance Diversity, Equity Inclusion, and Accessibility in the Federal Workforce (OPM, n.d.b.). The cornerstone of the Biden Administration’s commitment to diversity, equity, inclusion, and accessibility in the federal workforce (DEIA) is Executive Order 14035, which operates based on the following five principles: • Principle 1: Use Data and Evidence-​based Decision-​Making. • Principle 2: Focus on Continuous Improvement. • Principle 3: Adopt a Collaborative, Whole-​of-​Agency Mandate with Partnership Engagement. • Principle 4: Prioritize Accountability and Sustainability. • Principle 5: Understand the Perspectives of the Workforce and the Customers. (White House, 2021) Beyond the federal government’s strategic plan for diversity, equity, inclusion, and accessibility, such efforts are also guided by diversity plans, policies, and strategic initiatives within each federal agency. A quick internet search can readily produce many excellent diversity plans at the federal level. It is important to have such plans at the agency level, as well as the system-​wide level, as they are important tools in formulating and detailing an overarching inclusiveness strategy. However, diversity plans are not an end unto themselves. Agency “talk” through diversity plans is not a substitute for their social equity and diversity “walk,” which includes monitoring, implementation, and accountability. Ultimately, real agency progress relative to diversity and social equity is often tied to leadership. Once legal discriminatory barriers are removed, leadership is a critical factor in the promotion and maintenance of equity, diversity, and inclusion. Numerous studies

Chapter 4  •  Diversity, Social Equity, and Representative Bureaucracy  63 have emphasized the important role of leadership in diversity and social equity (Thomas & Ely, 1996; Ely, 2004; Mohammed & Angell 2004; Gooden 2014). Choi and Rainey’s (2010) examination of 67 subagencies under executive branch agencies and independent agencies concluded that diversity management has an important moderating effect on the relationship between diversity and organizational performance. “The findings suggest that the effects of diversity management can enhance or even reverse the main impacts of diversity on organizational outcomes” (Choi & Rainey, 2010: 116). It is the equity commitment of senior leadership that shapes and defines overall organizational culture, provides socialization to employees across the agency, and establishes clear norms and expectations relative to equity performance and accountability (Gooden, 2014: 198).

… BUT NOT ENOUGH WALK There are several current concerns that impact future diversity efforts in federal employment. While these are not exhaustive, they do include several important current challenges to future diversity success. Understanding these trends and realities provides a useful context for students, practitioners, and researchers who value diversity in the public sector. First, limited data relative to LGBTQ+​status are collected by the U.S. Census or OPM. Beginning in July 2021, the U.S. Census included questions regarding sexual orientation and gender identity in its Household Pulse Survey. Based on this data, 7.7 percent of individuals reported identifying as gay, lesbian, or bisexual (Anderson et al., 2021). The LGBTQ+​federal employee workforce is estimated at 5.9 percent (Partnership for Public Service, 2021). Executive Order 11478, as amended by President Barack Obama in 2014, prohibited federal employers and contractors from discriminating on the basis of sexual orientation or gender identity. Executive Order 13988, by President Joseph Biden, promises to “to fully enforce Title VII and other laws that prohibit discrimination on the basis of gender identity or sexual orientation.” It also recognizes the intersectionality of discrimination, stating, “For example, transgender Black Americans face unconscionably high levels of workplace discrimination, homelessness, and violence, including fatal violence” (Executive Order 13988). A critical concern is the need to officially include LGBTQ+​individuals in commonly utilized federal demographic databases. Without such data, the LGBTQ+​population is undocumented in the federal sector workforce, thereby significantly reducing the ability to track their experiences in hiring, promotion, compensation, and separation. Additionally, navigating the benefits available to LGBTQ+​federal employees relative to insurance benefits, leave policies, and retirement benefits is quite complex. For example, following the 2013 Supreme Court ruling Section 3 of the Defense of Marriage Act (DOMA) unconstitutional, legally married same-​sex spouses of federal employees qualify for benefits. However, same-​ sex couples who are in civil unions generally remain ineligible (OPM, 2016). Second, while there is growth in federal employment, 94 percent of all new employment is in three federal agencies: the Departments of Defense (DOD), Homeland Security (DHS), and Veterans Affairs (VA) (Government Accountability Office, 2014). Several factors contributed to their overall growth. For DOD, this included the growth of the cybersecurity workforce; at VA, this growth was in response to increased demand for health services for military veterans; and at DHS, the increase was due to increased staffing to increase board protection and security (Government Accountability Office,

64  Susan T. Gooden 2014). “These three agencies employed 62 percent of all executive branch permanent career employees in 2012” (Government Accountability Office, 2014: 6). Additionally, they accounted for 77 percent of the increase in spending on pay and benefits from 2004 to 2012 (Government Accountability Office, 2014: 24). This trend is important for diversity because the largest growth in federal sector employment is occurring primarily in male-​dominated occupational areas. It is important to expand the emphasis on diversity in federal government in agencies that offer the most employment opportunities to do so. This can be supported at these agencies, for example, by demonstrating a sense of urgency by senior agency leadership relative to diversity, reducing implicit bias, increasing the use of social media in recruitment, and using robust and consistent measures to monitor progress and promote accountability. Relatedly, according to projections provided by the U.S. Department of Labor, the fastest-growing federal jobs are in largely male-​dominated occupations. Occupations with projected growth above 10 percent include statisticians, medical and health services managers, management analysts, computer occupations, data scientists, information security analysts, computer and information research scientists, and operations research analysts (Farrell & Hussain, 2022). Third, although overall the federal employment workforce is quite diverse, it is far less so at senior levels. As Table 4.4 reports, the Senior Executive Service is 79 percent White, 66 percent male, and 92 percent without disability. Additionally, each of the three agencies with the largest employment discussed above (DOD, DHS, and VA) is included in the top ten federal agencies with the largest number of SES employees (see Table 4.5). A report from the Center for American Progress identified the Department of Defense among the five federal agencies with the worst SES minority representation (Center for American Progress, 2011: 8). The report projects that the “ethnic, racial, and gender makeup of the Senior Executive Service will not reflect the American workforce in 2030 and beyond,” particularly for Hispanics (Center for American Progress, 2011: 1). Its recommendations include setting an objective to close the diversity gap in the SES, setting interim milestones to monitor progress, and launching a specific initiative targeted at increasing Latinos in the SES (Center for American Progress, 2011). Fourth, Hispanics are underrepresented in all areas of federal employment—​the largest of any racial/​ethnic group. In 2000, President Bill Clinton issued Executive Order 13171—​Hispanic Employment in the Federal Government. In part, this order seeks to “reflect a continuing priority for eliminating Hispanic underrepresentation in the Federal workforce and incorporate actions under this order as strategies for achieving workforce diversity goals” (Section 2(i)). The good news is that since 2000, the percentage of Hispanics in the federal government workforce has steadily increased. However, the current challenge is to increase the rate of increase of Hispanic employees, as they remain the most underrepresented minority group in federal employment. Concern about the ability to increase representation of Hispanics in federal government requires consideration of other hiring factors, such as overall educational attainment and veteran status. However, based on an analysis of U.S. Census data conducted by the National Council of Hispanic Program Managers (2015), there are 3.6 million Hispanics over the age of 25 who hold at least a bachelor’s degree and 1.1 million with an advanced degree. Additionally, there are 1.2 million Hispanics who are veterans of the U.S. Armed Forces. These data suggest there are significant untapped pools of qualified Hispanics for federal employment.

Chapter 4  •  Diversity, Social Equity, and Representative Bureaucracy  65

Table 4.4 Demographic profile of the federal Senior Executive Service (SES) (2018)

Gender Female Male Total Race American Indian/​Alaskan Native Asian Black/​African American Native Hawaiian/​Pacific Islander More than one race Hispanic/​Latino White Unspecified Total Disability No disability Non-​targeted disability Unspecified disability Unknown disability Targeted disability Total

Number

Percent (%)

2,689 5,217 7,906

34.01 65.99 100.00

91

1.15

276 820 19

3.49 10.37 .24

67 364 6,266 3 7,906

.85 4.6 79.26 .04 100.00

7,186 311 215 57 33 7.802

92.10 3.99 2.76 .73 .42 100.00

Source: Office of Personnel Management, Senior Executive Service Report, April 2018. www.opm. gov/​pol​icy-​data-​oversi​ght/​data-​analy​sis-​docume​ntat​ion/​fede​ral-​emp​loym​ent-​repo​rts/​repo​rts-​publi​ cati​ons/​ses-​summ​ary-​2017.pdf

Table 4.5 Top ten federal agencies with the largest number of SES (2018) Federal agency

Department of Justice Department of Homeland Security Department of Energy Department of Health and Human Services Department of the Treasury Department of Defense Department of Commerce Department of Veterans Affairs Department of the Navy Department of Agriculture

SES number

822 658 466 447 446 437 404 385 327 318

Source: Office of Personnel Management, Senior Executive Service Report, April 2018. www.opm. gov/​pol​icy-​data-​oversi​ght/​data-​analy​sis-​docume​ntat​ion/​fede​ral-​emp​loym​ent-​repo​rts/​repo​rts-​publi​ cati​ons/​ses-​summ​ary-​2017.pdf

66  Susan T. Gooden Finally, but perhaps most ironically, the federal agency upon which many of us rely for diversity data, the U.S. Census Bureau, comprises a senior leadership group that is overwhelmingly White. As a National Public Radio report shared: The fact that the bureau’s Senior Executive Service is overwhelmingly white has raised concerns about whether the agency is providing equitable opportunities to reach its top rank of staffers and how committed it is to its own stated goal of achieving “a workforce that reflects the rich diversity of the American public that we serve.” (Wang, 2021)

Conclusion A commitment to representative bureaucracy remains a vitally important component of public personnel management. Several recent Executive Orders have made important contributions to strengthening the commitment to diversity, equity, inclusion, and accessibility in federal employment. However, there are several priority areas of concern. These include a need to collect data on sexual orientation, similar to data collected by gender, race/​ethnicity, and ability status; a need to double-​down on diversity efforts in the federal agencies that hire the most; a need to improve diversity within the SES; a need to address the significant under-​representation of Hispanics in the federal workforce, and a need to diversify senior leadership at the U.S. Census Bureau, the federal agency that includes as a core component of its mission to be the “nation’s largest provider of quality data about its people” (U.S. Census Bureau, 2023). Leading by example relative to diversity, social equity, and representative bureaucracy is a tall, but essential, order for our nation’s largest employer. Values of equity and justice were part of the founding fabric of the United States. Achieving social equity in the provision of government services is linked to diverse, representative bureaucratic systems. An enduring challenge is how to “walk the talk” of these values with a socially progressive pace. In many ways, the future diversity challenge of federal employment is akin to the challenges of yesterday and today: It is to fulfill our democratic commitment to equality within the public sector workforce.

References Anderson, L., File, T., Marshall, J., McElrath, K., & Scherer, Z. (2021, November 4). Census Bureau survey explores sexual orientation and gender identity. www.cen​sus.gov/​libr​ ary/​stor​ies/​2021/​11/​cen​sus-​bur​eau-​sur​vey-​explo​res-​sex​ual-​orie​ntat​ion-​and-​gen​der-​ident​ ity.html Center for American Progress. (2011). A better, more diverse senior executive service in 2050. https://​cdn.ameri​canp​rogr​ess.org/​wp-​cont​ent/​uplo​ads/​iss​ues/​2011/​09/​pdf/​ses_​pa​ per.pdf Choi, S., & Rainey, H. (2010). Managing diversity in U.S. federal agencies: Effects on diversity and diversity management on employee perceptions of organizational performance. Public Administration Review, 70(1), 109–​121. Ely, R. J. (2004). A field study of group diversity: Participation in diversity education programs and performance. Journal of Organizational Behavior 25(6), 755–​780.

Chapter 4  •  Diversity, Social Equity, and Representative Bureaucracy  67 Executive Order on Preventing and Combating Discrimination on the Basis of Gender Identity or Sexual Orientation, E.O. 13988. (2011). www.whi​teho​use.gov/​brief​i ng-​room/​presi​dent​ ial-​acti​ons/​2021/​01/2​ 0/​execut​ive-​order-​pre​vent​ing-​and-​combat​ing-​dis​crim​inat​ion-​on-​basis-​ of-​gen​der-​ident​ity-​or-​sex​ual-​orie​ntat​ion Executive Order on Advancing Racial Equity and Support for Underserved Communities Through the Federal Government, E.O. 13985 (2021). www.whi​teho​use.gov/​brief​i ng-​room/​ presi​dent​ial-​acti​ons/​2021/​01/​20/​execut​ive-​order-​advanc​ing-​rac​ial-​equ​ity-​and-​supp​ort-​for-​ unde​rser​ved-​comm​unit​ies-​thro​ugh-​the-​fede​ral-​gov​ernm​ent Executive Order on Diversity, Equity, Inclusion, and Accessibility in the Federal Workforce, E.O. 14035. (2021). www.whi​teho​use.gov/​brief​i ng-​room/​presi​dent​ial-​acti​ons/​2021/​06/​25/​ execut​ive-​order-​on-​divers​ity-​equ​ity-​inclus​ion-​and-​access​ibil​ity-​in-​the-​fede​ral-​workfo​rce Farrell, R., & Hussain, M. (2022, May 2). Fastest growing jobs in the federal government. U.S. Department of Labor Blog. https://​blog.dol.gov/​2022/​05/​02/​fast​est-​grow​ing-​jobs-​in-​the-​ fede​ral-​gov​ernm​ent Frederickson, H. G. (2005). The state of social equity in American public administration. National Civic Review, 94(4), 31–​38. Gooden, S. T. (2014). Race and social equity: A nervous area of government. M. E. Sharpe. Government Accountability Office. (2014, January 29). Federal workforce: Recent trends in federal civilian employment and compensation. GAO–​ 14–​ 215. www.gao.gov/​produ​cts/​ GAO-​14-​215 Interagency Veterans Advisory Council. (2021). The state of veterans in the federal workforce 2021: Annual Report. www.fedsh​irev​ets.gov/​news-​media/​2021-​inte​rage​ncy-​veter​ans-​ann​ ual-​rep​ort.pdf Johnson, N. J., & Svara, J. H. (2011). Social equity in American society and public administration. In N. Johnson, & J. Svara (Eds.), Justice for all: Promoting social equity in public administration. M. E. Sharpe, pp. 1–​22. Jones, N., Marks, R., Ramirez, R., & Rios-​Vargas, M. (2021, August 12). Improved race and ethnicity measures reveal U.S. population is much more multiracial. U.S. Census Bureau. www.cen​sus.gov/​libr​ary/​stor​ies/​2021/​08/​impro​ved-​race-​ethnic​ity-​measu​res-​rev​eal-​uni​ted-​ sta​tes-​pop​ulat​ion-​much-​more-​mult​irac​ial.html Kranz, H. (1976). The participatory bureaucracy: Women and minorities in a more representative public service. Lexington Books. Mohammed, S., & Angell, L. (2004). Surface and deep-​level diversity in workgroups: Examining the moderating effects of team orientation and team process on relationship conflict. Journal of Organizational Behavior 25(8), 1015–​1039. Mosher, F. C. (1968). Democracy and the public service, 2nd ed. Oxford University Press. National Council of Hispanic Program Managers. (2015). Resources. www.nati​onal​coun​cilh​ epm.org/​eeo-​resour​ces.html Office of Personnel Management (OPM). (2016). Benefits for lesbian, gay, bisexual, and transgender (LGBT) federal employees and annuitants. www.opm.gov/​pol​icy-​data-​oversi​ght/​ divers​ity-​and-​inclus​ion/​refere​nce-​materi​als/​benef​i ts-​for-​lgbt-​fede​ral-​employ​ees-​and-​ann​ uita​nts-​suppl​emen​tal-​resou​rce-​to-​webc​ast.pdf Office of Personnel Management. (n.d.a). Diversity, equity, inclusion, and accessibility. www. opm.gov/​pol​icy-​data-​oversi​ght/​divers​ity-​and-​inclus​ion/​about-​us Office of Personnel Management. (n.d.b.). Agency diversity, equity, inclusion and accessibility strategic plan. www.opm.gov/​about-​us/​our-​miss​ion-​role-​hist​ory/​age​ncy-​deia-​strate​ gic-​plan Partnership for Public Service (2021, June 24). Pride in government: The LGBTQ+​community and the federal workforce. https://​ourpu​blic​serv​ice.org/​blog/​pride-​in-​gov​ernm​ent-​the-​ lgbtq-​commun​ity-​and-​the-​fede​ral-​workfo​rce

68  Susan T. Gooden Riccucci, N. (2015). From sameness to difference. In M. E. Guy, & M. Rubin (Eds.), Public administration evolving: From foundations to the future. Routledge, pp. 193–​209. Rice, M. F. (2010). Workforce diversity in business and governmental organizations. In M. Rice (Ed.), Diversity and public administration: Theory, issues, and perspectives. M. E. Sharpe. Thomas, D. A., & Ely, R. J. (1996). Making differences matter: A new paradigm for managing diversity. Harvard Business Review, 74(5), 79–​90. U.S.A.I.D. (n.d.) Executive orders on diversity, equity, inclusion, and accessibility. www.usaid. gov/​equ​ity/​execut​ive-​ord​ers-​deia U.S. Census Bureau. (2023). What we do. www.cen​sus.gov/​about/​what.html Wang, H. L. (2021, December 14). The federal agency that measures racial diversity is led mostly by white people. National Public Radio. www.npr.org/​2021/​12/​14/​105​5186​046/​cen​ sus-​bur​eau-​lea​ders​hip-​rac​ial-​divers​ity-​staff-​sen​ior-​execut​ive-​serv​ice-​ses White House. (2021). Government-​wide strategic plan to advance diversity, equity, inclusion, and accessibility in the federal workforce. www.whi​teho​use.gov/​wp-​cont​ent/​uplo​ads/​ 2021/​11/​Strate​gic-​Plan-​to-​Adva​nce-​Divers​ity-​Equ​ity-​Inclus​ion-​and-​Access​ibil​ity-​in-​the-​Fede​ ral-​Workfo​rce-​11.23.21.pdf

5

GENERATIONAL DIFFERENCES AND THE PUBLIC SECTOR WORKFORCE Madinah F. Hamidullah

The problems presented by an aging workforce have led to an increased focus on managing generations in the workforce. This is partly as a means of achieving smooth transitions of responsibility from older and retiring workers to younger, less-​experienced workers. The public sector has had the potential to be hit hard by an aging workforce and possible personnel shortages (Scott, 2004), resulting in intense competition for talented employees. This phenomenon has been present in the public sector workforce for over ten years. Although we have not seen mass retirements, as a result of many Baby Boomers not being able to afford retirement, the public sector has still been left with limited available positions to effectively be able to recruit, promote, and retain younger workers. Even without the impending crisis of a mass generational workplace exodus, managing generations in the workforce continues to be an important conversation to have in the contemporary public workforce, which is rapidly changing and beginning to reflect the diverse makeup of the community it services. Policy-​ relevant types of diversity include race, gender, sexual orientation, and religion. Currently, individuals have been working longer, and the presence of multiple generations is easily observable in the current workforce. Due to the increased attention paid to these generational differences and the observations that have been made regarding the attitudes of the younger generation, public personnel managers need to know whether there are substantive differences in how particular generations approach work. A generation is defined as a group of people born in the same date range who share similar cultural experiences and are shaped by those experiences. Observers of popular culture (Mitchell, 2000; Lancaster & Stillman, 2002) contend that individuals belonging to different generational cohorts will approach work differently, based on the social and historical conditions associated with their development. Some differences proposed by various human resource consultants suggest that younger generations are more likely to challenge authority, be less loyal to their organizations, and looking for promotions based on performance rather than agreeing with promotions based on longevity (Shelton & Shelton, 2005; Smith, 2007). Additionally, researchers who focus on the public sector (e.g., Perry & Wise, 1990; Perry, 1996, 1997) have found that

DOI: 10.4324/9781003403401-5

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70  Madinah F. Hamidullah some individuals will have a predisposition to serve the public, and therefore will be attracted to public sector work. What is rarely examined in empirical work is whether social and historical factors may influence an individual’s desire to work for the public. As individuals grow and mature, they may develop different patterns toward work, which may influence the type of work they do and the kind of organization for which they choose to work. Government agencies will see their workforces grow older and retire, while at the same time fewer people are going into the public service (Leibowitz, 2004). The impending demands for suitable replacements for retiring public employees accentuate the need for better understanding of the motives of younger workers. Younger workers will be the future of the workforce, and understanding their values and motives will give managers the necessary information needed to manage them. Money constraints are often suggested as a major reason for government’s lack of ability to attract and retain qualified personnel because the status of government employment is just as important as the pay that should accompany it. The image created by politicians, civic leaders, voters, and clientele groups affects the position of government as a competitive employer (Nigro & Nigro, 2000), so civil service reform has tried to address the issue of image as a barrier to recruit talented and qualified individuals into the public sector workforce. One example of such reform has taken place in Georgia with the implementation of “GeorgiaGain.” By removing traditional civil service protections, Georgia hoped to reward employees with a pay-​for-​performance system designed to motivate, reward, and retain high-​quality public employees (Sanders, 2004). Recruitment and retention continue to be top priorities for public organizations. One way to address the issue could be to examine the characteristics of individuals based on age, generational affiliation, and time with the organization, so the data could help assess where managers spend their resources. Managers have the daunting task of organizing a large number of employees in an ever-​changing workforce, so understanding how those individuals’ age and life experiences affect their life and work could be very beneficial in the larger process. Job behaviors that develop from individual maturation must be separated from those that are a result of the social and historical impacts that make up generational differences (if such differences exist), and plans that are being adopted to help offset the more traditional workforce trends in the public sector should be clear regarding what problems they are addressing. Moreover, the need for these aggressive plans in response to these alarming trends that public employers are beginning to face can be improved greatly by looking deeper into the differences between generations and, further, how those differences can be incorporated. Take, for instance, the Baby Boomer generation. This generation comprises individuals who were born between 1946 and 1964 who, according to a 2012 survey by the International City/​County Management Association, make up approximately 63 percent of the workforce (ICMA, 2012). The federal government faced a similar crisis in 2004, when 53 percent of federal civil servants and 71 percent of federal senior executives were eligible to retire (Leibowitz, 2004). In 2014, the numbers were not too different, with over 44 percent of federal workers over the age of 50 (Fed Figures, 2014). In 2016, Millennials became the largest generation in the labor force, making up over 35 percent in the United States (Fry, 2018). As the workforce continues to age, agencies need to be aware of workers’ irreplaceable knowledge, experience, and wisdom, which will be lost when certain individuals leave the organization (Boath & Smith, 2004). By learning from those older generations who will be leaving the workforce, agencies can create plans that collect the knowledge needed in order to maintain and

Chapter 5  •  Generational Differences and the Public Sector Workforce  71 then redistribute what works and what does not to managers and coworkers alike. A way for organizations to do such maintenance is to identify the knowledge that is most at risk and institutionalize it within career-​development processes (Boath & Smith, 2004). Additionally, organizations must build knowledge communities that capture expert as well as informal information and insights into how business is done and how that information is transferred from one employee to the next. If agencies do not conduct these knowledge plans, organizational knowledge loss, or “brain drain,” can become a problem within the whole employment life-​cycle, including recruiting, hiring, performance, retention, and retirement (Boath & Smith, 2004). Generations are considered to have different personalities that explain their behavior in the workplace (Mitchell, 2000; Lancaster & Stillman, 2002). Not only are some groups more concerned with personal achievement, but they may also be more career committed versus organization committed. This chapter seeks to use generational profiles as a typology. Popular and more academic-​based typologies have often been used to describe individuals within organizations. For example, Downs (1967) suggested that the bureaucracy can be made up of zealots, advocates, statesmen, and climbers, whereas Weber (1947) developed archetypes of leadership into phenotypes such as the hero (“heroic charisma”), the father (“paternalistic charisma”), the savior (“missionary charisma”), and the king (“majestic charisma”). Bureaucrats can take on many different personalities, and generational research suggests that each cohort may have distinguishing characteristics. Because public organizations at all levels of government have begun to plan human resource policies that take into account the differences that generations will bring with them to the workforce (Center for Organizational Research, 2003), public administration research and public management scholars must be able to evaluate the generations in the workforce today. Whether or not generations differ in the ways they approach work, their interest in serving the public, their time spent in jobs, and how they may influence individuals’ careers are all important areas to consider.

THE MAKING OF A GENERATION Generations can be classified as recognizable groups of individuals who share a common history and significant life events at critical developmental stages (Lancaster & Stillman, 2002). Generations also form personalities that influence their feelings toward authority and organizations, what work means to them, and how they attempt to satisfy specific desires (Kupperschmidt, 2000). The most prevalent generations in today’s workforce are the Baby Boomers (Boomers—​born 1946–​1964), Generation X (Gen X-​ers—​born 1965–​ 1980), and Millennials (Gen Y-​ ers—​ born 1981–​ 2000) (Mitchell, 2000; Lancaster & Stillman, 2002; Fry 2018). The newest generation entering the workforce is labelled Generation Z (born 2001–​2020). While they currently make up a small percentage of the workforce, their numbers are growing. The generation rapidly aging out of the workforce consists of the Traditionalists (Silent generation—​born before 1945). This brings the number of generations in the workforce to five.

Background on Generational Research It has always been thought that generations collided in certain ways, but currently more generations are in the workplace due to longer life expectancies and prolonged retirements (Lancaster & Stillman, 2002). For the first time in history, we are experiencing

72  Madinah F. Hamidullah five generations in the workplace at the same time. The challenge is that each generation brings its own set of values, beliefs, life experiences, and attitudes to the workplace. The following profiles are very broad, but were developed from survey research by the Bridgeworks Corporation (Lancaster & Stillman, 2002). Each of the five generational cohorts is a typology that explains a group that shares common history (Lancaster & Stillman, 2002; Fry 2018). These shared events and conditions determine who they are and how they see the world. Bridgeworks Corporation was formed to help bridge the gap between generations by helping people look beyond their own perspective to understand the events, conditions, values, and behaviors that make each generation unique. The work of Bridgeworks set out to help bring merit to the idea that different generations may have different values and attitudes toward life that may be reflected in the workforce. By ignoring such differences, they believed that the workplace would have a clash of generations due to misunderstandings. The profiles for the existing generations have held fairly consistent over time. Traditionalists (born between the turn of the twentieth century and the end of World War II—​that is, 1900–​1945) are considered to have preferences for lengthy careers with one company and strong beliefs in hard work and respect for leaders. The generational personality for this cohort is loyal, which should suggest longer durations in each job because changing jobs carries a stigma for this cohort. Baby Boomers (1946–​1964) are considered the most competitive cohort as a result of sheer size—​almost eight million peers. The term “Baby Boomers” comes from the boom in births from 1946 to 1964. As a generation affected by the Vietnam War, the Civil Rights Movement, the Kennedy and King assassinations, and Watergate, it seems only fitting that they would have a lack of respect for and loyalty to authority and social institutions (Bradford, 1993; Adams, 2000; Kupperschmidt, 2000). Boomers are currently feeling the crunch of caring for aging parents and their own children; many are simultaneously working in positions of power in the workplace, and they carry the modest values of material success and traditional values with them to the workplace (Miniter, 1997; O’Bannon, 2001). This cohort is very motivated to make a change in the world and values money, title, and recognition. The generational personality for this group is optimistic. Baby Boomers are least likely to report work as being their most important activity (Mitchell, 2000). Generation X (1965–​1980) is the generation of skeptics. While the Boomer generation is well known for its loyalty to collectivism, Gen X-​ers are often considered a product of financial, family, and societal insecurity ( Jurkiewicz & Brown, 1998), leading to a generation with a sense of individualism rather than collectivism. Based on its great diversity and a lack of solid traditions ( Jurkiewicz & Brown, 1998; Smola & Sutton, 2002), often due to witnessing their parents being laid off, Gen X-​ers are sometimes considered to be cynical and untrusting (Kupperschmidt, 2000). As a generation that relies on team support, craves mentors, and values stable families, Gen X-​ers bring with them to the workplace practical approaches to problem-​solving ( Jurkiewicz & Brown, 1998; Karp, Sirias, & Arnold, 1999; Kupperschmidt, 2000; O’Bannon, 2001). As a technically competent group that is most comfortable with diversity, change, and multitasking, they push for similarities to be emphasized over differences (Kupperschmidt, 2000; O’Bannon 2001). Gen X-​ers are often thought to ask, “WIFM—​What’s in it for me?” (Karp et al., 1999). Gen X-​ers are expected to bring various values and attitudes to the traditional workplace, including a different approach to benefits and compensation, along with diverse ideas about work loyalty and commitment (Singer Group Inc., 1999). Changing

Chapter 5  •  Generational Differences and the Public Sector Workforce  73 jobs is seen as a necessary condition because faith in institutions was lost as a result of seeing lots of businesses downsize and merge. Individuals in this cohort look for career security rather than job security, suggesting a greater likelihood of having more jobs across a particular work history. Generation Y/​Millennials (1981–​ 1999): Research suggests that Millennials will follow the lead of Gen X-​ers, and they too will want higher salaries, more financial leverage, and flexible work arrangements ( Jennings, 2000; Smola & Sutton, 2002). Millennials are connected to the world 24 hours a day, distrust institutions, and readily voice their opinions (Ryan, 2000; Smola & Sutton, 2002). Due to the connected nature of this generation, made possible by technology, it is expected that they will be the first generation to be socially active since the 1960s and will have an abundant appetite for work. This realistic generation is classified as seeing changing jobs as a part of the daily work routine. Younger generations are more likely to have a “work to live” attitude versus the “live to work” attitude of their predecessors. This does not, however, mean they do not value work; it is just more likely that they will seek out employment that will allow them to have the best work–​life balance (Mitchell, 2000). Millennials have surpassed Baby Boomers in numbers and are currently the largest generation (Council of Economic Advisors, 2014). This is definitely a generation that managers want to pay attention to in the workplace. Generation Z (2001–​ 2010) is the newest generation to enter the workplace. They are one of the latest generations to form and have already had significant influence in the marketplace. This ability to demand goods and services uniquely tailored to them may easily spill over into the workplace. Socially, this generation has been raised during a time of unrest in both the political and financial areas (Williams, 2015). Generation Z is large in numbers with nearly 60 million members. Much like the Baby Boomers and Millennials, their sheer size will help them to influence culture and society. Although this generation research was conducted based on survey data, it should be noted that many organizations are taking the management of generational differences in the workplace seriously. The client list of Bridgeworks Corporation includes several public, private, and professional organizations. Whether or not individuals buy into this idea of generational differences, organizations such as the American Management Association, International City/​ County Management Association (ICMA), International Public Management Association for Human Resources (IPMA-​ HR), Internal Revenue Service, and several universities have had presentations on how to manage generations in their workforce. Companies have set cultures and policies that may not fit with new employees entering the work world. Generational collisions at work can result in loss of valuable employees, reduced profitability, poor customer service, derailed careers, wasted human potential, and even health problems caused by stress (Lancaster & Stillman, 2002). When these characteristics are applied to the development of civil service systems, there could be disconnects when following generations try to fit into the established system. The general idea is that there is a system, set up by traditionalists, that may not fit into the ideas and values of more recent generations. Traditionalists generally do not see “job hopping” as a desirable trait in employees. Many Generation X and Y members may see having multiple jobs as necessary in order to achieve their desired salary and goals. Rules that were set up and seen as important safeguards at one time may be seen as hindrances to efficient workflow processes by another generation. Generation X members are considered to have more focus on achieving a better work–​life balance,

74  Madinah F. Hamidullah whereas Generation Y members are simply more focused on self-​gratification (Bowen, 2000). Generation Z members were shown to have high levels of stress and anxiety at very young ages, and this is expected to play out in the workplace (Zimmer, 2022). Additionally, many members of Generation Z entered the workforce during and immediately after a global pandemic, which is also expected to present challenges with how they view and approach work.

Responses to Managing Multiple Generations in the Workforce Government will be one of the first sectors to experience the consequences of an aging national workforce (Scott, 2004). Some of the reasons for this phenomenon include the declining appeal of public service, competition with the private sector for talent, and lower retirement eligibility (Center for Organizational Research, 2003; Kerrigan, 2012). While this crisis may be mediated by the economic downturn, eligible employees delaying retirement, and a renewed interest in public service after 9/​11, public organizations are preparing themselves to manage an aging and retiring workforce. Public agencies have been urged to find strategic trouble spots by collecting necessary data to make forecasts for the changing workforce.

Generational Differences and Work Values Most of the debate about generations in the workplace centers on the difference in generations and life-​stage development. The Protestant work ethic dates back to the sixteenth century and is described as a belief that hard work, dedication, frugality, and perseverance are both pleasing to God and necessary for salvation (Steiner & Steiner, 2000). While similar work values are prevalent in other cultures, there is no surprise that a common definition of work values is hard to come by. As with any value, work values help individuals define what people believe is right and wrong (Smola & Sutton, 2002). Because the workplace can no longer easily be separated into right and wrong, it is important that current work values fit with current work conditions. Modern work environments require decision-​making, problem-​solving, troubleshooting, and often the management of difficult situations. Due to this, work values could be defined as a structural framework that reflects the central elements of the construct and reduces confusion over its conceptual boundaries (Dose, 1997). Smola and Sutton (2002: 366) use the following definition: “Work values are the evaluative standards relating to work or the environment by which individuals discern what is right or assess the importance of preferences.” To really explore generational differences, attention must be paid to the changing nature of work as well as individuals. The Singer Group is an organizational consultancy firm that gives a popular description of current generations in the workforce to help businesses manage people and their organizations. The term “free-​agents” often categorizes the retention of Gen X-​ers. Flexible work schedules along with flextime, consulting work, and temporary work are often valued by this younger generation (Singer Group, Inc., 1999). When being compensated, Gen X-​ers are often “independent contractors” with a need for rapid results and broader roles rather than specialized jobs (Singer Group, Inc., 1999). Attitudes toward retirement include “pay me now and I’ll take care of myself,” and X-​ ers often don’t see social security as something they will receive (Singer Group, Inc., 1999). Overall, workplace policies for Gen X-​ers include work

Chapter 5  •  Generational Differences and the Public Sector Workforce  75 flexibility, and they will not sacrifice personal or family-​related goals for their careers (Gerkovich, 2005).

Interest in Serving the Public In recent years, theoretical development and empirical work has been used to operationalize what public interest means for employees, why they develop a strong sense of public service, and how it influences their behavior (e.g., Perry, 1996, 1997; Crewson, 1997; Brewer & Selden, 1998; Brewer, Selden, & Facer, 2000; Houston, 2000; Alonso & Lewis, 2001). Brewer, Selden, and Facer (2000) note that public service motivation (PSM) is important not just to motivation but also to productivity, improved management practices, accountability, and trust in government, making it one of the major current topics of investigation in public administration. The appearance of PSM is not limited to the public sector. While PSM tends to be particularly high for government employees, those in the private and nonprofit sectors also exhibit PSM to varying degrees (Wittmer, 1991). Perry (2000) asserts the importance of PSM as an alternative to rational and self-​ interested theories of motivation that tend to focus on pecuniary rewards. Public service motivation can also explain the shape of beliefs and behavioral outcomes. The theory argues that individual behavior is not just the product of rational self-​interested choices, but is also rooted in normative and affective motives. If we only study motivation from a rational incentive-​driven perspective, we will only have a partial understanding of motivation. To fully grasp the concept, we must study social processes that shape an individual’s normative beliefs and emotional understandings of the world. This should be an interesting place to include the idea of generational cohorts. Brewer (2002) states that public administration researchers have long believed that some individuals have a strong public service ethic that attracts them to government employment and promotes work-​related attitudes and behaviors that advance the public interest. Social factors have not been ignored completely in the exploration of PSM. It has been proposed that PSM depends on how individuals are socialized via sociohistorical institutions, primary parental relations, religion, observational learning, and modeling during the course of their life events, education, and professional training (Perry, 2000). This could also be expanded to include the common history that generations may have experienced. Memories of downsizing may be familiar to those in the Baby Boomer cohort. Generation X and Generation Y may have witnessed the dislocation of parents and relatives, which could make the idea of being loyal to a particular firm foreign and less appealing (Bowen, 2000). Knowing the timelines in which each cohort grew up, it is proposed that they will share some similar reference points and attitudes when applied to work. Members of Generation X are described as not being as attached to the employer–​ employee contract, and as having a higher need for recruitment and rewards. Members of this generation may not be as socially developed as older generations, but they are more concerned with making money and are looking for career security rather than job security. The experiences of this generation would not align cohort members with traditional values included in PSM. As described by Lancaster and Stillman (2002), this generation will look to put faith in themselves versus institutions. As a cohort, it seems that Generation X members will be more concerned with self-​survival versus a sense of public commitment and involvement, thereby having lower levels of PSM. Millennials have a unique connection with public service and are focused on having successful and prosperous careers (Council of Economic Advisors, 2014).

76  Madinah F. Hamidullah Members of Generation Z are seen as needing support and mentoring as they enter the workplace (Zimmer, 2022). The transition of this group being virtual for some career starts and transitioning to in-​person should not be taken for granted. As a cohort, members of Generation Z were raised on texting as a main form of communication and heavy reliance on various social media platforms. This reliance on technology and instant communication or feedback is something that might play out in the workplace.

Difference Between Age and Generation We cannot ignore the connection between age and generational differences. The life-​ cycle of stability concept suggests that generations really don’t matter, but rather each generation will act in a certain way based on when they are observed. In the life-​cycle of stability, model traditionalists only appear to have preferences for long jobs because they are at a point in their life where job-​hopping is not desirable. Because of these competing hypotheses, it is important to examine whether there is any reason to continue to give attention to this notion of generational differences in the workplace. Life-​course research is an area that is rarely studied in the field of public administration. Sociology and psychology often pull from work based in this area. Glen Elder (1998) is a leading researcher in life course theory, and his work emphasizes the value of linking life stages and examining transitions into research on aging. Life-​course research challenges researchers to look at aging as a continuing, lifelong process that can have turning points, start and end points, as well as a holistic impact on an individual’s development (Elder & Johnson, 2002). The life-​cycle approach to understanding aging suggests individuals will have different values and experiences throughout the aging process. Young adults could be considered to have less-​stable values compared with older adults ( Johnson, 2001). Booth, Francesconi, and Garcia-​Serrano (1999) used the British Household Panel Survey and found that men and women held an average of five jobs in the course of their work lives, with half of these jobs occurring in the first ten years. Younger cohorts were found to have more separation hazards, which suggests they may have an increase in job instability. As the number of jobs an individual held increased, the tenure in a particular job lengthened (Booth, Francesconi, & Garcia-​Serrano, 1999). In the United States, the number of jobs held by men and women is nearly double the number held by British men and women (Hall, 1982; Topel & Ward, 1992; Booth, Francesconi, & Garcia-​Serrano, 1999). Social psychology has informed much of the research on job values and the aging process, which suggests that job values and the rewards obtained on a job grow more important over time (Mortimer & Lorence, 1979; Kohn & Schooler, 1983; Lindsay & Knox, 1984). Job tenure and job mobility are topics that need further exploration in public administration. In the case of U.S. federal employees, it was found that tenure matters not only in the likelihood of quitting but also in an individual’s dependence on the job (Black, Moffitt, & Warner, 1990). Based on work in this area, it is expected that older-​ generational cohorts will have longer job durations than younger cohorts. Previous studies have found that less-​experienced workers and those who feel poorly compensated for their jobs are more likely to leave (Mor Barak, Nissly, & Levin, 2001). Organizations that invest in training and job-​related education may help lessen the likelihood of individuals leaving their organization. The finding in the human services field suggests that individuals are not leaving their jobs for personal reasons, but more

Chapter 5  •  Generational Differences and the Public Sector Workforce  77 because they are not satisfied with their jobs, experience excessive burnout, and feel that their supervisors do not support them. Some of the behaviors witnessed by different generations could merely be a function of life stage or career stage.

Conclusion This chapter contributes to the literature on generations in the workplace and interest in public sector work. There are many public organizations adopting plans and investing resources to deal with generational differences in the workplace with very little empirical evidence that these differences really exist and produce conflict in the work environment. Work in this area should address the fact that what appears to be a conflict of the generations could be the natural expectations of individuals at particular stages in the life-​cycle. For the first time in history, five generations are in the workplace at the same time. People are working longer and may not retire when they first become eligible to do so. What may appear to be generational differences may be life-​stage differences that have not had to be dealt with in the past. Because recruitment and retention are of the utmost importance in the public sector at present, public managers must understand the needs of the individuals they wish to employ. As public agencies try to develop new methods of recruitment and retention, it may be the case that younger generations will prefer different items in a benefits package. Younger generations are described as trying to find better work–​life balance, so public agencies may adopt compressed work schedules, job-​sharing, and telecommuting in response to employee demand. It is also expected that Baby Boomers will approach retirement in a different way than the generations before them (Singer Group, Inc., 1999). Not only are Baby Boomers working longer, but they may favor different retirement options, such as phased retirement or part-​time work. It may not be the case that Generation X is different than those that came before them based on shared experiences, but the current life stage that those individuals are in may make some jobs more attractive than others. And while those in Generation Z are just making their way into the labor force, their unique generational profile is something for which public managers and public organizations should be preparing. Generational differences and their possible impacts on public management and personnel policies have and will remain a hot topic of debate in both the popular literature and human resource management. Ultimately, generational differences will remain to be discussed because the prevalence of multiple generations will be visible in and outside the workplace for the indefinite future. If generations do indeed differ, managers living 25 years apart should have different work values and be attracted to different aspects of work. The argument that generational researchers are making suggests that work values will be influenced by life events and socialization more than by age and maturity. It seems commonplace for one generation to complain about the work ethic or behaviors of the generations that follow. The obvious questions are: If each subsequent generation is in fact lazy or self-​centered, do individuals become more conscientious and less self-​centered with maturity (Smola & Sutton, 2002)? And do previous generations forget how they used to be when they were young and stereotype younger generations for going through a natural stage in development? One of the best things managers can do is focus on generational similarities (Sun, 2011). It is likely that clashes between generations can be mitigated by having

78  Madinah F. Hamidullah conversations with one another. Just like any area of diversity it will take time, attention, and understanding from everyone interacting in the workplace to end workplace misunderstandings. Similar to stereotypes based on race, religion, and sexual orientation, people should be cautious when they make assumptions simply based on generational differences. This chapter has explored the common stereotypes in order to inform public managers about engaging in generational-​specific policies and programs without fully understanding whether the differences are fact or fiction. Previous work in public administration simply controls for age and does not take into account the social and historical connections that generations might have that would affect the way in which they operate in the workplace. Because this is the first time four or more generations have been present in the workforce, it seems to be the case that information on how these generations are approaching work might be a helpful addition to the public management literature.

References Adams, S. J. (2000). Generation X: How understanding this population leads to better safety programs. Professional Safety, 45(1), 26–​29. Alonso, P., & Lewis, G. B. (2001). Public service motivation and job performance: Evidence from the federal sector. American Review of Public Administration, 31(4), 363–​380. Black, M., Moffit, R., & Warner, J. T. (1990). The dynamics of job separation: The case of federal employees. Journal of Applied Econometrics, 5(3), 245–​262. Boath, D., & Smith, D. Y. (2004). When your best people leave, will their knowledge leave, too? Harvard Management Update, 9(9), 6–​7. Booth, A. L., Francesconi, M, & Garcia-​ Serrano, C. (1999). Job tenure and job mobility. Industrial and Labor Relations Review, 53(1), 43–​70. Bowen, R. B. (2000). Recognizing and rewarding employees. McGraw-​Hill. Bradford, F. W. 1993. Understanding “Generation X.” Marketing Research, 5, 54. Brewer, G. A. (2002). Public service motivation: Theory, evidence, and prospects for research. Paper presented at the Annual Meeting of the American Political Science Association, Boston, MA. Brewer, G. A., & Selden, S. C. (1998). Whistleblowers in the federal civil service: New evidence of the public service ethic. Journal of Public Administration Research and Theory, 8(3), 413–​439. Brewer, G. A., Selden, S. C., & Facer. R. (2000). Individual conceptions of public service motivation. Public Administration Review, 60(3), 254–​264. Center for Organizational Research. (2003). The aging-​and-​retiring government workforce: How serious is the challenge? What are jurisdictions doing about it? Center for Organizational Research. Council of Economic Advisers. (2014). 15 economic facts about Millennials. www.whi​teho​use. gov/​sites/​defa​ult/​files/​docs/​mil​lenn​ials​_​rep​ort.pdf Crewson, P. E. (1997). Public-​service motivation: Building empirical evidence of incidence and effect. Journal of Public Administration Research and Theory, 7(4), 499–​518. Dose, J. J. (1997). Work values: An integrative framework and illustrative application to organizational socialization. Journal of Occupational and Organizational Psychology, 70(3), 219–​240. Downs, A. (1967). Inside the bureaucracy. RAND Corporation. Elder, G. H. (1998). Life course and human development. In W. Damon (Ed.), Handbook of child psychology. Wiley, pp. 939–​991.

Chapter 5  •  Generational Differences and the Public Sector Workforce  79 Elder, G. H., & Johnson, M. K. (2002). The life course and human development: Challenges, lessons, and new directions. In R. A. Settersten (Ed.), Invitation to the life course: Toward new understandings of later life. Baywood, pp. 49–​81. Fed Figures. (2014). Federal workforce, partnership for public service. Ourpublicservice.org Fry, Richard. (2018). Millennials are the largest generation in the U.S. labor force. Pew Research Center. www.pewr​esea​rch.org/​fact-​tank/​2018/​04/​11/​mill​enni​als-​larg​est-​gen​erat​ ion-​us-​labor-​force Gerkovich, P. (2005). Generations X and work/​life values. The Network News: A Work-​Family News Publication, 7(2), 1–​5. Hall, R. E. (1982). The importance of lifetime jobs in the United States economy. American Economic Review, 72(4), 716–​724. Houston, D. J. (2000). Public-​ service motivation: A multivariate test. Journal of Public Administration Research and Theory, 10(4), 713–​727. ICMA. (2012). State of the Profession Survey results. Online report. http://​icma.org/​en/​icma/​ knowle​dge_​netw​ork/​docume​nts/​kn/​Docum​ent/​305​096/​ICMA_​2012_​State_​of_​th​e_​Pr​ofes​ sion​_​Sur​vey_​Resu​lts Jennings, A. (2000). Hiring Generation X. Journal of Accountancy, 189(2), 55–​59. Johnson, M. K. (2001). Job values in the young adult transition: Change and stability with age. Social Psychology Quarterly, 64(4), 297–​317. Jurkiewicz, C. E., & Brown, R. C. (1998). GenXers vs. Boomers vs. Matures: Generational comparisons of public employee motivation. Review of Public Personnel Administration, 18, 18–​37. Karp, H., Sirias, D., & Arnold, K. (1999). Teams: Why Generation X marks the spot. The Journal for Quality and Participation, 22(4), 30–​33. Kerrigan, H. (2012). Government unprepared for Boomers’ mass exodus. www.govern​ing. com/​top​ics/​pub​lic-​workfo​rce/​gov-​gov​ernm​ent-​unp​repa​red-​for-​boom​ers-​mass-​exo​dus.html Kohn, M., & Schooler, C. (1983). Work and personality: An inquiry into the impact of social stratification. Ablex. Kupperschmidt, B. (2000). Multi-​generation employees: Strategies for effective management. Health Care Manager, 19, 65–​76. Lancaster, L. C., & Stillman, D. (2002). When generations collide. HarperCollins. Leibowitz, J. (2004). Bridging the knowledge and skills gap: Tapping federal retirees. Public Personnel Management, 33(4), 421–​448. Lindsay, P., & Knox, W. E. (1984). Continuity and change in work values among young adults. American Journal of Sociology, 89(4), 918–​931. Miniter, R. (1997). Generation X does business. The American Enterprise, 8, 38–​40. Mitchell, S. (2000). American generations: Who they are. How they live. What they think, 3rd ed. New Strategist Publications. Mor Barak, M. E., Nissly, J. A., & Levin, A. (2001). Antecedents to retention and turnover among child welfare, social work, and other human service employees: What can we learn from past research? A review and meta-​analysis. Social Service Review, 75(4), 625–​661. Mortimer, J. T., & Lorence, J. (1979). Work and experience and occupational value socialization: A longitudinal study. American Journal of Sociology, 84(6), 1361–​1385. Nigro, L. G., & Nigro, F. A. (2000). The new public personnel administration, 5th ed. F. E. Peacock. O’Bannon, G. (2001). Managing our future: The Generation X factor. Public Personnel Management, 30, 95–​109. Perry, J. L. (1996). Measuring public service motivation: An assessment of construct reliability and validity. Journal of Public Administration Research and Theory, 6(1), 5–​22. Perry, J. L. (1997). Antecedents of public service motivation. Journal of Public Administration Research and Theory, 7(2): 181–​197.

80  Madinah F. Hamidullah Perry, J. L. (2000). Bringing society in: Toward a theory of public-​service motivation. Journal of Public Administration Research and Theory, 10(2), 471–​488. Perry, J. L., & Wise, L. R. (1990). The motivational bases of public service. Public Administration Review, 50(3), 367–​373. Ryan, M. (2000, September 10). Gerald Celente: He reveals what lies ahead. Parade Magazine, pp. 22–​23. Sanders, R. M. (2004). GeorgiaGain or GeorgiaLoss? The great experiment in state civil service reform. Public Personnel Management, 33(2), 151–​164. Scott, L. (2004). Trends in state personnel administration. In K. S. Chin (Ed.), The book of the states 2004, Vol. 36. Council of State Governments, pp. 401–​404. Shelton, C., & Shelton, L. (2005). The next revolution: What Gen X women want at work and how their Boomer bosses can help them to get It. Davies-​Black. Singer Group, Inc. (1999). Arrival of Generation X in the workforce: Implications for compensation and benefits. www.singer​grp.com/​presen​tati​ons/​kar​ens-​genx.pdf Smith, G. P. (2007). Baby Boomer versus Generation X: Managing the new workforce. www. char​tcou​rse.com/​articl​ebab​yvsg​enx.html Smola, K. W., & Sutton, C. D. (2002). Generational differences: Revisiting generational work values for the new millennium. Journal of Organizational Behavior, 23(4), 363–​382. Steiner, G. A., & Steiner, J. F. (2000). Business, government, and society: A managerial perspective, 9th ed. Irwin McGraw-​Hill. Sun, C. (2011, January 18). 10+​ways to minimize generational differences in the workplace. Tech Republic. www.techr​epub​lic.com/​blog/​10-​thi​ngs/​10-​plus-​ways-​to-​minim​ize-​gener​atio​ nal-​diff​eren​ces-​in-​the-​workpl​ace Topel, R. H., & Ward, M. P. (1992). Job mobility and the careers of young men. Quarterly Journal of Economics, 107(2), 439–​479. Weber, M. (1947). The theory of social and economic organizations (T. Parsons, trans.). The Free Press. Williams, A. (2015, September 18). Move over, Millennials, here comes Generation Z. New York Times. Wittmer, D. (1991). Serving the people or serving for pay: Reward preferences among government, hybrid sector, and business managers. Public Productivity and Management Review, 14(4), 369–​383. Zimmer, S. (2022). Building trust with Millennials and Gen Z. Bridgeworks. www.gene​rati​ons. com/​insig​hts/​build​ing-​trust-​with-​mill​enni​als-​and-​gen-​z

6

AFFIRMATIVE ACTION AND THE LAW Norma M. Riccucci

One of the most polemical and polarizing personnel or human resources issues over the past several decades has been affirmative action (AA). Scholars, practitioners, and policymakers have debated its appropriateness and potential effectiveness since its inception. After decades of legal wrangling and uncertainties, the U.S. Supreme Court issued a ruling in 2003 that paved the way for universities to rely on AA policies to redress past discrimination as well as to promote or enhance diversity in the classroom. Then, in 2016, the High Court issued a ruling in Fisher v. University of Texas at Austin that again upheld the constitutionality of AA. The purpose of this chapter is to provide a legal snapshot of the use of AA. It examines the U.S. Supreme Court’s Bakke decision, as well as the Court’s 2003 decisions in two University of Michigan cases. It then examines the Court’s decisions in Fisher. It also looks at the lower court decisions in a case that is currently before the High Court, Students for Fair Admissions v. Harvard (2020). This decision will have major implications for the continued use of AA in higher education.

THE BAKKE RULING First employed as a tool to promote equal employment opportunity—​that is, to prevent discrimination—​AA has evolved into a more proactive tool to not only redress past discrimination against persons based on such factors as race, ethnicity, and gender, but also to correct racial and gender imbalances in the workplace. Most recently, AA has been viewed as a tool to create diversity in the workplace. And, at least at the entry levels of employment, AA has proven to be somewhat effective (e.g., Cornwell & Kellough, 1994; Naff, 2001; Kellough, 2006; Riccucci, 2009, 2021a). The U.S. Supreme Court issued its first substantive ruling on AA in 1978 with its Regents of the University of California v. Bakke decision. The Bakke ruling upheld the general principle of AA but struck down its use by the University of California under the Fourteenth Amendment of the U.S. Constitution and Title VI of the Civil Rights Act of 1964. A closely divided Court objected to the use of what it labeled “quotas” in admission decisions. The University of California’s Davis Medical School was reserving 16 spaces out of a possible 100 for students of color. In actuality, the school was not operating a “quota” system, but instead was setting a goal or benchmark for the admissions of students of color. A quota implies sanctions if not met; courts have the power to impose

DOI: 10.4324/9781003403401-6

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82  Norma M. Riccucci sanctions, but universities as well as employers do not sanction themselves with, for example, fines if they do not meet their goals. The misuse of the term “quota” here has not only galvanized the debate over AA but, as will be seen later in this chapter, continues to serve as a yardstick for gauging the legality of AA programs. The Supreme Court’s Bakke decision was so fractured that it created a split among lower federal courts over the use of AA and, in effect, whether the ruling could actually serve as legal precedent. After a number of subsequent Supreme Court rulings, the Court’s decision in Grutter v. Bollinger (2003) reconciles this critical problem.

THE UNIVERSITY OF MICHIGAN RULINGS In 2003, marking the 25th anniversary of the Bakke decision, the U.S. Supreme Court ruled on two AA cases involving the University of Michigan. In one case, Grutter v. Bollinger, the Court was asked to rule on the constitutionality, under the Fourteenth Amendment’s Equal Protection Clause, of AA at the University of Michigan’s Law School. In a 5–​4 ruling, the Court majority opined that the racial diversity of a study body can be a sufficiently compelling interest on the part of a state university to warrant its use of racial preference in its admissions decisions. The Court ruled that the Fourteenth Amendment’s Equal Protection Clause allows for the “Law School’s narrowly tailored use of race in admissions decisions to further a compelling interest in obtaining the educational benefits that flow from a diverse student body” (Grutter v. Bollinger, 2003: 342). Since Bakke, the courts have judged the constitutionality of affirmative against the strict scrutiny test. This two-​pronged test asks (1) whether there is a compelling governmental interest for the program, and (2) whether the program is sufficiently narrowly tailored to meet its specified goals (e.g., whether race is only one factor among many). In the context of Grutter, the U.S. Supreme Court ruled that the Law School’s admissions program bears the hallmarks of a narrowly tailored plan. To be narrowly tailored, a race-​conscious admissions program cannot “insulat[e]‌each category of applicants with certain desired qualifications from competition with all other applicants” … Instead, it may consider race or ethnicity only as a “ ‘plus’ in a particular applicant’s file”; i.e., it must be “flexible enough to consider all pertinent elements of diversity in light of the particular qualifications of each applicant, and to place them on the same footing for consideration, although not necessarily according them the same weight” … It follows that universities cannot establish quotas for members of certain racial or ethnic groups or put them on separate admissions tracks … 40. Moreover, the program is flexible enough to ensure that each applicant is evaluated as an individual and not in a way that makes race or ethnicity the defining feature of the application. (Grutter v. Bollinger, 2003: 322) This decision, in effect, states that diversity, which is a goal of AA, serves as a compelling government interest. And if the programs are narrowly tailored, they can survive legal challenges. The program at the University of Michigan’s law school met the two prongs of the strict scrutiny test. The second Supreme Court decision provides further clarification regarding what constitutes “narrowly tailored.” In Gratz v. Bollinger (2003), the Supreme Court struck down the use of AA in admissions at the University of Michigan’s undergraduate programs

Chapter 6  •  Affirmative Action and the Law  83 in the College of Literature, Sciences, and Art. This program awarded 20 points on a scale of 150 for membership in an underrepresented group, such as African American, Latino, or American Indian. An applicant could be automatically admitted with 100 points. The Court, in a 6–​3 decision, ruled that the program was “not narrowly tailored to achieve the assertedly compelling interest in educational diversity [and] the admissions policy did not provide individualized consideration of each characteristic of a particular applicant” (Gratz v. Bollinger, 2003: 268). In short, the Supreme Court would not support a points system such as the one used by the undergraduate program at the University of Michigan. This points system has erroneously been likened, even by the district court ruling in Gratz, to a “quota” system (see Gratz v. Bollinger, 2003). Parenthetically, as many have argued, the assignment of 20 points for race is no different from awarding points for other “nonacademic” criteria. For example, under the undergraduate program in question at the University of Michigan, points were awarded for a variety of factors including the following: 1. Up to 20 points could be awarded at the Provost’s discretion. 2. Up to five points could be awarded preferentially to children or grandchildren of alumni (known as legacy admissions). 3. Up to five points could be awarded for male students choosing to enroll in the nursing program. 4. Up to ten points could be awarded for residents of Michigan. Ultimately, the awarding of 20 points for race may not necessarily give students of color a “competitive” edge in the admissions process. These two University of Michigan decisions formed a critical basis of law around AA for almost 15 years.1 It is worth noting that over 100 amicus curiae (friend of the court) briefs were filed in support of the University of Michigan’s use of AA, including briefs from former President Gerald Ford, government, several state governments, elected officials, the military, major corporations, leading colleges and universities, civil rights organizations, and academic and research associations. The Bush Administration, however, filed a brief urging the Court to find the University of Michigan’s use of AA unconstitutional. The Grutter decision remained in effect until 2016, when the U.S. Supreme Court ultimately upheld the use of AA in Fisher v. University of Texas.

THE FISHER RULINGS Abigail Fisher, a White applicant to the University of Texas (UT) at Austin, filed suit against the university after she was denied admission in 2008. She claimed that the use of a race-​based admissions policy violated her rights under the Equal Protection Clause of the Fourteenth Amendment (Riccucci, 2017). Admissions at UT campuses are based on several factors. First, under the Top 10 Percent Law, automatic admission is granted to all high school seniors in the top 10 percent of their class to any of the UT campuses. This law was passed in 1997 by the Texas state legislature in an effort to promote diversity in the university student body, because high schools throughout Texas are racially segregated. Around 75 percent of admissions to UT campuses are based on the Ten Percent Law. Students not admitted under the Top 10 Percent Law compete based on two indices: the Academic Index (AI) and the Personal Achievement Index (PAI).

84  Norma M. Riccucci The AI is a formula that combines a student’s high school class rank and standardized test scores to predict potential grade point average in the freshman year. The PAI, developed by UT in an effort to promote diversity in the study body, comprises three scores: one each for two required essays, and one called the “personal achievement score,” which is an evaluation of the applicant’s entire file. The PAI seeks to identify qualified students whose abilities are not reflected in the AI. It includes awards and honors; work experience; demonstrated leadership skills; and involvement in community service or other extracurricular affairs. It can also include “special circumstances” such as the socioeconomic status of a student’s family, languages other than English spoken in the household, and status of the household (e.g., whether it is single-​parent). Each of the three components is assigned a score between 1 and 6. By 2003, in accordance with the Grutter ruling, UT allowed each campus the option to consider race and ethnicity in admissions, providing the review process was individualized and factors other than race and ethnicity were considered. In effect, race could now be considered as one factor of an applicant’s PAI. As stressed by UT, however, an applicant—​even with the highest PAI—​would not be admitted without a sufficiently high AI and well-​written essays. Because Fisher did not qualify for admission under the Top 10 Percent Law, she was considered for admission based on her AI and PAI scores. She was denied admission based on these indices as well; she then claimed that persons of color were admitted with lower scores. The university stated that even if race was not added as a new variable, she still would not have been admitted. Fisher sued, arguing that greater consideration needed to be given to race-​neutral alternatives (aside from the Top 10 Percent Law) and that the Top 10 Percent Law achieved a “critical mass” of students of color, thus making any added advantage of relying on race unwarranted. The lower courts disagreed. The district court granted summary judgment to UT (Fisher v. University of Texas, 2009), and the Fifth Circuit Court, applying the strict-​scrutiny test, affirmed, thus upholding UT’s race-​based admissions policy under the Equal Protection Clause of the Fourteenth Amendment. The appeals court in Fisher v. University of Texas (2011) issued its ruling based on a close reading of Grutter. First, it found that the first prong of the strict scrutiny test had been met: Like the law school in Grutter, UT “has determined, based on its experience and expertise, that a ‘critical mass’ of underrepresented minorities is necessary to further its compelling interest in securing the educational benefits of a diverse student body”. (Fisher, 2011: 230–​231, quoting Grutter at p. 333) In its narrow-​tailoring analysis, it then ruled that the UT program, similar to the Law School in Grutter, was not seeking to achieve racial balance and did not specify any numerical targets or goals. It stated that “UT has never established a specific number, percentage, or range of minority enrollment that would constitute ‘critical mass,’ nor does it award any fixed number of points to minority students in a way that impermissibly values race for its own sake” (Fisher, 2011: 235). The Fifth Circuit also addressed Fisher’s claim that the Top 10 Percent Law produced a critical mass, and therefore the reliance on race in admissions was unnecessary. Here, the court ruled that the Top 10 Percent Law alone does not work to achieve diversity. In particular, while that Law may have increased diversity throughout UT campuses overall,

Chapter 6  •  Affirmative Action and the Law  85 it has isolated persons of color into certain traditionally “minority” programs, a form of educational segregation. The court found that about 25 percent of the undergraduate students in UT’s College of Social Work are Latino, and over 10 percent are African American. In addition, the College of Education has an enrollment of 22.4 percent Latino and over 10 percent African American. Yet, in the College of Business Education, only 14 percent of the students are Latino and only 3.4 percent are African American. Abigail Fisher appealed the decision to the U.S. Supreme Court. In 2013, the Supreme Court issued a ruling in Fisher that did not overturn Grutter, but rather vacated the Fifth Circuit’s decision and remanded the case to the circuit court. There were two parallel points of contention raised by the High Court in Fisher. One relates to the Court’s argument that the appellate court paid undue deference to UT on strict scrutiny, or the means-​to-​ends analysis. The second correlative point relates to the university’s diversity goal of attaining a “critical mass.” The Court, in its opinion delivered by Justice Kennedy, objected to the fact that the university did not clearly define “critical mass,” and hence argued that the means to achieve that end had not been clearly demonstrated. The Court thus admonished the appeals court for deferring to UT. But the Court continued to push the issue of “critical mass,” which the conservative members of the Court opined was subterfuge for racial balancing and the use of “quotas.” It pressed UT for a numerical definition for critical mass, which it did not do in the case of Grutter. Yet, despite the conservative Justices’ preoccupation with critical mass, the Supreme Court in Fisher did not strike down the appellate court ruling. Rather, it sent it back to the Fifth Circuit for further review. On remand, the Fifth Circuit Court of Appeals in Fisher (2014) agreed with its original decision in the case: the AA program at UT met the constitutional demands of strict scrutiny, and the Court thus upheld its use. In an extraordinarily rare move, the High Court agreed to again review the appellate court’s decision in Fisher, and in June 2016, the Court issued a 4–​3 ruling in support of AA.2 The majority opinion, written by Justice Kennedy, now argued that deference should be paid to universities.3 The Court opined that, “Considerable deference is owed to a university in defining … characteristics, like student body diversity, that are central to its identity and educational mission” (Fisher, 2016, online). Moreover, the Fisher Court now seemed to accept the fact that critical mass defies numerical classification. It stated that, “A university is in large part defined by those intangible ‘qualities which are incapable of objective measurement but which make for greatness’ ” (Fisher, 2016, online, quoting Sweatt v. Painter, 1950: 634). But the Court went even further to stress this point. Despite the fact that Kennedy continued to rail against the concept of critical mass in his 2013 opinion, he obligingly stated in his 2016 ruling that: As this Court’s cases have made clear, however, the compelling interest that justifies consideration of race in college admissions is not an interest in enrolling a certain number of minority students. Rather, a university may institute a race-​conscious admissions program as a means of obtaining “the educational benefits that flow from student body diversity” … As this Court has said, enrolling a diverse student body “promotes cross-​racial understanding, helps to break down racial stereotypes, and enables students to better understand persons of different races” … Equally important, “student body diversity promotes learning outcomes, and better prepares students for an increasingly diverse workforce and society.” (Fiher, 2016, online, quoting Fisher, 2013 and Grutter, 2003)

86  Norma M. Riccucci The Court then went on to conclude that the university “cannot be faulted for failing to specify the particular level of minority enrollment at which it believes the educational benefits of diversity will be obtained” (Fisher, 2016, online). The High Court also argued that strict scrutiny continues to apply as the marker for whether AA programs meet constitutional standards. Universities must prove that race as only one factor among many to meet the permissible goals of AA. In addition, the Court finds that UT had sufficient evidence that the Top 10 Law admissions policy was not adequate, by itself, to meet diversity goals. The Court concluded that universities have a “continuing obligation” to engage in “periodic reassessment of the constitutionality, and efficacy, of its admissions program(s)” (Fisher, 2016, online). The decision, in effect, upholds the use of AA in university admissions, thus ending a protracted constitutional battle over its use.

THE SFFA V. HARVARD AND UNC DECISIONS The U.S. Supreme Court is currently considering a consolidated case, Students for Fair Admissions (SFFA) v. Harvard (2020), which will determine whether race-​ based AA programs will be banned in higher education. The Court consolidated the Harvard case with SFFA v. University of North Carolina (2021), which also challenged the use of a race-​ based AA in higher education. The nonprofit organization SFFA was founded and is run by Edward Blum, an anti-​ AA activist who seeks to ban the use of AA in higher education. He was the driving force behind the Fisher case. His organization sued Harvard on the grounds—​undoubtedly political—​that its undergraduate admissions process relies on “quotas,” which he claims discriminate against Asian Americans. More specifically, the SFFA claims that Harvard’s race-​based AA program unlawfully discriminates against Asian-​American applicants in violation of Title VI of the Civil Rights Act of 1964.4 Harvard considers race, as do the Universities of Michigan and Texas discussed above, as only one factor among many in its admission process in order to promote diversity of underrepresented students in higher education. Briefly, the district court ruled that strict scrutiny, the constitutionally based litmus test, was the appropriate standard of review for Harvard’s AA policy. The district court found no evidence of racial balancing or intentional discrimination, opining that Harvard “engages in a highly individualized, holistic review of each applicant’s file, giving serious consideration to all the ways an applicant might contribute to a diverse educational environment” (SFFA v. Harvard, 2019: 193). The district court also found that there was no statistical evidence of bias against Asian-​American applicants. The U.S. Court of Appeals for the First Circuit in Boston upheld in 2020 Harvard’s use of a race-​based AA program. The SFFA also filed suit against the University of North Carolina (UNC) on the grounds that its race-​based AA policy was biased against White and Asian-​American applicants (see Students for Fair Admissions v. University of North Carolina 2021). The district court applied the strict scrutiny test to determine the constitutionality of the AA policy under the Equal Protection Clause of the Fourteenth Amendment and found that it passed constitutional muster. It opined that “UNC has met its burden of demonstrating with clarity that its undergraduate admissions program withstands strict scrutiny and is therefore constitutionally permissible” (SFFA v. Harvard, 2019: 666). The SFFA appealed the lower court ruling in the University of North Carolina case to the Fourth Circuit Court of Appeals but then promptly petitioned the U.S. Supreme

Chapter 6  •  Affirmative Action and the Law  87 Court to hear the case without conventional appellate review by the circuit court. The High Court consolidated the cases and is expected to rule on the case in June of 2022. Given that the composition of the Court today is skewed toward conservatives,5 some are predicting that a majority of the Court will strike down the use of race-​based AA programs.

WHAT DOES THE FUTURE HOLD? For now, the Grutter and Fisher decisions in conjunction with previous U.S. Supreme Court precedents ensure the legality and constitutionality of AA in university admissions when certain conditions are met. But, as noted, the High Court’s forthcoming ruling in the consolidated case SFFA v. Harvard will have consequences for the continued use of AA in higher education. If the Court does strike down the use of AA in higher education in this case, future research should examine its implications for the constitutionality and legality of its use in public employment, as the Court has issued a number of decisions here (see, e.g., the Court’s 1987 decisions in Johnson v. Transportation Agency, Santa Clara County and U.S. v. Paradise; see also Naylor & Rosenbloom, 2004).6 Table 6.1 provides a summary of the Court’s decisions around the use of AA as well as equal employment opportunity (EEO) in education and public and private employment.

Table 6.1 Key U.S. Supreme Court decisions on AA and EEO 1978

Regents of the University of California v. Bakke, 438 U.S. 265 U.S. Supreme Court upholds the principle of AA, but strikes down its operation by the University at California under the Fourteenth Amendment and Title VI of the Civil Rights Act of 1964.

1979

United Steelworkers of America v. Weber, 443 U.S. 193 U.S. Supreme Court upholds legality of voluntarily developed AA plan under Title VII of Civil Rights Act of 1964.

1980

Fullilove v. Klutznick, 448 U.S. 448 U.S. Supreme Court upholds constitutionality (under Fifth and Fourteenth Amendments) of federal set-​aside programs enacted by the U.S. Congress.

1984

Firefighters Local Union and Memphis Fire Department v. Stotts, 467 U.S. 561 U S. Supreme Court upholds, under Title VII of the Civil Rights Act, as amended, the use of a seniority system in layoff decisions, despite its negative impact on AA.

1986

Wygant v. Jackson Bd. of Education, 476 U.S. 267 U.S. Supreme Court strikes down, under the Fourteenth Amendment to the U.S. Constitution, the use of AA in layoff decisions.

1986

Sheet Metal Workers’ International Association v. EEOC, 478 U.S. 421 U.S. Supreme Court upholds, under Title VII and Fifth Amendment to the U.S. Constitution, a court-​ordered AA program to remedy past discrimination by a union and apprenticeship committee against people of color. (Continued)

88  Norma M. Riccucci

Table 6.1 (Continued) 1986

Int’l Assoc. of Firefighters v. City of Cleveland, 478 U.S. 501 U.S. Supreme Court upholds, under Title VII, AA consent decree that provided for the use of race-​conscious relief in promotion decisions.

1987

Johnson v. Transportation Agency, Santa Clara County, 480 U.S. 616 U.S. Supreme Court upholds, under Title VII, voluntarily developed AA program intended to correct gender imbalances in traditionally segregated job categories.

1987

U.S. v. Paradise, 480 U.S. 149 U.S. Supreme Court upholds, under the Fourteenth Amendment to the U.S. Constitution, a court-​ordered AA plan aimed at remedying discrimination against African Americans in hiring and promotion decisions in Alabama Public Safety Department.

1989

City of Richmond v. Croson, 488 U.S. 469 U.S. Supreme Court strikes down the constitutionality, under the Fourteenth Amendment of a local government’s set-​aside program because it could not satisfy the criteria of the strict scrutiny test.

1989

Martin v. Wilks, 490 U.S. 755 U.S. Supreme Court allowed White firefighters to challenge, under Title VII, a consent decree, to which they were not a party, years after it had been approved by a lower court.

1995

Adarand v. Peña, 515 U.S. 200 U.S. Supreme Court rules that the Equal Protection Clause of the Fifth Amendment requires that racial classifications used in federal set-​aside programs must undergo strict scrutiny analysis.

1996

Hopwood v. State of Texas, 518 U.S. 1033 U.S. Supreme Court let stand a ruling by the U.S. Court of Appeals for the Fifth Circuit, which struck down the constitutionality of an AA program at the University of Texas Law School.

1999

Lesage v. Texas, 528 U.S. 18 U.S. Supreme Court throws out a reverse discrimination suit filed under the Equal Protection Clause of the Fourteenth Amendment against the University of Texas’ Department of Education.

2003

Grutter v. Bollinger, 539 U.S. 306 The U.S Supreme Court upheld AA at the University of Michigan’s Law School under the Fourteenth Amendment, arguing that there is a compelling state interest in “racial diversity.” Race was one factor considered among many other factors.

2003

Gratz v. Bollinger, 539 U.S. 244 The U.S. Supreme Court struck down the use of AA in the University of Michigan’s undergraduate program under the Equal Protection Clause of the Fourteenth Amendment and Title VI of the Civil Rights Act. The Court stated that the program was based on a formula or “quota” system, giving extra points for race.

Chapter 6  •  Affirmative Action and the Law  89

Table 6.1 (Continued) 2016

Fisher v. University of Texas at Austin, 579 U.S. 365 The U.S. Supreme Court upheld the use of AA program at the University of Texas at Austin under the Equal Protection Clause of the Fourteenth Amendment. Race was one factor considered among many.

2020

Bostock v. Clayton, 579 U.S. 365, 140 S. Ct. 1731 The U.S. Supreme Court ruled that Title VII of the Civil Rights Act as amended now protects employees based on sexual orientation and gender identity, including trans status.

As can be seen, after Bakke, the U.S. Supreme Court issued a number of rulings upholding the use of AA, under both the U.S. Constitution and Title VII of the Civil Rights Act of 1964 as amended. In 1989, the U.S. Supreme Court issued a number of regressive rulings not only around AA but to EEO precedents as well. However, the Civil Rights Act of 1991 overturned every single negative Court ruling issued in 1989. It is only in the area of layoffs, as seen in the Wygant v. Jackson Bd. of Education (1986) decision, that the Court has not upheld the use of AA. With respect to EEO, it should also be noted that in 2020 the U.S Supreme Court surprisingly issued a ruling in the consolidated case Bostock v. Clayton County that Title VII of the Civil Rights Act as amended now protects employees based on sexual orientation and gender identity, including trans status (see also Chapter 8). Following the Bostock decision, the Department of Education and Health and Human Services (HHS) announced that Title IX’s prohibition on sex discrimination includes discrimination on the basis of sexual orientation and gender identity. Although the Bostock decision does not require AA for LGBTQIA+​persons,7 it does protect them from employment discrimination in the public and private sectors.

Conclusion The U.S. Supreme Court’s ruling in SFFA v. Harvard will have major implications for the continued use of AA in higher education. A coalition of 19 organizations filed an amicus curiae advocating for Harvard and UNC, and the continued use of AA in higher education. The brief states: Student body diversity, and obtaining the benefits that flow from it, are as important today as when they were first acknowledged in Bakke. Yet groups that have historically been underrepresented in higher education … continue to lag behind in several key socioeconomic indicators. There remains, therefore, a pressing need to continue taking concrete steps to support and protect student diversity in higher education to “better prepare students for an increasingly diverse workforce and society.” (Brief of Amici Curiae 2022: 9–​10) The system of persistent racial and ethnic inequalities will continue if Black and Brown persons are denied the opportunity to compete equally for college admissions. The use

90  Norma M. Riccucci of AA when specified conditions are met provides Black and Brown persons with the opportunity to earn a college education, which has major implications for their social and economic security in the workplace and society (Riccucci, 2021b). Without the continued use of AA, racial and ethnic inequalities and inequities will be perpetuated.

Notes 1. Also see Ricci v. DeStefano (2009), which did not involve AA but has implications for the goal of diversity. Here the city of New Haven discarded test scores on exams administered to firefighters for the posts of lieutenant and captain because the exams had an adverse impact on African Americans and Latinos. The U.S. Supreme Court ruled against the city, opining that discarding the test results was illegal under Title VII of the Civil Rights Act of 1964 as amended. 2. At the time of the ruling, there were only eight Justices sitting on the Court. Justice Scalia passed away in February of 2016; Justice Kagan recused herself from the case as she was Solicitor General when the Department of Justice filed an amicus curiae or friend-​of-​the-​court brief in Fisher when the case was before the Fifth Circuit. 3. Justices Ruth Bader Ginsburg, Stephen G. Breyer, and Sonia Sotomayor joined the majority opinion. Justice Thomas filed a dissenting opinion. Justice Alito filed a dissenting opinion, in which Chief Justice Roberts and Justice Thomas joined. 4. Title VI prohibits discrimination on the basis of race, color, and national origin in programs and activities receiving federal financial assistance, which includes colleges and universities. 5. Since 2020, the U.S. Supreme Court again has become more conservative; the six conservative Justices include Neil Gorsuch, Brett Kavanaugh, Amy Coney Barrett (all appointed by President Donald Trump), Clarence Thomas, Samuel Alito, and Chief Justice Roberts. The liberal block includes Justices Sonia Sotomayor, Elena Kagan, and Ketanji Brown Jackson (appointed in 2022 by President Biden to replace Justice Stephen Breyer). 6. It should be noted, however, that several states have banned AA in higher education and/​or public employment. They are California (1996), Washington (1998), Florida (1999), Michigan (2006), Nebraska (2008), Arizona (2010), New Hampshire (2012), Oklahoma (2012), and Idaho (2020). 7. LGBTQIA+​is an abbreviation for lesbian, gay, bisexual, transgender, queer or questioning, intersex, asexual, and others.

References Cornwell, C., & Kellough, J. E. (1994). Women and minorities in federal government agencies: Examining new evidence from panel data. Public Administration Review, 54(3), 265–​270. Kellough, J. E. (2006). Understanding affirmative action: Politics, discrimination, and the search for justice. Georgetown University Press. Naff, K. C. (2001). To look like America: Dismantling barriers for women and minorities in government. Westview Press.

Chapter 6  •  Affirmative Action and the Law  91 Naylor, L. A., & Rosenbloom, D. H. (2004). Adarand, Grutter, and Gratz: Does affirmative action in federal employment matter? Review of Public Personnel Administration, 24(2), 150–​174. Riccucci, N. M. (2009). The pursuit of social equity in the federal government: A road less traveled? Public Administration Review, 69(3), 373–​382. Riccucci, N. M. (2017). Fisher v. University of Texas and the status of affirmative action: Implications for social equity. Review of Public Personnel Administration, 37(1), 23–​39. Riccucci, N. M. (2021a). Managing diversity in public sector workforces. Routledge. Riccucci, N. M. (2021b). Preparing Blacks and Latinx for Workforce 2000: Unfulfilled promises and lost opportunities. Administration & Society, 53(9), 1362–​1389.

Cases Bostock v. Clayton County, 590 U.S. _​_​_​, 140 S. Ct. 1731 (2020). Brief of Amici Curiae. (2022, August 1). In support of SFFA v. Harvard. www.supre​meco​urt. gov/​Docket​PDF/​20/​20-​1199/​232​397/​20220​8011​4333​1765​_​20-​1199%20Br​ief%20of%20Am​ ici%20Cur​iae.pdf. Firefighters Local Union and Memphis Fire Department v. Stotts, 467 U.S. 561 (1984). Fisher v. University of Texas at Austin, 645 F. Supp. 2d 587 (W.D. Tex. 2009). Fisher v. University of Texas at Austin, 631 F.3d 213 (5th Cir. 2011). Fisher v. University of Texas at Austin, 570 US _​_​_​, 133 S. Ct. 2411 (2013). Fisher v. University of Texas at Austin, 758 F.3d 633 (5th Cir. 2014). Fisher v. University of Texas at Austin, 579 U. S. 365 (2016). Gratz v. Bollinger, 122 F. Supp. 2d 811 (2000). Gratz v. Bollinger, 539 U.S. 244 (2003). Grutter v. Bollinger, 539 U.S. 306 (2003). Regents of the University of California v. Bakke, 438 U.S. 265 (1978). Ricci v. DeStefano, 557 U.S. 557 (2009). Sweatt v. Painter, 339 U.S. 629 (1950). Wygant v. Jackson Board of Education, 476 U.S. 267 (1986).

7

HOW FEDERAL COURT DECISIONS ON DISCRIMINATION REFLECT ORGANIZATIONAL JUSTICE VIOLATIONS Ellen V. Rubin

Rules for managing employees in government are designed to provide fair process and non-​discrimination. For example, the federal merit principles in the 1978 Civil Service Reform Act call for “fair and open competition” in hiring and promotion, “fair and equitable treatment in all aspects of personnel management without regard to political affiliation, race, color, religion, national origin, sex,” and that employees should not face retaliation if they blow the whistle on illegal activities. In fact, public employees have additional legal protections thanks to Constitutional protections of due process and equal protection. Beyond these legal principles, organizational justice scholars have been researching perceptions of fairness in the workplace and how these perceptions impact important attitudes and behaviors, and public administration scholars have been using concepts of organizational justice to study personnel management challenges in the public sector. For example, public administration scholars have considered the relationship between justice perceptions and performance (Potipiroon & Faerman, 2016; Mikkelsen, 2018), and justice perceptions and acceptance of performance appraisal systems (Kim & Holzer, 2016). Others have considered whether civil service reforms change public employee perceptions of workplace fairness (Rubin & Weinberg, 2016). A handful of studies have considered how diversity-​management activities impact perceptions of fairness (Hoang, Suh, & Sabharwal, 2022) and how fairness perceptions are related to the filing of grievances and discrimination complaints (Leasher & Miller, 2012; Nesbitt, Nabatchi, & Bingham, 2012; Rubin & Kellough, 2012). Following the lead of the public administration scholars studying the relationship between fairness perceptions and discrimination, this chapter explores perceptions of discrimination resulting from organizational justice violations. Not all situations of unfairness evolve into perceptions of discrimination; however, it is important to understand how fair treatment can help to reduce the likelihood of discrimination. To explore this 92

DOI: 10.4324/9781003403401-7

Chapter 7  •  Federal Court Decisions and Organizational Justice Violations  93 in detail, the chapter will first review the five types of organizational justice: (1) distributive; (2) procedural; (3) informational; (4) interpersonal; and (5) overall or global justice perceptions. Next, the chapter will describe why fair treatment in the workplace is important, how fairness perceptions are formed, and why justice violations can be psychologically damaging. The final section of the chapter uses examples from federal court cases on various forms of discrimination to demonstrate how justice violations are present in discrimination claims. The four cases demonstrate that fairness violations of many types may lead to discrimination, and that relying on rule-​following is not adequate on its own for the creation of a just workplace.

FORMS OF ORGANIZATIONAL JUSTICE Perceptions of fairness in the workplace can take many forms: Are decision-​making rules fair and are they implemented consistently? Are outcomes such as promotions and pay raises fair? Do supervisors share information with employees to help them improve their work? Do supervisors treat their employees with respect? Importantly, these perceptions of fairness contribute to employees’ satisfaction, their willingness to cooperate, their willingness to help their colleagues, and their levels of stress and their desire to look for another job (Colquitt et al., 2013). Scholars refer to these ideas of fairness as organizational justice, and typically study five different types of organizational justice: (1) distributive; (2) procedural; (3) informational; (4) interpersonal; and (5) overall or global justice perceptions (see Table 7.1). Distributive justice generally focuses on whether outcomes of a decision-​making process, such as the promotion and pay examples mentioned above, are viewed as fair. Drawing from equity theory, distributive justice perceptions are developed when someone evaluates both (1) the outcome they have received versus the effort they invested to achieve the outcome, and (2) the degree to which this outcome/​effort ratio was similar for a colleague doing similar work (Adams, 1965). If an individual perceives an imbalance—​that is, their colleague in the same job received a similar pay increase for doing less work or doing work of a lower quality—​the imbalance will result in lower perceptions of distributive justice.

Table 7.1 The five forms of organizational justice Type of Justice

Short Definition

Foundational Sources

Distributive justice Procedural justice

Outcome fairness Fairness of decision-​making rules and how they are implemented Adequacy of explanations provided for decisions Fairness of interpersonal treatment experienced when decisions are explained or processes are described A general, holistic judgment of total fairness in the organization

Adams (1965) Leventhal (1980); Lind & Tyler (1988) Greenberg (1993); Colquitt (2001) Greenberg (1993); Colquitt (2001)

Informational justice Interpersonal justice Overall or global justice

Kim & Leung (2007); Ambrose & Schminke (2009)

94  Ellen V. Rubin Procedural justice developed as an alternative to distributive justice with the realization that people care about both the process of decision-​making and the outcome they receive. Specifically, procedural justice can be defined as the degree to which people view organizational rules and the way those rules are implemented as fair. Perceptions of procedural fairness in the workplace are informed by opportunities to participate in decision-​making (justice scholars call this voice), consistent treatment across individuals, the use of accurate information to make decisions, the absence of bias, the opportunity to correct mistakes, and whether the process reflects underlying ethical values (Leventhal, 1980; Lind & Tyler, 1988). Multiple studies have demonstrated that people can evaluate the fairness of a decision-​making process separately from an outcome they receive. Furthermore, if someone receives a bad outcome from a decision, they will think more highly of the decision-​maker if they at least used a fair process to make the decision (Lind & Tyler, 1988). This is critical in the public sector, where government does not have enough resources to approve every request for funding or assistance. Perceptions of informational and interpersonal justice were added to the organizational justice concept to more precisely account for social interactions that occur during decision-​making, both while the decision is being made and after it is made (Greenberg, 1993). Informational justice represents reactions to explanations provided to justify decisions and explanations provided to make decision-​making processes more transparent and accessible. Specifically, informational justice reactions are informed by the degree to which explanations are thorough, timely, candid, and reasonable (Colquitt, 2001). In comparison, interpersonal justice focuses more on the person communicating the information rather than the information itself: was the person polite while communicating the information and did they treat you with dignity and respect? Occasionally, scholars will not consider informational and interpersonal justice separately, and will instead refer to them jointly as interactional justice. However, multiple studies have found that informational and interpersonal justice perceptions are conceptually distinct and impact different workplace attitudes and behaviors (Colquitt, 2001; Colquitt et al., 2013). Finally, the concept of overall or global justice perceptions emerged as a way to represent employee perceptions of an organization’s justice climate more generally. An employee who perceives lower interpersonal justice from a supervisor with poor people skills, for example, is likely to have lower perceptions of organizational justice overall—​that is, lower fairness of one type is likely to be a drag on perceptions of the climate overall. Overall justice typically assesses a person’s broad justice experience by considering whether they feel they can rely on the organization to be fair (future-​ focused), whether their own experiences overall are fair (self-​focused), and whether the organization treats other employees fairly (other-​focused) (Ambrose & Schminke, 2009). Global justice is seen as a distinct concept in its own right, and has been shown to be an intermediate step between the four more specific justice types and other work attitudes and behaviors (Kim & Leung, 2007; Ambrose, Wo, & Griffith, 2015); global justice perceptions are not simply the sum of the four other justice types.

PERCEIVING DISCRIMINATION AS A JUSTICE VIOLATION Discrimination complaints should be viewed as a behavior resulting from violations of organizational justice, which are perceived as threats to an individual’s personal and social identity. To explore this in more depth, the group engagement model from the

Chapter 7  •  Federal Court Decisions and Organizational Justice Violations  95 justice literature can be instructive because it links fairness perceptions, organizational identification, and a willingness to work collaboratively to achieve organizational goals. The literature on identity, identity violations, and relationship repair provides further insights into why individuals file discrimination complaints. According to the group engagement model, when an individual perceives a group as acting in a fair manner, the individual is willing to identify with the group and act cooperatively to achieve the group’s goals (Tyler & Blader, 2000). The identification with the group forms because a group that operates fairly is perceived as respecting and reinforcing one’s sense of self. Furthermore, a group engaging in a fair process is viewed as having higher status, and individuals prefer to tie their social identity to higher-status groups. Identifying with an organization or team is the key linkage between justice perceptions and organizational engagement and collaboration. As a result, it is important to understand what is meant by identity and identity violations, and the consequences of this. Identity theory posits that there are three layers of identity: personal, social, and material identity (Skitka, 2003). Personal identity is a sense of self that is developed over time, and represents core values and orientations that help to define the individual (Mayer et al., 2009; Skitka, 2003). Social identities are also constructed over time, but consist of the part of each individual that is tied to meaningful associations with one or more groups (Tajfel & Turner, 1979). As a result, social identity is frequently negotiated in a social exchange (Skitka, 2003). While personal and social identities are generally distinct, a degree of overlap occurs when individuals depersonalize themselves to better align with the group (Mayer et al., 2009). These personal and social identities are likely to be most relevant when considering discrimination complaints. A conflict between treatment by the group and an individual’s self-​identity, as it relates to one or more of these identities, can result in an identity violation (Mayer et al., 2009: 143). When individuals derive part of their identity from group membership, “demeaning and disrespectful treatment … will undermine their feelings of favorable self-​esteem and self-​worth. It communicates marginality and exclusion from the important protections that are extended to most other group members” (Tyler & Blader, 2003: 359). In response to an identity violation, such as discrimination, an individual may engage in relationship-​repair efforts that seek to restore trust and mitigate further negative impact resulting from the initial transgression (Dirks, Lewicki, & Zaheer, 2009: 78). Failure to restore the trusting relationship deepens both the trust violation and the threat to one’s identity. It is critical to note that not every perceived fairness violation leads someone to perceive discrimination. Once an individual perceives a fairness violation, they then consider why the violation occurred. Let’s say you were not given a performance-​based pay increase this year, even though you successfully completed a difficult project and your supervisor consistently noted the work was high quality. This perception of low distributive justice will then lead you to think about why you did not get the pay raise. If the organization is facing budget cuts and no one on the project team was granted a pay increase, despite your stellar work you would still think the lack of a pay increase was not fair, but you would probably not perceive the situation as discriminatory. Alternatively, if you are a person of color and you were in charge of the project, but a White subordinate who played a smaller role in the work did receive a pay increase, you might perceive the pay decision as exhibiting both low distributive justice and discrimination. This brief example also highlights the important point that justice perceptions are dependent on the social setting.

96  Ellen V. Rubin

TRANSFORMING PERCEIVED DISCRIMINATION INTO A FORMAL COMPLAINT Perceiving discrimination does not automatically result in someone filing a formal discrimination complaint. Formal complaints are the results of a cognitive process whereby the experience of the offense or injury, and the reaction to informal attempts to resolve the situation, are so egregious that the individual believes the only way to correct the harm is through a formal dispute process. Scholars describe the stages of the transformation process as naming, blaming, claiming, and disputing (Goldman, Paddock, & Cropanzano, 2004; Felstiner, Abel, & Sarat, 2017). The first step, naming, occurs when someone perceives an event or situation to be unfair, inappropriate, or unethical. Importantly, this is subjective and unstable: people experiencing the same event may have different perceptions, and an event initially viewed as unremarkable could later be reinterpreted as harmful or offensive (Felstiner, Abel, & Sarat, 2017). For example, consider the U.S. Supreme Court case of Ledbetter v. Goodyear Tire & Rubber Co. (2007). Lilly Ledbetter worked in a Goodyear plant in Alabama and was subjected to demeaning comments from her supervisor. She suspected she had been paid less compared with her male colleagues, but did not know their salaries because there were rules against discussing pay in the workplace. Ledbetter received an anonymous tip with salary information on three of her male peers that confirmed the pay differences (National Women’s Law Center, 2007). With this information, Ledbetter was able to name her experience as discriminatory. The next steps, blaming, claiming, and disputing, occur when the offense or harm can be attributed to a specific actor or event. If no one person or organization can be blamed, then there is nowhere to go to resolve the dispute. Conversely, if the harm is viewed as the result of someone’s actions, blame is assigned. Claiming occurs when the individual discusses the harmful situation with the individual they blame. Felstiner, Abel, and Sarat (2017) note that the response of the offender is critical to whether the situation evolves into a formal complaint. Specifically, if the offender listens carefully, responds with care and attention, and provides a good justification for the behavior—​ that is, responds with interpersonal justice—​then respect may be restored because the event is viewed as unfortunate rather than harmful (Goldman, Paddock, & Cropanzano, 2004). Alternatively, if the claim is rejected by the person who caused the perceived harm, or no reasonable justification is given, the blaming becomes a dispute in the form of a formal discrimination complaint.

EXAMPLES OF JUSTICE VIOLATIONS IN KEY COURT CASES ON DISCRIMINATION The remainder of this chapter uses key cases from the U.S. federal courts on different forms of discrimination to demonstrate how different types of justice violations led to discrimination complaints. While existing scholarly research demonstrates, for example, how low perceptions of procedural justice result in the filing of discrimination complaints (Leasher & Miller, 2012; Rubin & Kellough, 2012), reviewing specific court cases allows us to examine stories of real people seeking redress for harms they actually experienced. These cases demonstrate that having good rules, and implementing rules consistently, are not enough on their own to foster a workplace with a strong justice climate (Rubin & Kellough, 2012). The four court cases, the forms of discrimination, and the organizational justice examples are summarized in Table 7.2.

Chapter 7  •  Federal Court Decisions and Organizational Justice Violations  97

Table 7.2 Discrimination court cases and forms of organizational justice Case

Form of Discrimination

Organizational Justice Example

Griggs v. Duke Power Company (1971)

Race-​based discrimination in hiring

Discriminatory hiring rule as a violation of procedural justice; new hiring rule that appears neutral as a violation of distributive justice because of its disparate impact; requiring justification of hiring requirement as job related as informational justice.

Rogers v. the U.S. Equal Employment Opportunity Commission (1971)

National-​origin based harassment in the form of a hostile workplace

Violation of global justice when unfair treatment directed toward one group can harm another group in the workplace.

EEOC v. Abercrombie and Fitch (2015)

Failure to accommodate religious belief in hiring

Failure of Samantha Elauf to formally request a religious accommodation, a procedural violation, did not justify her not being hired.

Faragher v. City of Boca Raton (1998)

Sex-​based harassment in the form of a hostile workplace

Violation of interpersonal justice when employees are subjected to frequent sexual comments and unwelcome touching from supervisors.

The seminal U.S. Supreme Court case of Griggs v. Duke Power Company (1971) is based on a claim of race-​based discrimination in hiring. Willie Griggs and his colleagues worked at the Dan River Steam Station for Duke Power Company in North Carolina. Prior to the passage of the 1964 Civil Rights Act, Griggs and other African American employees were only allowed to work in the Labor unit of the station, where the wages were lower than in any other part of the station. After passage of the Civil Rights Act, Duke revised its hiring rules to remove explicit race-​based requirements, but maintained a requirement for a high school diploma to be eligible to transfer to other units in the station. While the high school requirement seemed racially neutral on its face, Griggs and colleagues argued that these requirements: (1) had the effect of discriminating against African Americans; and (2) did not actually predict performance on the job. Griggs and his other Labor coworkers did not have high school diplomas due to discrimination in access to schools at the time. Furthermore, White station employees without high school diplomas performed their jobs in a satisfactory manner, according to their performance ratings and promotion histories. In the Griggs decision, the U.S. Supreme Court decided that a hiring policy could be discriminatory in two different ways: (1) if the policy explicitly aims to discriminate, which the court termed discriminatory intent or disparate treatment; or (2) if the effect of the policy is to exclude or disadvantage a protected group, which the court termed

98  Ellen V. Rubin disparate impact. The Court tied this decision to Title VII of the 1964 Civil Rights Act and required employers to document that any requirements for the job were job related—​that is, necessary for satisfactory performance of job duties. Under the surface of the Griggs case are multiple examples of organizational justice. For example, the initial rule barring African Americans from working outside the Labor Department of the station is a clear violation of procedural justice because the rule itself is discriminatory. The new hiring rule requiring a high school diploma initially seems like an improvement to procedural justice because it appears to lack bias and is applied to everyone (Leventhal, 1980). However, the outcome of this seemingly neutral rule is a violation of distributive justice because the rule resulted in none of the African Americans working in the Labor Department qualifying to move to other departments for higher pay. Altogether, procedural justice was not enough to avoid a claim of a distributive justice violation. Requiring employers to justify their hiring standards as necessary for job performance is requiring a form of informational justice. The Court assumed this additional requirement would reduce the likelihood of discriminatory personnel policy outcomes. The case of Rogers v. the U.S. Equal Employment Opportunity Commission (1971) is less well known than Griggs, but it was another seminal decision that that ultimately informed later cases on sexual harassment. In this case, Josephine Chavez filed a discrimination complaint with the U.S. Equal Employment Opportunity Commission (EEOC) against her employer, an optometrist named Rogers who operated a business called Texas State Optical. Rogers segregated his patients in the waiting room of the business, separating Hispanic clients from other clients. Chavez argued that this treatment of patients amounted to national origin-​based harassment against her and other employees by creating a hostile workplace, even though she personally was not limited to only caring for Hispanic patients. The Fifth Circuit Court of Appeals agreed with Chavez that the practice of segregating patients created a hostile work environment that made Chavez feel disrespected and degraded. The Court further ruled that this violation on its own was enough to constitute discrimination; she did not need to suffer any other disparate treatment such as lower pay because of her national origin to suffer from illegal discrimination. This is the first case where the courts identified the creation of a hostile workplace as a harm resulting from discrimination. The Rogers decision cited Griggs, noting that the effect of the segregation of patients was harmful to Chavez, indicating a disparate impact, even though none of the personnel policies of the business was explicitly discriminatory towards employees. In effect, the Rogers ruling noted that discrimination was not limited to hiring and firing and other formal personnel decisions, but could also arise from the creation and perpetuation of a demeaning work environment. To return to our forms of organizational justice, the Rogers case represents a violation of global justice. Justice scholars argue that our perceptions of justice can be influenced by treatment delivered to others in addition to treatment we experience personally (Skarlicki & Kulik, 2004). When we see others being treated unfairly, we view this as an ethical or moral violation. As noted above, the key components of global justice consider whether the organization treats you fairly and whether you believe the organization treats others fairly (Ambrose & Schminke, 2009). Chavez viewed the treatment of the optometrist’s patients as unethical–​as a global justice violation–​and this represented a devaluing of her own identity as a person who was Hispanic. EEOC v. Abercrombie and Fitch (2015) evaluated a claim of religious discrimination in hiring. Abercrombie and Fitch, a clothing store, had a policy regulating what

Chapter 7  •  Federal Court Decisions and Organizational Justice Violations  99 employees wore to work and how they presented themselves in the store, which the company called its “Look Policy.” The policy included rules against wearing black clothes and hats, but hats were not further defined. The policy noted that if a job applicant needed an accommodation to the “Look Policy,” they should submit a request to the Human Resources Department. Samantha Elauf, a practicing Muslim who wears a headscarf, applied for a job with Abercrombie. At the end of the interview, the store manager rated Elauf as qualified for the position but sought guidance on whether the headscarf would violate the store policy. Elauf herself did not contact Human Resources to discuss an accommodation to the policy. The store manager eventually contacted a district manager for guidance, who indicated the headscarf and all other head coverings would violate the store policy. The district manager directed the store manager not to hire Elauf. The U.S. Supreme Court ruled that the failure to hire Elauf because of her headscarf amounted to religion-​based discrimination. While the policy against hats appeared neutral, the decision to not hire Elauf was based on assumptions about her religious beliefs. Abercrombie tried to argue that the decision to not hire her was appropriate since Elauf had not followed the process to formally request religious accommodation to the policy. Essentially Abercrombie was not formally notified that the head covering was linked to religious belief, and therefore it could not be guilty of religious discrimination when it was not aware of those beliefs. The Court again rested its decision on Title VII of the Civil Rights Act, noting that an applicant for any job only need to demonstrate that “the need for accommodation was a motivating factor in the employer’s decision” (EEOC v. Abercrombie and Fitch, 2015: 3). Elauf would have been hired otherwise, but was denied the job “because of” assumptions about her religion (EEOC v. Abercrombie and Fitch, 2015: 4). Abercrombie rested its argument on procedural justice grounds: it had not been officially notified by Elauf that religious accommodation was needed. Since she did not follow the rule and they did not have confirmation of her beliefs, the violation of the hat policy was a neutral, adequate, and non-​discriminatory reason to not hire her. In fact, the U.S. Court of Appeals for the Tenth Circuit agreed with Abercrombie’s argument. Contrary to this, the Supreme Court ruled that official notice of religious belief was not needed: failure to follow the rule on requesting accommodation was not a good enough excuse for not hiring someone who was otherwise qualified. Furthermore, the Supreme Court noted that employers are required to provide reasonable accommodation even in relation to policies that are otherwise neutral. Interestingly, it is not clear from the court decisions whether Elauf was ever informed of the opportunity to request accommodation to the “Look Policy,” which would be an example of informational justice. One final case demonstrates the ways in which interpersonal justice violations can be present in discrimination claims. In Faragher v. City of Boca Raton (1998), the legal question rested on whether an employee could sue their employer when a supervisor created a hostile workplace. The situation that led to the lawsuit demonstrates the potential consequences of interpersonal justice violations. Beth Ann Faragher worked as a summer ocean lifeguard for the Parks and Recreations Department of Boca Raton, FL for a five-​year period. While she was employed with the city, Faragher claimed she and other female lifeguards were subjected to repeated and unwelcome offensive sexual comments and uninvited touching from two supervisors. For example, one supervisor “often touched her shoulders or waist, patted her thigh, and slapped her on the rear end” (Biskupic, 1998), and often made crude remarks about women more generally. A third

100  Ellen V. Rubin supervisor knew of the unwelcome treatment but did nothing to report the problems or correct the behavior. Faragher argued that this created an abusive, hostile workplace, and thus violated Title VII. In its Faragher ruling, the U.S. Supreme Court noted the District Court found that the unwelcome treatment by the two supervisors was pervasive and led to the creation of a hostile workplace that discriminated against the female lifeguards, and cited Rogers. On the legal question of whether the city could be held liable for the conduct of the supervisors, the Court ruled, that the city was liable because the two supervisors “were granted virtually unchecked authority over their subordinates … the city had entirely failed to disseminate its sexual harassment policy among beach employees and that its officers made no attempt to keep track of conduct of supervisors” (Faragher v. City of Boca Raton, 1998: 4). The city was liable even though Faragher was rehired for multiple summers and did not suffer other formal, negative personnel decisions. As noted earlier, the criteria for interpersonal justice focus on the social interaction between individuals, including whether someone is treated with respect and dignity, and whether the supervisor demonstrates that they care about the welfare of their employees. The repeated, unwelcome demeaning treatment by the lifeguard supervisors was clearly a violation. Such behavior marginalized Faragher and other female lifeguards. Interactional justice is not only important for treating your colleagues with respect. When employees perceive that they are treated with interactional justice, they are more willing to accept unfavorable outcomes (Greenberg, 2009).

Conclusion Court cases on discrimination represent both legal violations and violations of perceived organizational justice. The five forms of organizational justice remind us that having fair rules and implementing those rules consistently is necessary but not sufficient for creating a workplace culture that employees perceive as fair (Rubin & Kellough, 2012). The way we treat each other, how we share information, and decision outcomes also contribute to perceptions of fairness in the workplace. When an agency has a culture of fairness, its employees are likely to report higher levels of trust in supervisors and colleagues, be more willing to offer extra assistance to colleagues and supervisors, and be prepared to exhibit higher levels of performance and organizational commitment (Colquitt et al., 2013). Justice violations are seen as a threat to a person’s identity. When these threats are not resolved, individuals are likely to reduce their cooperation and overall work effort. Put another way, unfair treatment has the potential to decrease performance in the workplace. As demonstrated in Faragher, the city lost an experienced employee when it allowed a hostile workplace to develop. In Rogers, an effective employee was demoralized by the unfair treatment meted out towards others. In Abercrombie, an otherwise qualified applicant was not hired because of assumptions that her “look” would negatively impact the image of the brand. Treating each other fairly may seem deceptively simple. Many benefits can be realized from this goal, including fewer perceptions of discrimination and discrimination complaints. However agencies should not just assume fairness will prevail; it takes deliberate effort and attention. One strategy organizations can pursue is to include issues of fairness in their supervisory training. As summarized in Greenberg (2009), training supervisors on giving effective performance feedback, allowing employees to participate

Chapter 7  •  Federal Court Decisions and Organizational Justice Violations  101 in decision-​making, and responding constructively to employee stress can all lead to increases in fairness perceptions in the workplace. While employees and managers may be skeptical about another training on diversity, investments in fostering a fairer workplace can provide multiple benefits, including reducing discrimination.

References Adams, J. S. (1965). Inequity in social exchange. In Advances in experimental social psychology, vol. 2. Academic Press, pp. 267–​299. Ambrose, M. L., & Schminke, M. (2009). The role of overall justice judgments in organizational justice research: A test of mediation. Journal of Applied Psychology, 94(2), 491–​500. Ambrose, M. L., Wo, D. X. H, & Griffith, M. D. (2015). Overall justice: Past, present, and future. In R. Cropanzano, & M. Ambrose (Eds.), The Oxford handbook of justice in the workplace. Oxford University Press, pp. 109–​136. Biskupic, J. (1998, February 8). Four Supreme Court cases address parameters of sexual harassment. The Washington Post, p. A06. Colquitt, J. A. (2001). On the dimensionality of organizational justice: A construct validation of a measure. Journal of Applied Psychology, 86(3), 386–​400. Colquitt, J. A., Scott, B. A., Rodell, J. B., Long, D. M., Zapata, C. P., Conlon, D. E., et al. (2013). Justice at the millennium, a decade later: A meta-​analytic test of social exchange and affect-​ based perspectives. Journal of Applied Psychology, 98(2), 199–​236. Dirks, K. T., Lewicki, R. J., & Zaheer, A. (2009). Repairing relationships within and between organizations: Building a conceptual foundation. The Academy of Management Review, 34(1), 68–​84. Felstiner, W. L., Abel, R. L., & Sarat, A. (2017). The emergence and transformation of disputes: Naming, blaming, claiming … Law and Society Review, 15(3/​4), 631–​654. Goldman, B. M., Paddock, E. L., & Cropanzano, R. (2004). A transformational model of legal-​ claiming. Journal of Managerial Issues, 16, 417–​441. Greenberg, J. (1993). The social side of fairness: Interpersonal and informational classes of organizational justice. In R. Cropanzano (Ed.), Justice in the workplace: Approaching fairness in human resource management. Lawrence Erlbaum, pp.79–103. Greenberg, J. (2009). Promote procedural and interactional justice to enhance individual and organizational outcomes. In E. Locke (Ed.), Handbook of principles of organizational behavior, 2nd ed. Wiley, pp. 255–​271. Hoang, T., Suh, J., & Sabharwal, M. (2022). Beyond a numbers game? Impact of diversity and inclusion on the perception of organizational justice. Public Administration Review, 82(3), 537–​555. Kim, T., & Holzer, M. (2016). Public employees and performance appraisal: A study of antecedents to employees’ perception of the process. Review of Public Personnel Administration, 36(1), 31–​56. Kim, T. Y., & Leung, K. (2007). Forming and reacting to overall fairness: A cross-​cultural comparison. Organizational Behavior and Human Decision Processes, 104(1), 83–​95. Leasher, M. K., & Miller, C. E. (2012). Discrimination across the sectors: A comparison of discrimination trends in private and public organizations. Public Personnel Management, 41(2), 281–​326. Leventhal, G. (1980). What should be done with equity theory? New approaches to the study of fairness in social relationships. In K. J. Gergen, M. S. Greenberg, & R. H. Willis (Eds.), Social exchange: Advances in theory and research. Plenum Press, pp. 27–55. Lind, E. A., & Tyler, T. R. (1988). The social psychology of procedural justice. Springer.

102  Ellen V. Rubin Mayer, D. M., Greenbaum, R. L., Kuenzi, M., & Shteynberg, G. (2009). When do fair procedures not matter? A test of the identity violation effect. Journal of Applied Psychology, 94(1), 142–​61. Mikkelsen, M. F. (2018). Do managers face a performance trade-​off? Correlations between production and process performance. International Public Management Journal, 21(1), 53–​73. National Women’s Law Center (2007). Ledbetter v. Goodyear Tire & Rubber Co.: The Supreme Court limitation on pay discrimination claims and the legislative fix. https://​nwlc.org/​wp-​ cont​ent/​uplo​ads/​2015/​08/​Broad_​Ledb​ette​r_​Fa​ct_​S​heet​_​111​008.pdf Nesbit, R., Nabatchi, T., & Bingham, L. B. (2012). Employees, supervisors, and workplace mediation: Experiences of justice and settlement. Review of Public Personnel Administration, 32(3), 260–​287. Potipiroon, W., & Faerman, S. (2016). What difference do ethical leaders make? Exploring the mediating role of interpersonal justice and the moderating role of public service motivation. International Public Management Journal, 19(2), 171–​207. Rubin, E. V., & Kellough, J. E. (2012). Does civil service reform affect behavior? Linking alternative personnel systems, perceptions of procedural justice, and complaints. Journal of Public Administration Research and Theory, 22(1), 121–​141. Rubin, E. V., & Weinberg, S. E. (2016). Does changing the rules really matter? Assessing procedural justice perceptions under civil service reform. Journal of Public Administration Research and Theory, 26(1), 129–​141. Skarlicki, D. P., & Kulik, C. T. (2004). Third-​party reactions to employee (mis) treatment: A justice perspective. Research in Organizational Behavior, 26, 183–​229. Skitka, L. J. (2003). Of different minds: An accessible identity model of justice reasoning. Personality and Social Psychology Review, 7(4), 286–​297. Tajfel, H., & Turner, J.C. (1979). An integrative theory of intergroup conflict. In W. G. Austin, & S. Worchel (Eds.), The social psychology of intergroup relations. Brooks-​Cole, pp. 33–​47. Tyler, T., & Blader, S. (2003). The group engagement model: Procedural justice, social identity, and cooperative behavior. Personality and Social Psychology Review, 7, 349–​61.

Cases and Legislation Civil Service Reform Act (1978). P.L. 95-​454. EEOC v. Abercrombie and Fitch (2015). 575 U.S. Faragher v. City of Boca Raton (1998). 524 U.S. 775. Griggs v. Duke Power Co. (1971). 401 U.S. 424. Ledbetter v. Goodyear Tire & Rubber Co. (2007). 550 U.S. 618. Rogers v. the U.S. Equal Employment Opportunity Commission (1971). 454 F. 2d 234 and cert. denied, 406 U.S. 957 (1972).

8

UNDERSTANDING AND IMPROVING THE WORK LIVES OF LGBTQ PUBLIC EMPLOYEES Roddrick Colvin

Sexual orientation, and gender identity and expression, remain precarious and contentious areas of debate in the United States. For example, in October 2022, the U.S. District Court for the Northern District of Texas concluded that the U.S. Equal Employment Opportunity Commission (EEOC) misapplied the U.S. Supreme Court’s ruling in Bostock v. Clayton County (2020) in its June 2021 technical assistance document on LGBTQ workplace discrimination protections. The EEOC’s guidance expanded the legal definition of sex discrimination to include sexual orientation and gender identity in employment situations. It stated that workers have the right to use a bathroom that corresponds to their gender identity and be free of harassment, including intentional and repeated use of the wrong pronouns. This court ruling rejected the idea that protections based on sex included transgender and nonbinary individuals. However, in December of the same year, the U.S. Congress passed, and the President signed, the Respect for Marriage Act into law. This law repeals the 1996 Defense of Marriage Act (DOMA), which defined marriage as the union between a man and a woman and denied federal benefits to same-​ sex couples. The new law prohibits federal and state governments from denying the validity of a lawfully performed union based on sex, race, or ethnicity. These contradictions are even more pronounced at the state and local levels. For example, while California enacted legislation to extend support for transgender youth and their families as they seek gender-​affirming care within the state (SB107), Florida adopted its now famous “Don’t Say Gay” law (HB1557), which prohibits school personnel from “affirming” a student’s gender identity and/​or preferred pronouns if they differ from the student’s birth certificate. Within this broad climate, we can explore the state of LGBTQ employees in public service. Furthermore, we can explore diversity, equity, and inclusion efforts designed to help to create a safe and welcoming environment for LGBTQ individuals. In this chapter, we examine what is known about the experience of queer individuals working in public service.1 LGBTQ public servants have a history of being both discriminated against in public services and pushing society forward. For example, in the United States, the Lavender Scare, between 1940 and 1965, led to the investigation—​and often firing—​of DOI: 10.4324/9781003403401-8

103

104  Roddrick Colvin many federal employees suspected of being “homosexuals.” The basic premise was that gay men and lesbians were morally compromised, which made them more susceptible to corruption, including blackmail. As a result, federal agencies erected an intricate and effective system of regulations, tactics, and personnel to uncover queer individuals.2 This included using law enforcement personnel to raid bars that catered to gay and lesbian individuals (Robinson, 2020). During this same period, some of the first national gay and lesbian nonprofit organizations were created in the United States to support men (The Mattachine Society) and women (Daughters of Bilitis). A history of discrimination, harassment, being discredited, and a current political environment where LGBTQ individuals are targeted and bullied can affect how LGBTQ individuals interact with public service (Riccucci & Gossett, 1996). As public service renews its commitment to social equity, including better service provision to and for LGBTQ individuals and communities, it is important to ask about the experiences of LGBTQ individuals who work in public service. Given the social, historical, and political context of LGBTQ individuals in the United States, it is difficult to imagine diversity, equity, and inclusion efforts without paying substantive attention to sexual orientation, and gender identity and expression. Despite public administration’s years of commitment to social equity, very little research has been devoted to LGBTQ public employees. As Larson (2022) notes, sexual orientation, and gender identity and expression, have been the least examined areas within equity research. Larson (2022: 145) writes that, “despite more than 70 years of lesbian, gay, bisexual, transgender, and queer (LGBTQ+​) policy development, adoption, and implementation, focus on queer policies, milestones, and movements remain rare in the top public administration journals.” In fact, since 1996, there has been an average of only one article per year published that focused on LGBTQ public employees (Colvin & Meyer, 2022). Although the United States and many other countries have made symbolic and material restitution for their treatment of LGBTQ public servants in the past, many gains are tenuous and are currently under threat. By reviewing the historical and current research on LGBTQ public servants, we can highlight important themes of concern in the literature, identify patterns in research practices and approaches, and—​ most importantly—​make HR-​related recommendations to ensure that LGBTQ individuals can participate fully in public service.

ASSESSING THE CURRENT STATE OF DEI FOR LGBTQ PUBLIC SERVANTS This chapter analyzes and contextualizes the literature on LGBTQ individuals in public service. By examining the “who, what, when, and where” articles published to date about LGBTQ public servants, we can identify patterns and trends in the research and point to gaps. Such gaps are helpful as they often point to research opportunities or highlight intractable problems within the field of research and blind spots in practice. Understanding the research context has real-​world implications for public administration and LGBTQ public servants. By creating a typography of the research, we are also identifying where resources should be directed to increase the DEI of queer individuals in public service. DEI stands for diversity, equity, and inclusion. As a discipline, DEI is any policy or practice designed to make people of various backgrounds feel welcome and ensure

Chapter 8  •  Improving the Work Lives of LGBTQ Public Employees  105 they have support to perform to the fullest of their abilities in the workplace (Heinz, 2022). Diversity refers to differences within a given setting—​in this case, the workplace. The difference may include religion, education, race, ethnicity, gender, gender identity, sexual orientation, age, and socioeconomic background. Such protections based on these differences are frequently codified in policy and law. Equity ensures that processes and programs are impartial and fair, and provide equal possible outcomes for every individual. Finally, inclusion ensures that people feel a sense of belonging at work and that their voices and contributions are valued.

METHODOLOGY FOR EXAMINING RESEARCH ON LGBTQ PUBLIC SERVANTS The idea of a systematic quantitative literature review (SQLR) has been promoted (Pickering & Byrne, 2014; Pickering et al., 2015) and recently applied in several studies, including public policy and administration research (Laskey, Bates, & Taylor, 2019; Hassett, Kim, & Seo, 2020). This study utilized a systematic review approach and followed the Preferred Reporting Items for Systematic Reviews and Meta-​Analyses (PRISMA) review guidelines. The basic philosophy and procedures of SQLR are almost the same as the “traditional” systematic review, but it differs in terms of what types of research are included (Pickering & Byrne, 2014). While the traditional systematic review generally focuses on quantitative methods, SQLR can also consist of qualitative studies. This is because the ultimate goal of SQLR is not to provide “evidence-​based” practices by using an effect size with sophisticated statistical techniques; instead, it aims to offer “knowledge about ‘what we know’ as well as ‘what we do not know’ by identifying research trends and gaps” (Pickering et al., 2015: 1761). In other words, the focus of SQLR is not on the outcomes of extant studies, such as the statistical power, but their contents, such as the methodology employed. It aims to offer a numerical understanding of these aspects (Weisburd et al., 2017; PRISMA, 2020). SQLR aims to offer a numerical understanding of these aspects, primarily using publication-​counting methods (Korytkowski & Kulczycki, 2019) to conduct univariate analyses of frequency (Pickering & Byrne, 2014; Pickering et al., 2015). While reducing the statistical rigor of the method, this approach expands the allowable variation in study methods and other parameters, including the inclusion of qualitative work, allowing for a complete analysis of an entire body of literature. Thus, it is quite suitable for a field of study (e.g., LGBTQ public servants) with few published peer-​reviewed studies (n =​26). Since our purpose in this chapter is to provide a complete and systemic picture of the state of research on diversity, equity, and inclusion of LGBTQ public servants, we consider SQLR an appropriate methodology (see Appendix A).

Inclusion and Exclusion Criteria Since we were interested in finding the most relevant research on this topic, we included articles from peer-​reviewed journals. While book chapters, white papers, graduate theses, dissertations, and other works contribute to the discussion of DEI in public administration, we use peer-​reviewed articles as a proxy for research quality (Pratt, 2010). Additionally, restricting our intended population to peer-​reviewed journals meant that academic search engines and journal databases would come closer to capturing the entire universe of available literature. In contrast, paywalls complicated the inclusion

106  Roddrick Colvin of some publication types (e.g., books) and others that were not housed in centralized systems (e.g., “gray literature”). First, we sorted out articles that appeared in medical, psychological, and law journals among the peer-​ reviewed sources. While medical, mental health, and legal frameworks are essential, they are beyond the scope of this project. Second, the articles had to be original research on LGBTQ persons in public service, including the nonprofit sector. In this case, we were interested in sources that highlight the lived experiences of the work lives of LGBTQ public servants. Finally, we considered both qualitative and quantitative studies.

Search Strategies The current systematic review was based primarily on the Scopus database. Scopus is the largest abstract and citation database of peer-​reviewed literature: scientific journals, books, and conference proceedings (Scopus, 2022). It includes sources from multiple databases and platforms, and often has the most available research, including pre-​ publication citations. In addition to Scopus, we over-​sampled the top nonprofit and public administration journals in the field: Nonprofit and Voluntary Sector Quarterly (NVSQ) and Administrative Science Quarterly (ASQ), respectively. Utilizing the selected sources, the combination of the following search terms were used: (homosexual, gay, lesbian, sexual minorities, transgender, LGBTQ, queer, sexual, and SOGIE) AND (nonprofit employment, nonprofit employee or public employment, public employee) AND (diversity, equity, inclusion, DEI). Beyond these search terms, we also checked the references of seminal articles in the field. The next stage consisted of carefully reviewing the titles of all the articles. The same procedure was then utilized to move relevant articles from the abstract review to the body review stage. Lastly, the article content was examined for relevance (Weisburd, Farrington, & Gill, 2017).

RESULTS The systematic review process produced 26 studies that met the inclusion criteria. Each of the studies met all aspects of the inclusion criteria. Figure 8.1 is a review process flow chart describing how many studies were selected and eliminated at each stage. As seen in Figure 8.1, the initial return from all combined database searches with all keywords used was 1,477 titles. It was discovered that 943 titles were book chapters, and 309 were duplications and were removed from the sample. Of the remaining 226 articles, 127 were excluded based on the title or the journal type not meeting the criteria. Of the remaining 98 articles, 54 were removed based on reviews of the abstracts. The remaining 44 articles were subjected to total article reviews. After full-​text reviews, it was determined that 18 did not meet the inclusion criteria. Once the final removal was completed, 26 remaining studies met all criteria.

ABOUT THE STUDIES ON LGBTQ PUBLIC SERVANTS Sources of Data Researchers have used several methodological approaches in terms of the research designs. Legal analysis, qualitative data collection (interviews, surveys, and focus groups), and quantitative analysis were the three most common approaches. Of the three, quantitative

Chapter 8  •  Improving the Work Lives of LGBTQ Public Employees  107 1,477

226

98

44

26

Titles 943

Book chapters removed

309

Duplicates removed

127

Excluded based on title and journal type

54

Excluded based on abstract description

18

Excluded based on article content

Title Review

Abstract Review

Article Review

Articles met inclusion criteria

FIGURE 8.1   Electronic database search results

analysis was the most common, with almost half (46.2 percent) of the studies using this approach. At first glance, quantitative approaches would not seem appropriate given the difficulty in identifying large numbers of LGBTQ individuals who (for the most part) are invisible minorities. Three datasets have contributed to the quantitative data analysis of LGBTQ public servants: the U.S. Census (including the American Community Survey), the U.S. Office of Personnel Management Federal Employee Viewpoint Survey (OPM FEVS), and the General Social Survey (GSS). First, research on LGBTQ public servants emerged in conjunction with the 1990 U.S. Census, which added an “unmarried partner” category to the “relationship to householder” question to capture the increasing number of couples living together without being married. This created a record of same-​sex couples for the first time in U.S. history (LGBTQ National Taskforce, n.d.). The data collected did not explicitly collect information about the lives of LGBTQ individuals and households. Instead, it created records where couples who were of the same sex could be identified. Unfortunately, in publicly available data files, the U.S. Census Bureau recoded the gender of couples that indicated they were same-​sex. They treated these entries as if they were errors–​recoding the gender of one partner so that the couple showed up in data files as a different-​sex couple. At the time, the Bureau defended this action as necessary because they could not quantify the number of these entries that were erroneous entries, despite being aware of the public education campaign that encouraged gay and lesbian couples to identify themselves in the Census (LGBTQ National Taskforce, n.d.). Although not beneficial from a research perspective, this initial effort in the 1990 Census galvanized researchers, scholars, advocates, and activists to push the U.S. Census Bureau for questions that explicitly asked about sexual orientation and to not recode “unmarried” same-​sex couples as errors. The Census agreed to the latter but rejected the former. Same-​sex unmarried

108  Roddrick Colvin couples were counted in the 2000 U.S. Census. Although not perfect, this provided large datasets of LGBTQ-​identified household information for analysis. From a public service research perspective, the Office of Personnel Management’s decision to include questions about federal employees’ sexual orientation has dramatically affected the research direction. The Office of Personnel Management Federal Employee Viewpoint Survey (OPM FEVS) is an organizational climate survey that assesses how federal employees experience the policies, practices, and procedures of their agency and its leadership. The Office of Personnel Management Federal Employee Viewpoint Survey was first administered in 2002 and then again in 2004, 2006, and 2008. The Federal Employee Viewpoint Survey (FEVS) in 2010 was revised to focus more on actionable items (US Merit Systems Protection Board, 2014). Since 2010, the OPM FEVS has been administered annually. OPM first started asking about sexual orientation and gender identity in 2012, resulting in large-​scale datasets to examine lesbian, gay, bisexual, and transgender employee perceptions of the federal workplace for the first time. The 2012 results (with a 46.1 percent response rate) showed that about 87 percent of public servants identified as straight, 2.2 percent as gay, lesbian, bisexual, or transgender, and 10.8 percent preferred not to say (Buble, 2021). With a workforce of almost two million employees, the Federal Employee Viewpoint Survey is the central dataset for understanding the work lives of LGBTQ public servants in the United States. At its 20th anniversary (2022), the survey captured data from 3 percent, or 12,659, LGBTQ survey respondents (OPM, 2022). While the first two datasets are census-​based, the third dataset is a representative random sample of the United States. The General Social Survey (GSS), conducted by the National Opinion Research Center at the University of Chicago, has monitored social and demographic changes in the United States since 1972. The 2008 GSS marked the first time that survey participants were explicitly asked about their sexual orientation (prior surveys had only asked about same-sex sexual behavior). In 2018, ten years later, the GSS began asking some respondents for their sex assigned at birth and current gender identity (Lagos & Compton, 2021) . Between 0.44 percent and 0.93 percent of the respondents who were surveyed identified as transgender, identified with a gender that does not conventionally correspond to the sex they were assigned at birth, or identified the sex they were assigned at birth inconsistently with the interviewer’s assessment of the respondent sex (General Social Survey, 2018). These results corroborate previous estimates of the transgender population size in the United States (Lagos & Compton, 2021). Unlike broad research on other small and difficult-​to-​reach populations, much of the research on LGBTQ public servants is drawn from census data or representative samples. Although these rarely provide the rich, detailed, and contextual information that qualitative studies can provide, the size, scope, and representativeness mean that results or findings are more likely to be generalizable.

Theories and Frameworks Another interesting aspect of the research designs was the use of theories and frameworks. Half (13 of 26) of the articles in the pool were theory or framework driven. However, there was very little consistency among authors about applying such theories and frameworks. The following theories and frameworks were used: Sabatier and Mazmanian’s implementation model, inclusive environments, Craig’s model—​ systems approach, equity, altruism, representative bureaucracy, intergroup contact theory, statistical and taste for

Chapter 8  •  Improving the Work Lives of LGBTQ Public Employees  109 discrimination, concealable stigma, social exchange theory, and moral community framework. In terms of diversity, equity, and inclusion, six of the 13 theoretical studies were driven by diversity, equity, and inclusion (DEI) themes. Unfortunately, in terms of public and nonprofit theories, only representative bureaucracy was included, and it was in only one of the 26 studies. The theory of representative bureaucracy suggests that a public workforce representative of the people they serve will help ensure that the interests of all groups are considered in bureaucratic decision-​making processes (Bradbury & Kellough, 2011). The theory suggests that the active representation of group interests occurs because individual public servants reflect the views, perspectives, and shared perceptions of those who share their demographic backgrounds. The lack of theory-​based research in this area conforms to Bishu and Kennedy’s (2020) research on representative bureaucracy; these authors note that most studies in the public service field lacked intersectionality and were mostly focused on race and sex, but not sexual orientation or gender identity. While the diversity among the approaches and perspectives is critical to building a body of literature, in this case the need for more consistency in the research has resulted in an uncoordinated and compromised system and reliability, as few methodological approaches are follow-​up studies or replications.

Other Themes from the Literature Analysis In the studies in this research, a few themes emerge. First, there seem to be three specific types of studies: legal perspectives, creating a better workforce for LGBTQ individuals (employers’ perspective), and motivations of LGBTQ public servants (employees’ perspective). To better understand the discussions on LGBTQ experiences in public organizations, this section is divided into these three perspectives.

Legal Perspectives The legal perspective presented in these studies is limited (four studies) and represents specific country experiences that are changing constantly. From 1996 to 2008, the U.S. perspective dominated the narrative. To start, Riccucci and Gossett (1996) asked whether state and local protections for LGBTQ individuals were being enforced. Their study found that many of these policies needed to be enacted meaningfully, even if nondiscrimination policies were enacted. Colvin (2000) suggested that better measurements of nondiscrimination laws must be enacted in the United States, which was still a patchwork across states and localities. Specifically, he maintained that it was not just the policy but also the reinforcement mechanisms of the policy that needed to be improved. Later, Colvin and Riccucci (2002) discussed how the patchwork of laws had been adopted across the United States without oversight to ensure these policies were adequately implemented and enforced. The authors suggested that some public employers only paid lip service to nondiscrimination directives in their jurisdictions. Lastly, Eckes and McCarthy (2008) found that LGBTQ teachers could not be fired for their sexual orientation and/​or gender identity and expression, that harassment within the school still existed, and that antidiscrimination laws could be more effective. Indeed, even when there were nondiscrimination laws, Lewis (2001) reported that homophobia could lead to lower numbers of security clearances for lesbian and gay individuals. Though nondiscrimination laws have been passed, the lack of evaluation and follow-​ up means that it is hard to know how effective these laws are at protecting LGBTQ individuals. The effort is made more difficult by the lack of a federal law in the United

110  Roddrick Colvin States that expressly prohibits employment discrimination besides sexual orientation and gender identity. Lastly, as the legal perspective is U.S.-​focused, it provides little guidance to public administrators in other countries.

Employees’ Perspective The most comprehensive area of research in public administration is the experience of LGBTQ employees in government and nonprofit organizations. One of the most common research questions was what drew LGBTQ individuals to work in public service (Lewis, 2010; Lewis & Pitts, 2011; Tilcsik, Anteby, & Knight, 2015). Lewis (2010) found that partnered lesbian and gay individuals were overrepresented in nonprofit work. They proposed that this was because of either a connection to social change or higher levels of altruism. From the government side, Lewis and Pitts (2011) found that partnered gay men were less likely than partnered heterosexual males to work in the public sector. However, there was local differentiation based on nondiscrimination laws. Lastly, LGBTQ individuals were overrepresented in education, specifically as elementary and secondary school teachers. Though LGBTQ individuals tend to work more in the public service, Laurent and Mihoubi (2012) found no wage discrimination for lesbians working in France’s public and private sectors. That said, there was a wage difference for gay men between those who work in the public sector and those who work in the private sector. In Australia, Preston, Birch, and Timmings (2019) found no differences in work experiences between LGBTQ and heterosexual government employees. Some other differences have been found between LGBTQ public servants and their heterosexual counterparts. LGBTQ individuals seem more willing to cross traditional gender lines for their professions (Tilcsik, Anteby, & Knight, 2015). LGBTQ individuals in the federal workforce tended to be younger and in more supervisory positions. Furthermore, female-​identified queer public servants were more likely to be military veterans than their counterparts (Lewis & Pitts, 2017). Working in public service as an openly LGBTQ individual is not always an easy experience. Humphrey (1999) found that LGBTQ individuals faced discrimination when joining a union. Approximately ten years later, Colgan et al. (2009) reported that queer employees were willing to bring sex and gender-​related grievances to their employers. However, some were wary until some high-​ profile discrimination cases were won. In comparison, Federman and Elias (2017) discussed how US federal government employees, both LGBTQ and heterosexual, were relatively satisfied with diversity issues in the federal workforce. However, diversity programming was viewed as ineffective. LGBTQ individuals were more likely to report being dissatisfied with their treatment as federal employees than their heterosexual counterparts (Lewis & Pitts, 2017). Looking at the Australian context, Aaron and Ragusa (2011) found that there was discrimination and negative comments against LGBTQ public workers, but they were not systemic. In addition, discussions of sexuality were discouraged related to queer sexuality. That said, interactions with LGBTQ individuals on the job led to lower levels of homophobia (Bernstein & Swartwout, 2012). This is important because higher levels of inclusion lead to lower levels of turnover and higher levels of outness at work by LGBTQ individuals (Sabharwal et al., 2019). Simply put, inclusive environments lead to a higher level of LGBTQ job satisfaction and commitment (Hur, 2020). However, this environment only exists in some places. Nie and Price (2021) found differing perceptions of professors based on the religion of the subject and the sexual orientation of the professor. LGBTQ teachers prioritized safe work

Chapter 8  •  Improving the Work Lives of LGBTQ Public Employees  111 environments when planning for future positions but felt their training did not prepare them to navigate the US political climate (Toledo & Maher, 2021).

Employer Perspectives This section looks at how employers view the workplace and what they do to make it more or less welcoming for LGBTQ individuals. Lewis (2001) found that homophobia by employers led to lower numbers of security clearances for homosexual federal employees. For LGBTQ teachers, Lewis and Taylor (2001) found that public support had continued to increase. At the US federal level, gay men and lesbians were not always treated equally, as public agencies were not always interested in implementing policies or dealing with inequalities that LGBTQ individuals may face in the workplace (Colvin & Riccucci, 2002). Although some public workplaces have become more equitable, there are some pockets where it is difficult to be openly homosexual or bisexual, including first responder services, like law enforcement and fire services (Colgan & Wright, 2011). In fighting for equity in represented environments, unions with equity clauses were more likely to fight for more equitable contracts for LGBTQ members (Brown, 2004). One thing public organizations can do to support LGBTQ public servants is to expand written policies with senior staff’s support (Senyucel & Phillpott, 2011). Lastly, training about and exposure to LGBTQ employees can help make the workplace more welcoming (Stucky et al., 2020).

APPLYING DEI TO HUMAN RESOURCE PRACTICES In studying diversity, equity, and inclusion and LGBTQ public servants, we make several assumptions. The first assumption is that DEI of the workforce is good for any organization, but this is especially important for public service organizations. Employment diversity is one way to improve public agencies’ community and cultural competencies. Increasing community and cultural competence will enhance agencies’ abilities, making them better able to meet their missions. This understanding of DEI creates a strong case for public servants who are open about their sexual orientation and gender identity in their agencies and communities. Public agencies that embrace DEI and create environments where all employees are treated professionally and fairly will reap the rewards of a better (as defined by employees, in this case) organization. Regarding individual rewards, openly serving employees are less susceptible to corrupt forces that haunt agencies. For example, they are less likely to be the victims of blackmail and less likely to succumb to bribery (Lewis, 2001). On an organizational level, out LGBTQ public servants will enhance the agencies’ understanding of the lesbian, gay, bisexual, transgender, and queer communities. This is not to suggest that only LGBTQ public servants can serve LGBTQ communities. However, it does suggest that the service delivery is made more efficient, effective, and equitable when members of the LGBTQ community are included. Our analysis shows that DEI has been a central research interest when studying LGBTQ public servants (see Table 8.1). As noted, upon closer examination, the bulk of research concerns itself with documenting discrimination and harassment in the workplace or measuring the workplace climate in the hope of capturing changes in levels of discrimination and harassment. However, there are proactive activities that agencies can pursue to enhance DEI for LGBTQ public servants. Three activities are worth noting here: recruitment, retention, and engagement.

newgenrtpdf

Authors

Year

DEI Focus

Public Administration Journal

Research Location

Riccucci, N. M., Gossett, C. W. Humphrey, J. C. Colvin, R. A. Lewis, G. B. Lewis, G. B., Taylor, H. E. Colvin, R. A., Riccucci, N. M. Brown, T. Eckes, S. E., McCarthy, M. M. Colgan, F., Wright, T., Creegan, C., McKearney, A. Lewis, G. B. Senyucel, Z., Phillpott, S. Colgan, F., Wright, T. Lewis, G. B., Pitts, D. W. Aaron, D. J., Ragusa, A. T. Bernstein, M., Swartwout, P. Laurent, T., Mihoubi, F. Tilcsik, A., Anteby, M., Knight, C. R. Lewis, G. B., Pitts, D. W. Federman, P. S., Rishel Elias, N. M. Sabharwal, M., Levine, H., D’Agostino, M., Nguyen, T. Preston, A., Birch, E., Timming, A. R. Hur, H. Stucky, J. L., Dantas, B. M., Pocahy, F. A., de Queiroz Nogueira, P. H., Nardi, H. C., Costa, A. B. Nie, F., Price, A. Toledo, W., Maher, B. Larson, S. J.

1996 1999 2000 2001 2001 2002 2003 2008 2009 2010 2011 2011 2011 2011 2012 2012 2015 2017 2017 2019 2020 2020 2020

Y Y Y Y N Y Y N Y Y Y Y Y Y N Y N Y N Y Y Y Y

Y N Y Y Y Y N N N Y N N Y N N N Y Y Y Y N Y N

United States United Kingdom United States United States United States United States Canada United States United Kingdom United States United Kingdom United Kingdom United States Australia United States France United States United States United States United States Australia United States Brazil

2021 2021 2022

N N Y

N N Y

United States United States English-​speaking world

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Table 8.1 Study characteristics

Chapter 8  •  Improving the Work Lives of LGBTQ Public Employees  113

RECRUITMENT Establishing a Network or Resource Group There are many ways to create support for LGBTQ public servants. One of the most common is establishing a network or resource group. A network group is a formal mechanism for enabling employees who share an affinity and agree to share information and support (Opall, 2021). Such groups are supported by the organization, and work to enhance the workplace climate and more effectively meet the organization’s mission. Resource groups operate similarly, but may include outside community members. An effective network or resource group can not only be a central hub in developing and implementing DEI efforts. According to Opall (2021), such groups can benefit the organization, LGBTQ employees, and the community. From the organization’s perspective, the group promotes diversity. The group’s existence reminds members of the organization that differences exist among all public servants and that this is a positive attribute for agencies. The group’s existence will indicate to LGBTQ and non-​LGBTQ applicants that the agency is serious about inclusion and diversity in the organization. As such, LGBTQ applicants might be more likely to apply for a position knowing that an employer-​sponsored support group was already in place. Public agencies such as employers and organizations might also benefit from the newly formed communication channel with LGBTQ employees. In this case, the network or resource group can be used as a type of “climate survey,” helping to identify concerns or issues within the agency. This can be helpful as the agency embarks on inclusive recruitment, planning, and development. Within the organization, LGBTQ public servants benefit from network and resource groups. Beyond communication, support, and collaboration with agency management, LGBTQ public servants have a peer support group that can directly counter anti-​LGBTQ activities. Since we know that feelings of isolation and tokenism are among the most reported challenges for LGBTQ employees, network or resource groups provide a supportive community. This support can build confidence and employment satisfaction among public servants. Finally, the served community can benefit from the network or resource group. In sending a message to the served community, the group’s existence and efforts may translate into better community–​agency relations. Additionally, regarding the resource groups, people from the local LGBTQ community could be a part of the group and thus have a direct and open communication channel with agency management. For example, recent studies suggest that collaborations between local public health agencies and LGBTQ communities helped to quickly curb the spread of Mpox (formerly known as Monkeypox) among gay and bisexual men (Landman, 2022). Critical to this collaboration were LGBTQ public health servants with connections to the broader LGBTQ communities and their shared work with resource groups and other organizations.

Recruitment Strategies In order to increase the number of openly LGBTQ public servants, agencies need to increase the number of openly LGBTQ individuals in their recruitment pools. Public agencies can develop LGBTQ-​ focused recruitment strategies that are based on “segmenting” the recruitment field and “targeting” groups of individuals with specific strategies (Nobel et al., 2019). Organizations can diversify their recruitment pools by applying specific strategies to any population. In terms of sexual orientation and gender

114  Roddrick Colvin identity, these strategies include: developing recruiting materials featuring LGBTQ community members; creating advertisements and outreach notices on job and related websites of interests to the LGBTQ community; participating in email lists and social media dedicated to LGBTQ individuals; collaborating with LGBTQ organizations and outreach during LGBTQ events; and developing long-​term recruitment efforts with queer-​ friendly youth, minority, trade, and university groups. In essence, agencies must meet LGBTQ individuals in their spaces and recruit from there.

RETENTION Recruitment is only one-​half of the challenge when developing a diverse and inclusive workforce. Once LGBTQ individuals have joined the agency, concerted and intentional efforts will need to be made to retain them. Many approaches have helped to improve the retention of LGBTQ public servants. Among these, providing quality training is a proven tool for increasing retention among all public servants. LGBTQ public servants without proper training can become discouraged or lose confidence (Fletcher & Everly, 2021). Employees in most organizations expect frequent training opportunities to improve their skills and abilities. Continuing education varies from agency to agency, but the most innovative agencies offer continuing education in many areas, including communication skills, leadership development, and human capital management. Additionally, well-​developed training programs provide competitive training for specialized work. These innovative and specialized pieces of training are crucial to retention. When employees have access to these trainings, motivation and satisfaction increase (Fletcher & Everly, 2021). For LGBTQ public servants, selection for these opportunities is an acknowledged investment in the queer employee and in the idea of a DEI-​centered workforce. Quality continuing education offers benefits beyond the employees who participate in the training. In some cases, out LGBTQ public servants can be recruited as trainers for courses specializing in diversity, equity, and inclusion. By recruiting LGBTQ public servants to offer training, their unique contributions as queer employees is acknowledged and embraced by the agency. For LGBTQ public servants, tuition reimbursement and educational advancement by fellow servants can have doubled positive effects. On the tuition reimbursement side, LGBTQ public servants can take advantage of a benefit that will increase their competitiveness within the agency and the broader employment field. In addition to personal enrichment, LGBTQ public servants could benefit from a better-​educated agency. Badgett (2020) notes that higher education positively correlates with less homophobic attitudes. In other words, better-​educated employees are less homophobic employees. Offering perks or additional incentives can provide positive retention benefits for LGBTQ public servants. These types of benefits are not legally mandated, and are usually offered in an “a la carte” benefits offering. Just as educational incentives can increase job satisfaction, so can perks (Badgett, 2020). Perks or incentives of particular interest to LGBTQ public servants might include second-​parent paternity or maternity or adoption leave, health, family leave, family assistance services, hardship transfers, and relocation expenses. Employee perceptions of these perks might be related more directly to positive organizational culture than to the actual benefits received. Even if employees do not access particular perks or incentives, their existence sends a signal of support from the agency.

Chapter 8  •  Improving the Work Lives of LGBTQ Public Employees  115 Retaining quality employees is a challenge for all organizations. The costs to replace public servants who have been recruited, tested, vetted, selected, and trained makes retention especially important for agencies. When public servants, including LGBTQ employees, prematurely leave the agency, both the agency and the community are disadvantaged. With systematic efforts to retain quality employees, agencies can reduce costs and institutional knowledge lost, including lost knowledge of the local LGBTQ community served. Mentoring is usually a formal or informal relationship between a senior mentor and a junior mentee. Typically, a mentor is outside the mentee’s chain of supervision. Mentoring is an essential organizational tool that can be used to increase morale, satisfaction, productivity, and professional development. More specifically, mentoring can help new employees to settle into the organization, enhance skills, cement professional identity, identify opportunities for career development, provide education re-​enforcement, implement planned change, improve customer service, recruitment, increase retention, and enhance knowledge transfer. At its core, a mentor can be described as a coach or a guide tasked with supporting junior employees to help ensure their success in the organization. Although mentoring has been well established in the literature, no information exists about mentoring LGBTQ public employees. Research in other areas shows that mentoring can be highly successful (Lesnick, 2021). For example, Smith and Ingersoll (2004) found that mentoring programs for new teachers with mentors from the same subject field meant mentees were less likely to move to other schools or to leave the teaching profession after their first year. Finally, Northfield (2019) studied LGBTQ mentors and mentees in engineering. They found that sexual orientation and gender identity were factors in mentee perceptions of career support and how well the mentors liked them. In order to establish a successful mentoring program, agencies should connect mentoring to organizational goals and DEI efforts. Mentoring schemes with a goal of, for example, producing more qualified LGBTQ applicants for promotion to leadership roles will look vastly different than efforts to mentor employees for knowledge transfer within a division or department. Connecting LGBTQ public servants with LGBTQ leadership can be both image-​ improving and retention-​enhancing. LGBTQ mentors might provide an extra level of support for LGBTQ employees. New LGBTQ employees might feel more comfortable candidly discussing issues with other community members. A more experienced LGBTQ public servant might be able to empathize with and guide a newer employee before they settle on leaving the agency. Like training, connecting with more senior LGBTQ personnel will help newer employees to visualize various career paths within the agency. Over time, as more openly LGBTQ employees serve throughout the organizations, more routes to success will be identified. Unlike mentoring, career development is a concerted and strategic effort to increase and maintain employees via increased opportunities vertically and horizontally in the public agency. Career development is about ensuring that each employee has what they need to develop personally and professionally within the organization. For a public agency, the range of career development goods and services may vary depending on available resources and the person’s particular needs. Such development for LGBTQ public employees sends a message to all employees that these employees are valued and included in the organization’s vision and plans for the future.

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ENGAGEMENT Public agencies can increase the retention of LGBTQ individuals through greater employee engagement. This refers to strategies that organizations might pursue to help employees balance work and careers (Sabharwal et al., 2019). Employee engagement strategies often emphasize empowering employees with autonomy and responsibility over work-​ related issues. In many organizations, this includes efforts like more significant input in the evaluation process and cross-​training in terms of job responsibilities. However, at its core, engagement requires more flexibility in agencies to meet the specialized needs of all employees, including LGBTQ workers.

Conclusion This chapter has used a systematic quantitative literature review approach to examine the work lives of LGBTQ public servants. Applying this technique, we could identify common patterns within the field of public administration and nonprofit management. To that end, we discovered that much of the research on these public servants has been drawn from large and representative datasets. While it has been driven mostly by theory, there is no standard or underlying theory, nor has the most common theory, representative bureaucracy, been sufficiently applied. In terms of diversity, equity, and inclusion, scholars have given considerable attention to these research areas. Using a broad definition of DEI was central to 17 of the 25 articles reviewed—​the majority related to harassment and discrimination in the workplace. Scholars found research interest in identifying the extent to which various forms of discrimination and harassment existed and the effectiveness of efforts to prevent or remediate them. Moreover, while these are important areas, our analysis also shows the many research gaps that have resulted in a need for more policies and practices to support LGBTQ public servants. Finally, with our analysis, we examined several human resource practices that could positively impact LGBTQ public servants. Specifically, DEI practices that focused on recruitment, retention, and engagement. By increasing the number of LGBTQ public servants, we also increase the available data about this population. More available data mean not only more extensive quantitative studies, but also increased space for qualitative studies that will help to reveal more nuanced and complete research that explains the work life of the employees. Personnel and human resources policies and practices are critical to ensuring that LGBTQ employees are effectively and equitably integrated into public service.

Notes 1. This chapter includes government and nonprofit organizations when discussing public administration and public service. 2. We use both the terms LGBTQ and queer to refer to the lesbian, gay, bisexual, transgender, and queer community. This is consistent with Lee, Learmonth, and Harding (2008).

Chapter 8  •  Improving the Work Lives of LGBTQ Public Employees  117

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118  Roddrick Colvin Korytkowski, P., & Kulczycki, E. (2019). Publication counting methods for a national research evaluation exercise. Journal of Informetrics, 13(3), 804–​816. Lagos, D., & Compton, D. L. (2021). Evaluating the use of a two-​step gender identity measure in the 2018 General Social Survey. Demography, 58(2), 763–​772. Landman, K. (2022, December 28). One public health lesson from 2022 worth remembering. Vox. www.vox.com/​pol​icy-​and-​polit​ics/​23516​469/​2022-​pub​lic-​hea​lth-​commun​ity-​led-​ mpox-​vacc​ine-​peer Larson, S. J. (2022). Actions for queering American public administration. Administration & Society, 54(1), 145–​163. Laskey, P., Bates, E. A., & Taylor, J. C. (2019). A systematic literature review of intimate partner violence victimisation: An inclusive review across gender and sexuality. Aggression and Violent Behavior, 47, 1–​11. Laurent, T., & Mihoubi, F. (2012). Sexual orientation and wage discrimination in France: The hidden side of the rainbow. Journal of Labor Research, 33(4), 487–​527. Lee, H., Learmonth, M., & Harding, N. (2008). Queer(y)ing public administration. Public Administration, 86(1), 1–​19. Lesnick, A. S. (2021, June 11). Exploring the need for and benefits of LGBTQA faculty and staff groups in higher education. LGBTQ Policy Journal. https://​lgbtq.hksp​ubli​cati​ons.org/​ 2021/​06/​11/​explor​ing-​the-​need-​for-​and-​benef​i ts-​of-​lgb​tqa-​facu​lty-​and-​staff-​gro​ups-​in-​hig​ her-​educat​ion Lewis, G. B. (2001). Barriers to security clearances for gay men and lesbians: Fear of blackmail or fear of homosexuals? Journal of Public Administration Research and Theory, 11(4), 539–​557. Lewis, G. B. (2010). Modeling nonprofit employment: Why do so many lesbians and gay men work for nonprofit organizations? Administration & Society, 42(6), 720–​748. Lewis, G. B., & Pitts, D. W. (2011). Representation of lesbians and gay men in federal, state, and local bureaucracies. Journal of Public Administration Research and Theory, 21(1), 159–​180. Lewis, G. B., & Pitts, D. W. (2017). LGBTQ–​heterosexual differences in perceptions of fair treatment in the federal service. The American Review of Public Administration, 47(5), 574–​587. Lewis, G. B., & Taylor, H. E. (2001). Public opinion toward gay and lesbian teachers: Insights for all public employees. Review of Public Personnel Administration, 21(2), https://​doi.org/​ 10.1177/​073​4371​X010​2100​203 LGBTQ National Taskforce (n.d.). www.theta​skfo​rce.org/​wp-​cont​ent/​uplo​ads/​2017/​05/​ LGBTQ-​Cen​sus-​Advoc​acy.pdf Nie, F., & Price, A. (2020). Is safe space safe? Being gay and college faculty across religious moral communities. Journal of Beliefs and Values, 42(2), 205–​222. Noble, N., Winkelman, L., & Penner, A. (2019). Diversity recruiting practices for LGBTQ+​ employees. https://​ttu-​ir.tdl.org/​han​dle/​2346/​84250 Northfield, R. (2019). Out, proud and at ease in the workplace. Engineering & Technology, 14(6), 34–​35. Office of Personnel Management. (2022). Federal Employee Viewpoint Survey results. www. opm.gov/​fevs/​repo​r ts/​gov​ernm​entw​ide-​repo​r ts/​gov​ernm​entw​ide-​repo​r ts/​gov​ernm​entw​ ide-​man​agem​ent-​rep​ort/​2022/​2022-​gov​ernm​entw​ide-​man​agem​ent-​rep​ort.pdf Opall, B. S. (2021). Motives in creating an LGBTQ inclusive work environment: A case study. Qualitative Research in Organizations and Management: An International Journal. https://​ doi.org/​10.1108/​QROM-​09-​2019-​1822/​full/​html Pickering, C., & Byrne, J. (2014). The benefits of publishing systematic quantitative literature reviews for Ph.D. candidates and other early-​career researchers. Higher Education Research & Development, 33(3), 534–​548.

Chapter 8  •  Improving the Work Lives of LGBTQ Public Employees  119 Pickering, C., Grignon, J., Steven, R., Guitart, D., & Byrne, J. (2015). Publishing not perishing: How research students transition from novice to knowledgeable using systematic quantitative literature reviews. Studies in Higher Education, 40(10), 1756–​1769. Pratt, T. C. (2010). Meta-​analysis in criminal justice and criminology: What it is, when it’s useful, and what to watch out for. Journal of Criminal Justice Education, 21(2), 152–​168. Preston, A., Birch, E., & Timming, A. R. (2019). Sexual orientation and wage discrimination: Evidence from Australia. International Journal of Manpower, 41(6), 629–​648. PRISMA (2021). PRISMA 2020 explanation and elaboration: Updated guidance and exemplars for reporting systematic reviews. BMJ, 372(160). https://​doi.org/​10.1136/​bmj.n160 Riccucci, N. M., & Gossett, C. W. (1996). Employment discrimination in state and local government: The lesbian and gay male experience. The American Review of Public Administration, 26(2), 175–​200. Robinson, B. A. (2020). The lavender scare in homonormative times: Policing, hyper-​ incarceration, and LGBTQ youth homelessness. Gender & Society, 34(2), 210–​232. Sabharwal, M., Levine, H., D’Agostino, M., & Nguyen, T. (2019). Inclusive work practices: Turnover intentions among LGBT employees of the US federal government. The American Review of Public Administration, 49(4), 482–​494. Scopus. (2022). www.sco​pus.com/​sour​ces?sortFi​eld=​&met​ricN​ame=​&sortDi​rect​ion=​&n Senyucel, Z., & Phillpott, S. (2011). Sexual equality and diversity in UK local councils. Equality, Diversity and Inclusion, 30(8), 702–​718. Smith, T. M., & Ingersoll, R. M. (2004). What are the effects of induction and mentoring on beginning teacher turnover? American Educational Research Journal, 41(3), 681–​714. Stucky, J. L., Dantas, B. M., Pocahy, F. A., Nogueira, P. H. de Q., Nardi, H. C., & Costa, A. B. (2019). Prejudice against gender and sexual diversity in Brazilian public high schools. Sexuality Research and Social Policy, 17, 429–​441. Tilcsik, A., Anteby, M., & Knight, C. R. (2015). Concealable stigma and occupational segregation: Toward a theory of gay and lesbian occupations. Administrative Science Quarterly, 60(3), 446–​481. Toledo, W., & Maher, B. (2021). On becoming an LGBTQ+​-​identifying teacher: A year-​long study of two gay and lesbian preservice elementary teachers. Journal of Homosexuality, 68(10), 1609–​1638. U.S. Merit Systems Protection Board. (2014). Sexual orientation and the federal workplace: Policy and perception. www.mspb.gov/​stud​ies/​stud​ies/​Sexual_​Orientation_​and_​the_​ Federal_​Workplac​e_​Po​licy​_​Per​cept​ion_​1026​379.pdf Weisburd, D., Farrington, D. P., & Gill, C. (2017). What works in crime prevention and rehabilitation: An assessment of systematic reviews. Criminology & Public Policy, 16(2), 415–​449.

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Tilcsik, A., Anteby, M., Knight, C. R. Aaron, D. J., Ragusa, A. T. Bernstein, M., Swartwout, P. Brown, T. Colgan, F., Wright, T. Colgan, F., Wright, T., Creegan, C., McKearney, A. Colvin, R. A.

2015 Administrative Science Quarterly 60

Colvin, R. A., Riccucci, N. M.

2002

Eckes, S. E., McCarthy, M. M.

2008

Federman, P. S., Rishel Elias, N. M. Humphrey, J. C. Hur, H. Laurent, T., Mihoubi, F. Lewis, G. B.

2017

Lewis, G. B. Lewis, G. B., Pitts, D. W.

3

446

Policy Studies Journal of Homosexuality Relations Industrielles Gender, Work and Organization Human Resource Management Journal Review of Public Personnel Administration International Journal of Public Administration American Educational Research Journal Public Integrity

32 59 58 18 19

6 8 4 5 3

615 1145 644 548 280

20

2

5

25

1

95

45

3

530

19

1

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Gender, Work and Organization Public Money and Management Journal of Labor Research Journal of Public Administration Research and Theory 2010 Administration and Society 2011 Journal of Public Administration Research and Theory

6 40 33 11

3 6 4 4

134 426 487 539

42 21

6 1

720 159

2011 2012 2003 2011 2009 2000

1999 2020 2012 2001

DOI

481 10.1177/​0001839215576401 630 1166 666 570 301

10.1080/​01442872.2011.629529 10.1080/​00918369.2012.673945 10.7202/​007820ar 10.1111/​j.1468-​0432.2011.00558.x 10.1111/​j.1748-​8583.2009.00098.x

19 10.1177/​0734371X0002000202 108 10.1081/​PAD-​120006542 554 10.3102/​0002831208314764 40 10.1080/​10999922.2016.1200410 151 436 527 557

10.1111/​1468-​0432.00077 10.1080/​09540962.2019.1681640 10.1007/​s12122-​012-​9145-​x 10.1093/​oxfordjournals.jpart. a003514 748 10.1177/​0095399710377434 180 10.1093/​jopart/​mup030

120  Roddrick Colvin

Appendix A Articles used in SQLR

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587 10.1177/​0275074015605378

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151 10.1177/​0734371X0102100203

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222 10.1080/​13617672.2020.1816398 648 10.1108/​IJM-​08-​2018-​0279

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200 10.1177/​027507409602600203

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Chapter 8  •  Improving the Work Lives of LGBTQ Public Employees  121

2017 American Review of Public Administration Lewis, G. B., Taylor, H. E. 2001 Review of Public Personnel Administration Nie, F., Price, A. 2021 Journal of Beliefs and Values Preston, A., Birch, E., Timming, 2020 International Journal of A.R. Manpower Riccucci, N. M., Gossett, C. W. 1996 The American Review of Public Administration Sabharwal, M., Levine, H., 2019 American Review of Public D’Agostino, M., Nguyen, T. Administration Senyucel, Z., Phillpott, S. 2011 Equality, Diversity and Inclusion Stucky, J. L., Dantas, B. M., 2020 Sexuality Research and Social Pocahy, F. A., de Queiroz Policy Nogueira, P. H., Nardi, H. C., Costa, A. B. Toledo, W., Maher, B. 2021 Journal of Homosexuality Lewis, G. B., Pitts, D. W.

9

THE RULE OF LAW AND PUBLIC SERVICE Robert Roberts

This chapter examines the impact of the rule of law on the evolution of public service. For the purposes of this chapter, the rule of law involves respect for principles found in the U.S. Constitution (Rohr, 1986; Newbold, 2011). The chapter recognizes that human resource professionals must also master workplace discrimination laws, wage and hour laws, employee benefit laws, workplace safety laws, and immigration laws. These legal issues apply equally to for-​profit, nonprofit, and public sector employers. Only the public sector operates civil service systems. The chapter argues that the civil service reform movement began as a moral good government campaign to rescue the nation’s democratic institutions from the evils of the spoils system. It also argues that, as the discipline of public administration evolved, the discipline lost sight of the constitutional foundation of public administration and the essential role of career civil servants in protecting the nation’s democratic institutions. Instead, public personnel management focused on implementing public personnel reforms arguably related to increasing the efficiency and effectiveness of the federal civil service. Not until the 1970s did public sector personnel or human resources management change in response to demands that the rule-​of-​law take an equal place in public personnel administration (Rosenbloom, 1975). The chapter argues that because of growing threats to the independence of public employees from ideological control, public sector human resource management must undergo a revolution to prepare career civil servants to engage in “constitutional stewardship” (Morgan & Kass, 1989). Instead of reducing organizational efficiency and effectiveness, the doctrine of “constitutional stewardship” provides civil servants with the constitutional foundation to permit them to openly engage with residents of their localities, their states, and the nation to find solutions to the most pressing problems facing our communities, our states, and our country.

THE RULE OF LAW, PUBLIC SERVICE, AND THE CRUSADE AGAINST THE SPOILS SYSTEM After the Civil War, the United States faced a democracy crisis caused by the growing power of political machines. Political parties had mastered using the “spoils system” to mobilize voters, reward party loyalists, and provide parties with the funds necessary to stay in power (Hoogenboom, 1959). New York, St. Louis, New Orleans, Pittsburgh, Philadelphia, Chicago, and Detroit found their municipal governments under the total control of political machines (Roberts, 2020: 22). In the Southern states, after the end of Reconstruction, the Democratic Party took almost complete control of state

122

DOI: 10.4324/9781003403401-9

Chapter 9  •  The Rule of Law and Public Service  123 politics (Grantham, 2014). Corrupt election systems made it nearly impossible for reform candidates to win elections. Standard techniques used by political machines to ensure victory included “intimidating voters on election day, buying votes, falsifying returns and stuffing ballot boxes” (Roberts, 2020: 23). Political assessments of public employees became a vital feature of the spoils system. To keep their jobs, political parties required public employees to kick back part of their salaries to their political patrons. These tactics assured electoral victories, particularly at the urban level, but did nothing to help deliver essential services demanded by businesses, industry, and millions of new residents. This was largely because the vast majority of “spoils” appointees lacked any expertise to perform the jobs their agencies hired them to do. Political machines faced the growing problem of delivering essential services such as providing drinking water, maintaining sewerage systems, preventing the outbreak of deadly diseases, educating children and law enforcement about communities’ safety, and fighting fires. At the national level, widespread corruption in federal agencies tarnished the reputation of the Republican Party and placed pressure on it to support civil service reform. After the Civil War, pressure increased on the Republican Party to support civil service reform. The 1881 murder of President James Garfield by a disgruntled office seeker on a Washington, DC train platform forced the Republican-​controlled Congress to act. With the backing of President Chester A. Arthur, Congress passed the Civil Service Act of 1883, which laid the foundation for modern civil service systems in the United States (Hoogenboom, 1959: 303). The Pendleton Act, however, did not end the “spoils system” in the federal government as it initially only covered a small percentage of the executive branch workforce. It prohibited the political assessments of merit system employees and mandated the new Civil Service Commission. The law also established a system of competitive job-​related exams to screen individuals seeking entry into the new merit system. The Pendleton Act did, however, lack several major characteristics of modern civil service systems. New merit system employees continued to serve at the pleasure of their agencies. Federal agencies lacked pay plans tied to position classification systems. Many individuals entering the new national merit system did not view it as the start of a long-​ term career (Hoogenboom, 1959: 311).

GOVERNMENT BY THE EFFICIENT, MORALITY, AND THE PUBLIC EMPLOYMENT PRIVILEGE DOCTRINE Between 1900 and 1920, the progressive movement took up the mantle of political reform by lobbying for electoral reform. Widely adopted electoral reforms led to the widespread adoption of the secret ballot, an improved voter registration system, and political primaries. Electoral reform also had a dark side. Many Southern states moved to strip African American males of voting rights by adopting literacy tests and other tools to get around the Fifteenth Amendment. The same period saw a war break out within the emerging discipline of public administration (Rosenbloom, 1983; Christensen, Goerdel, & Nicholson-​Crotty, 2011: 25). Public management scholars, such as Leonard White, sought to make a clean break from law-​focused public management (Lynn, 2009). A managerial approach won (Lyn, 2009). Civil service reform and public personnel management shifted from preventing political parties from intimidating federal employees to improving the efficiency of the federal workforce. Embracing the work of Frederick

124  Robert Roberts Taylor, the father of scientific management, position management would emerge as the cornerstone of public personnel management. Before position management took hold, though, some federal employees sought to take action to deal with their mistreatment. Between 1900 and 1920, public employees looked to the growing labor union movement to help them fight management regarding wages, hours, and working conditions. Much like the response by American businesses and industry to labor unions, governments fought back against labor unions. In 1889, postal workers established the National Association of Letter Carriers in Milwaukee, Wisconsin. In 1900, letter carriers and other postal employees began to lobby Congress for pay increases and better working conditions. Postal employees also lobbied President Theodore Roosevelt to help persuade Congress to act. Roosevelt did not respond well to this lobbying. In 1902, he issued a sweeping executive order prohibiting all postal and federal employees, “directly or indirectly, individually or through associations,” from soliciting members of Congress for wage increases or trying to influence the passage of any other legislation—​except through the heads of their department (D.R.M., 1971: 889; National Association of Letter Carriers, 2022: 21). Roosevelt’s action should not have surprised anyone. In the late 1890s, federal and state courts embraced the public employment “privilege doctrine” (Dotson, 1955). The case of McAuliffe v. Mayor of New Bedford (1892) symbolized the public employee privilege doctrine. As part of civil service reform initiatives, the City of New Bedford adopted a rule that “[n]‌o member of the department shall be allowed to solicit money or any aid, on any pretense, for any political purpose whatever” (Vile, 2009). The mayor of New Bedford subsequently fired police John McAuliffe for soliciting political campaign contributions and belonging to a political committee (Vile, 2009). In a decision that shut down public employees’ freedom of speech rights for close to 70 years, Justice Oliver Wendell Homes wrote that a policeman “may have a constitutional right to talk politics, but he has no constitutional right to be a policeman” (Vile, 2009). The so-​called public employment “privilege doctrine” profoundly impacted how public organizations and the American public viewed dissent by public employees (Dotson, 1955). The adoption of the public employment privilege doctrine took place during the same period when career federal employees became much more deeply involved in public policy disputes with elected or appointed officials regarding the management of government programs. In 1909, President Howard Taft fired Chief Forester Gifford Pinchot after he led an effort to stop the Department of Interior from leasing Alaskan coal lands to private mine interests (Roberts, 1988: 21). Pinchot publicly accused Taft’s Secretary of the Interior, R. A. Ballinger, of a severe financial conflict of interest related to approving the Alaskan coal leases. The dispute between Chief Forester Pinchot and Interior Secretary Ballinger highlighted the impact of the professionalization of public service on the relationship between political appointees and professional public servants. Pinchot knew that if he openly challenged Ballinger, President Taft would have to fire Ballinger or Pinchot. He fired Pinchot (Roberts, 1988: 21). The Pinchot/​Ballinger controversy angered progressives. They feared that conservative presidential administrations might try to purge federal agencies of honest and hard-​ working federal employees who sought to protect the public interest. In 1912, Congress passed the Lloyd-​La Follette Act. One may argue that the Lloyd-​La Follette Act established that career public employees might only be removed for cause. Recognizing the dominance of the employment-​at-​will doctrine in the private sector, the law stated that federal civil service employees might only be removed for the efficiency of the service (Rosenbloom, 2014: 67). Expressly, it only permitted the removal of career civil

Chapter 9  •  The Rule of Law and Public Service  125 servants for the efficiency of the service. The law also prohibited the removal of federal employees for submitting grievances to Congress or providing Congress and its congressional committee, and members of Congress, with information (Agger, 1938: 1115). Adopting the new “efficiency of the service” removal requirement for career federal civil servants did not limit the type of conduct a federal agency could use to justify the removal of a federal employee. Through the 1960s, federal agencies and departments exercised considerable discretion in defining what constituted the “efficiency of the service” for the purposes of the removal of federal employees (Note, 1966: 722–​723). As one commentator explained the practice of the federal courts not second-​guessing the grounds for the removal of a federal employee, “[j]‌udicial deference to the administrator’s assessment of observed employee behavior on the performance of fellow employee seems appropriate; independent proof of an impact on the quality of performance would be difficult and unnecessary” (Note, 1966: 723). Federal courts did not require proof of a nexus between the alleged conduct of federal employees with their ability to perform their official duties. This deferential treatment of the removal power of federal agencies had disastrous consequences for federal employees because the early twentieth century saw almost all public employers in the United States adopt strict moral codes for their employees. Federal courts deferred to the judgment of federal agencies. A great moral awakening in the United States led to establishment of anti-​vice societies across the country that focused on gambling, prostitution, and drinking (Roberts, 2020: 37). During the 1940s and 1950s, the situation worsened for public employees due to widespread panic resulting from the growing power of the Soviet Union and the communist takeover of China. The red scare led governments at the local, state, and federal levels to adopt so-​called loyalty and security programs directed at purging governments of employees with prior or present relationships with subversive organizations (Rosenbloom, 2014: 111–​128). As one civil liberties scholar of the period argued: Again we must emphasize that the dangers of the program are not limited to the possibility of injury to particular individuals. The threat also lies in the probable detrition of the right of due process of law and the freedoms protected by the First Amendment. (Bontecou, 1951: 123) Such criticism did little to stop the loyalty and security purges. The sharp difference between “public administration values” and “constitutional/​legal values” helps to explain why the civil services system evolved with little attention to the fairness of disciplinary agency disciplinary systems (Lynn, 2009: 808). Federal government agencies increased their efforts to hire African Americans during Franklin Roosevelt and Harry Truman’s Administrations. Civil service rules, however, often made it difficult for African American employees to keep their jobs because agencies almost always laid off employees based on seniority. Elected to the presidency in 1952, President Eisenhower, for example, promised during the campaign to reduce the size of the federal workforce. Soon after being sworn into office, Eisenhower ordered the layoff of federal employees to fulfill his campaign promise. Many Black federal employees lost their jobs because they had far less seniority than White employees (Browne, 1954: 246). From the late 1940s through the 1960s, executive branch agencies also purged gay federal employees without evidence that such employees constituted a security risk or failed to perform their duties less effectively than other federal employees. The U.S. Civil

126  Robert Roberts Service Commission Students (USCSC) actively hunted for gay federal employees. In 1953, President Dwight Eisenhower issued Executive Order 10450, “Security Requirements for Government Employment,” banning gay employees from the federal government workforce (Lewis, 1997: 390–​391). Through much of the 1960s, federal courts upheld the firing of federal employees for being gay. In Dew v. Halaby (1963), for example, the U.S. Court of Appeals for the District of Columbia (DC Circuit) upheld the firing of an air traffic controller “because he had engaged in homosexual activities some years before his employment by the government” (Note, 1966: 723).

THE NEW PUBLIC SERVICE MODEL AND EXPANSION OF PUBLIC EMPLOYEE RIGHTS For decades, the discipline of public administration successfully avoided close judicial oversight and the rule of law (Rosenbloom, 1981). This included public sector human resource management. As noted above, this proved disastrous for many Americans and public employees. Beginning in the 1950s, the civil liberties revolution led by the Warren Court would force local, state, and federal agencies to reform the operation of public agencies so they did not violate the fundamental civil rights of those they served (Bazelon, 1976; Chayes, 1976). This led directly to federal courts becoming heavily involved in the day-​day-​administration of public institutions such as schools, prisons, mental health facilities, and other public organizations. The civil liberties crusade also extended to public employees. From the perspective of public employees, the civil liberties revolution had two prongs. The first prong involved the U.S. Supreme Court replacing the public employment “privilege doctrine” with the “public service model” (Rosenbloom, 2014: 149). The second prong involved stripping public employees of absolute immunity for constitutional torts (Rosenbloom, 1984: 55; Rosenbloom, 1987: 379). Rosenbloom (1987: 55) states: The competent public administrator can no longer define professionalism in terms of technical expertise alone. Rather, [they] must know constitutional law, especially the substantive and procedural rights of clients, patients, inmates, and others upon whom administrative action is taken. Judicial recognition of public employees’ constitutional rights and responsibilities transformed the relationship between public employers and their employees. To a certain degree, the new public service model recognized the special status of public employees in the U.S. constitutional form of government. With the growth of the administrative state, discretion granted to public administrators exploded. So would the temptation for elected officials and political appointees to attempt to use bureaucratic power and authority to pursue ideological and partisan goals and objectives. During the 1940s, Carl Friedrich recognized that the explosion in administrative discretion had a dark side (Plant, 2011). Friedrich argued that career civil servants must take responsibility for protecting the integrity of the administrative state. During an era when civil service systems face intense scrutiny, constitutional protections for public employees become increasingly essential for the protection of the legitimacy of the administrative state. This includes monitoring the delivery of services paid for but delivered by for-​profit and non-​ profit government contractors.

Chapter 9  •  The Rule of Law and Public Service  127 Of the constitutional rights recognized by the U.S. Supreme Court, the First Amendment right to freedom of speech, association, and, more recently, freedom of religious expression has impacted the relationship between public employers and public employees. Recognition of these rights forced public employers to give up historical management prerogatives. In Pickering v. Board of Education (1968), the U.S. Supreme Court held that public employees have a First Amendment right to speak out on a matter of public concern unless their speech unduly disrupted the efficient operation of the employee’s agency (Rosenbloom, 2014: 143–​144). Since the Pickering decision, the U.S. Supreme Court has significantly reduced public employees’ First Amendment freedom of speech rights in terms of managerial efficiency and employee responsiveness. Of these decisions, Garcetti v. Ceballos (2006) demonstrated the continuing impact of the traditional public administration paradigms on First Amendment freedom of speech jurisprudence (Roberts, 2020; Hudson Jr., 2021). Garcetti held that the First Amendment only protected the speech of a public employee when the employee spoke as a private citizen and not a public employee. The Garcetti decision forced lower federal courts to dismiss their First Amendment complaint if a public employee engaged in a speech while performing their official duties. In Lane v. Franks (2014), the U.S. Supreme Court carved out a narrow exception for Garcetti by holding that “the First Amendment protected a public employee whom his employer terminated after he provided truthful court testimony under a subpoena” (Hudson, 2021). But Franks did not lead to a major narrowing of Garcetti concerning internal complaints made by public employees of public corruption and mismanagement. If a public employee makes such complaints while performing their official duties, such complaints will not receive First Amendment freedom of speech protection. Public employees must continue to rely upon the state or federal whistleblower statutes to protect themselves from possible retaliation. The 1970s also saw the U.S. Supreme Court take the radical step of placing constitutional restrictions on political patronage (Meir, 1981). In Elrod v. Burns (1976) and Branti v. Finkel (1980), the U.S. Supreme Court found that some patronage appointments violated the First Amendment freedom of association rights of public employees. Specifically, in Branti, the employer must demonstrate that “party affiliation is an appropriate requirement for the effective performance of the public office involved” (Branti v. Finkel, 1981: 518). Among public management and constitutional rule-​of-​law scholars, the patronage cases touched off a heated debate over the importance of bureaucratic responsiveness in ensuring public agencies’ efficient and effective operation. These decisions did not sit well with many public management scholars. “Students of public administration have long recognized that bureaucracies have exercised political power independent of elected officials” (Meier, 1981: 561). “[T]‌ he court’s decisions indicate that Branti and Elrod are inappropriate public policy. The decisions appear to restrict government’s use of a mechanism designed to make bureaucracy more responsive” (Meier, 1981: 562). The 1970s and 1980s also saw the U.S. Supreme Court define the Fifth and Fourteenth Amendments’ procedural due process rights of public employees. Again, the U.S. Supreme Court used a shared service model balancing test to respect the efficiency and effectiveness paradigms of the discipline of public administration. In Board of Regents v. Roth (1972) and Cleveland Board of Education v. Loudermill (1985), the U.S. Supreme Court first recognized that only some public employees had Fifth and Fourteenth Amendment property in their public jobs. Local, state, and federal legislative

128  Robert Roberts bodies retained the authority to grant or deny their public employees “for cause” removal of job security. In the Loudermill case, the U.S. Supreme Court did mandate that all public employers provide public employees with a minimal procedural due process hearing before their termination. New public service model jurisprudence also saw the U.S. Supreme Court apply the balancing test to public employees’ Fourth Amendment privacy rights. The U.S. Supreme Court established strict rules governing criminal searches of areas where private citizens should expect privacy. On the other hand, the Fourth Amendment did not restrict workplace searches by private employers. Much like their private sector counterparts, public employers sought to persuade federal courts to grant considerable discretion to conduct warrantless workplace administrative searches. To a significant extent, the U.S. Supreme Court agreed. In O’Connor v. Ortega (1987), the U.S. Supreme Court held that public employers must have reasonable suspicion that public employees are violating workplace rules in order to conduct workplace searches where the employee expects privacy. In City of Ontario v. Quon (2010), public employers had the authority to search electronic devices provided by a public employer to an employee for text messages. The late 1960s and 1970s also saw the U.S. Supreme Court and lower federal courts struggle with whether to limit the authority of public employers to remove public employees because their off-​duty behavior offended certain social norms. Defending the ongoing purge, government officials maintained that gay individuals constituted a security risk because they might do the bidding of foreign agents to keep their sexual orientation secret. In the landmark case of Norton v. Macy (1969), the U.S. Court of Appeals for the District of Columbia (DC Circuit) admonished the U.S. Civil Service Commission (USCSC) for its treatment of gay federal employees. Writing for the majority, Chief Judge David Bazelon attacked the CSCSC for believing it had the authority or wisdom to decide what constituted “immoral” conduct. “A pronouncement of ‘immorality’ tends to discourage careful analysis because it unavoidably connotes a violation of divine, Olympian, or otherwise universal standards of rectitude. However, the Civil Service Commission has neither the expertise nor the requisite anointment to make or enforce absolute moral judgments.” Because federal court decisions forced federal agencies to stop firing employees for their sexual orientation, it does not mean federal courts have blocked public employers from firing employees for off-​duty conduct. Through the 1970s, many school districts routinely fired pregnant teachers or required public school teachers to take unpaid leave when they became pregnant (Will, 2019). In Cleveland Board of Education v. LaFleur (1974), the U.S. Supreme Court held that it violated the Equal Protection Clause to require a pregnant teacher to take unpaid leave. The U.S. Supreme Court and lower federal courts have generally refused to extend the reasoning in LaFleur to arguably other types of immoral conduct by public employees. For instance, in Coker v. Whittington (2016), a county sheriff fired two deputies for cohabiting with women who were not their wives. The two deputies began living with the wives of the other deputy. The District Court stressed: Plaintiffs cannot plausibly deny that each was living with a married woman, not their wife, and continued to do so, despite their return to work being explicitly conditioned upon the termination of those adulterous living arrangements. Plaintiffs could have terminated their living arrangements until their divorces became final, to return to work. They chose not to do so, thereby causing the termination of their employment as BPSO deputies. (Coker v. Whittington, 2016: 684)

Chapter 9  •  The Rule of Law and Public Service  129 Because the deputies served at the pleasure of the sheriff, they did not have Fifth and Fourteenth Amendments procedural due process protection. The Federal District Court granted the sheriff considerable discretion in defining what constituted immoral conduct for a deputy sheriff. The Coker case does raise serious questions about whether public employers should have the choice to regulate the off-​ duty conduct of their employees. Do public employees continue to have the responsibility to serve as role models for those they serve? The COVID-​19 pandemic also forced the federal courts to balance the Fifth and Fourteenth Amendments liberty interests of an employee with the interests of a public employer to maintain a safe working environment. Some public employees resisted efforts to require them to receive COVID-​19 vaccinations. Although the U.S. Supreme Court held that the Biden Administration lacked the authority to order private employers to vaccinate their employees for the COVID-​19 virus, federal and state courts upheld the power of the federal government and state and local governments to require their employees to be vaccinated.

THE RULE OF LAW AND THE ACCOUNTABILITY OF PUBLIC EMPLOYEES AND PUBLIC AGENCIES FOR CONSTITUTIONAL TORTS From the early twentieth-century birth of the discipline of public administration through the 1940s, the discipline of public administration paid little attention to the subject of the liability of the government and government employees for injuries to the public caused by the operation of public programs and the delivery of public services. Why? Local, state, and federal government agencies and their employees benefited from the widespread application of sovereign and official immunity doctrines. The doctrine of sovereign immunity protected government agencies from money damage lawsuits. And the doctrine of official immunity protected rank-​and-​file public employees from money damage lawsuits. Defenders of the doctrines of sovereign and official immunity argued that permitting individuals to sue governments and government employees for injuries resulting from the performance of official duties might bankrupt governments or force massive tax increases. Before World War II, critics of the doctrine of sovereign immunity argued that it left many individuals injured by the actions of government employees without any remedy to help them recover from their injuries. Facing this pressure, in 1946 Congress passed the Federal Tort Claims Act of 1946, which provided exceptions to federal government sovereign immunity (Lewis, 2019: 3–​4). Several states would pattern state tort claims Acts after the Federal Tort Claims Act. The 1960s and 1970s saw civil rights attorneys bring back to life provisions of the Ku Klux Klan Act of 1871, enacted by Congress to allow the federal government to enforce the Fourteenth Amendment provisions. A section of that law, known today as 42 U.S.C. 1983, gave individuals the right to sue local and state government officials for violating their federal constitutional rights (Michelman, 2021). During the 1970s and 1980s, in a series of controversial decisions, the U.S. Supreme Court stripped almost all state and local government officials of official immunity under 42 U.S.C. 1983 (Groszyk & Madden, 1981). The Supreme Court, for example, allowed local governments to be held liable for unconstitutional acts by their employees in certain circumstances (Monell v. New York City Department of Social Services 1978). These decisions made sense from a constitutional rights perspective (Groszyk & Madden, 1981). These decisions horrified many public management scholars.

130  Robert Roberts The ensuing flood of 42 U.S.C. 1983 constitutional lawsuits forced state and local governments to devote much more attention to educating their employees regarding their constitutional duties under federal law. The complexity of 42 U.S.C. 1983 litigation made it difficult for average citizens to understand how constitutional tort litigation has impacted the management of public agencies and the local, state, and federal levels. And public agencies did the best they could to disguise the costs associated with their employees violating the constitutional rights of members of the public in the course of performing their official duties. Recognizing the growing cost of 42 U.S.C. 1983 litigation, the U.S. Supreme Court attempted to provide state and local governments with some relief by adopting a constitutional tort test favorable to state and local government employees. In Harlow v. Fitzgerald (1982), the U.S. Supreme Court held that federal courts had the authority to require public employees to pay money damages only for violations of “clearly established” constitutional rights. In the decades following the Harlow decision, the U.S. Supreme Court would make it significantly easier for public administrators to qualify for “qualified immunity” by holding that a “clearly established” constitutional right existed (Rosenbloom & Rene, 2016). The present interpretation of the test requires that 42 U.S.C. plaintiffs must meet the burden of showing that “the contours of a right are sufficiently clear” so that every “reasonable official would have understood that what he is doing violates that right” (Novack, 2020: 2). One might have expected that tightening the “clearly established” constitutional right test would have led to a sharp drop in constitutional tort settlements and judgments. That did not happen (Kindy, 2022). Many governments failed to educate their employees sufficiently about what constituted a constitutional tort. Instead, many governments continued to view suits against government employees as an acceptable cost of doing business. Historically, governments used two systems to insure government agencies and employees from money damage lawsuits. States and many larger local government jurisdictions self-​insured themselves. This meant the governments set funds aside each year to cover settlements and judgments. This system effectively permitted governments to hide the cost of litigation within a much larger budget. The second system required a government to become part of an insurance risk pool. Several local governments would join to create an insurance or risk pool to spread the risk of significant judgments. Each jurisdiction would pay into the pool. And the pool would pay settlements or decisions from the pool (Kindy, 2022). If a pool ran short of funds, members of the pool would have to make up any shortfall. Most insurance pools require members to self-​insure a particular part of any judgment to reduce the drain on such funds. Frequently, an insurance pool would have to hire lawyers to defend a jurisdiction from a money damage lawsuit. Due to the ongoing escalation in cases and the increasing size of settlements and judgments, governments have been under increased pressure to reduce the number of alleged constitutional tort instances or face much higher self-​insurance costs or insurance pool costs. The public sector history of the management of constitutional torts provides an excellent example of the split between law and administration on the rule of law in public administration. Before the 1970s, the vast majority of local, state, and federal agencies had little financial exposure for constitutional torts committed by their employees. Instead of focusing on changing the behavior of public employees such as police officers, governments concentrated on managing liability through self-​insurance or joining insurance risk pools. This approach did little to get at the core of the problem; public employees routinely violated the constitutional rights of those they served. Those

Chapter 9  •  The Rule of Law and Public Service  131 taking on the responsibility of serving the public must accept their obligation to perform their duties in a way that reflects an understanding and acceptance of constitutional values (Newbold, 2010).

THE RULE OF LAW, CONSTITUTIONAL STEWARDSHIP, AND THE MISSION OF PUBLIC SERVICE The decision of the discipline of public administration to separate law from the administration made sense to many public management scholars. Why restrict the discipline’s ability to use the most advanced management tools by placing legalistic restraints on the exercise of administrative expertise? “Scholars have long recognized public law and management as foundational intellectual approaches to public administration but approaches that represent different values in the administrative process” (Christensen, Goerdel, & Nicholson-​Crotty, 2011: i129). The public law and management camps remain deeply divided. “[P]‌ublic law is seen as either champion of democratic values in the administrative process or as an unwarranted constraint on the effective implementation of public programs” argue Christensen, Goerdel, and Nicholson-​Crotty (2011: i129). Within the discipline of public administration, these divisions have profoundly impacted public sector human resource management. The need to make civil service employees more accountable to the political leadership of public agencies remains a constant theme of the anti-​civil service lobby. In October 2020, President Donald Trump issued an executive order that sought to move most civil service employees with policymaking responsibility into a new Schedule F. Once transferred, the political leadership would have much greater discretion to remove Schedule F employees without having to demonstrate a specific reason for doing so. For all practical purposes, Schedule F federal employees would become at-​will employees. In taking action, the Trump administration sought to challenge the constitutionality of the Civil Service Reform Act of 1883 because Congress has limited authority to limit the appointment and removal power of the president. The president would have the authority to remove all Schedule F without cause (Rein & Yoder, 2020; Moynihan, 2021). Coming less than two weeks before the presidential election, the executive order sent a clear message to career federal civil service employees that if President Trump was reelected, he would move quickly to exert much greater control over the federal executive by attempting to dismantle critical features of the executive branch civil service system. The Schedule F proposal reopened the debate over the need for civil service systems at the local, state, and federal levels (Mitnick, 2021; Moynihan, 2021). One might hope that the American people would have rushed to the defense of the federal civil service system. Many Americans have few contacts with federal employees. Instead of delivering services, the federal government spends vast sums paying for services provided by state and local governments and for-​profit and nonprofit private organizations (Light, 1999). When they do come into contact with federal employees, the experience may not be pleasant, such as having to try to resolve a tax issue with the Internal Revenue Service. The ability of the United States to quickly develop effective COVID-​ 19 vaccines constitutes the one bright spot from the perspective of the federal government’s response to the COVID-​19 pandemic. The federal government, for example, did not create and produce any COVID-​19 vaccines. Private companies did so after Congress appropriated billions for private companies to work miracles. Several federal government agencies did protect the integrity of the vaccine-​approval process

132  Robert Roberts from strong White House pressure to speed up the approval process for political reasons. These included the Food and Drug Administration (FDA) and the Centers for Disease Control (CDC) (Diamond, 2022). Let’s assume a future president decides to gut the federal civil service system and a future Congress or U.S. Supreme Court permits the president to carry through with plans to effectively give the president and political appointees of the president much greater discretion to hire federal employees, much like the discretion presently exercised by federal government contractors. Due to the public employee constitutional rights revolution, a future president would not be free to put the “spoils system” back in place. The U.S. Supreme Court in Branti v. Finkel (1981) held that the First Amendment right to freedom of association prohibited a public employer from taking into consideration the political affiliation or loyalty of a public employee in deciding to fire an employee, even if that employee served at the pleasure of the appointing authority unless the job required political belief. The U.S. Supreme Court placed the rule of law ahead of the perceived need for political appointees for responsive public employees. Defenders of the administrative state have done a terrible job explaining to the American public the vital role of career civil service in preserving our nation’s democratic institutions. They have also done a poor job of helping to ensure that fact rather than ideology, or political affiliation, does not unduly influence decision-​making by government agencies regarding public policy initiatives (Rourke, 1992). Rohr (1986: 171) argues that career public administrators must struggle to serve two masters. This means carrying out the order of their elected and appointed superiors, but also faithfully carrying out statutory and constitutional mandates. This inherent conflict significantly complicates the lives of career civil servants. Carl Friedrich argues that “discretionary authority is best lodged in career public administrators and not politically appointed officials” (Plant, 2011: 473). Friedrich feared immoral political leaders might gain control of the power associated with the modern administrative state. History has proven Friedrich correct. As Nigro (1979: 197) explains, “The Civil Service Act of 1883 was the culmination of a moral crusade by reformers anxious to remove from American society the evil of spoils and its attendant corruption.” Public administration’s discipline hijacked civil service reform’s moral foundation in the name of increased organizational efficiency and effectiveness. Morgan and Kass (1989: 54) argue that “the institutional position of the administrator can from time to time place them in a better position than most elected officials to protect cherished constitutional institutions and values. Therefore, it is understandable why an administrator on some occasions may, as a matter of duty, oppose the will of an elected official.” When human resource management focuses on enhancing managerial efficiency and increasing the responsiveness of career civil servants, it makes it much easier to ignore the role played by public servants in protecting the constitutional and moral foundations of public service. Adoption of the public service model by the U.S. Supreme Court provided public employees with additional protection to protect the public interest in performing their official duties. Yet empowering public administrators to do the right thing does not reduce organizational efficiency and effectiveness. The ongoing tension between “public administration grounded in law and one grounded in management” has helped to create an environment where many members of the public might not care if civil service systems went the way of the dinosaurs. Why not allow a president and a president’s political appointees to hire and fire federal executive branch employees at will? Hopefully, we learned from the chaos of the spoils era that serving the ideological or partisan interests of the political leaders of public organizations often means that the public interest suffers irreparable harm.

Chapter 9  •  The Rule of Law and Public Service  133

References Agger, C. (1938). The government and its employees. Yale Law Journal, 47(7), 1109–​1135. Bazelon, D. L. (1976). The impact of the courts on public administration. Indiana Law Review, 52(1), 101–​110. Bontecou, E. (1951). Does the loyalty program threaten civil rights? Annals of the American Academy of Political and Social Science, 275, 117–​123. Browne, V. J. (1954). Racial desegregation in the public service, with particular reference to the U.S. Government. Journal of Negro Education, 23(3), 242–​248. Chayes, A. (1976). The role of the judge in public law litigation. Harvard Law Review, 89, 1281–​1316. Christensen, R. K, Goerdel, H. T., & Nicholson-​Crotty, S. (2011). Management, law, and the pursuit of the public good in public administration. Journal of Public Administration Research and Theory, 21, i125–​i140. Diamond, D. (2022, August 24). House panel: Trump sought to pressure FDA on covid vaccines, and treatment. Washington Post. www.was​hing​tonp​ost.com/​hea​lth/​2022/​08/​24/​ trump-​fda-​press​ure-​covid-​vacci​nes-​treatm​ent D.R.M. (1971). The right of government employees to furnish information to Congress: Statutory and constitutional aspects. Virginia Law Review, 57(5), 885–​919. Dotson, A. (1955). The emerging doctrine of privilege in public employment. Public Administration Review, 15(2), 77–​88. Grantham, D. W. (2014). The life and death of the solid South: A political history. University Press of Kentucky. Groszyk, W. S., & Madden, T. J. (1981). Managing without immunity: The challenge for state and local government officials in the 1980s. Public Administration Review, 41(2), 268–​278. Hoogenbloom, A. A. (1959). The Pendleton Act and the Civil Service. The American Historical Review, 64(2), 301–​331. Hudson, D. L. Jr. (2021). The Supreme Court’s worst decision in recent years: Garcetti v. Ceballos, the Dred Scott Decision for Public Employees. William Mitchell Law Review, 47, 375–​395. Kindy, K. (2022, September 14). Insurers force change on police departments long resistant to it. Washington Post. www.was​hing​tonp​ost.com/​inv​esti​gati​ons/​inte​ract​ive/​2022/​pol​ice-​mis​ cond​uct-​insura​nce-​sett​leme​nts-​ref​orm/​?itid=​hp-​more-​top-​stor​ies Lewis, G. B. (1997). Lifting the ban on gays in the civil service: Federal policy toward gay and lesbian employees since the Cold War. Public Administration Review, 57(5), 387–​395. Lewis, M. L. (2019, November 20). The Federal Tort Claims Act (FTCA): A legal overview. Congressional Research Service. www.eve​rycr​srep​ort.com/​files/​2019/​1120_​R45732_​ 1e513b392c1a6​c206​6ca7​9006​5c18​7aa8​90b4​dbc.pdf Light, P. C. (1999). The true size of government. Brookings Institution. Lynn, L. E. Jr. (2009). Restoring the rule of law to public administration: What Frank Goodnow got right, and Leonard White didn’t. Public Administration Review, 65(5), 803–​813. Meier, K. J. (1981). Ode to patronage: A critical analysis of two recent Supreme Court decisions. Public Administration Review, 41(5), 558–​563. Michelman, S. (2021). Happy 150th anniversary, Section 1983! ACLU District of Columbia. www.acl​udc.org/​en/​news/​happy-​150th-​anni​vers​ary-​sect​ion-​1983#:~:text=​Sect​ion%201%20 of%20t​hat%20law,mur​der%20in%20the%20pos​tbel​lum%20So​uth Mitnick, B. M. (2021, January 21). Trump revived Andrew Jackson’s spoils system, which would undo America’s 138-​year-​old professional civil service. The Conversation. https://​ thec​onve​rsat​ion.com/​trump-​revi​ved-​and​rew-​jacks​ons-​spo​ils-​sys​tem-​which-​would-​undo-​ ameri​cas-​138-​year-​old-​profe​ssio​nal-​civil-​serv​ice-​150​039

134  Robert Roberts Morgan, D. F., & Kass, H. D. (1989). Constitutional stewardship, phronesis and the American administrative ethos. Dialogue, 12(1), 17–​60. Moynihan, D. P. (2021). Public management for populists: Trump’s Schedule F Executive Order and the future of the civil service. Public Administration Review, 82(1), 174–​178. National Association of Letter Carriers (2022). 1902–​ 1912: Reign of terror. www.nalc.org/​ about/​facts-​and-​hist​ory/​body/​1902-​1912.pdf Newbold, S. (2010). Toward a constitutional school for American public administration. Public Administration Review, 70(4), 538–​546. Newbold, S. (2011). No time like the present: Making rule of law and constitutional competence the theoretical and practical foundation for public administration graduate education curriculum. Journal of Public Affairs Education, 17(4), 465–​481. Nigro, F. A. (1979). The politics of civil service reform. Southern Review of Public Administration, 3(2), 196–​239. Note (1966). Dismissal of federal employees: The emerging judicial role. Columbia Law Review, 66(4), 719–​741. Novack, W. K. (2020, June 25). Policing the police: Qualified immunity and considerations for Congress. Congressional Research Service. https://​crs​repo​rts.congr​ess.gov/​prod​uct/​pdf/​ LSB/​LSB10​492 Plant, J. F. (2011). Carl J. Friedrich on responsibility and authority. Public Administration Review, 71(3), 471–​482. Rein, L., & Yoder, E. (2020, October 22). Trump issues sweeping order for tens of thousands of career federal employees to lose civil service protections. Washington Post. www.was​hing​ tonp​ost.com/​polit​ics/​trump-​order-​fede​ral-​civil-​serv​ice/​2020/​10/​22/​c7378​3f0-​1481-​11eb-​ bc10-​40b​2538​2f1b​e_​st​ory.html Roberts, R. (1988). White House ethics: History of the politics of conflict of interest regulation. Greenwood Press. Roberts, R. (2020). The death of public integrity. Routledge. Rohr, J. (1986). To run a constitution. University Press of Kansas. Rosenbloom, D. H. (1975). Public personnel administration and the Constitution: An emergent approach. Public Administration Review, 35(1), 52–​59. Rosenbloom, D. H. (1981). The judicial response to the rise of the American administrative state. American Review of Public Administration, 15(1), 29–​51. Rosenbloom, D. H. (1983). Public administration and law: Bench v. bureau in the United States. Marcel Dekker. Rosenbloom, D. H. (1984). Public administrative professionalism and public service law. State and Local Government Review, 16(2), 55–​64. Rosenbloom, D. H. (1987). Public administrators and the judiciary: The new partnership. Public Administration Review, 47(1), 75–​83. Rosenbloom, D. H. (2014). Federal service and the Constitution. Georgetown University Press. Rosenbloom, D. H., & Rene, H. K. (2016). Shrinking constitutional tort accountability: Developments in the law and implications for professional responsibility. Public Performance & Management Review, 40(2), 1–​23. Rourke, F. E. (1992). Responsiveness and neutral competence in American Bureau. Public Administration Review, 52(6), 539–​546. Vile, J. R. (2009). Door-​to-​door solicitation. The First Amendment Encyclopedia. www.mtsu. edu/​first-​amendm​ent/​arti​cle/​1106/​door-​to-​door-​solic​itat​ion Will, M. (2019, October 10). Yes, teachers once could be fired for being pregnant. Here’s what you should know. Education Week www.edw​eek.org/​teach​ing-​learn​ing/​yes-​teach​ers-​once-​ could-​be-​fired-​for-​being-​pregn​ant-​heres-​what-​you-​sho​uld-​know/​2019/​10

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Cases Board of Regents v. Roth, 408 U.S. 564 (1972). Branti v. Finkel, 445 U.S. 507 (1980). City of Ontario v. Quon, 560 U.S. 746 (2010). Cleveland Board of Education v. LaFleur, 414 U.S. 632 (1974). Cleveland Board of Education v. Loudermill, 470 U.S. 532 (1985). Coker v. Whittington, 169 F. Supp. 3d 677 (2016). Dew v. Halaby, 317 F.2d 582 (1963). Elrod v. Burns, 427 U.S. 347 (1976). Garcetti v. Ceballos, 547 US 410 (2006). Harlow v. Fitzgerald, 457 U.S. 800 (1982). Lane v. Franks, 573 U.S. 228 (2014). McAuliffe v. Mayor of New Bedford, 155 Mass. 216; 29 N.E. 517 (Mass., 1892). Monell v. New York City Department of Social Services, 436 U.S. 658 (1978). Norton v. Macy, 417 F.2d 1161 (1969). O’Connor v. Ortega, 480 U.S. 709 (1987). Pickering v. Board of Education, 391 U.S. 563 (1968).

10



THE LASTING IMPACT OF COVID-​19 ON STATE AND LOCAL GOVERNMENT WORKFORCES Helen H. Yu

On January 20, 2020, the Centers for Disease Control and Prevention (CDC, 2022) reported the first confirmed case of COVID-​19 in the United States from samples taken two days earlier in Washington state. On March 11, 2020, the World Health Organization (WHO) decreed COVID-​19 a global pandemic after more than 118,000 confirmed cases and 4,291 deaths in 114 countries worldwide (CDC, 2022). Two days later, on March 13, 2020, the Trump Administration declared a nationwide emergency in response to the COVID-​19 outbreak in the United States, and states began shuttering all establishments (other than essential businesses), including schools and daycare facilities (Hung et al., 2020; CDC, 2022). Altogether, 42 governors issued statewide “stay-​at-​home, work-​from-​ home” orders to prevent public gatherings and encouraged a shift to telework among nonessential businesses (Hung et al., 2020; National Conference of State Legislatures, 2021b; Allgood et al., 2022; Barboza-​Wilkes et al., 2022). For this chapter and its subsequent discussion, telework is defined as “home-​based telework where work duties are carried out at home” (Daniels et al., 2001; 1154; de Vries, Tummers, & Bekkers, 2019; see also Chapter 10).1 By May 2020, nearly 35.4 percent of employed workers in the United States (regardless of employment sector) had partially (21 percent) or exclusively (38 percent) worked from home in the preceding four weeks because of the COVID-​19 pandemic, rising to a pandemic high of 42 percent of employed workers between May and December 2020 (Bureau of Labor Statistics, 2021a, 2021b; OECD, 2021; Pabilonia & Vernon, 2022). These earlier figures included 56.4 percent of all public sector employees; specifically, 49.4 percent of federal government workers, 62 percent of state workers, and 55.1 percent of local government workers (Bureau of Labor Statistics, 2021a). As the pandemic progressed into another year, telework would decline slightly to 38 percent of employed workers in 2021 who continued to work partially or fully from home (Bureau of Labor Statistics, 2022). For comparison, far fewer (22 percent) employees worked from home in some capacity in 2019 (Bureau of Labor Statistics, 2021a; Pabilonia & Vernon, 2022). Concurrently,

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DOI: 10.4324/9781003403401-10

Chapter 10  •  The Lasting Impact of COVID-19  137 the government issued compulsory restrictions such as mask and vaccination mandates, social distancing, and travel quarantines. Virtual commerce would become the new norm for many workers nationwide (Hung et al., 2020; OPM, 2020; Maurer, 2021; National Conference of State Legislatures, 2021a, 2021c; OECD, 2021; Office of Management and Budget et al., 2021; CDC, 2022). Likewise, the initial months of the COVID-​19 pandemic had a large impact on the labor market (regardless of employment sector), leading to a sharp rise in unemployment, reduced hours, and/​or temporary furloughs (Alon et al., 2020; Hung et al., 2020; Benshoff, 2021; Green & Loualiche, 2021; Rosewicz & Maciag, 2021; DiNapoli & Jain, 2022; Edwards et al., 2022). In April 2020, the unemployment rate rose to 14.7 percent, the highest and largest over-​the-​month increase (10.3 percent) in the history of collecting employment data in the United States since January 1948 (Bureau of Labor Statistics, 2020b). At this time, “Hawai‘i had the highest percentage (25.8%) of the state’s labor force filing for unemployment [benefits] in the country” (Hung et al., 2020: 215, citing Sauter & Stebbins, 2020). For comparison, the unemployment rate was 4.4 percent the month prior in March 2020 and 3.5 percent in December 2019 nationwide (Bureau of Labor Statistics, 2020a, 2020b). In addition, employment fell sharply by 20.5 million during this timeframe, with heavy job losses in the leisure and hospitality industries (Bureau of Labor Statistics, 2020b; Hung et al., 2020). By the end of 2021, the labor market still had not recovered to pre-​pandemic numbers. However, the number of unemployed workers to include those on temporary layoffs decreased from 10.9 million in December 2020 to 6.8 million in December 2021 (Edwards et al., 2022). Likewise, the unemployment rates continued to trend downwards from 6.8 percent in December 2020 to 4.2 percent in December 2021 (Edwards et al., 2022). By the end of 2022, nearly three years after COVID-​19 brought disruptions nationwide, the labor market appeared to return to pre-​pandemic numbers as unemployed workers continued to decrease by another 1.1 million persons to 5.7 million workers in December 2022, and the unemployment rate dropped to 3.5 percent (Bureau of Labor Statistics, 2020a, 2023; Edwards et al., 2022; Hinh, 2023). Despite these overall figures, there were lasting impacts of the COVID-​19 pandemic on state and local government workforces.

THE EFFECTS OF THE COVID-​19 PANDEMIC As the country continues to recover from this unprecedented global crisis that is still unfolding, public sector employment—​ in particular, state and local government workforces—​ has lagged in its recovery due to pandemic-​ related service reductions, hiring freezes and furloughs, burnout and fatigue, work–​family conflict, and the general departure of government workers to include an unprecedented increase in retirements (Benshoff, 2021; Green & Louliche, 2021; National Conference of State Legislatures, 2021a; Rosewicz & Maciag, 2021; Allgood et al., 2022; Barboza-​ Wilkes et al., 2022; DiNapoli & Jain, 2022; Sciepura & Linos, 2022). In response, state and local governments have expanded remote and flexible work options to prioritize mental health and work–​ life balance, provided financial incentives to retain staff, and broadened the recruitment pools of potential applicants (Maurer, 2021; National Conference of State Legislatures, 2021b; Rosewicz & Maciag, 2021; Dinapoli & Jain, 2022; Vyas, 2022). Despite these efforts, state and local government workers—​especially women and racial minorities—​continue to experience the lasting and detrimental impacts of COVID-​19 in the workplace. The

138  Helen H. Yu remaining discussion will focus on two areas of lasting impact: telework and delay in job growth.

ALTERNATIVE WORK SCHEDULE: TELEWORK Prior to the COVID-​19 pandemic, telework was a benefit for relatively few public servants (also see Chapter 14). Despite the signing of the Telework Enhancement Act of 2010, which greatly increased opportunities for telework among federal government workers by requiring all executive agencies to develop telework plans and identify which eligible employees were authorized to telework, the Office of Personnel Management (OPM, 2021) found that only 22 percent of all federal employees teleworked in the fiscal year 2019. The percentages were even lower for state and local employees. To illustrate, only 4 percent of state and local government workers had access to telework opportunities prior to the pandemic (National Conference of State Legislatures, 2021b). As a result, on March 3, 2020, the OPM (2020) released a memorandum entitled, Preliminary Guidance to Agencies During COVID-​19, summarizing instructions from the White House Coronavirus Task Force to prepare the federal workforce for the potential impacts of COVID-​19 and for organizations to become telework-​ready, classifying as many eligible employees as possible in their continuity of operations plans. Following this guidance, federal agencies promptly extended telework opportunities to all eligible federal workers—​nearly half (49.4 percent) of all federal government workers—​ transitioning many to remote work for the first time (Groshen, 2020; OPM, 2020, 2021; Bureau of Labor Statistics, 2021a; Maurer, 2021; National Conference of State Legislatures, 2021b; CDC, 2022; Pabilonia & Vernon, 2022). Likewise, states began to expand access to telework among their own state and local government workforces, initially over half of state (62 percent) and local (55.1 percent) government workers, respectively (Bureau of Labor Statistics, 2021a; National Conference of State Legislatures, 2021b). According to the Council of State Governments (2022), “Every state has some form of telework policy, whether through statutes or regulations, manuals or guidance documents, or policies applicable to emergency situations.” However, at least six states enacted new telework legislation (specifically) for the public sector in 2020 to expand access to job opportunities and alleviate job disruptions, with another 16 states enacting broadband connectivity legislation in direct response to the COVID-​19 pandemic (National Conference of State Legislatures, 2021b). The latter was essential for many state and local government workers who did not have residential access to broadband due to rural and underserved areas in their states to access remote work opportunities (National Conference of State Legislatures, 2021b). By the end of 2020, 39.2 percent of state and 30.9 percent of local government workers had teleworked in the preceding four weeks due to the COVID-​19 pandemic (Bureau of Labor Statistics, 2021a). Subsequently, the Equal Employment Opportunity Commission (2022) released additional federal guidelines to state and local governments, plus private employers, on telework policies as they relate to the Americans with Disabilities Act (ADA), the Rehabilitation Act, which includes the requirements for reasonable accommodation and non-​discrimination based on discrimination, and other equal employment opportunity laws that accompanied guidance and suggestions made by the CDC or other state or local public health officials about measures employers should take regarding COVID-​19 in the workplace (National Conference of State Legislatures, 2021a, 2021b, 2021c; Council of State Governments, 2022).

Chapter 10  •  The Lasting Impact of COVID-19  139 Furthermore, to reduce the financial strain of state spending on COVID-​ 19 relief and emergency response measures, Congress incorporated $150 billion in direct assistance for state, local, and tribal governments as part of the Coronavirus Aid, Relief, and Economic Security Act of 2020, also known as the CARES Act (Green & Loualiche, 2021; National Conference of State Legislatures, 2021b; Rocco & Kass, 2022). Recognized as the Coronavirus Relief Fund, each state obtained a minimum distribution of $1.25 billion based primarily in proportion to their population, and local governments with a population of at least 500,000 residents were eligible for direct payments (Green & Loualiche, 2021; National Conference of State Legislatures, 2021b; Rocco & Kass, 2022). Provided that funds were spent by December 30, 2020—​this would later be extended to December 31, 2021—​the CARES Act authorized states and other government recipients to use their funds to expand broadband capacity for telework, among other funding gaps (National Conference of State Legislatures, 2021b; Rocco & Kass, 2022). Congress would provide an additional $350 billion in relief and recovery for state, local, and tribal governments through the Coronavirus State and Local Fiscal Recovery Funds as part of the American Rescue Plan Act (ARPA) of 2021 (Cooper et al., 2021; Rocco & Kass, 2022). The ARPA would expand the scope of relief that was put in place by the CARES Act. Despite this abrupt transition to remote work for many of our state and local government workers, there were previously known benefits to telework. These include: (1) cost savings with transit and commuting times (Caillier, 2012a, 2012b; Mahler, 2012; OPM, 2018, 2022; Council of State Governments, 2022); (2) improved access to employment opportunities and accommodation requests for workers with disabilities (National Conference of State Legislatures, 2021a, 2021b, 2021c; Council of State Governments, 2022); (3) higher job satisfaction and organizational commitment (Caillier, 2012b, 2013; Council of State Governments, 2022; Kwon & Kim-​Goh, 2022); (4) increased work engagement and performance (Caillier, 2012a; Council of State Governments, 2022; Kwon & Kim-​Goh, 2022); and (5) the overall improvement to work–​life balance, especially among women with childcare (and eldercare) responsibilities (Facer & Wadsworth, 2008; Wadsworth et al., 2010; Caillier, 2012b; Mahler, 2012; Wadsworth & Facer, 2016; OPM, 2018; Kim et al., 2020; Council of State Governments, 2022; Pabilonia & Vernon, 2022; van der Meer et al., 2022; Vyas, 2022). Furthermore, there were fiscal impacts and cost savings (for the employer) to authorize telework due to lower real estate, operating, and maintenance costs, and to maintain greater continuity of operations during health emergencies such as the COVID-​ 19 pandemic, as well as any other crises such as civil unrest, mass power outages, and building fires that require a building closure, or extreme weather conditions that prevent employees from traveling to work (Wadsworth et al., 2010; Caillier, 2012a, 2012b; Mahler, 2012; Office of Management and Budget et al., 2021; Council of State Governments, 2022; OPM, 2022; Vyas, 2022). In reality, digital infrastructure is the key to organizational sustainment (Vyas, 2022). On the other hand, some scholars found that there were no benefits to telework, especially among women and minority workers (de Vries, Tummers, & Bekkers, 2019; Alon et al., 2020; Collins et al., 2020; Profeta, 2020; Odate & Parmar, 2021; Ruppanner et al., 2021; Allgood et al., 2022; Pabilonia & Vernon, 2022). For example, de Vries, Tummers, and Bekkers (2019) and Allgood et al. (2022) found less organizational commitment and higher professional isolation from public servants who participated in telework. The latter also “negatively [impacted] workplace culture, such as non-​teleworker resentment, antagonism toward teleworkers, and a lower level of cooperation” and collaboration with colleagues (Kwon & Kim-​Goh, 2022: 2, citing Mahler, 2012). Moreover, this isolation

140  Helen H. Yu heightened burnout and disengagement from increased work and difficulties adapting to the new demands of telework, adversely impacting workers’ mental well-​being (Allgood et al., 2022; Barboza-​Wilkes et al., 2022; Deloitte, 2022; Giauque et al., 2022; Sciepura & Linos, 2022; van der Meer et al., 2022; Vyas, 2022). Finally, monitoring employees who telework can be a difficult task for supervisors and managers (Wadsworth et al., 2010; Lee & Hong, 2011; Kwon & Jeon, 2020), and for the teleworkers themselves, as they “are often unclear about what is expected of them, what objectives they are supposed to meet, and whether they are sufficiently performing their tasks and duties” (Overmyer, 2011; Tavares, 2015; Kwon & Kim-​Goh, 2022: 2, citing Igbaria & Guimaraes, 1999; Sciepura & Linos, 2022). Likewise, gender disparities for women—​especially women of color—​who telework were exacerbated by the COVID-​19 pandemic. To illustrate, women with children experienced more interruptions in their workdays compared with fathers or other workers without children, due to women’s primary childcare (and eldercare) responsibilities in the home (Alon et al., 2020; Collins et al., 2020; Deloitte, 2022; Odate & Parmar, 2021; OECD, 2020; Pabilonia & Vernon, 2022; Profeta, 2020; Ruppanner et al., 2021). Women also had more housework demands in comparison to men, regardless of work status, due to outdated societal expectations (Alon et al., 2020; Collins et al., 2020; OECD, 2020; Profeta, 2020; Odate & Parmar, 2021; Ruppanner et al., 2021; Deloitte, 2022; Pabilonia & Vernon, 2022). These burdens were heightened during the COVID-​19 pandemic, when schools and daycare facilities were closed for an extended period of time (Alon et al., 2020; Collins et al., 2020; OECD, 2020; National Conference of State Legislatures, 2021a; CDC, 2022), especially since grandparents (or other family members and friends) were discouraged from providing childcare due to social distancing and the higher mortality rate from COVID-​19 among the elderly (Alon et al., 2020). Thus, most families with children, primarily (single) mothers, had no choice but to care for their children themselves, regardless of work or relationship status (Alon et al., 2020; Collins et al., 2020; OECD, 2020; Odate & Parmar, 2021; Ruppanner et al., 2021; Deloitte, 2022). As a result, the COVID-​ 19 pandemic had a disproportionately negative effect on women workers and their long-​ term employment opportunities as their career expectations were reduced due to an anticipated diminished effort on the job (Bariola & Collins, 2021; Bureau of Labor Statistics, 2022; Collins et al., 2020; Landivar et al., 2020). This leads to a wage penalty for women with children under the age of six who telework, compared with fathers who telework, especially among women of color, as well as mothers who do not telework due to the perceived reduction in workhours and job performance (Alon et al., 2020; Collins et al., 2020; Bureau of Labor Statistics, 2021a; Deloitte, 2022; Pabilonia & Vernon, 2022). Despite these drawbacks, many scholars believe telework will have a lasting impact on employees and employers post-​pandemic, including state and local government workforces, for several reasons: (1) better-​than-​expected experiences working from home; (2) new investments in physical and human capital that enable working from home; (3) greatly diminished stigma associated with working from home; (4) lingering concerns about crowds and contagion risks; and (5) a pandemic-​driven surge in technological innovations that support working from home (Barrero et al., 2021: 1; Benshoff, 2021; OECD, 2021; Barboza-​Wilkes et al., 2022; Vyas, 2022). Specifically, in a recent survey on working arrangements and attitudes that was conducted during the pandemic, Barrero et al. (2021) projected that telework in the post-​pandemic economy would reach four times its pre-​pandemic level, although only 40 percent of its average level during the pandemic. Likewise, most employees welcomed

Chapter 10  •  The Lasting Impact of COVID-19  141 the option to telework one or more days per week post-​pandemic, and some were willing to accept an average pay cut of 7 percent for the option to telework more days during the week (Barrero et al., 2021; Barboza-​Wilkes et al., 2022; Giauque et al., 2022). Furthermore, scholars believed employers would focus on achieving better work–​life balance, predicated on changes that were already underway but accelerated with the arrival of the COVID-​19 pandemic, with either hybrid (e.g., combination of telework and in-​office work) or full-​time telework opportunities (OPM, 2018, 2021, 2022; Alon et al., 2020; Office of Management and Budget et al., 2021; Council of State Governments, 2022; Deloitte, 2022; Pabilonia & Vernon, 2022; Vyas, 2022). Finally, as the largest employer in the United States (regardless of employment sector), the Biden Administration announced it would preserve flexible and remote work arrangements such as hybrid or fully remote work schedules for federal workers post-​ pandemic to include government contractors, serving as a model employer for other state and local governments (Maurer, 2021; Office of Management and Budget et al., 2021). These return-​to-​work guidelines by the Biden Administration also included an increase to other types of alternative work schedules in combination with telework to prioritize employee well-​being (both mental and physical) and embrace work–​life balance, such as: (1) flexible work schedules (i.e., latitude in determining when employees start and end their workday within the limits set by the employer); (2) compressed work schedules (i.e., increase of fixed hours in a workday but less workdays in a workweek); and (3) part-​time schedules (i.e., latitude in working less than 40 hours within a workweek) (Wadsworth et al. 2010; Wadsworth & Facer, 2016; OPM, 2018; Feeney & Stritch, 2019; Kim et al., 2020; Office of Management and Budget et al., 2021).

RETENTION AND HIRING CONDITIONS Despite the government’s dependence and increased acceptance of alternative work schedules, the COVID-​19 pandemic has affected occupations and segments of public employment differently. While federal government workers were left nearly untouched, within the first four months of the pandemic, almost 1.5 million state and local government workers were laid off due to balanced budget requirements unique to state and local governments (Cooper et al., 2021; Green & Loualiche, 2021; Rosewicz & Maciag, 2021; Hinh, 2023). Although the rules vary from state to state, these requirements essentially prevented states from borrowing funds to support non-​capital expenditures such as payroll (Cooper et al., 2021; Green & Loualiche, 2021; Rosewicz & Maciag, 2021; Hinh, 2023). Therefore, the federal government was able to respond to the pandemic with considerably increased spending, without impacting federal workers, while state and local governments could not substantially increase their spending to include retaining current and hiring new workers to contain the pandemic without a corresponding increase in state and local tax revenues (Cooper et al., 2021; Green & Loualiche, 2021; Hinh, 2023). The latter was especially problematic at the beginning of the COVID-​19 pandemic because state and local governments accounted for a large share of government service provisions most essential in a pandemic, such as unemployment benefits, public safety, education, and health services (Hung et al., 2020; Cooper et al., 2021; Green & Loualiche, 2021; Rosewicz & Maciag, 2021). However, pandemic-​induced recession caused tremendous loss in sales tax revenues, deferred tax payments, and lowered projections for state and local income and property taxes, respectively (Green & Loualiche, 2021). Thus, states and local governments that relied more on sales tax as a primary source of revenue laid

142  Helen H. Yu off many more government workers than other states and local municipalities (Green & Loualiche, 2021; Hinh, 2023). In response to the economic recession, the Coronavirus Relief Fund, contained in the CARES Act of 2020, was able to offset the number of government employee layoffs (Green & Loualiche, 2021; Rosewicz & Maciag, 2021). Although the Coronavirus Relief Fund maintained that funding could not replace revenue to maintain existing spending levels, but was rather for unplanned expenses directly related to the COVID-​19 pandemic, some of these funds were used to sustain employment of state and local government workers (Green & Loualiche, 2021; Rosewicz & Maciag, 2021; Rocco & Kass, 2022). In total, more than 400,000 layoffs were protected, despite a loss of almost 1.5 million state and local government workers (Cooper et al., 2021; Green & Loualiche, 2021; Rosewicz & Maciag, 2021). By the beginning of 2021, state and local government employment was still 1.4 million jobs below pre-​pandemic levels (Cooper et al., 2021). In addition, every state, plus the District of Columbia and Puerto Rico, had lost more than 5 percent of state and local government jobs, with some states cutting more than 10 percent of their public-​sector workforces (e.g., Maine [–​10.4 percent], Nevada [–​10.4 percent, and New Hampshire [–​13.7 percent]) (Cooper et al., 2021; Green & Loualiche, 2021; Hinh, 2023). By the end of 2020, over half (27) of all state governments had more severe employment cuts than their local government counterparts, and ten state governments had cut jobs by more than 10 percent of their respective workforces (e.g., Massachusetts [–​10.0 percent], Maryland [–​10.2 percent], Hawai‘i [–​10.3 percent], Maine [–​11.3 percent], Michigan [–​ 11.7 percent], Kentucky [–​ 12.1 percent], Ohio [–​ 12.2 percent], Wisconsin [–​13.0 percent], Colorado [–​13.7 percent], and New Hampshire [–​27.9 percent]) (Cooper et al., 2021). While five states (Iowa, Alaska, Oregon, Montana, and New Mexico) were able to add jobs to their state government workforces, no states saw an increase in local government employment (Cooper et al., 2021). However, in a handful of states, local governments cut 10 percent or more of their respective local public-​sector workforces (e.g., Maine [–​ 10.0 percent], Minnesota [–​ 10.0 percent], Washington [–​ 10.3 percent], Oregon [–​11.1 percent], and Nevada [–​13.5 percent]) (Cooper et al., 2021). Incidentally, state and local governments are key employers for women and racial minorities. In response to Title VII of the Civil Rights Act of 1964 and the Equal Employment Opportunity Act of 1972, all state and local governments are subject to anti-​ discrimination and affirmative action legislation that increased employment for women and racial minorities in the proceeding decades. Consequently, women and racial minorities represent a larger percentage of state and local government workers, in comparison to the private sector. To illustrate, women represented a vast majority (59.6 percent) of state and local government workers pre-​pandemic, compared with less than half (46.6 percent) of all private-​sector employees (Cooper et al., 2021). Likewise, African Americans, especially Black women, represented a higher percentage (14 percent) of state and local government workers pre-​pandemic compared with private-​sector employees (12.2 percent) (Cooper et al., 2021). Therefore, the disproportionate representation of women and African Americans in state and local government workforces at the beginning of the COVID-​19 pandemic likely equated to their disproportionate percentage of layoffs throughout the pandemic (Bureau of Labor Statistics, 2020a; Cooper et al., 2021; Hinh, 2023). Congress would continue to respond to the COVID-​19 pandemic through a second emergency aid program called the American Rescue Plan Act (ARPA) of 2021 (Cooper et al., 2021; Rocco & Kass, 2022; Hinh, 2023). Specifically, the Coronavirus State and Local Fiscal Recovery Fund, contained in the ARPA, emphasized additional funds that totaled

Chapter 10  •  The Lasting Impact of COVID-19  143 $350 billion for state, local, and tribal governments to offset continued revenue loss and the subsequent widespread layoffs in state and local government workforces that would resume throughout 2021 and 2022, as well as address some long-​standing inequities caused by decades of racial tension in public services (Cooper et al., 2021; Rosewicz & Maciag, 2021; Rocco & Kass, 2022; Hinh, 2023). However, unlike the first round of emergency aid by the federal government, the ARPA allowed state and local governments an exceptional amount of flexibility in how they allocated these funds (Cooper et al., 2021; Rocco & Kass, 2022; Hinh, 2023). By the end of 2021, state and local government workforces had improved with no state or local municipality below –​8.5 percent (New Mexico), although nearly all state and local governments continued to remain below pre-​pandemic levels (Rosewicz & Maciag, 2021). However, four states had recovered and surpassed their pre-​pandemic levels by the end of 2021 (West Virginia [0.3 percent], South Dakota [0.6 percent], Texas [0.9 percent], and Rhode Island [1.5 percent]) (Rosewicz & Maciag, 2021). Despite these improvements reinforced by the CARES Act and the ARPA, state and local governments continued to lag in job growth compared with the private sector (Benshoff, 2021; Cooper et al., 2021; Green & Louliche, 2021; Rosewicz & Maciag, 2021; DiNapoli & Jain, 2022; Sciepura & Linos, 2022). Multiple factors have held back the recovery of state and local government jobs. First, according to the Department of Treasury, state and local governments were operating from a deficit of 1.3 million government workers when the ARPA was enacted to defray pandemic service cuts (Benshoff, 2021). According to the Pew Charitable Trusts, many state and local government workers who were furloughed or laid off temporarily have not returned to work due to continued pandemic-​related service reductions (Benshoff, 2021; Rosewicz & Maciag, 2021). For many states and local municipalities, budgetary uncertainty that led to the furloughs and hiring freezes at the beginning of the COVID-​19 pandemic remain (Benshoff, 2021; Green & Louliche, 2021; Barboza-​Wilkes et al., 2022; DiNapoli & Jain, 2022; Rocco & Kass, 2022; Rosewicz & Maciag, 2021; Hinh, 2023). Second, many state and local government workers are leaving public service, including through retirement, due to pandemic burnout and fatigue, as well as continued work–​family conflict, causing state and local governments to scramble to hire hard-​to-​fill positions (Benshoff, 2021; Rosewicz & Maciag, 2021; DiNapoli & Jain, 2022; Sciepura & Linos, 2022). Specifically, many are hesitant to perform in-​person work again for those occupations that no longer offer telework, and staff shortages among childcare programs have impacted workers’ access to childcare (Benshoff, 2021; Rosewicz & Maciag, 2021; DiNapoli & Jain, 2022). In addition, some government workers have refused COVID-​19 vaccinations and other health protocols mandated by state and local governments, and are thus unable to return (DiNapoli & Jain, 2022). Finally, state and local governments continue to have difficulties filling traditionally hard-​to-​fill positions, such as those in public safety (e.g., police, corrections, sanitation) and other specialty positions (e.g., engineering, legal, architectural, social and health services) (Benshoff, 2021; Rosewicz & Maciag, 2021; DiNapoli & Jain, 2022). Despite providing financial incentives and broadening the recruitment pools of potential applicants, these positions are slower to recover, especially with the unpredictability of the pandemic.

144  Helen H. Yu

MOVING FORWARD After three years, the COVID-​19 pandemic is still ongoing and continues to hinder government services and obstruct broader economic growth. New variants of the virus that causes COVID-​19 are emerging constantly, and the United States could potentially return to early pandemic conditions in the future. However, a new normal exists in the workplace, and the ARPA provided the opportunity to proactively undo racial inequities in our communities. Moving forward, key trends have been accelerated in state and local government workforces as a result of the COVID-​19 pandemic. First, investments in digital infrastructure will become essential for state and local governments. Second, hybrid work and telework will become normalized in the workplace, as will other alternative work schedules. Third, focus on work–​life balance will increase, especially for women and people of color. Finally, despite existing challenges, job growth will continue for state and local governments through the end of 2024, when funding from the ARPA expires. At that time, the detrimental impacts of the COVID-​19 pandemic will hopefully have passed.

Note 1. While home-​based telework is the most common and frequently used form of telework, there are two other forms of telework employed by the workforce: “(1) telework from remote offices where work is done at [satellite] offices that are remote from the main office and (2) mobile telework where work is done by [employees] whose work usually involves [mostly full-​time] travel and/​or spending time on customers’ premises” (Daniels et al., 2001: 1154).

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Chapter 10  •  The Lasting Impact of COVID-19  145 Bureau of Labor Statistics. (2022). American time use survey—​2021 results. www.bls.gov/​ news.rele​ase/​atus.nr0.htm Bureau of Labor Statistics. (2023). The employment situation—​December 2022. www.bls.gov/​ news.rele​ase/​emp​sit_​nr0.htm Caillier, J. G. (2012a). The impact of teleworking on work motivation in a U.S. federal government agency. The American Review of Public Administration, 42(4), 461–​480. Caillier, J. G. (2012b). Satisfaction with work–​life benefits and organizational commitment/​ job involvement: Is there a connection? Review of Public Personnel Administration, 33(4), 340–​364. Caillier, J. G. (2013). Are teleworkers less likely to report leave intentions in the United States federal government than non-​ teleworkers are? The American Review of Public Administration, 43(1), 72–​88. Centers for Disease Control and Prevention (CDC). (2022). COVID-​19 timeline. www.cdc.gov/​ mus​eum/​timel​ine/​covi​d19.html Collins, C., Landivar, L. C., Ruppanner, L., & Scarborough, W. J. (2020). COVID-19 and the gender gap in work hours. Gender, Work & Organization, 28(S1), 101–​112. Cooper, D., Wolfe, J., & Hickey, S. M. (2021). The American rescue plan clears a path to recovery for state and local governments and the communities they serve. www.epi.org/​ blog/​the-​ameri​can-​res​cue-​plan-​cle​ars-​a-​path-​to-​recov​ery-​for-​state-​and-​local-​gove​rnme​nts-​ and-​the-​comm​unit​ies-​they-​serve Council of State Government. (2022). Disability-​inclusive telework for states: State approaches to increasing access and inclusion. https://​seed.csg.org/​telew​ork-​polic​ies Daniels, K., Lamond, D., & Standen, P. (2001). Teleworking: Frameworks for organizational research. Journal of Management Studies, 38(8), 1151–​1185. Deloitte. (2022). Women @ work 2022: A global outlook. www2.deloi​tte.com/​cont​ent/​dam/​ Deloi​tte/​glo​bal/​Docume​nts/​deloi​tte-​women-​at-​work-​2022-​a-​glo​bal-​outl​ook.pdf DiNapoli, T., & Jain, R. (2022). Impact of the pandemic on New York City’s municipal workforce. www.osc.state.ny.us/​files/​repo​rts/​osdc/​pdf/​rep​ort-​18-​2022.pdf Edwards, R., Essian, L. S., & Levinstein, M. D. (2022). U.S. labor market shows improvement in 2021, but the COVID-​19 pandemic continues to weigh on the economy. www.bls. gov/​opub/​mlr/​2022/​arti​cle/​us-​labor-​mar​ket-​shows-​impr​ovem​ent-​in-​2021-​but-​the-​covid-​19-​ pande​mic-​contin​ues-​to-​weigh-​on-​the-​econ​omy.htm Equal Employment Opportunity Commission. (2022). What you should know about COVID-​19 and the ADA, the rehabilitation act, and other EEO laws. www.eeoc.gov/​wysk/​what-​you-​ sho​uld-​know-​about-​covid-​19-​and-​ada-​reh​abil​itat​ion-​act-​and-​other-​eeo-​laws Facer, R. L., & Wadsworth, L. L. (2008). Alternative work schedules and work–​family balance: A research note. Review of Public Personnel Administration, 28(2), 166–​177. Feeney, M., & Stritch, J. M. (2019). Family-​friendly policies, gender, and work–​life balance in the public sector. Review of Public Personnel Administration, 39(3), 422–​448. Giauque, D., Renard, K., Cornu, F., & Emery, Y. (2022). Engagement, exhaustion, and perceived performance of public employees before and during the COVID-​19 crisis. Public Personnel Management, 51(3), 263–​290. Green, D., & Loualiche, E. (2021). State and local government employment in the COVID-​19 crisis. Journal of Public Economics, 193, 1–​10. Groshen, E. L. (2020). COVID-​19’s impact on the U.S. labor market as of September 2020. Business Economics, 55(4), 213–​228. Hinh, I. (2023). How states can use federal fiscal recovery funds: Lessons from state choices so far. www.cbpp.org/​sites/​defa​ult/​files/​11-​29-​21sfp.pdf

146  Helen H. Yu Hung, C., Johansen, M. S., Kagan, J., Lee, D., & Yu, H. H. (2020). Volunteerism in times of crisis: An unconventional response to processing unemployment claims. State and Local Government Review, 52(3), 214–​225. Igbaria, M., & Guimaraes, T. (1999). Exploring differences in employee turnover intentions and its determinants among telecommuters and non-​telecommuters. Journal of Management Information Systems, 16(1), 147–​164. Kim, J., Henly, J. R., Golden, L. M., & Lambert, S. J. (2020). Workplace flexibility and worker well-being by gender. Journal of Marriage and Family, 82(3), 892–​910 Kwon, M., & Jeon, S. H. (2020). Do leadership commitment and performance oriented culture matter for federal teleworker satisfaction with telework programs? Review of Public Personnel Administration, 40(1), 36–​55. Kwon, M., & Kim-​Goh, M. (2022). The impacts of telework options on worker outcomes in local government: Social exchange and social exclusion perspectives. Review of Public Personnel Administration. https://​doi.org/​10.1177/​073437​1X22​1121​051 Landivar, L. C., Ruppanner, L., Scarborough, W. J., & Collins, C. (2020). Early signs indicate that COVID-​19 is exacerbating gender inequality in the labor force. In W. Cockerham, & G. Cockerham (Eds.), The COVID-​19 reader: The science and what it says about the social (pp. 209–​212). Routledge. Lee, S. Y., & Hong, J. H. (2011). Does family-​friendly policy matter? Testing its impact on turnover and performance. Public Administration Review, 71(6), 870–​879. Mahler, J. (2012). The telework divide: Managerial and personnel challenges of telework. Review of Public Personnel Administration, 32(4), 407–​418. Maurer, R. (2021). Federal government to preserve flexible work post-​pandemic. www.shrm. org/​hr-​today/​news/​hr-​news/​pages/​fede​ral-​gov​ernm​ent-​prese​rve-​flexi​ble-​work-​post-​pande​ mic.aspx National Conference of State Legislatures. (2021a). The pandemic’s effect on the economy and workers. www.ncsl.org/​labor-​and-​emp​loym​ent/​the-​pandem​ics-​eff​ect-​on-​the-​econ​omy-​ and-​work​ers National Conference of State Legislatures. (2021b). The promise of telework. www.ncsl.org/​ labor-​and-​emp​loym​ent/​the-​prom​ise-​of-​telew​ork National Conference of State Legislatures. (2021c). Making work safe and accessible during a pandemic. www.ncsl.org/​labor-​and-​emp​loym​ent/​mak​ing-​work-​safe-​and-​acc​essi​ble-​dur​ing-​ a-​pande​mic Odate, K., & Parmar, R. S. (2021). Addressing the detrimental impacts of COVID-​19 on women in the workforce: Where do we go from here? International Journal of Business & Economic Development, 9(2), 40–​53. Office of Management and Budget, Office of Personnel Management, and General Services Administration. (2021). Integrating planning for a safe increased return of federal employees and contractors to physical workplaces with post-​reentry personnel policies and work environment. www.whi​teho​use.gov/​wp-​cont​ent/​uplo​ads/​2021/​06/​M-​21-​25.pdf Office of Personnel Management (OPM). (2018). Federal work–​life survey government wide report. www.opm.gov/​pol​icy-​data-​oversi​ght/​workl​ife/​fede​ral-​work-​life-​sur​vey/​2018-​fede​ ral-​work-​life-​sur​vey-​rep​ort.pdf Office of Personnel Management (OPM). (2020). Preliminary guidance to agencies during coronavirus disease 2019 (COVID-​ 19). www.chcoc.gov/​cont​ent/​prel​imin​ary-​guida​nce-​agenc​ ies-​dur​ing-​coro​navi​rus-​dise​ase-​2019-​covid-​19 Office of Personnel Management (OPM). (2021). Status of telework in the federal government: Fiscal year 2019. www.telew​ork.gov/​repo​rts-​stud​ies/​repo​rts-​to-​congr​ess/​2020-​rep​ ort-​to-​congr​ess.pdf Office of Personnel Management (OPM). (2022). Telework guide. www.telew​ork.gov

Chapter 10  •  The Lasting Impact of COVID-19  147 Organization for Economic Cooperation and Development (OECD). (2020). Women at the core of the fight against COVID-​19 crisis. Tackling coronavirus (COVID-​19): contributing to a global effort. www.oecd.org/​coro​navi​rus/​pol​icy-​respon​ses/​women-​at-​the-​core-​of-​the-​fight-​ agai​nst-​covid-​19-​cri​sis-​553a8​269 Organization for Economic Cooperation and Development (OECD). (2021). Measuring telework in the COVID-​19 pandemic. www.oecd-​ilibr​ary.org/​scie​nce-​and-​tec​hnol​ogy/​measur​ ing-​telew​ork-​in-​the-​covid-​19-​pandem​ic_​0​a761​09f-​en Overmyer, S. P. (2011). Implementing telework: Lessons learned from four federal agencies. IBM Center for the Business of Government. Pabilonia, S. W., & Vernon, V. (2022). Telework, wages, and time use in the United States. Review of Economics of the Household, 20(3), 687–​734. Profeta, P. (2020). Gender equality and public policy during COVID-​ 19. CESifo Economic Studies, 66(4), 365–​375. Rocco, P., & Kass, A. (2022). Flexible aid in an uncertain world: The coronavirus state and local fiscal recovery funds program. State and Local Government Review, 54(4), 346–​361. Rosewicz, B., & Maciag, M. (2021). State and local government job growth lags as economy recovers. www.pewtru​sts.org/​en/​resea​rch-​and-​analy​sis/​artic​les/​2021/​09/​14/​state-​and-​local-​ gov​ernm​ent-​job-​gro​wth-​lags-​as-​econ​omy-​recov​ers Ruppanner, L., Tan, X., Carson, A., & Ratcliff, S. (2021). Emotional and financial health during COVID-19: The role of housework, employment and childcare in Australia and the United States. Gender, Work & Organization, 28(5), 1937–​1955. Sauter, M. B., & Stebbins, S. (2020). Nevada, Hawaii are the states most likely to feel the economic hit by COVID-​ 19. www.usato​day.com/​story/​money/​2020/​05/​08/​state-​econom​ies-​ most-​lik​ely-​to-​be-​cripp​led-​by-​covid-​19/​111645​576 Sciepira, B., & Linos, E. (2022). When perceptions of public service harm the public servant: Predictors of burnout and compassion fatigue in government. Review of Public Personnel Administration. https://​doi.org/​10.1177/​073437​1X22​1081​508 Tavares, A. I. (2015). Telework and health effects review, and a research framework proposal. https://​mpra.ub.uni-​muenc​hen.de/​71648/​1/​MPRA_​pape​r_​71​648.pdf van der Meer, J., Vermeeren, B., & Steijn, B. (2022). Well-​being during a crisis: A longitudinal study of local government civil servants. Review of Public Personnel Administration. https://​doi.org/​10.1177/​073437​1X22​1084​104. Vyas, L. (2022). “New normal” at work in a post-​COVID world: Work–​life balance and labor markets. Policy & Society, 41(1), 155–​167. Wadsworth, L. L., & Facer, R. L. (2016). Work–​ family balance and alternative work schedules: Exploring the impact of 4-​day workweeks on state employees. Public Personnel Management, 45(4), 382–​404. Wadsworth, L. L., Facer, R. L., & Arbon, C. A. (2010). Alternative work schedules in local government: Cui bono? Review of Public Personnel Administration, 30(3), 322–​340.

11



PUBLIC SECTOR UNIONS: DEMANDS, EMOTIONS, AND BEHAVIOR Randall S. Davis

Although issues related to unionization, collective bargaining, and labor negotiations are notoriously understudied in public administration (Kearney, 2010; Riccucci, 2011), they occupy special significance for government organizations (e.g., Newland, 1968; Nigro, 1968, 1972; Mosher 1982; Reder, 1988; Kearney & Mareschal, 2014). The political and administrative significance of unionization in public administration relates directly to the unique institutional context of governmentally owned organizations. Academic discussion during the mid twentieth century tended to examine the contextual challenges for managing public sector unionization in political terms. Nigro (1968) and Mosher (1982), for example, discussed the possibility that collective bargaining in government could marginalize legislative decision-​making, thereby undermining critical democratic institutions. Newland (1968) further discussed the relationship between unionization and democracy, concluding that collective negotiations could be consistent with democracy so long as authority was diffuse and the constitutional framework was upheld. Moe (2006, 2009), on the other hand, persuasively argues that the political power wielded by unions fundamentally alters traditional democratic accountability linkages between elected officials and public employees, often to the detriment of public organizations (see also Donahue, 2008). While scholars have not yet settled the debate regarding the connections between public unionization, democratic norms, and organizational performance, these arguments illustrate that collective bargaining remains a salient and politically contentious human resources management issue for public organizations. As Mosher (1982) also notes, interrelated administrative challenges extend from the political complexities of unionization. Administrative challenges occur, in part, due to legislative constraints that diminish administrators’ authority to bargain with unions regarding certain factors that influence employee productivity. Specifically, managers must contend with several important employee- and organization-level outcomes that directly influence the performance potential of public agencies. Evidence indicates that unionization shifts patterns of compensation, influences employee turnover, changes the size of the public workforce, introduces new personnel regulations, and alters employees’ performance-​related attitudes (Methé & Perry, 1980; Cotton & Tuttle, 1986; Barling, Fullagar, & Kelloway, 1992; Heywood, Siebert, & Wei, 2002; Hammer & Avgar,

148

DOI: 10.4324/9781003403401-11

Chapter 11  •  Public Sector Unions  149 2005; Llorens, 2008; Davis, 2013a, 2013b, 2022; Kearney & Mareschal, 2014; Oberfield, 2016, 2021). Given these outcomes, even in the presence of legislative constraints on certain aspects of negotiation, unions can significantly adjust the nature of the employment relationship. As a practical example in the U.S. Federal Government, in late 2022 the American Federation of Government Employees (AFGE) reached a settlement with the Equal Employment Opportunity Commission (EEOC) regarding an unfair labor practice complaint related to return-​to-​work policies following COVID-​19 restrictions. According to Wagner (2022), the agreement also stipulates a timetable to propose and negotiate a new remote work policy. Enhanced remote work opportunities, in turn, introduce new human capital management challenges related to employee supervision. These complexities arising from unionization are more pronounced in government relative to the private sector due to heightened union density. Two decades into the twenty-​first century, available labor statistics illustrate that the public sector is heavily unionized. The U.S. Bureau of Labor Statistics (BLS, 2021) illustrates that unionization rates in the U.S. public sector are nearly six times greater than those in private sector organizations. As of 2020, 34.8 percent of the public sector workforce in the United States was unionized compared with only 6.3 percent of private workers (BLS, 2021). One might question the extent to which a heavily unionized public workforce uniquely concerns public managers in the United States. To that end, descriptive statistics indicate that heightened levels of public sector unionization are an international phenomenon. Data collected by the Organization for Economic Development and Cooperation (OECD), which expands on earlier efforts (Visser, 2019), illustrate that public unionization far outpaces private across 17 European Union (EU) and OECD member countries (OECD, 2021). Table 11.1 provides unionization statistics indicating that, on average, public unionization exceeds private by approximately 31 percentage points. Unfortunately, public administration invests comparatively limited attention, relative to general management studies, in holistically examining unionization. As Riccucci (2011) points out, limited research pipelines, a comparatively small disciplinary footprint relative to other disciplines, and contextual challenges to generalizability of knowledge likely contribute to the lack of scholarly interest (see also Kearney, 2010). Moreover, given that public administration tends toward a management orientation, scholars tend to characterize unions as an impediment to organizational performance and, as such, view unionization as an unfortunate problem in the public workplace (Barling et al., 1992; Riccucci, 2011). In public administration specifically, many argue that restrictive labor contracts, union political activity, and contentious bargaining constrain the flexibility of managers to link human resources management initiatives to clear performance goals (Freeman & Medoff, 1984; Donahue, Selden, & Ingraham, 2000; Donahue, 2008; Moe, 2009). The lack of a clear connection between management initiatives, employee behavior, and productivity goals reduces an organization’s performance potential. In addition to the aforementioned factors, I have previously claimed that the lack of a unifying theoretical perspective discourages the accumulation of actionable knowledge regarding public unions (Davis, 2018). I do not intend to discount the laudable strides that public administration scholars have taken toward understanding the environmental determinates of public sector union growth, the legal context of unions, union political involvement, and the relationships between unions and merit systems (Freeman, 1986; Reder, 1988; Moe, 2006; Kearney, 2003; Guiler & Shafritz, 2004; Rubin, 2011; Kearney &

newgenrtpdf

2015

Australia Brazil Canada Colombia Estonia Finland Hungary France Luxembourg Mexico Norway South Africa Sweden United Kingdom United States

2016

2017

2018

2019

2020

Public Private Diff Public Private Diff

Public Private Diff Public Private Diff

Public Private Diff

Public Private Diff

-​ 28.9 72.4 35.3 11.3 80.8 16.5 -​ 54.4 43.9 -​ 64

-​ 15.3 13.6 2.8 1.8 54.5 5.4 -​ 28.6 6.4 -​ 17.7

-​ 13.6 58.8 32.5 9.5 26.3 11.1 -​ 25.8 37.5 -​ 46.3

38.5 27.5 73 36.3 11.8 79.8 -​ 18.7 60.3 43.8 80 64.8

10.4 14.2 13.2 2.5 2.4 51.6 -​ 8.3 27.2 6.3 38 18.7

28.10 13.30 59.80 33.80 9.40 28.20 -​ 10.40 33.10 37.50 42.00 46.10

-​ 27.3 72 36.4 11.6 77.9 -​ -​ 55 43.5 80 64.9

-​ 14.1 13.4 2.1 2.1 50.2 -​ -​ 26.2 6.2 38 19.3

-​ 13.2 58.6 34.3 9.5 27.7 -​ -​ 28.8 37.3 42 45.6

37.3 -​ 71.8 35.6 13.6 77.2 -​ -​ 51.7 42.2 -​ 65.7

9.7 -​ 12.9 2.1 3 48.8 -​ -​ 23.1 6.1 -​ 19.8

27.60 -​ 58.90 33.50 10.60 28.40 -​ -​ 28.60 36.10 -​ 45.90

-​ 22.5 72.6 37.7 13.7 75.5 -​ -​ 51.2 43.3 -​ 65.7

-​ 10.5 13 2 2.7 46.6 -​ -​ 22.6 6.3 -​ 19.6

-​ 12 59.6 35.7 11 28.9 -​ -​ 28.6 37 -​ 46.1

-​ -​ 74.4 -​ -​ -​ 14 -​ -​ 42.7 -​ -​

-​ -​ 12.9 -​ -​ -​ 4.4 -​ -​ 6.3 -​ -​

-​ -​ 61.5 -​ -​ -​ 9.6 -​ -​ 36.4 -​ -​

79.2 54.9

61.5 13.9

17.7 77.8 41 52.8

61.8 13.4

16.00 77.4 39.40 51.9

60.8 13.5

16.6 77.2 38.4 52.5

60.1 13.2

17.10 76.6 39.30 52.3

60.1 13.3

16.5 39

-​ -​

-​ -​

-​ -​

35.1

6.4

28.7 34.5

6.1

28.40 34.6

6.2

28.4 34.2

6.1

28.10 33.7

5.9

27.8

34.8

Source: Adapted from OECD/​AIAS ICTWSS database (www.oecd.org/​emp​loym​ent/​ict​wss-​datab​ase.htm).

6

28.8

150  Randall S. Davis

Table 11.1 Union density statistics by country

Chapter 11  •  Public Sector Unions  151 Mareschal, 2014; Fowles & Cowen, 2015). Instead, the goal of this chapter is to unify seemingly disparate insights into the complex relationships between public unions, external environments, internal organizational characteristics, and union member attitudes and behaviors. The absence of unifying perspectives creates complications for scholars and practitioners alike. From a scholarly standpoint, researchers interested in unionization may insert union-​related variables as a secondary concern in broader studies designed to address other research questions. From a practical standpoint, human resource managers and labor leaders may find it challenging to distill scholarly insights into best practices in the absence of a common conceptual vocabulary. In the sections that follow, I seek to draw together my previous research that describes unions from the vantage of organizational psychology (e.g., Davis, 2013a, 2013b; Davis, Stazyk, Kochenour, & Neuhoff, 2020; Davis & Rahman, 2021; Davis, Stazyk, Kline, & Green, 2022). Research on the psychological mechanisms that shape organizational behavior offers one useful avenue for understanding performance benefits and drawbacks related to public sector unions (Barling et al., 1992). Moreover, the applied focus of organizational psychology provides a promising avenue for developing a holistic theory of public sector unionization in ways that inform practically useful recommendations. Specifically, we can develop insights into the complex relationships between unionism and employees’ psychological appraisal of the public workplace. By adopting a psychological approach, I assume that unions offer both benefits and consequences in the public workplace. As such, a more nuanced understanding grounded in organizational psychology paves the way for capitalizing on the organizational benefits of unionization while mitigating the costs.

PUBLIC UNIONS: A PSYCHOLOGICAL PROCESS APPROACH The Appraisal Process Although notable public administration scholars have examined public unionization over the past half-​century, there have been limited attempts to sustain a theoretical discussion (Kearney, 2010; Riccucci, 2011; Davis, 2018). To some extent, two independent streams of thought have emerged regarding unionization. On the one hand, some scholars examine unions from a macro-​organizational perspective and emphasize the legal, political, and public policy environment in which they are embedded (see Kearney & Mareschal, 2014, Ch. 3 for an overview). On the other hand, some researchers emphasize unionization from a micro perspective as institutions that influence member attitudes and behaviors as well as other organizational attributes (e.g., Davis, 2013a, 2013b; Oberfield, 2021; Davis et al., 2022; but see Moe, 2006, 2009 for research connecting both perspectives). Although these research streams have developed somewhat independently, a psychological process perspective can unite the findings within both the macro and micro research traditions. One avenue for developing a comprehensive theory of public sector unionization rests on the empirically validated theory of appraisal and emotion developed by Richard Lazarus (1966, 1999, 2001; see also Lazarus & Folkman, 1984; Lazarus & Smith, 1988). Grounding studies of unionization in the appraisal mechanism offers at least two benefits. First, this perspective provides a useful launching point because it serves as a perspective that accounts for the complex connections between external demands, situational contexts, internal organizational characteristics, and individual-​level behavior. As such, adopting this perspective can unite research on unionization under a common

152  Randall S. Davis conceptual umbrella. Second, Lazarus (1999, 2001) accounts for socio-​ emotional assessments of externally imposed constraints as critical determinates of work behavior (see also Spector & Fox, 2002, 2005 for evidence regarding the importance of emotion as a driver of organizational behavior). Given that Lazarus emphasizes external demands generally, but allows for variation in individual perception, his perspective can inform how we understand the behavior of unionized employees, as well as managers who engage in union negotiations, in the context of union-​dense organizations. These benefits result in a significantly more nuanced view of the promise and pitfalls of unionization in public organizations. Although Lazarus’s (1999) theory was foundationally a theory of occupational stress, he adopted a relational definition of stress that differs somewhat from the conventional usage of the term. In previous research my colleagues and I (Davis et al., 2020: 408) drew from Lazarus and other stress researchers to develop a definition of stress useful for understanding labor relations in government organizations. We defined stress as an adaptive [emotional] response, moderated by individual differences, that is a consequence of [appraising] any action, situation, or event that places [physical or psychological] demands upon a person. (Matteson & Ivancevich, 1987: 10; Lazarus & Smith, 1988; Lazarus, 1999, 2000, 2001) While I have argued previously that the appraisal mechanism better enables empirical researchers to understand the influence of unions on members (Davis, 2018), I had not described the underlying process of appraisal in detail. Nor had I articulated how this mechanism can allow us to draw together disparate streams of literature. Before turning to examples of applying Lazarus’s (1999, 2000, 2001) theory to public unionization, I summarize the appraisal process in greater detail. Appraisal is a multi-​stage process that broadly describes how a person assesses the degree to which externally imposed demands personally harm them (Lazarus & Folkman, 1984; Lazarus & Smith, 1988: 283). The first step is called primary appraisal. During primary appraisal, an individual evaluates externally imposed demands in terms of the potential to directly threaten their well-​being. They interpret the threat level of external demands based on contextual information embedded in the broader social environment. However, even if an individual views a demand as threatening, they may not exhibit negative emotions. Emotional variability occurs because, during the second phase, called secondary appraisal, the individual assesses the availability of coping resources. Deficiencies in coping resources inhibit goal attainment, which leads to negative emotions, whereas sufficient coping resources motivate the individual to overcome the external demand. Evidence indicates that employees engage in voluntary work behaviors, both productive and counterproductive, as a remedy to the emotions invoked by appraisal (Spector & Fox, 2002, 2005; Seo et al., 2004). Positive emotions that flow from a favorable appraisal of external demands contribute to several organizationally beneficial behaviors under the broad heading of organizational citizenship behaviors (Organ, 1988; Spector & Fox, 2002; 2005). Alternatively, negative appraisals, and the unfavorable emotions they invoke, increase the likelihood of counterproductive behaviors that stifle organizational mission attainment (Spector & Fox, 2002, 2005). The theory of appraisal acknowledges the importance of emotions in the workplace and insists that a person’s behavioral response to emotions has important organizational implications.

Chapter 11  •  Public Sector Unions  153

FIGURE 11.1  The appraisal process Source: Adapted from the model of appraisal described by Lazarus et al. (Lazarus, 1966, 1999, 2000, 2001; Lazarus & Folkman, 1984; Lazarus & Smith, 1988).

Specifically, Lazarus (1999, 2000, 2001) illustrates that, while the objective content of external demands matters for organizational performance, the socio-​emotional content of any given situation shapes the behavioral outcomes flowing from those demands. The recognition that the appraisal process shapes one’s interpretation of demands, and their resulting behavior, can inform how and why union density and influence matters for organizational performance. Figure 11.1 offers a depiction of the general appraisal process, and the sections that follow add specificity by incorporating concepts specific to unionization.

Public Sector Unions and the Communication of Values A psychological approach to unionization, built on the mechanism of appraisal, requires understanding the values and norms embraced by labor unions. According to Klingner, Nalbandian, and Llorens (2010), public personnel management involves interactions between four foundational public values: (1) political responsiveness and representation; (2) efficiency; (3) employee or individual rights; and (4) social equity. To some degree, the pursuit of any one of these four traditional public values likely compromises others. Unions favor the human resources management system of collective bargaining, which emphasizes individual and employee rights as the central foundational value (Klingner et al., 2010). Yet the norms used to achieve these values during bargaining often come at the expense of alternative, but equally important, public values (Klingner et al., 2010). Evidence illustrates how the protections afforded by unions can undermine, for example, social equity (Riccucci, 1988, 1990). The underlying values embraced by unions subsequently influence the workplace in important ways. Normative institutions, characterized by collectively embraced norms and values, influence individual behavior by homogenizing member attitudes and beliefs (Peters & Pierre, 1998; March & Olsen, 1989; Scott, 2008). Research conceptualizing unions as normative structures tends to examine the social processes that serve as the psychological building blocks through which members make sense of the organization (Nisbet, 1976; Parboteeah & Cullen, 2003; Davis, 2013a, 2013b). Conceptualizing unions as normative institutions laden with values also informs how the appraisal mechanism unfolds in unionized organizations. Yet, before unions can influence the appraisal process, they must first effectively convey their values to employees. Socialization refers to the complex psychological processes that normative institutions, such as unions, deploy to

154  Randall S. Davis convey their values to members (Berger & Luckman, 1967; Perry & Vandenabeele, 2008; Scott, 2008). Moreover, socialization occurs across individual and institutional dimensions (Fullagar et al., 1995). In the context of labor unions, institutional socialization refers to the communication of values through formal union functions, which are designed to instill “newcomers with a common set of experiences … likely to elicit standardized responses” (Fullagar et al., 1995: 147). Alternatively, individual socialization is “idiosyncratic and informal,” and does not require formally sanctioned union activities (Fullagar et al., 1995: 147). Increased frequency and duration of both socialization dimensions increases the likelihood that members will embrace union values (Gordon et al., 1980; Barling, Wade, & Fullagar, 1990; Fullagar et al., 1995; Davis, 2013a). Yet there is significant variability in socialization experiences across union members, which means they exhibit variation in their relative commitment to union values, ranging from complete alienation at one end of a spectrum to total acceptance of values on the other (Porter & Smith, 1970; Gordon et al., 1980; Thacker, Fields, & Barclay, 1990; Barling et al., 1992; Newton & Shore, 1992; Redman & Snape, 2016). The transmission of union values through socialization, and member acceptance of union values as exhibited by commitment, provide the foundations for work attitudes and behaviors (Davis, 2013b). Given the logic of appraisal articulated above, the extent to which unions effectively convey values influences member behavior in two distinct ways. First, unions can directly shape the volume and content of external demands levied against employees. Evidence indicates multiple non-​wage outcomes of unionization, which include some influence over externally imposed rules and regulations (Freeman, 1976; Barling et al., 1992; Davis, 2013a, 2013b; Moe 2006, 2009). Shifts in external political accountability and personnel rules change the content of external demands levied on employees in unionized environments. Second, unions may indirectly affect threat perceptions and emotional work outcomes by influencing the volume of coping resources available to members. While coping resources include multiple individual attributes and organizational characteristics (e.g., Matteson & Ivancevich, 1987), social support is often considered an important moderator in the relationship between external demands and work emotions (for a meta-​ analysis, see Viswesvaran, Sanchez, & Fisher, 1999). To the extent that unions alter the bonds of social support and camaraderie at work, they will undoubtedly shift patterns of organizational behavior. The process of appraisal leads to work behavior, in part because it psychologically prepares an individual to behave in ways that they expect will remedy evoked emotions (Frijda, Kuipers, & Ter Schure, 1989; Lazarus, 1999, 2000, 2001; Spector & Fox 2002, 2005). The subsequent sections focus on situating union variables in the broader logic of Lazarus’s theory of appraisal and emotion.

Bargaining Conflict, Personal Disposition, and Appraisal Employees in complex organizations confront multiple work situations simultaneously, with each associated with attendant external demands. While multiple work situations shape external demands, the nature of union–​management interactions constitutes one important situational variable in government, with the capacity to influence employee appraisal of the work environment. As discussed above, to some degree collective bargaining situates contrasting values in opposition. Specifically, the bargaining process demands that organizations weigh the managerial value of efficiency against the workers’ rights valued by the union (Donahue, Selden, & Ingraham, 2000; Stillman, 2004; Klingner, Nalbandian, & Llorens, 2010; Davis, 2011, 2013a, 2013b). The inherent nature

Chapter 11  •  Public Sector Unions  155 of collective bargaining suggests that some degree of conflict is typically present during negotiations, even during iterations of successful negotiation. Labor relations, while adversarial, vary in intensity across contexts ranging from relatively cooperative to confrontational (Harbison & Coleman, 1951; Walton & McKersie, 1965; Newland, 1968; Angle & Perry, 1986). Adopting the perspective of appraisal and emotion affords scholars and practitioners the opportunity to evaluate the complex outcomes of labor–​management conflict on employee behavior. Specifically, high degrees of perceived conflict can lead to negative outcomes through two pathways. First, conflict can increase the volume of external demands perceived as illegitimate by those responsible for negotiating contracts, which stifles personal and organizational goal attainment for the parties involved (e.g., Matteson & Ivancevich, 1987; Dawson et al., 2016). Second, increasingly intense conflict during bargaining can consume valuable coping resources that would otherwise be available to address task-specific work demands. Yet the coping resources available to the individual, and the pace at which resources may be depleted, change depending on the dispositions of employees. One’s dispositional proclivities influence the appraisal of externally imposed demands associated with negative organizational events such as conflict (Matteson & Ivancevich, 1987; Dewe et al., 2012; Spector & Fox, 2002). With respect to the conflict inherent in collective bargaining, dispositional factors such as trait anger, negative affect, or hostile attributional biases likely encourage employees to interpret labor negotiations as intentional attempts by the other bargaining party to inflict harm (see Douglas & Marinko, 2001; Martinko, Gundlach, & Douglas, 2002 for a more general formulation). Alternatively, dispositional characteristics among bargaining parties, including optimism, self-​esteem, and empathy, encourage them to view organizational events more positively, which contributes to a more productive view of conflict (e.g., Spector & Fox, 2002). Importantly, one’s perspective regarding the adversarial nature of bargaining in general, and the external demands introduced as a result of labor–​management conflict, shapes work emotions and the behaviors designed to address those emotions. In summary, Lazarus’s (1999) theory of appraisal and emotion provides a valuable conceptual framework for understanding the complex relationships between unionization, emotion, and organizational behavior in ways that incorporate disparate streams of research. First, the individual experiences elements of work characterized by externally imposed demands. In the context of unionization and collective bargaining, the nature of union–​management interactions can be characterized by varying degrees of conflict. Two consequences flow from increased conflict between unions and management. First, heightened conflict changes the potential threat level of external demands with which an individual must cope. To some degree, external demands associated with conflict are more likely to be evaluated as directly threatening during primary appraisal. Yet the twofold challenge associated with unionization could be exacerbated during the secondary appraisal phase. Second, external demands—​ particularly demands perceived as illegitimate—​ associated with conflictual negotiations consume valuable coping resources that might better be spent addressing other tasks. As illustrated in Figure 11.1, a relative dearth of coping resources likely results in unfavorable work-​related emotions. Individuals structure subsequent behaviors to eliminate the negative emotions experienced as a result of insufficient coping resources. While one can leverage myriad behaviors to address negative emotions, counterproductive behaviors designed to harm the organization and voluntary separation serve as behaviors directly tied to addressing unfavorable emotions at work (e.g., Spector & Fox, 2002, 2005; Podsakoff et al., 2007; Moynihan & Pandey,

156  Randall S. Davis 2008; Llorens & Stazyk, 2011; Langbein & Stazyk, 2013). Turnover is particularly significant for organizations, not only because it is costly (Staw, 1980; Balfour & Neff, 1993), but also because organizations lose critical tacit knowledge that can be leveraged to increase performance (Staw, 1980; Moynihan & Pandey, 2008). While some researchers indicate that unionization may result in reduced turnover (Barling et al., 1992), accounting for the emotional intermediaries can inform how scholars understand the unionization–​turnover linkage as well as the unionization–​performance relationship. To this point, I have discussed the relationships between unionization, negative emotions, and organizational behaviors. In the next section, I examine more specific emotional consequences of unionization. Research on emotional labor has shed significant insights into the emotional byproducts of public sector work. As such, it is useful to examine how unionization may influence emotional labor in the public workplace.

The Emotive Consequences of Unionization Public sector human resources management (HRM) scholars have developed a robust understanding of emotional labor (EL) in the public workplace. The emphasis on EL in public HRM research lends itself well to examining the relationships between unionization and organizational performance. Specifically, to the extent that researchers conceptualize unions as social institutions with the capacity to shape employee appraisals of the workplace, they could reasonably influence the deleterious effects of EL. For example, burnout is one important negative outcome arising from the practice of EL (Guy, Newman, & Mastracci, 2008). Examining the potential for unions to influence burnout can be informed by Lazarus’s (1999, 2000, 2001) theory of appraisal and emotion. To effectively understand how unions influence emotional labor, it is useful to evaluate the specific mechanisms through which they shape coping resources. A sizable body of evidence indicates that emotion management in the workplace offers benefits and drawbacks (Guy et al., 2008). While important benefits result from the practice of EL, such as client satisfaction, quality interpersonal relationships, and increased performance (Guy & Newman, 2004; Hennig-​Thurau et al., 2006; Hsieh & Guy, 2009; Meier, Mastracci, & Wilson, 2006), under other conditions, EL results in emotional exhaustion and burnout (Wharton & Erickson, 1993; Grandey, 2000; Brotheridge & Grandey, 2002; Carlson et al., 2012; Yun, Lee, & Mastracci, 2019; Davis & Stazyk, 2021). A focus on EL in the study of public unionization adds value by highlighting that there are critical emotional intermediaries between external demands influenced by unions and more specific employee behaviors. In previous research, my colleagues and I (Davis et al., 2022) empirically examined the influence of unionization in the EL process. Specifically, we examined how the social aspects of unionization might shape the degree to which members believe they must outwardly exhibit emotions that are inconsistent with experienced emotions. We drew from the process model of EL described by Brotheridge and Lee (2002) and argued that the behavioral outcomes of unionization develop from a three-​step process. In the first stage, unions can delegitimate the emotional content of external demands placed on union members. Specifically, given the inherent value conflict in collective bargaining, the interests of unions are often inconsistent with the overarching performance goals of the organization (e.g., Donahue et al., 2000; Moe, 2006, 2009; Donahue, 2008). Given the adversarial relationships in collective bargaining, and the inherent challenges of enforcing the emotional expectations embedded in external demands (e.g., Guy et al., 2008), employees are likely to perceive a discrepancy between experienced emotions and

Chapter 11  •  Public Sector Unions  157 external demands for emotional display. The EL literature defines surface or false face acting as the external requirement that employees exhibit emotions inconsistent with experienced emotions (e.g., Brotheridge & Lee, 2002; Hsieh, Jin, & Guy, 2012). In the second stage, increases in false face acting rapidly consume valuable coping resources required by the employee to address organizational compliance demands (Brotheridge & Lee, 2002). Specifically, important coping resources such as person–​job fit can be drastically reduced when union members and management experience distrust toward one another. The specific mechanism by which fit is reduced likely relates to the direct experience of distrust alongside the prohibition on employees outwardly exhibiting those emotions. In the final stage, as Guy et al. (2008) illustrate, the depletion of valued resources directly leads to adverse emotional outcomes, including exhaustion and burnout. Overall, the evidence we presented in that study indicated that increased union density in public organizations does increase false face acting, and subsequently burnout (Davis et al., 2022). Additionally, while the effect was fairly small, unionization does result in the depletion of critical coping resources by encouraging dissonant emotions at work.

Conclusion This chapter has focused on an emotional and behavioral conceptualization of unionization in the public sector rooted in theories of organizational psychology. In my view, employing concepts and theories from organizational psychology can significantly advance the study of unionization in the public sector (see also Barling et al., 1992). Merging two seemingly independent streams of research constitutes one of the primary advantages of a psychological approach to unions. On the one hand, some research emphasizes unionization from an organization-​level perspective. Researchers in this tradition tend to examine questions regarding the legal, political, and cultural environments in which unions are embedded (e.g., Kearney 2003; see also Kearney & Mareschal, 2014 for a description). On the other hand, management-​oriented scholars tend to examine the individual-​level outcomes associated with unionization (e.g., Davis 2013a, 2013b). To cultivate a holistic understanding of unionization in the public workplace, researchers must strive to merge these perspectives under a common conceptual vocabulary. Given conceptual and methodological advances, we can conceivably unite these perspectives using Lazarus’s (1999, 2000, 2001) theory of appraisal and emotion. Lazarus’s (1999, 2000, 2001) suggestion that appraisal and emotion result from a person’s interaction with their environment serves as the bridge that connects the organizational-​level and individual-​level perspectives. In other words, Lazarus assumes that the unit of analysis is the individual, but he emphasizes how the individual relates to, and interprets, external environmental expectations. Given the relational focus, understanding unions as normative institutions accounts for macro social processes that undergird the psychological foundations of sense-​making. Scholars interested in examining unions from a macro-​ organizational vantage, for example, can emphasize and operationalize the legal, political, and social processes that influence unions as whole organizations. Questions may relate to how the reciprocal relationships between unions and political bodies shape external demands embedded in personnel policy. Alternatively, scholars interested in individual-​level performance outcomes can assess how members variably understand external demands derived from labor negotiations specified in macro-​level studies. Questions might emphasize the extent to which union-negotiated

158  Randall S. Davis demands influence valuable coping resources. Importantly, the model presented here could include any combination of organization-​level and individual-​level variables. Perhaps most importantly, the more comprehensive and nuanced model presented here offers practical advantages. To some degree, public managers must concede that public sector unions are here to stay. To the extent that unions represent a stable institution embedded in the government workplace, research must inform best management practices to be practically useful. The psychological approach to unionization presented here acknowledges that external demands embedded in politics, contracts, and personnel rules are objectively important. Given that, this approach does not succumb to the pitfall of assuming all union members will behave the same under identical personnel rules. Instead, this model illustrates that organizational-​level variables influence individual-​level behavior through an emotional intermediary. Understanding the emotional by-​products of unionization indicates that effective bargaining does not just require negotiating work rules, but managers must also account for the emotional content of bargaining. For example, even when legislation prohibits negotiation over certain employment aspects (e.g., wages), negotiators could emphasize accumulating valuable coping resources to address external demands. Overall, unions are complex organizations with the capacity to shape external demands, internal organizational characteristics, and employee behavior. Although the model presented here certainly demands added specification, it does inform the psychological processes that govern member behavior. As such, it paints a useful picture of public organizations that situates the union as a central driver of performance rather than a mere afterthought.

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162  Randall S. Davis Porter, L. W., & Smith, F. J. (1970). The etiology of organizational commitment: A longitudinal study of the initial stages of employee–​organizational reactions. Graduate School of Administration. University of California at Irvine. Reder, M. W. (1988). The rise and fall of unions: The public sector and the private. The Journal of Economic Perspectives, 2(2), 89–​110. Redman, T., & Snape, E. (2016). The consequences of dual and unilateral commitment to the organisation and union. Human Resource Management Journal, 26(1), 63–​83. https://​doi. org/​10.1111/​1748-​8583.12093 Riccucci, N. M. (1988). A typology for union discrimination: A public sector perspective. Public Personnel Management, 17(1), 41–​51. Riccucci, N. M. (1990). Women, minorities, and unions in the public sector. Greenwood Press. Riccucci, N. M. (2011). Public sector labor relations scholarship: Is there a “there,” there? Public Administration Review, 71(2), 203–​209. https://​doi.org/​10.1111/​j.1540-​6210.2011.02331.x Rubin, E. V. (2011). Exploring the link between procedural fairness and union membership in the federal government. Review of Public Personnel Administration, 31(2). https://​doi.org/​ 10.1177/​07343​71x1​1408​571 Scott, W. R. (2008). Institutions and organizations: Ideas and interests. Sage. Seo, M., Feldman Barrett, L., & Bartunek, J. M. (2004). The role of affective experience in work motivation. Academy of Management Review, 29(3): 423–​439. Spector, P. E., & Fox, S. (2002). An emotion-​centered model of voluntary work behavior: Some parallels between counterproductive work behavior and organizational citizenship behavior. Human Resource Management Review, 12(2), 269–​292. Spector, P. E., & Fox, S. (2005). The stressor emotion model of counterproductive work behavior. In S. Fox, & P. E. Spector (Eds.), Counterproductive work behavior: Investigations of actors and targets. American Psychological Association, pp. 151–​174. Staw, B. M. (1980). The consequences of turnover. Journal of Occupational Behaviour, 1, 253–​273. Stillman, R. J. (2004). The American bureaucracy: The core of modern government. Wadsworth. Thacker, J. W., Fields, M. W., & Barclay, L. A. (1990). Union commitment: An examination of antecedent and outcome factors. Journal of Occupational Psychology, 63(1), 33–​ https://​ doi.org/​10.1111/​j.2044-​8325.1990.tb00​508.x Visser, J. (2019). ICTWSS Database. Version 6.1. Amsterdam Institute for Advanced Labour Studies (AIAS), University of Amsterdam. Viswesvaran, C., Sanchez, J. I., & Fisher, J. (1999). The role of social support in the process of work stress: A meta-​analysis. Journal of Vocational Behavior, 54(2), 314–​334. Wagner, E. (2022, December 22). A union and the EEOC have reached a settlement over the agency’s failure to negotiate office reentry. www.gove​xec.com/​workfo​rce/​2022/​12/​union-​ and-​eeoc-​have-​reac​hed-​set​tlem​ent-​over-​agen​cys-​fail​ure-​negoti​ate-​off​i ce-​reen​try/​380​426 Walton, R. E., & McKersie, R. B. (1965). A behavioral theory of labor negotiations: An analysis of a social interaction system. McGraw-​Hill. Wharton, A. S., & Erickson, R. I. (1993). Managing emotions on the job and at home: Understanding the consequences of multiple emotional roles. Academy of Management Review, 18(3), 457–​486. Yun, J. A., Lee, Y., & Mastracci, S. (2019). The moderating effect of female managers on job stress and emotional labor for public employees in gendered organizations: Evidence from Korea. Public Personnel Management, 48(4), 535–​564.

12



WORKFORCE PLANNING IN TURBULENT TIMES Heather Getha-​Taylor

INTRODUCTION The transformation of human resource management (HRM) from a reactive to a strategic force in public organizations is notable, promising, and a work in progress. A critical component of adopting a strategic HRM focus is a commitment to workforce planning. The ability to plan effectively, however, rests on an organization’s ability to “anticipate, react, and even control” the trends that have an impact on organizational effectiveness (Llorens, Klingner, & Nalbandian, 2018: 73). Adopting a strategic approach means considering both short-​term and long-​term objectives. Yet a variety of unexpected forces challenge an organization’s ability to address both sets of priorities. This chapter examines forces of turbulence that affect government organizations at the local, state, and federal levels, along with existing and emerging workforce planning models that may help to guide a strategic yet adaptive process. While specific aims may vary, one shared priority for public organizations is excellent performance. While performance is the ultimate goal, capacity is necessary, and human resources are essential building blocks of capacity. A challenge for human resource managers, according to Pynes (2013: 39), is to “demonstrate on a continuing basis how HRM activities contribute to the success and effectiveness of the organization.” While cost savings achieved via retirements, voluntary separations, and reductions may seem to indicate improved organizational efficiency, a broader understanding of how these savings will impact the remaining members of the workforce and the organization’s long-​term objectives is in order. While workforce planning is most often equated with succession planning, there are some distinctions between the two. Succession planning is focused on filling internal vacancies with qualified individuals. In this effort, retirement eligibility records and employee surveys can help human resource managers to effectively anticipate upcoming vacancies and identify/​develop the needed competencies to fill the gaps. By contrast, workforce planning represents a broader effort to restructure work, capture knowledge, and focus on the needs of remaining employees amid workforce reshaping, including retirements, reductions in force, or hiring freezes. In this context, workforce planning can be defined as an ongoing process of cultivating talent to ensure organizational continuity and sustain performance amid change (Ibarra, 2016). Engaging in workforce planning is a means to an end. Or several ends, rather. According to the U.S. Office of Personnel Management (OPM, 2022), effective planning can enable public organizations to: (1) align their human capital needs with organizational

DOI: 10.4324/9781003403401-12

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164  Heather Getha-Taylor strategic plans; (2) develop a picture of staffing and competency gaps; (3) determine strategies to fill the identified gaps; (4) make data-​based decisions; and (5) identify actions to overcome the internal and external barriers that stand in the way of achieving organizational goals (p. 4). Despite these promises, in times of rapidly shifting expectations, severely decreasing resources, and uncertain demands for the future, choices may not be made strategically, but reactively. Stanton (2004) cautioned managers against a reactive workforce management approach by noting that, “numbers-​ driven downsizing can simply hollow out the wrong parts of an agency and reduce its ability to provide public services, either directly or through third parties” (p. 229). Stanton noted the importance of planning prior to cuts to ensure continuity of services. However, this requires skills and resources that may be in short supply in many organizations. The U.S. Government Accountability Office (US GAO, 2021) speaks to this important issue in its high-​risk list, which identifies areas of vulnerability in the federal government. Strategic human capital management has been on the high-​risk list for over 20 years, and in 2021 the GAO stated that workforce planning efforts—​and the capacity to engage in these efforts—​have unfortunately regressed further. Federal HRM meetings were canceled amid the difficulties of the COVID-​19 pandemic, there was inconsistent human capital leadership across the Trump and Biden administrations, and the commitment to HRM declined overall (US GAO, 2021). This is a regrettable set of circumstances. The public sector provides essential services and requires human capital to deliver on public expectations, especially amid challenging conditions. Given that the future only holds the promise of additional change, the key question considered in this chapter is: What does it mean to practice effective workforce planning during times of turbulence?

THE CONTEMPORARY CONTEXT FOR WORKFORCE PLANNING Delivering excellent public service is a priority of government agencies, and managers must work to balance capacity and demand, even while the former is in decline and the latter is climbing. This task is both the requirement and challenge of strategic workforce planning: it is affected by a variety of internal and external forces. This section addresses four prominent forces that impact workforce planning at the local, state, and federal levels: economic forces, demographic shifts, organizational barriers, and crises. Depending on the organization’s ability to anticipate and manage changes, these sources of turbulence can present as either roadblocks or opportunities.

Economic Forces Since the Great Recession of 2007–​2009, recovery for public sector jobs has been “on hold” and has lagged behind private sector job recovery (Chokshi, 2014). Compared to previous recessions, the recovery from the 2007–​2009 economic downturn impacted public sector jobs more significantly: it was the only instance in which public sector job losses were so prolonged (Bivens, 2012). For example, states employed approximately 4 percent fewer non-​education public workers in 2021 than they did in 2008 (Quinton, 2021) and the COVID-​19 pandemic introduced its own squeeze: over 50 percent of government workers considered changing jobs in response to the stresses of working through the pandemic, which included compensation issues and burnout (MissionSquare

Chapter 12  •  Workforce Planning in Turbulent Times  165 Research Institute, 2022). In response, for example, Missouri Governor Mike Parson recommended increasing state worker pay to $15 per hour in response to a staffing crisis where there were alarming annual turnover rates of 10–​100 percent and vacancy rates of 30–​100 percent (Quinton, 2021). Yet decisions about navigating economic realities are not made unilaterally: they are products of a larger legislative dynamic. Together, lawmakers must make budgetary choices through negotiation and compromise: those conflict-​laden decisions have substantial impacts on the public workforce. In the above-​mentioned example of Missouri, lawmakers passed a Bill offering $12 per hour rather than the $15 per hour proposed by Governor Parson (Keller, 2022), which was particularly notable since Missouri’s public workers rank among the lowest paid in the nation (Quinton, 2021). This complex picture may mean continued human resource management challenges related to recruitment, retention, and workforce planning. Missouri is not alone in facing these issues. A continued climate of economic constraints means austerity measures to help reduce expenses, which is often achieved by reshaping the public workforce. While human resource managers must react to these changes via workforce planning, Fadairo, Williams, and Maggio (2013: 36) caution that drastic decisions made under these conditions are not without tradeoffs. “These costs can include the loss of institutional knowledge if key contributors retire or resign; the time lost by managers and employees in managing vacancies and reorganizations; the lost productivity while staff acquire new skills and learn new jobs; and, the decrease in performance among employees who become discouraged or dissatisfied.”

Demographic Shifts In addition to the realities of economic constraints, demographic shifts remain another source of stress for public organizations. First, government workforces are aging more rapidly than other sectors (Fadairo, Williams, & Maggio, 2013). Second, and related to the first point, retirement eligibility at all levels of government is expanding. Together, these trends present government managers with an anticipated future “brain drain” that will create significant challenges, including capturing knowledge and preventing service disruptions (Ibarra, 2016). At the federal level, the average age of employees is 47 years and the average age of new hires is 39 years. Only 7 percent of the federal workforce is aged under 30, which speaks to the continued concern of recruiting and retaining young people to federal service (U.S. Merit System Protection Board, 2022). At the state and local government levels, the long anticipated “silver tsunami” of Baby Boomer retirements was delayed by the Great Recession, but now appears to be in full flight. It was reported that nearly 40 percent of retirement-​eligible employees have recently accelerated their retirement date (MissionSquare Research Institute, 2021a). Noting these trends, it is not surprising to learn that state and local government human resource managers identify workforce planning as being among the top priorities for the years ahead (MissionSquare Research Institute, 2021a). Tracking demographic trends as part of an agency’s workforce plan can be challenging, but it can also offer an opportunity for organizational renewal (Berman et al., 2016). Yet, despite the clear need and opportunity for workforce planning to address demographic shifts, strategic workforce planning is not always seen as a priority for many organizations (Pynes, 2016), which can introduce additional turbulence for human resource managers.

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Organizational Barriers Huerta Melchor’s (2013) review of OECD country practices revealed that few make use of workforce planning, despite its importance. The United States demonstrates this finding, particularly at the state and local levels. Goodman, French, and Battaglio (2015) examined workforce planning at the local level and found that many “still fail to recognize the opportunities that comprehensive workforce planning presents” (Goodman, French, & Battaglio, 2015: 135), as evidenced by only 11 percent of respondents indicating that their city had a workforce plan in place. While strategic workforce planning represents an opportunity for “institutional building” and establishing a vision of the future (Battaglio, 2015), it is more than a human resources issue (Ibarra, 2016). It requires advocacy and support throughout the organization, and particularly among top leaders. When done well, succession planning should contribute to the ability to link the workforce to strategic plans and continually reshape the workforce in response to new needs. This, however, requires long-​ term organizational commitment and potentially a culture change (Ibarra, 2016). Jacobson’s (2010) study identified several relevant organizational barriers that stand in the way of successful workforce planning, including insufficient human resources to manage programs, a lack of time, low priority given by senior management, and insufficient financial resources. An earlier study by Johnson and Brown (2004) found similar barriers, including preoccupation with short-​term activities, insufficient staffing, a lack of funding, and a lack of executive support. These and other barriers must be identified and addressed to ensure that workforce plans can successfully address both short-​term and long-​term needs. While government organizations may value the concept of strategic workforce planning in theory, it is another thing to institutionalize plans (Choudhury, 2007).

Crises COVID-​19 introduced an unexpected source of turbulence for organizations around the globe (see also Chapter 10). The pandemic presented significant challenges for public sector workforce management, including the need to shift to remote work and manage the workforce in new ways to ensure continued engagement and reduce alienation (Doberstein & Charbonneau, 2022). It also exacerbated other public sector workforce management issues, including recruitment, retention, and compensation. State and local government employees said better pay and more remote and/​or flexible work arrangements would make the pandemic-​era workplace better (MissionSquare Research Institute, 2021b). As frontline public service workers stretched to meet the needs of their communities during the pandemic, another societal crisis emerged. The racial justice protests following the murder of George Floyd in 2020 clearly highlighted the need for change and reminded the public administration community of the ongoing traumas of racism and discrimination. The conviction of Derek Chauvin was lauded for its measure of accountability in Floyd’s death, but it also represented a new reality for police officers. In the aftermath of the verdict, state and local governments widely reported that recruiting and retaining public safety officers became even more difficult, especially as individuals considered the potential to be held personally liable for behavior on the job (Smith, 2021).

Chapter 12  •  Workforce Planning in Turbulent Times  167

WORKFORCE PLANNING IN PRACTICE Given the variety of forces that have impacted—​and will continue to impact—​workforce planning, how should public managers proceed in a strategic yet adaptive manner? In this context, the Eisenhower Principle provides a useful lens. This principle, which is credited to a 1954 speech by President Eisenhower, asks managers to distinguish urgent and important tasks. When applied to workforce planning, this important task may not always rise to a level of urgency, but should nonetheless be prioritized. Otherwise, urgent HRM work—​including responding to crises—​will overshadow everything else. Managers must adopt an approach that balances attention to the urgent with a focus on the long-​ term important needs of managing the workforce. To begin, public managers should consider ways to make strategic planning fit their specific context. According to the U.S. Geological Survey’s (2013) Workforce Planning Desk Guide, efforts should be “rigorous and comprehensive,” but at the same time should be “no more complex than the needs of the organization dictate” (U.S. Geological Survey, 2013: 2). Rigorous and comprehensive planning requires attention to a variety of internal and external variables, including changing work processes, shifting financial constraints, and adjusting environmental factors that affect the ability of the organization to achieve its mission (Brown, 2010). A review of a sample of workforce planning models reveals the predominant use of a five-​stage approach that extends across academic and practical examples (Brown, 2010; Battaglio, 2015; League of Minnesota Cities, 2016; OPM, 2022; State of Tennessee, n.d.). The five stages for each example are detailed in Table 12.1. Together, these models reveal shared emphasis on the following activities: (1) identifying and setting strategic direction; (2) assessing workforce needs; (3) analyzing gaps; (4) developing and implementing plans; and (5) evaluating progress and revising as needed. While the similarities across these models suggest some general applicability of these five steps (albeit in a potentially different order), organizations should consider the ways in which contemporary realities impact each one in their particular setting. First, for example, the ability to identify and set strategic direction in a consistent way will depend upon the degree to which organizations view human resource managers as leaders within the organization. When HR managers are included in top leadership discussions and decisions, it is more likely that strategic plans will match organizational direction. Regrettably, examples exist to show that this is often far from the reality. For example, the California Public Utilities Commission on Workforce Planning, Career Development and Succession Planning (2015) found that no agency-​wide workforce planning is conducted in the state, although some divisions engage in independent efforts that might serve as models for broader adoption. An overall short-​term (rather than strategic) focus is reflected in reactive hiring and a general lack of employee development plans. Further, the report indicates that there is little ability to perform gap analysis and no formal succession-​planning process in place. Part of these issues may be attributed to the stated tendency to view HR as a “technical support group,” rather than a strategic partner, which undoubtedly limits the collective ability to identify and set a strategic direction. Second, assessing workforce needs requires a reexamination of career trends during times of turbulence. While public sector work has often been characterized by perceptions of stable work, generous benefits, and equal opportunity employment, turbulent times have eroded these features and shifted career trajectories. Increasingly, young people eschew public service jobs despite a desire to serve their communities (Rein,

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Table 12.1 Workforce planning models Example 1: (Academic)

Example 2: (Academic)

Example 3: (Federal)

Battaglio (2015)

Brown (2010)

U.S. Office Tennessee of Personnel (n.d.) Management (2022)

League of Minnesota Cities (2016)

Step 1 Assess current Identify the workforce organization’s capabilities vision, values, and mission

Set strategic direction

Set agency strategic direction

Analyze workforce needs

Step 2 Forecast workforce needs

Develop a long-​ range strategic plan

Conduct workforce analysis

Conduct Conduct gap workforce analysis analysis

Step 3 Analyze gaps between current and future workforce

Develop an operational plan and measurable objectives for each goal

Develop plan of action

Develop Identify workforce strategies plan and solutions

Step 4 Develop Implement the strategies operational for meeting plan gaps between current and future workforce

Implement and monitor action plan

Implement Implement workforce plan plan

Step 5 Monitor and evaluate workforce metrics

Evaluate and revise

Monitor, evolve, embed

Monitor and evaluate operational activities

Example 4: (State)

Example 5: (Local)

Evaluate progress, be flexible

2014). Further, while some might expect today’s employees to transition to new jobs every few years, studies show that employees would actually prefer stability, provided that their work is recognized (Sturt & Nordstrom, 2016) and provided they can see future opportunities to grow and develop within the organization (Rein, 2014). These findings underscore the importance of questioning existing assumptions and collecting current data to provide insights on workforce realities. Third, identifying workforce gaps requires the ability to collect appropriate data, analyze it effectively, and communicate results broadly. While there is no shortage of data-​collection efforts in many public organizations, it is important to consider the quality of the data and the availability of data-​analysis skills. The Government Business Council

Chapter 12  •  Workforce Planning in Turbulent Times  169 (2014) found that federal government managers rely on informal and incomplete information when conducting workforce planning. Only 27 percent of survey respondents indicated that their agencies had standard policies or procedures for conducting workforce planning. A major deficiency relates to identifying competency gaps. The report finds that 58 percent of respondents say their agencies gather competencies information informally or not at all, and 38 percent say their agency never updates competencies. The majority of respondents indicate that competencies are not used for professional development or advancement. At the same time, the majority of respondents also indicate that competencies could help with hiring decisions and workforce planning. This disconnection between ends and means reveals a source of internal turbulence that needs to be addressed. Fourth, implementing plans requires investment and commitment. As public organizations struggle to match demand with capacity, the realities of limited resources may strain these processes and explain the widespread lack of workforce planning. Successful strategic planning is responsive to internal and external changes, but takes time to produce results (Huerta Melchor, 2013). One of the challenges in this regard relates to the ways in which work is structured and rewarded: “HR staff are usually measured and rewarded for short-​term objectives, and are unaccustomed to thinking in the long-​term” (Huerta Melchor, 2013: 34). In order to sustain long-​term commitment and investment in strategic planning processes, conceptual thinking must be cultivated and long-​term adaptive forecasting must become as natural as reactive decision-​making. Finally, and similar to earlier points, evaluating workforce planning efforts requires time, skill, and dedication. It requires attention to both outcomes and process, both of which are complicated by internal and external sources of turbulence. To evaluate progress, organizations must revisit their workforce assessments and gap analyses. Then they must utilize workforce data to determine whether the selected strategies were effective. When workforce planning is focused on staffing, some appropriate evaluation questions include: Did the plan provide realistic staffing projections? Did the planning effort ensure that replacements were available to fill key vacancies? Did it help the organization to prepare for workforce downsizing or restructuring? It is important to evaluate specific desired outcomes along with the process involved to achieve those outcomes. Relevant process questions include: Were all relevant stakeholders involved? Did the stakeholders collectively share the vision for the future? Was the planning process fair and open?

ADOPTING LOGIC MODELS Noting the importance of adaptability in workforce planning, the emergence of “logic models” may offer a valuable option for addressing turbulence in the internal and external environment. Logic models provide systematic visual aids to identify an overarching goal along with current assumptions and the external factors that may impact progress toward achieving an organizational goal. Logic models then help organizations to identify relevant inputs, outputs, and outcomes. These can then be connected by “if … then” statements to examine the relationships that exist between and among the elements (OPM, 2014: 1). See Figure 12.1 for a logic model template. When applied to workforce planning, inputs can include resources such as existing workforce capabilities. Inputs may also include limiting factors such as constrained

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FIGURE 12.1  Logic model template

finances or legal considerations. Outputs are specific activities and the results of these activities. In the context of workforce planning, activities could include vacancy projection and succession planning, for example. Results of these activities could include forecast reports or individual career development plans. Outcomes detail the short-​term, intermediate, and long-​term changes that reveal progress. The ability to evaluate outcomes effectively rests on the collection of multiple sources of data, which could include information from workforce surveys and employee evaluations. Ideally, assessment begins at the start of the process with the collection of baseline data, which is then supplemented with additional data collected over time.

ADDRESSING EMERGING PRIORITIES When adopting logic models, it is undoubtedly difficult to predict the external factors that will introduce turbulence into public sector workforce planning. However, some emerging trends offer food for thought.

The Quest for Improved Diversity, Equity, and Inclusion in Public Service As the call for increased diversity, equity, and inclusion is embraced across public sector organizations, it is necessary to think about how workforce planning can play a role in this pursuit. One potential way is to enhance workforce data collection to address diversity in deeper and more nuanced ways. There have long been efforts to track gender and race in the public sector workforce, and thus identify discriminatory patterns and practices. However, other valuable data are largely missing, such as gender identity and sexual orientation. Without this information, it is difficult to track progress and understand how such important elements as intersectionality impact the composition and performance of the workforce (Buble, 2021).

Chapter 12  •  Workforce Planning in Turbulent Times  171

The Influence of Automation As the automation of work continues to unfold, the impacts on the public sector workforce remain to be seen. Nearly half of all U.S. employment is at risk of automation (Frey & Osborne, 2017) and government organizations are not immune to this trend. It is expected that automation will reshape workforces in ways that have yet to be fully understood. What we do know is that some job categories are at greater risk of automation. We also know that those risks will impact women and non-​White employees more substantially due to occupational segregation patterns (Borry & Getha-​Taylor, 2019). This means workforce planning must be attentive to the potential impacts of external forces on internal dynamics and organizational values.

Changing Competency Models Leaders must embrace change and be willing to invest in continual learning to stay ahead of the trends that affect their organization. Curiously, public service competency models do not always include “learning” as a critical leadership quality. For example, the U.S. OPM’s Executive Core Qualifications (ECQs) neglect this needed attribute for federal leaders in their model. Instead, the ECQs address how leaders can provide opportunities for others to learn and develop. This is a significant gap. Guy and Sowa (2022) remind us that when it comes to managing human capital effectively, we must ask whether there is leadership support for acting strategically, and whether professionals have the needed competencies to adopt such an approach. A careful look at existing competency models is necessary to evaluate whether these tools are keeping pace with changing public management conditions and needs.

HRM Capacity To effectively achieve the benefits of workforce planning, agencies must invest in building their HRM capacity. Regrettably, this focus has been declining for some time. As noted previously, at the federal level, human capital management has regressed precipitously in recent years. Scholars and practitioners alike have sounded the alarm on this trend and underscored the centrality of HRM in organizational success (Kettl, 2015; Sowa, 2020). This investment is especially important because other at-​risk areas of public management, including cybersecurity, rely on the effective management and utilization of human capital (Wagner, 2021). It is the job of organizational leaders to champion investments in human resource management to ensure the continued transformation of potential into performance.

Conclusion Sources of turbulence will continue to impact organizations and their ability to effectively engage in workforce planning in the future. It will be increasingly important for public managers to give careful thought to the ways in which planning can help them prepare for these and other challenges (Pynes, 2016). Academic and practitioner sources agree that strategic workforce planning has substantial benefits, including evidence-​ based decision-​making and supporting the relationship between human resources and other organizational units. While workforce planning has the potential to elevate the role of human resource management within public organizations, Huerta Melchor (2013)

172  Heather Getha-Taylor envisions an ideal future in which workforce planning moves from the domain of human resource management to a shared organizational priority that is comprehensive and transparent. Simply put, workforce planning offers an opportunity for every part of the organization to be involved in charting a course for the future. Both existing planning models and emerging approaches, including logic models, can offer valuable roadmaps for the future. As managers consider the role and impact of workforce planning in their organizations, they should balance the need to meet short-​term priorities with attention to the long-​term objectives. Organizational values should inform—​and be made evident—​through our efforts (Getha-​Taylor, 2021). Ideally, workforce planning should be a holistic, data-​driven process that is designed to meet specific needs while being responsive to change and supportive of continual learning (Department of Energy, 2014). While workforce planning has the potential to offer a variety of benefits to public organizations, it requires a long-​term commitment, adequate resources, and attention to evaluating outcomes over time. This is a tall order that is not always met; failing to do so can have serious consequences. Speaking to economic cuts and associated workforce reshaping efforts, Huerta Melchor’s (2013) study of OECD countries revealed that a lack of planning can have lasting negative effects on the public workforce’s capability. “Without careful planning, countries could be required to dedicate large amounts of time and resources to reskill the workforce, potentially erasing the actual gains of cutbacks” (Huerta Melchor, 2013: 11). Government organizations must obviously be attentive to market forces and demands for results, but must also prioritize citizens (Fadairo et al., 2013). This final point is both the rationale and the end goal of workforce planning. When done in a strategic manner, planning offers a roadmap to provide valuable public services in a sustainable and adaptive way.

References Battaglio, R. P. (2015). Public human resource management: Strategies and practices in the 21st century. Sage. Berman, E. M., Bowman, J. B., West, J. P., & Van Wart, M.R. (2016). Human resource management in public service: Paradoxes, processes, and problems, 5th ed. Sage. Bivens, J. (2012, April 5). Public sector job losses: An unprecedented drag on the economy. Economic Policy Institute. www.epi.org/​publ​icat​ion/​pub​lic-​sec​tor-​job-​los​ses-​unprec​eden​ ted-​drag Borry, E. L., & Getha-​Taylor, H. (2019). Automation in the public sector: Efficiency at the expense of equity? Public Integrity, 21(1), 6–​21. Brown, R. G. (2010). Strategic planning. In S. E. Condrey (Ed.), Handbook of human resource management in government, 3rd ed. Jossey-​Bass, pp. 715–​734. Buble, C. (2021, July 14). Federal diversity officers stress importance of data. Government Executive. www.gove​xec.com/​man​agem​ent/​2021/​07/​fede​ral-​divers​ity-​offic​ers-​str​ess-​imp​ orta​nce-​data/​183​763 California Public Utilities Commission on Workforce Planning, Career Development and Succession Planning. (2015, October 21). Internal audit unit report on workforce planning, career development and succession planning. Chokshi, N. (2014, March 7). Why this is the worst jobs recovery for state and local governments in 40 years. The Washington Post. Choudhury, E. (2007). Workforce planning in small local governments. Review of Public Personnel Administration, 27, 264–​280.

Chapter 12  •  Workforce Planning in Turbulent Times  173 Doberstein, C., & Charbonneau, E. (2022). Alienation in pandemic-​induced telework in the public sector. Public Personnel Management, 51(4), 491–​515. Fadairo, S. A., Williams, R., & Maggio, E. (2013). Workforce planning and management. Journal of Government Financial Management, 62(4), 34–​38. Frey, C. B., & Osborne, M. (2017). The future of employment: How susceptible are jobs to computerization? Technological Forecasting & Social Change, 114, 254–​280. Getha-​Taylor, H. (2021). Workforce planning: Shifting assumptions in a precarious reality. In B. Steijn, & E. Knies (Eds.), Research handbook on human resource management in the public sector. Edward Elgar, pp. 132–​144. Goodman, D., French, P. E., & Battaglio, R. P. Jr. (2015). Determinants of local government workforce planning. American Review of Public Administration, 45(2), 135–​152. Government Business Council. (2014). Planning for a robust federal workforce: A candid survey of federal leaders. http://​cdn.gove​xec.com/​media/​gbc/​docs/​gbcmgs​_​wp2​014.pdf Guy, M. E., & Sowa, J. E. (2022). Strategic human resource management. In Human resource  essentials for public service: People, process, performance. Melvin & Leigh, pp. 23–​38. Huerta Melchor, O. (2013). The government workforce of the future: Innovation in strategic workforce planning in OECD countries. OECD Publishing. Ibarra, P. (2016, February 10). Why governments need to ramp up succession planning. Governing. Jacobson, W. S. (2010). Preparing for tomorrow: A case study of workforce planning in North Carolina municipal governments. Public Personnel Management, 39(4), 353–​377. Johnson, G. L., & Brown, J. (2004). Workforce planning not a common practice, IPMA-​HR study finds. Public Personnel Management, 33(4), 379–​388. Keller, R. (2022, February 7). House committee scales back governor’s pay raise plan for Missouri state workers. Missouri Independent. https://​miss​ouri​inde​pend​ent.com/​2022/​02/​ 07/​house-​commit​tee-​sca​les-​back-​govern​ors-​pay-​raise-​plan-​for-​misso​uri-​state-​work​ers Kettl, D. F. (2015). The merit principle in crisis. Governance, 28(4), 421–​424. League of Minnesota Cities. (2016). Information memo: Workforce Planning Toolkit. www.lmc. org/​media/​docum​ent/​1/​workf​orce​plan​ning​tool​kit.pdf?inl​ine=​true Llorens, J. J., Klingner, D. E., & Nalbandian, J. (2018). Public personnel management: Contexts and strategies, 7th ed. Routledge. MissionSquare Research Institute. (2021a). Survey findings: State and local government workforce.  https://​slge.org/​resour​ces/​sur​vey-​findi​ngs-​state-​and-​local-​gov​ernm​ent-​workfo​ rce-​2021 MissionSquare Research Institute. (2021b). COVID-​19 one year later: The evolving impact of the pandemic on public sector employees. https://​slge.org/​wp-​cont​ent/​uplo​ads/​2021/​07/​covidi​ nfog​raph​ic_​j​uly2​021.pdf MissionSquare Research Institute. (2022). The Great Resignation and COVID-​19: Impact on public sector employment and how employers can help. https://​slge.org/​wp-​cont​ent/​uplo​ ads/​2022/​01/​grea​tres​igna​tion​info​grap​hic.pdf Office of Personnel Management (OPM). (2014). Logic model template for creating federal supervisory and managerial training. www.opm.gov/​wiki/​uplo​ads/​docs/​Wiki/​OPM/​train​ ing/​2014%2007%2002%20Lo​gic%20Mo​del.pdf Office of Personnel Management (OPM). (2022). Workforce planning guide. www.opm.gov/​ pol​icy-​data-​oversi​ght/​human-​capi​tal-​framew​ork/​refere​nce-​materi​als/​tal​ent-​man​agem​ent/​ workfo​rce-​plann​ing-​guide.pdf Pynes, J. E. (2013). Human resources management for public and nonprofit organizations: A strategic approach, 4th ed. Jossey-​Bass. Pynes, J. E. (2016). Strategic human capital. In R. C. Kearney, & J. D. Coggburn (Eds.), Public human resource management: Problems and prospects, 6th ed. Sage, pp. 106–​117.

174  Heather Getha-Taylor Quinton, S. (2021, December 21). Desperate for state workers, governors offer raises to keep them. Pew Research Trusts. www.pewtru​sts.org/​fr-​sc/​resea​rch-​and-​analy​sis/​blogs/​statel​ine/​ 2021/​12/​21/​desper​ate-​for-​state-​work​ers-​govern​ors-​offer-​rai​ses-​to-​keep-​them Rein, L. (2014, December 15). Millennials exit the federal workforce as government jobs lose their allure. The Washington Post. Smith, C. (2021, June 1). Government is hiring, but faces tough competition for workers. Governing. www.govern​ing.com/​now/​gov​ernm​ent-​is-​hir​ing-​but-​faces-​tough-​comp​etit​ion-​ for-​work​ers Sowa, J. E. (2020). Reinvigorating the spirit of strategic human resource management. Public Personnel Management, 49(3), 331–​335. Stanton, T. H. (2004). Program design and the quest for smaller and more efficient government. In T. H. Stanton, & B. Ginsberg (Eds.), Making government manageable: Executive organization and management in the twenty-​first century. Johns Hopkins University Press, pp. 229–244. State of Tennessee (n.d.). Agency guide to workforce planning. http://​tn.gov/​ass​ets/​entit​ies/​hr/​ atta​chme​nts/​Workf​orce​_​Pla​nnin​g_​Gu​ide.pdf. Sturt, D., & Nordstrom, T. (2016). Facing the facts of employee turnover. http://​blog.octan​ner. com/​appre​ciat​ion-​2/​fac​ing-​the-​facts-​of-​emplo​yee-​turno​ver U.S. Department of Energy, Office of the Chief Human Capital Officer. (2014). Integrated workforce planning: A facilitation guide for office directors. https://​ene​rgy.gov/​sites/​prod/​files/​ 2014/​10/​f18/​Workfo​rce%20P​lann​ing%20F​acil​itat​ion%20Gu​ide.pdf US Geological Survey. (2013). United States Geological Survey workforce planning desk guide. www2.usgs.gov/​human​capi​tal/​sw/​ workforceplanning/​deskguide.html U.S. Government Accountability Office. (2021). Dedicated leadership needed to address limited progress in most high-​risk areas. https://​files.gao.gov/​repo​rts/​GAO-​21-​119SP/​index.html U.S. Merit System Protection Board. (2022, January). Workforce snapshot: FY 2020 age distribution. Issues of Merit. U.S. Management (OPM) (n.d.). Executive core qualifications. www.opm.gov/​pol​icy-​data-​ oversi​ght/​sen​ior-​execut​ive-​serv​ice/​execut​ive-​core-​qua​lifi​cati​ons Wagner, E. (2021). GAO: Federal human capital management has regressed over last two years. Government Executive. www.gove​xec.com/​oversi​ght/​2021/​03/​gao-​fede​ral-​human-​capi​tal-​ man​agem​ent-​has-​regres​sed-​over-​last-​two-​years/​172​402

13



THE ROLE OF HUMAN RESOURCE MANAGEMENT IN CYBERSECURITY Jared J. Llorens

The field of public human resource management has long explored issues related to the adoption of new technologies and their impact upon core human resource management practices such as employee recruitment, compensation, and performance management (e.g., Lewis & Hu, 2005; Coursey, 2010; Johnson, Coggburn, & Llorens, 2022). However, the need for a stand-​alone chapter devoted to the intersection of human resource management and cybersecurity attests to the evolving role of human resource managers as it relates to protecting sensitive and critical public data networks. While the growth of information technologies over the past 50 years has dramatically shaped how human resource specialists, managers, and employees interact with each other and institutions, it has also ushered most organizations into relatively uncharted territory with regards to the security of critical personnel and institutional data. From private companies, such as the Target Corporation and Sony, to federal, state, and local government agencies, organizational leaders have been forced to quickly develop cybersecurity management systems that allow them to both manage evolving risks and respond to increasingly common and harmful cyber-​attacks. In overviewing this critical topic as it relates to public sector human resource management, this chapter describes the major components of institutional approaches to cybersecurity, with a particular focus on the human resource management dynamic of such efforts. It can be argued that the tale of recent public sector cybersecurity breaches is as much a story of human capital and human resource management policies as it is of inadequate hardware and software infrastructure. To further illustrate this point, this chapter highlights noteworthy data breaches and, using recent guidance, describes contemporary challenges and strategies for public sector organizations seeking to strengthen their security networks.

CYBER-​THREATS, CYBER-​ATTACKS, AND CYBERSECURITY As one might imagine, it is quite challenging to fully describe or capture the full extent of cybersecurity threats and responses due to the rapidly changing nature of the field. Cyber-​ threats can emerge from “unsophisticated hackers” or “technically competent intruders using state-​of-​the-​art intrusion techniques,” whose intent is typically “designed

DOI: 10.4324/9781003403401-13

175

176  Jared J. Llorens to steal information and disrupt, deny access to, degrade, or destroy critical information systems” (DHS, 2016). More specifically, the source of cyber-​threats can range from criminal groups and adversarial nations to disgruntled employees and activists, as in the case of the National Security Agency data breach in 2013 (GAO, 2015). As highlighted above, cyber-​ threats can and have impacted all types of organizations, from large multinational corporations to small local governments and nonprofits. The potential impact of cyber-​attacks is equally broad in scope. The U.S. Government Accountability Office reports that in 2021 there were a total of 32,511 information security incidents across the federal government alone and the nature of these attacks ranged from common email/​phishing attempts to attacks on agency websites (GAO, 2022). Led by a host of bad actors, which include both criminal organizations and nation-​states, GAO points out that cyberattacks can result in the following: • loss or theft of computer resources, assets, and funds; – inappropriate access to and disclosure, modification, or destruction of sensitive information, such as national security information, PII, and proprietary business information; – disruption of essential operations supporting critical infrastructure, national defense, or emergency services; – undermining of agency missions due to embarrassing incidents that erode the public’s confidence in government; – use of computer resources for unauthorized purposes or to launch attacks on other systems; • damage to networks and equipment; and • high costs for remediation. (GAO, 2015: 2) Vulnerability to such threats has only grown as organizations have increasingly relied upon networked solutions to complete tasks and processes that were once paper-​based and/​or localized. For example, it would probably be quite difficult to locate an averagesized public employer that still maintains paper-​based personnel records of its employees, with the norm now being the use of highly networked, cloud-​based, personnel management solutions from such companies as Oracle/​Peoplesoft and SAP. While the transition to automated and networked processes, from simple transactions to more advanced operations, has increased organizational efficiencies and performance, the reliance upon such processes has exponentially increased vulnerabilities to cyber-​threats and the impact that such threats can have on organizations. As Figure 13.1 illustrates, cyber-​attacks on U.S. federal agencies have increased dramatically over the past few decades (GAO, 2015, 2019; Statista, 2023). Figure 13.1 highlights that there were fewer than 10,000 cybersecurity incidents within the federal government in 2006, but by 2015 this number had risen to over 75,000. Beginning in 2016, this number dropped to under 35,000 and remained at this level through 2020. While data on cyber-​attacks at the state and local level are not as robust, prior studies indicate that many states are lacking in their cybersecurity strategic planning efforts (Dawson, & Desouza, 2015; Recordedfuture, 2019), and at the local level, research has shown that smaller municipal organizations have been targeted by attackers due to their lack of cybersecurity resources (CIS, 2022). Further, the scale of cyber-​attacks on sectors of the economy with a substantial reliance upon automated data networks is truly staggering. Although breaches to major consumer outlets such as Target have received a great deal of attention, these types of breaches pale in comparison to recent estimates

Chapter 13  •  The Role of Human Resource Management in Cybersecurity  177

FIGURE 13.1  Federal cybersecurity incidents, FY2006–​FY2020 Source: Adapted from Statista (2023).

of cyber-​attacks on healthcare data networks. GAO (2016) reported that in 2015, just over 113 million electronic health records, containing highly sensitive data, were stolen by attackers. While unprecedented in number, it is more alarming that only 12.5 million records were stolen in 2014, thus signaling a dramatic surge in cyber-​threats that shows no signs of abating. Generally speaking, protection from and the response to such threats falls under the umbrella of cybersecurity, which commonly refers to the “technologies and techniques used to protect information and systems from being stolen, compromised or attacked” (DHS, 2016: 1). Functionally, cybersecurity can be divided into three major components: hardware/​software, people, and processes (NPR, 2016). While beyond the scope of this chapter, hardware/​software solutions for combating cybersecurity threats are vital and, as will be discussed later, inadequate investment in appropriate solutions can make an organization more vulnerable than it otherwise would or should be. The people (i.e., human capital) and processes components to cybersecurity are equally vital to organizations, and in many respects even more so in the public sector due to the sensitive nature of public sector data and activities. Further, the two latter components are directly tied to strategic human resource management functions, so should be a point of awareness for public managers and human resource management specialists alike.

CASE STUDIES: CITY OF BALTIMORE AND THE U.S. OFFICE OF PERSONNEL MANAGEMENT DATA BREACHES While countless cyber-​attacks take place on a daily basis across the globe, one of the more high-​profile cases to impact a local government entity took place in Baltimore, Maryland in May 2019. Utilizing Robbinhood, a ransomware program, cyber-​hackers were able to restrict access to the city’s online data files and demanded payment of 13 bitcoins to restore access (NPR, 2019). As reported at the time, the ransomware was impactful enough to completely shut down essential city services and internal capabilities

178  Jared J. Llorens such as email and online transactions. Demonstrating the relative ease with which these programs can infect organizational networks, Robbinhood can gain access to sensitive networks though phishing emails, deceptive pop-​up requests, or simply an email attachment containing the ransomware program (Comparitech, 2022). As Governing (2022) recently highlighted, ransomware attacks are a relatively simple form of cyber-​ attack; however, these attacks can “shut down servers, expose data, paralyze 911 centers and interfere with traffic management systems … without a dedicated IT staff and with a reliance on aging infrastructures, many cash-​strapped municipalities are ripe for attack.” In the case of Baltimore’s 2019 attack, it was nearly five months before the city was able to return to normal operations and the attack ultimately cost the city over $18 million, with approximately $10 million of that amount paid to IT vendors to aid with recovery efforts (Baltimore Sun, 2019). Highlighting both the pervasiveness and persistence of cyber-​attackers, the Baltimore school system experienced a similar ransomware attack the following year, which resulted in cancellation of remote courses for over 115,000 students (New York Times, 2020). While the instructional costs were damaging enough, the attack also impacted data-​storage systems for the school system’s retirees. Data losses from the cyber-​attack prevented revisions to medical insurance plans and payments. As a result, more than a year later, some retirees were overpaying for medical services they were not receiving, while others were underpaying for received services (Marks & Schaffer, 2022). Although resource-constrained state and local government organizations are prime targets for cyber-​attacks, the federal government is not immune to the threat and impact of these efforts. One of the more noteworthy attacks was conducted against the U.S. Office of Personnel Management in 2015. Unique in the scale of personnel data housed within the agency, OPM experienced two major attacks to its data network. In the first attack in early 2015, personnel data for approximately 4.2 million past and current employees was obtained illegally. In the second, follow-​up attack later that year, a treasure trove of highly sensitive data related to background investigations for “current, former, and prospective Federal employees and contractors” was stolen. Building upon the first data breach, this one compromised data such as names, addresses, and social security numbers for over 21 million individuals, and in some cases even interview and fingerprint data were stolen (OPM, 2016). Given the resources available to the U.S. federal government, it is somewhat baffling how a data breach of this scale could have taken place, especially since OPM had taken a number of steps prior to the data breach to strengthen its cybersecurity defenses. Specifically, the agency had updated its hardware and software resources, strengthened its monitoring efforts, and mandated cybersecurity training for its entire workforce (OPM, 2015). However, the circumstances surrounding the data breach were, ironically, quite simple. While OPM’s technologies, as well as those of the government as a whole, have often been considered lacking with regard to preventing cyber-​attacks, OPM’s data breach resulted from the credentials of a contractor being compromised (Federal Times, 2015). In an effort to reduce costs and increase performance in the 1990s, OPM made the decision to outsource much of its background check operations, which represent approximately 90 percent of all federal background checks. In the 2015 data breach, the theft of user credentials for one of its primary contractors, Keypoint, allowed hackers to illegally gain entry into OPM’s data network, thus exposing data for millions of past, current, and prospective employees. The breach ultimately resulted in the resignation of the OPM Director Katherine Archuleta. In addition, OPM has been forced to provide recovery services for

Chapter 13  •  The Role of Human Resource Management in Cybersecurity  179 impacted individuals, which include identity theft protection and restoration services for individuals subjected to fraudulent acts because of the breach. Given the disproportionate resources available to federal agencies and their continued vulnerability to cyber-​threats, it would be safe to assume that no organization, regardless of its size or capability, is immune to the growing threat posed by cyber-​ attackers. As a result, it is only prudent that public managers and policymakers take strategic steps to strengthen their cybersecurity defenses and address critical areas of need. As will be discussed in the following sections, human resource management strategies are key to these efforts.

CYBERSECURITY FRAMEWORKS AND HUMAN RESOURCE MANAGEMENT In light of the threat posed to national security and business interests by cyber-​attacks, agencies such as the U.S. Department of Homeland Security (DHS), U.S. Office of Personnel Management, and National Institute of Standards and Technology (NIST) have taken an active role in promoting effective cybersecurity management frameworks for use in both public and private organizations. While the literature points out the need to build and maintain robust technologies (i.e., hardware and software) in the face of cybersecurity threats, these technologies are useless without the proper techniques, processes, and personnel to manage developing technologies. In many respects, the challenge of cybersecurity is a public management concern and the growing call for public agencies to focus on cybersecurity mirrors calls to address the “crisis” in human capital of the early 2000s, with the critical differences being a narrower focus on cybersecurity human capital and the impact of the concern at all levels of government, as well as in the private and nonprofit sectors. Similar to human capital guidance promoted by federal agencies in the early 2000s, DHS and NIST have developed and promoted comprehensive frameworks to identify cybersecurity workforce needs and develop a high-​ performing cybersecurity workforce. In addition, non-​governmental organizations, such as the Partnership for Public Service (2015) and the Society for Human Resource Management (2014, 2021), have also taken proactive roles in highlighting the human resource management component of cybersecurity threats.

A Framework for Cybersecurity In an effort to establish a common language for organizations in addressing cybersecurity, the NIST framework (2018) identifies five core functions of effective cybersecurity management: (1) identification of cybersecurity threats; (2) protection from cybersecurity threats; (3) detection of cybersecurity breaches; (4) responses to cybersecurity breaches; and (5) recovery from cybersecurity breaches. While the presence of appropriate technologies is at the heart of each of these functions, technology alone is useless without the proper personnel to effectively manage it. As a result, public and private organizations intent on protecting themselves from the threat of a cyber-​attack will be forced to excel in two human capital-​related tasks. First, they will need to successfully hire, retain, and develop cybersecurity professionals to aid in both preventing and responding to future attacks. This task is often made more difficult in the public sector due to the nature of public sector hiring and compensation systems. Second, and equally important, they will

180  Jared J. Llorens need to train employees at all levels within the organization on the proper protocols for protecting secure information. Equally challenging, this latter task would seem to apply to all employees in most modern organizations, from the street-​level employee working in the field or at home to more senior-​level employees with access to expansive agency networks. To further highlight this point, the NIST framework identifies key concerns and action items within each of the functions, many of which fall directly under the auspices of human resource management operations. For example, within the protection function, NIST lists “Awareness and Training” as one of six critical categories. Commonly, within the responsibility of human resource management officers within organizations, this component of the framework seeks to ensure that “the organization’s personnel and partners are provided cybersecurity awareness education and are trained to perform their cybersecurity related duties and responsibilities consistent with related policies, procedures, and agreements” (NIST, 2018: 31). As one would expect, the contemporary scope of networked systems and functions within organizations has created the need for comprehensive cybersecurity training at all organizational levels, not just for those employees working in information technology.

Workforce Planning and Development Along with training personnel throughout the organization on proper cybersecurity protocol, it can be argued that the greatest challenge for public sector institutions in fulfilling each of the core functions outlined by NIST is recruiting and retaining the necessary human capital to meet organizational cybersecurity needs. If fulfilling such needs were simply a matter of purchasing needed hardware and software, then public leaders could easily identify and allocate the financial resources to meet such needs. However, fulfilling human capital needs is much more complex and made more difficult by public personnel hiring systems. To provide guidance for a wide variety of impacted institutions and individuals (federal, state, and local organizations and the general public), the National Initiative for Cybersecurity Careers and Studies (NICCS) has published a Workforce Framework for Cybersecurity (referred to as the NICE Framework), which builds upon an earlier toolkit published by the Department of Homeland Security (DHS) and provides a roadmap for developing cybersecurity human capital expertise (NICCS, 2022). In particular, the framework is intended for use in improving “practices around identifying, recruiting, developing, and retaining cybersecurity talent, including those whose primary focus is on cybersecurity as well as those who need specific cybersecurity-​related knowledge and skills in order to manage risks to the enterprise” (NICE, 2022). An earlier toolkit published by DHS in 2016 identifies four core areas for effective workforce development: (1) assessment of cybersecurity planning readiness; (2) cybersecurity workforce planning; (3) effectively building a cybersecurity team; and (4) continuous development of cybersecurity teams. Within the readiness component, DHS provided a Cybersecurity Workforce Planning Capability Maturity Model (CMM) that allowed organizations to assess whether they have “limited” readiness—​demonstrating “limited established processes, lack of clear planning guidance, and limited data and analysis methods”—​or an “optimizing” level of readiness—​indicating “workforce planning capabilities that are fully developed, are integrated with other business processes, and can support different levels of workforce and workload analysis” (DHS, 2016: 2).

Chapter 13  •  The Role of Human Resource Management in Cybersecurity  181 Under the planning component, DHS notes that “security breaches are often caused not by breakdown in technology, but by breakdown in organizational structure or workforce” (DHS, 2016: 3). To ensure a robust cybersecurity presence, DHS guidance follows existing workforce planning principles in suggesting that organizations: (1) identify their cybersecurity risks; (2) inventory their existing cybersecurity workforce (i.e., human capital); (3) identify existing human capital gaps; (4) take concrete steps to address identified gaps; and (5) “review and update” the overall plan (DHS, 2016: 4). The guidance also goes one step further by outlining the characteristics of high-​performing cybersecurity teams. They included the following: • Agile: Attacks can emerge at any time—​teams must be ready to change course and solve problems quickly. • Multifunctional: Teams need diverse knowledge and skills to perform many activities. • Dynamic: To respond to new threats, teams need to always learn new skills and methodologies to secure systems. • Flexible: Strong teams can shift priorities to meet the challenge of the day • Informal: Cyber teams favor flexible work hours, and shifting duties to remain engaged and on top of their game. (DHS, 2016: 4) The toolkit also provides guidance on developing career paths for cybersecurity professionals and identifying critical KSAs, but one key point in evaluating the usefulness of such a plan for organizations is the ability of an organizational human resource management system to build what would be considered a high-​performing cybersecurity team. While one can easily envision companies such as Google or Facebook quickly assembling agile, dynamic, and flexible teams, given their existing business processes, doing so in a public sector organization with a traditional human resource management system would likely prove much more difficult. Building upon the earlier DHS toolkit, the NICE Framework is focused primarily on providing employers with a “common lexicon” that can assist them in identifying, acquiring, and/​or developing needed skillsets (NICCS, 2022). The framework itself built upon the broad identification of seven functional categories addressing the: (1) analysis of cybersecurity information; (2) collection of cyber data and operational planning; (3) investigation of cybersecurity events; (4) operation and maintenance of information technology systems; (5) governance of cybersecurity work; (6) protection and defense of systems; and (7) development of information technology systems. The framework then drills down into 33 areas of cybersecurity specialization and further down into 52 more detailed work roles, which contain specified knowledge, skills, and abilities required for successful performance in each role. Collectively, the NICE framework supports, among others, employers seeking to engage in cybersecurity workforce planning efforts, individuals seeking career paths in cybersecurity, and human resource management/​development professionals building cybersecurity training programs.

Conclusion It should be readily apparent to organizational leaders in both the public and private sectors that the challenge of cybersecurity will only grow as the reliance upon automated

182  Jared J. Llorens and networked business processes increases. Attacks of the sort that took place at OPM in 2015 and the City of Baltimore in 2019 will only become more frequent as organizations continue automation trends and rush to build and develop systems to protect their critical data networks. Although the challenge of cybersecurity permeates all functional areas within an organization, from a strategic human resource management perspective there are two primary tasks that leaders must focus on in combating the threat of cyber-​attacks. First, it is critical that organizations of all sizes take immediate steps to inventory their cybersecurity human capital and take immediate steps to fill both short-​term and long-​ term gaps. As pointed out by DHS and the Partnership for Public Service, doing so can entail the use of special hiring programs outside of existing norms, the use of targeted internship opportunities, and the use of special pay rates to attract highly sought after candidates. Second, and equally important, organizations must educate the broader, non-​ IT, workforce on proper cybersecurity protocols so that networks are not inadvertently made vulnerable by actions that are seemingly outside of the sphere of cybersecurity. As in the case of the 2015 OPM data breach, a massive treasure trove of personal information was stolen simply from the theft of one set of contractor credentials, and similar attacks can easily take place due to outdated security protocols or employees not being aware of the pervasiveness of cyber threats. Ultimately, this latter task is a direct acknowledgment that in modern organizations, all employees—​both vertically and horizontally—​are responsible for cybersecurity.

References Baltimore Sun. (2019, September 10). Baltimore IT director who was at helm during ransomware attack and city’s recovery is on leave. www.balti​more​sun.com/​polit​ics/​bs-​md-​ ci-​frank-​john​son-​leave-​20190​910-​wal​iphu​kdbc​g3ev​zylb​rjfe​fui-​story.html Center for Internet and Society (CIS). (2022). Local governments are attractive targets for hackers and are ill-​prepared. https://​cyber​law.stanf​ord.edu/​blog/​2022/​03/​local-​gove​rnme​ nts-​are-​att​ract​ive-​targ​ets-​hack​ers-​and-​are-​ill-​prepa​red Comparitech. (2022). What is Robbinhood ransomware & how to protect against it? www. comp​arit​ech.com/​net-​admin/​rob​binh​ood-​ran​somw​are Coursey, D. (2010). Managing technology in the context of public human resources. In S. E. Condrey (Ed.), Handbook of human resource management in government. Jossey-​ Bass, pp. 199–​229. Dawson, G., & Desouza, K. (2015). How state governments are addressing cybersecurity. Brookings Techtank. www.brooki​ngs.edu/​blog/​techt​ank/​2015/​03/​05/​how-​state-​gove​rnme​ nts-​are-​add​ress​ing-​cybers​ecur​ity Department of Homeland Security (DHS). (2016). Cybersecurity workforce development toolkit: How to build a strong cybersecurity workforce. https://​niccs.us-​cert.gov/​sites/​ defa​ult/​files/​docume​n ts/​ pdf/​ cybers​ecur​ity%20wo ​rkfo​rce%20deve​lopm​ ent%20tool​kit. pdf?trackD​ocs=​cybers​ecur​ity%20wo​rkfo​rce%20deve​lopm​ent%20tool​kit.pdf Federal Times. (2015, June 23). Contractor breach gave hackers keys to OPM data. www.feder​ alti​mes.com/​story/​gov​ernm​ent/​omr/​opm-​cyber-​rep​ort/​2015/​06/​23/​keypo​int-​usis-​opm-​bre​ ach/​28977​277 Governing. (2022). Why local governments are a target for cyber attacks and steps to improve it. www.govern​ing.com/​sponso​red/​why-​local-​gove​rnme​nts-​are-​a-​tar​get-​for-​cyber-​atta​cks-​ and-​steps-​to-​prev​ent-​it Government Accountability Office (GAO). (2011). Cybersecurity human capital: Initiatives need better planning and coordination. www.gao.gov/​ass​ets/​590/​586​494.pdf.

Chapter 13  •  The Role of Human Resource Management in Cybersecurity  183 Government Accountability Office (GAO). (2015). Cyber threats and data breaches illustrate need for stronger controls across federal agencies. www.gao.gov/​ass​ets/​680/​671​ 253.pdf Government Accountability Office (GAO). (2016). Electronic health information: HHS needs to strengthen security and privacy guidance and oversight. www.gao.gov/​ass​ets/​680/​679​ 260.pdf Government Accountability Office (GAO). (2019). Federal information security: Agencies and OMB need to strengthen policies and practices. Retrieved February 14, 2023 from www.gao. gov/​ass​ets/​gao-​19-​545.pdf Government Accountability Office (GAO). (2022). Cybersecurity: An overview of cyber challenges facing the nation, and actions needed to address them. www.gao.gov/​cybers​ ecur​ity Johnson, B., Coggburn, J., & Llorens, J. (2022). Artificial intelligence and public human resource management: Questions for research and practice. Public Personnel Management, 51(4). https://​doi.org/​10.1177/​009102​6022​1126​498 Lewis, G., & Zhenhua, H. (2005). Information technology workers in the federal service: More than a quiet crisis? Review of Public Personnel Administration, 25(3), 207–​227. Marks, J., & Schaffer, A. (2022, April 18). A 2020 ransomware attack is still harming Baltimore teachers. Washington Post. www.was​hing​tonp​ost.com/​polit​ics/​2022/​04/​18/​2020-​ran​somw​ are-​att​ack-​is-​still-​harm​ing-​baltim​ore-​teach​ers National Initiative for Cybersecurity Careers and Studies (NICCS). (2022). Workforce Framework for Cybersecurity (NICE Framework). https://​niccs.cisa.gov/​workfo​rce-​deve​lopm​ent/​nice-​ framew​ork. National Initiative for Cybersecurity Education (NICE). (2022). Workforce framework for cybersecurity (NICE Framework), Rev. 1. www.nist.gov/​sys​tem/​files/​docume​nts/​2022/​ 08/​02/​NICE%20Fr​amew​ork%20%28N​IST%20SP%20800-​181%29_​one-​pag​er_​5​08Co​mpli​ ant.pdf National Institute of Standards and Technology. (2018). Framework for improving critical infrastructure cybersecurity. https://​nvlp​ubs.nist.gov/​nistp​ubs/​CSWP/​NIST.CSWP.04162​ 018.pdf National Public Radio (NPR). (2016, June 2). One year after OPM data breach, what has the government learned? www.npr.org/​secti​ons/​alltec​hcon​side​red/​2016/​06/​06/​480968​999/​ one-​year-​after-​opm-​data-​bre​ach-​what-​has-​the-​gov​ernm​ent-​lear​ned National Public Radio (NPR). (2019, May 21). Ransomware cyberattacks knock Baltimore’s city services offline. www.npr.org/​2019/​05/​21/​725118​702/​ran​somw​are-​cyber​atta​cks-​on-​baltim​ ore-​put-​city-​servi​ces-​offl​ine New York Times. (2020, November 29). Ransomware attack closes Baltimore County public schools. www.nyti​mes.com/​2020/​11/​29/​us/​baltim​ore-​scho​ols-​cybe​ratt​ack.html Office of Personnel Management (OPM). (2015). Actions to strengthen cybersecurity and protect critical IT systems. www.opm.gov/​cybers​ecur​ity/​cybers​ecur​ity-​incide​nts/​opm-​cybers​ ecur​ity-​act​ion-​rep​ort.pdf Office of Personnel Management (OPM). (2016). Cybersecurity Resource Center. www.opm. gov/​cybers​ecur​ity/​cybers​ecur​ity-​incide​nts Partnership for Public Service. (2015). Cyber in-​security II: Closing the federal talent gap. https://​ourpu​blic​serv​ice.org/​publi​cati​ons/​vie​wcon​tent​deta​ils.php?id=​504 Recordedfuture.com. (2019, May 10). Early findings: Review of state and local government ransomware attacks. https://​go.rec​orde​dfut​ure.com/​hubfs/​repo​rts/​cta-​2019-​0510.pdf Society for Human Resource Management. (2014, November 24). Are “inside jobs” the biggest cybersecurity threat to employers? HR has critical role in preventing internal security threats. https://​blog.shrm.org/​tre​nds/​are-​ins​ide-​jobs-​the-​bigg​est-​cybers​ecur​ity-​ thr​eat-​to-​employ​ers

184  Jared J. Llorens Society for Human Resource Management. (2021, October 23). The weakest link in cybersecurity: The world of hybrid work demands better security. www.shrm.org/​hr-​today/​ news/​all-​thi​ngs-​work/​pages/​the-​weak​est-​link-​in-​cybers​ecur​ity.aspx Statista. (2023). Number of cybersecurity incident reports by federal agencies in the United States from FY 2006 to 2020. www.stati​sta.com/​sta​tist​ics/​677​015/​num​ber-​cyber-​incid​ent-​ repor​ted-​usa-​gov

14



TELEWORK IN GOVERNMENT Willow S. Jacobson

Flexible working arrangements can benefit both employees and employers by helping to meet staffing needs, enhancing family-​friendly policies, and responding to environmental concerns. These alternative working options have become increasingly feasible and prevalent as advances in technology have facilitated the feasibility of remote work and, in many organizations, made them an expected option (Lister & Harnish, 2010; Hooper, 2016). A 2021 Gallup Poll reports that 45 percent of all full-​time U.S. workers telework, working from home either all (25 percent) or most (20 percent) of the time. Among white-​collar professions, 67 percent of all full-​time workers reported working from home either exclusively (41 percent) or most of the time (21percent) (Saad & Wigert, 2021). Research from Global Workplace Analytics (2021) finds that telework grew across fields (for-​profit, nonprofit, and government) with regular teleworking increasing by 216 percent between 2005 and 2019. Due to the COVID-​19 pandemic, telework became not just an option but a required transition for many, for at least some length of time (see also Chapter 10). It is reported that 69 percent of U.S. employees were working remotely at the peak of the pandemic (Global Workplace Analytics, 2021). Some of this change was temporary, as organizations required workers to work remotely and subsequently required individuals to return to the office, but for other organizations this change appears more permanent. Proposed organizational advantages of remote work have centered on economic, environmental, and social impacts. Identified benefits of telework include the promotion of employee work–​life balance, reduced commuting time, reduced employee stress, decreased use of sick leave, and increased work satisfaction; these, in turn, lead to recruitment and retention benefits and associated financial savings. Other advantages for employers include a decreased office space requirement and a reduction in travel expenses (Green & Roberts, 2010), as well as the ability to hire talent from a broader geographical pool. Environmentally, benefits such as reduced emissions and energy consumption and decreased congestion are often noted (Wadsworth, Facer, & Arbon, 2010; Mahler, 2012). While many studies have identified benefits, others have found that telework can be detrimental for employees and their organizations. The challenges presented by teleworking include reduced employee oversight and accountability (Day & Burbach, 2011), less interpersonal contact among teams, and possible employee isolation (Crandall

DOI: 10.4324/9781003403401-14

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186  Willow S. Jacobson & Gao, 2005; Golden, Veiga, & Dino, 2008; Davis & Cates, 2013). Following the COVID-​19 pandemic, increased attention and concern have been placed on the issue of increased burnout associated with a lack of differentiation, or blurring, between home and work life. Abdel Hadi et al. (2021) found that daily home demands associated with telework during the pandemic positively correlated with emotional exhaustion. Questions remain regarding the correct management and supervision strategies for the workforce as telework participation continues to increase across all sectors. Alternative models of work require policy, legal, technical, structural, and managerial considerations, but the greatest concern is often cultural (Mastracci & Thompson, 2010; Lumney, 2012). Culture, team dynamics, training, mentoring, and knowledge transfer are just some of the human capital issues that must be addressed thoughtfully in the new working environment. This chapter will review the concept of and current trends in telework, focusing specifically on its use in government. After examining the impact of telework on a range of employment dimensions, the remainder of the chapter will explore practical considerations for telework implementation, including legal requirements, technology needs, and cultural and management implications.

DEFINING TELEWORK Descriptors and terminology for working outside of the traditional workspace or office include telework, telecommuting, virtual work, off-​site work, flexible work sites, remote work, and work-​ shifting, among others,1 and the list continues to grow. For federal agencies, telework moved from an option to an expectation as a result of the Telework Enhancement Act of 2010 (Public Law 111–​292). According to this Act, the official definition of the term “telework” or “teleworking” refers to a work flexibility arrangement under which an employee performs the duties and responsibilities of such employee’s position, and other authorized activities, from an approved worksite other than the location from which the employee would otherwise work. Accordingly telework focuses on the flexibility of the place where work is done. The U.S. Office of Personnel Management (OPM) notes that, “In practice, ‘telework’ is a work arrangement that allows an employee to perform work, during any part of regular, paid hours, at an approved alternative worksite (e.g., home, telework center)” (OPM, 2016). For a more complete review of the varied terminologies and conceptualizations used in the literature, see Allen, Golden, and Shockley (2015).

A GROWING PRACTICE Over the last several decades, there has been increased focus on the practice of telework and telecommuting. The terms were coined in the 1970s during the time of the oil crisis, when governments and business were focusing on reducing energy consumption. Environmental concerns continued to draw attention to options of moving work to people instead of people to work. For example, in 1990 revisions to the Clear Air Act required states to develop plans to reduce air pollution, including regulating emissions from motor vehicles, which the development of telecommuting options would address (Goluboff, 2001). Technological advances, especially the introduction of the home

Chapter 14  •  Telework in Government  187 personal computer (PC) and increased internet access, made telework a more viable option. In addition, shifts from a manufacturing to an information economy increased the number of jobs appropriate for alternative work arrangements (Kizza, 2013). The Society for Human Resource Management (SHRM) performs an annual survey of a random sample of 24,000 of its approximately 275,000 members who work for firms of various sizes. The SHRM 2022 survey results found that 70 percent of organizations offer flexible work benefits, including telecommuting, up from 49 percent in 2019 but below the high of 83 percent during the pandemic, when many workers were required to work remotely (SHRM, 2022). The types of workers who have access to flexible arrangements remains a central question (Golder, 2001; Eldridge & Nisar, 2006; Liechty & Anderson, 2007; Pini & McDonald, 2008). Using data from the 2005–​ 2014 American Community Survey (U.S. Census Bureau, 2014) on the work-​at-​home/​telework population in the United States,2 Global Workplace Analytics (2021) found that 50 percent of the U.S. workforce holds a job that is compatible with at least partial telework and approximately 20–​25 percent of the workforce teleworks at some frequency. They also find that 80 to 90 percent of those in the U.S. workforce say they would like to telework at least part time. Global Workplace Analytics (2021) notes that: A typical telecommuter is college-​ educated, 45 years old or older, and earns an annual salary of $58,000 while working for a company with more than 100 employees. 75 percent of employees who work from home earn over $65,000 per year, putting them in the upper 80th percentile of all employees—​home or office-​based. Despite the growing use of this practice, some organizations have seen efforts to reduce telecommuting arrangements. In 2013, Marissa Mayer, the CEO of Yahoo, banned employees from working away from the office (Guynn, 2013). This was due to an interest in increasing communication and collaboration. Many companies that had allowed remote work options and reversed or made options far more restrictive have been met with substantial pushback. For example, JP Morgan was forced to scale back its return to an in-​person work program after substantial outcry from its staff, resulting in the company only requiring those whose work is unable to be done remotely to come in on a full-​time basis (Velsey, 2022). In 2021, 54 percent of U.S. employees said they would stay with their employer but be less willing to go the extra mile and 46 percent said they would look for another job if they were not allowed to work remotely after the pandemic, while 35 percent of employees indicated that they would change jobs for the opportunity to work remotely (Global Workplace Analytics, 2021).

Government Use of Teleworking The federal government has taken the lead on promoting telework in the public sector. In 2009, the House Transportation Committee and House Committee on Energy and Commerce were encouraged to include telework incentives as part of the nation’s energy and transportation laws. This was followed by the White House Conference on Workplace Flexibility in March 2010. Telework has been seen as an answer to problems that continue to plague the workforce, including extreme weather events, terrorism, fuel prices, traffic congestion, and health outbreaks.

188  Willow S. Jacobson The 2010 Telework Enhancement Act not only required each executive agency to establish and implement a policy that authorizes employees to telework, but also directed agencies to designate a telework manager and required employees and managers to complete training and sign written telework agreements. As part of the Act, agencies are required to incorporate telework into their continuity of operation plans as well as work with the U.S. Office of Personnel Management (OPM) to satisfy reporting requirements. Policies must: (1) ensure that telework does not diminish employee performance or agency operations; (2) require a written agreement between the agency manager and the employee; (3) exclude employees whose performance does not comply with the terms of such agreement or whose official duties require daily direct handling of secure materials or on-​site activity that cannot be handled remotely or at an alternate worksite, except in emergency situations; and (4) be incorporated as part of the agency’s continuity of operations plans. (111th Congress, 2010) In its 2020 Status of Telework in the Federal Government report to Congress, the OPM presents several key findings: “(1) employee eligibility to participate in telework has increased; (2) total participation across all employees continues to increase; (3) agencies continue to display positive trends in telework-​related goal achievement rates; (4) the capacity to assess cost savings achieved through telework has improved” (OPM, 2020: 3). In 2020, 72 percent of agencies met their identified total telework participation goal and 91 percent of agencies reported fiscal year telework participation (OPM, 2020). Continuity of operations planning (COOP) during unforeseen events such as inclement weather or other emergencies has been an identified driver for increased levels of use, with 84 percent of agencies indicating that telework is promoted in relation to COOP (OPM, 2021). The Telework Enhancement Act was also beneficial during the COVID-​19 pandemic, with the 2021 OPM congressional report indicating positive trends in eligibility and participation. Agencies reported through OPM’s annual telework data call that 50 percent of all Federal employees were eligible to telework in 2020 … Agencies reported 45 percent of all federal and 90 percent of all eligible employees teleworked in the fiscal year 2020. (OPM, 2021) A vast majority (79 percent) of agencies reported experiencing no barriers to their COVID-​ 19 pandemic response to assimilate the workforce to a maximum telework environment. Increased use of telework practices has also followed at the state and local levels. States mandate telework to varying degrees from use in the case of emergency operations to a more comprehensive implementation (for example, as far back as 1998 Oregon passed a law (ORS §283.550) requiring state agencies to adopt a written telecommuting policy (Goluboff, 2001). Allen et al. (2015: 58) report that: Beyond federal legislation, a few states have statutes or executive orders related to telecommuting. As of 2014, 16 states (Arizona, California, Colorado, Connecticut, Florida, Georgia, Minnesota, Maine, Maryland, New Mexico,

Chapter 14  •  Telework in Government  189 North Carolina, Oregon, Rhode Island, South Carolina, Virginia, Washington) had statutes or executive orders encouraging telecommuting for state-​agency employees. Additional states had telecommuting policies within various state departments that are not based on legislation but are nonetheless intended to increase the use of remote work. Finally, a few states, including Georgia, Hawaii, Minnesota, Oregon, Texas, and Virginia, offer tax incentives for agencies based on their percentage of telecommuters or for telecommuting conversion costs. In addition to tax incentives, some jurisdictions have used emission-​ reduction credits as an incentive as well as grants or redistribution of funds to promote use (Goluboff, 2001). A review of state websites in 2022 indicates that 43 states have posted telework/​ telecommute policies, many of which have come about as a result of the COVID-​ 19 pandemic (in addition to the 16 noted by Allen et al., 2015) The following have a policy for all or at least one state agency: Alabama, Alaska, Delaware, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Massachusetts, Michigan, Mississippi, Montana, Nebraska, Nevada, New Jersey, New Hampshire, Ohio, Oklahoma, Pennsylvania, South Dakota, Tennessee, Utah, Vermont, West Virginia, Wisconsin, and Wyoming. Policies, requirements, and policy intent vary by state. California’s policy, for example, focuses significantly on traffic congestion and environmental sustainability. The policy notes that: Appropriately planned and managed, telework is a viable work option that can benefit managers, employees, and customers of the State of California. Telework, called telecommuting in statute, is also an important means by which we can help reduce air pollution, traffic and parking congestion, and demand for office space. (California Department of General Services, 2021) Minnesota’s policy focuses on improved flexibility for employees. It states: State agencies have the option to telework at the discretion of the agency if their performance is at least satisfactory… Telework provides a broad array of benefits to state agencies and their employees including: allowing employees flexibility … supporting continuity of operations and reducing the need for office space, parking and minimizing impact to the environment. (Minnesota Department of Transportation, 2021) The Telework Research Network reports that the number of local government workers who telework grew by 78.5 percent between 2005 and 2014. Looking at a sample of 151 U.S. cities, Wadsworth, Facer, and Arbon (2010) report a relatively high use of alternative work schedules, with 56.3 percent of the sample using some alternative work schedule but only 9.9 percent employing telecommuting as a strategy. These reported rates of use may not account for episodic or departmentally approved use. A 2020 Center for State and Local Government Excellence survey found a steady increase in teleworking among state and local governments, with the practice remaining higher among state agencies than local governments. While there has been consistent growth in the use of telework, cautions and concerns remain about the impact of these new models of where and when people are working. Brehm (2012) raises the question, “Is telecommuting

190  Willow S. Jacobson right for your local government?” Despite outlining many potential benefits, the author concludes that “not all communities or workers will benefit from a telecommuting policy.”

IMPACT OF TELEWORK Understanding outcomes of telework can be difficult, as conceptualizations and research on the topic come from a wide variety of sources, including management, psychology, transportation, communication, and information sciences (Allen et al., 2015). Additionally, the lack of shared definition and conceptualization of the practice makes understanding outcomes challenging, as does the high variation in the frequency and extent of use (Allen et al., 2015). The impact of changing to flexible work arrangements have been investigated in terms of employer costs, employee savings (Global Workplace Analytics, 2021), family-​friendly benefits (Stavrou, 2005; Caillier, 2013b), employee satisfaction (Ezra & Deckman, 1996; Saltzstein, Ting, & Saltzstein, 2001; Bailey & Kurland, 2002; Golden, 2006b; Gajendran & Harrison, 2007), job performance (Gajendran & Harrison, 2007; Kelly and Moen, 2007; Day & Burbach, 2011), and organizational commitment (Aryee, Luk, & Stone, 1998; Thompson, Beauvais, & Lyness, 1999; Golden, 2006a; Hunton & Norman, 2010). The proposed employer benefits include productivity, real estate and related costs, turnover intention (Stavrou, 2005; Caillier, 2013a), absenteeism, and environment (Lister, 2010).

Work–​Life Balance Advocates for telework and other flexible work arrangements contend that it would decrease work–​family/​nonwork conflicts. Research has produced contradictory results on the impact of telework on this factor. It has generally been found that telecommuting arrangements can decrease work to family conflict though it has limited or no impact on family to work conflict (Goden, Veiga, & Simsek, 2006; Lautsch, Kossel, & Eaton, 2009). Scholarship has found that telework can contribute to enhanced work–​life balance because it increases autonomy, decreases stress (Dima et al., 2019), and increases availability to tend to personal and family matters (Thulin et al., 2019; Gálvez et al., 2020). Contrary to noted benefits for workers who have children at home, telework can increase tension because of interruptions and associated work performance issues (Metzger & Von Glinow, 1988; Hall, 1990). Additionally, home teleworkers may take on more family or home maintenance responsibilities as a result of being home and/​or may blur boundaries between home and work, which has been found to result in imbalance and increased conflict between them (Sarbu, 2018). Boundary-​blurring became a particularly pertinent concern for remote workers during the COVID-​19 pandemic due to an increase in challenging factors such as multiple people working or learning from the same home, as well as workers feeling as though they had no other place to work due to buildings being closed. Abdel Hadi et al. (2021) found that the daily home demands associated with telework during the pandemic positively correlated with emotional exhaustion, which in turn was negatively correlated with job performance. Establishing clear boundaries and expectations is important for those involved in teleworking and flexible working arrangements (Saltzstein, Ting, & Saltzstein 2001; Hamilton, 2002; Hillbrecht et al., 2008). Saltzstein, Ting, and Saltzstein (2001) found

Chapter 14  •  Telework in Government  191 that working at home had a significant negative impact on employees’ satisfaction with work–​family balance. Research has also highlighted that to understand the relationship between telework and work–​life balance, moderating variables such as the supervisory relationship must be considered (Gajendran and Harrison, 2007; Allen et al., 2015). Lautsch, Kossel, and Eaton (2009) suggest that supervisory support can impact the level of work–​family conflict and productivity; specifically, teleworkers managed with a supervisory approach of information-​sharing were more likely to report lower work–​family conflict and increased performance.

Employee Satisfaction Employee satisfaction is a core issue of concern for managers across all types of work. The 2022 SHRM Employee Benefits survey highlights that flexible working arrangements may be a mechanism for attracting and retaining employees and that flexible work arrangements continue to benefit employees. Flexible work arrangements ranked third overall for what was most important to employees in looking for employment (SHRM, 2022). Pearce (2009) suggests a set of organizational benefits to telecommuting that are directly or indirectly related to employee satisfaction: increased productivity, the ability to attract and retain talented employees, decreased operating costs, the ability to continue operations during a crisis, and benefits to the environment. Gajendran and Harrison (2007) performed a meta-​ analysis of 28 studies and concluded that telecommuting is associated positively with satisfaction, but the issue of extent of telework is an important moderating variable in this relationship. Allen et al. (2015) note that previous studies have indicated a curvilinear relationship between the extent of telecommuting and job satisfaction, with satisfaction high at low levels of telecommuting and then the level of satisfaction plateaus at higher rates of telecommuting. Preference for hybrid work (splitting time between working at home and in the office) by a majority (54 percent) of employees who work remotely, at least some of the time, could be seen as a response to these effects (Saad & Wigert, 2021). Caillier (2016) explores the differences in public service motivation (PSM) based on the different teleworking frequencies of workers. He finds that people who telework most frequently (four or five days per week) report higher PSM levels than those who telework one day per week or less. In addition to the extent of use, aspects of job type appear to serve as a moderating variable. “The curve is flatter for individuals with jobs higher in discretion and interdependence and for individuals higher in performance-​outcome orientation” (Golden & Veiga, 2005; Virick, DaSilva, & Arrington, 2010). “These findings highlight the important role of job and person context in the attitudinal implications of telecommuting arrangements” (Allen et al., 2015: 47; also see Golden & Veiga, 2005; Virick, DaSilva, & Arrington, 2010). In an investigation of federal employees, 80 percent of teleworking federal employees reported being satisfied with their arrangements. OPM reports that: Telework can positively affect employee job attitudes. Longitudinal research has shown that employees who work for an organization that offers telework are more engaged than employees that work for organizations where telework is not available. Similarly, research also suggests teleworkers may experience a greater sense of organizational commitment. (OPM, 2021: 20)

192  Willow S. Jacobson

Performance Performance is also a primary concern, no matter the medium of work. Research has looked at the relationship between telework and a range of performance indicators, resulting in contradictory findings (Kuruzovich et al., 2021). Gajendran and Harrison (2007) found a positive association between individual performance and productivity (see also Gajendran, Harrison, & Delaney-​Klinger, 2014). Vega, Anderson, and Kaplan (2015) found that teleworkers report higher levels of job performance and job satisfaction when teleworking. At the federal level, OPM notes that, “While a clear correlation exists, the causal relationship may not be as clear. Nevertheless, agencies have anecdotally recognized the important role telework has on achieving performance outcomes and several have committed to goals in this area” (OPM, 2021: 25). In contrast to research that finds performance benefits from telework, scholars also identify performance challenges (Kuruzovich et al., 2021). Telework may result in management relinquishing some level of control over employees (Perry-​Smith & Blum, 2000) or reduced supervisory oversight and employee support (Newman & Mathews, 1999). According to Nigro and Felix (2000: 319), “there were some reasons found for not using telecommuting, such as isolation, inadequate workspace at home, and lack of self-​ discipline” (see also Lee & Hong, 2011: 876–​877).

Factors That Impact Telework Outcomes Research has often looked at telework as a dichotomous variable: used or not used. Individuals that telecommute infrequently—​ for example, once a month—​ are very different from those who primarily or exclusively work somewhere other than a central office. Researchers have enhanced their focus on the issues of how the extent of use impacts outcomes. For example, research has demonstrated that job satisfaction is greatest for those who telework a moderate amount compared with those who do so either a small or great amount (Golden & Veiga, 2005; Golden, 2006b; Virick, DaSilva, & Arrington, 2010). Extent of use has been found to have a positive relationship with organizational commitment and to be negatively associated with intent to leave the organization (Golden, 2006a). Golden and Veiga (2008) found that individuals who extensively telecommute and have high-​quality supervisory relationships experienced the highest levels of commitment, job satisfaction, and job performance. Gajendran and Harrison (2007) propose a theoretical model to understand the consequences of telecommuting, including additional moderating variables beyond extent of use. They find that telecommuting has a small but positive effect on mediating outcomes such as autonomy and decreased work–​family conflict, and in turn on more distant outcomes of job satisfaction, performance, turnover intention, and role stress. They also found that it did not have a detrimental impact on work relationships. They also recognized that the intensity of telecommuting matters—​for example, working outside the office more than 2.5 days a week increased the effect of the work–​family benefit but harmed relationships with coworkers. Additionally, a number of studies have found that family interruptions, reduced interaction, and daily home demands negatively impact productivity ( Jackson & Fransman, 2018; Abdel Hadi et al., 2021). The COVID-​19 pandemic prompted major transitions into new working models, with hybrid working being seen by many as a balance between the benefits of telecommuting and in-​person collaboration and efficiency. Gauger, Bachtal, and Pfnür (2022) suggest that while COVID-​19 demonstrated the ability of individuals to work from home

Chapter 14  •  Telework in Government  193 (and in some cases a preference for this), it also emphasized the importance of in-​person work for socialization, coworking, and managing efficiency. They propose that future work will follow a model of multiple “places” of work, structured around a hybrid model that balances telework and in-​person work.

PRACTICAL CONSIDERATIONS OF TELEWORKING Major Employment Laws to Consider A number of federal employment laws and legal considerations apply to telework and telecommuting arrangements, and should be considered carefully, including the Fair Labor Standards Act (FLSA), workers’ compensation (WC), the Occupational Safety and Health Administration (OSHA), the Americans with Disabilities Act (ADA), and the Family Medical Leave Act (FMLA). For more on legal considerations of telework, see Goluboff (2001). Within the Fair Labor Standards Act, issues of wage and hour compliance are potential issues for nonexempt employees. These issues include overtime, reporting and monitoring of hours, “working off the clock,” and pre-​ approval of overtime (SHRM, 2016). FLSA applies to telework and telecommuters under the concept of “place of work.” According to the US Department of Labor, “Hours worked include all the time during which an employee is required or allowed to perform work for an employer, regardless of where the work is done, whether on the employer’s premises, at a designated workplace, at home or at some other location” (US Department of Labor, 2016). The FLSA requires employers to keep accurate records of all hours worked; thus, nonexempt telecommuters are required to record hours worked to ensure that they are paid for all hours and to verify the actual hours worked against their scheduled and approved hours. A concern for teleworkers and others relates to the concept of “working off the clock,” which occurs when a nonexempt employee works after either signing or clocking out for the day, potentially leading to overtime issues. Modern technologies make it possible for employees to easily check emails or conduct business outside of their established working hours. Noonan and Glass (2002) suggest that telecommuting arrangements can contribute to an erosion of normal working hours; they report that the probability of working overtime is higher for telecommuters than for non-​telecommuters. OSHA focuses on issues of workplace safety and requires employers to provide workplaces free from known hazards. Workplace safety issues can be made more complicated and challenging when managing teleworkers or telecommuters because the lines between the employee’s residence are not always clearly defined. OSHA does not require inspection of home offices, as indicated in the following OSHA guidance: OSHA will not conduct inspections of employees’ home offices. OSHA will not hold employers liable for employees’ home offices and does not expect employers to inspect the home offices of their employees…. If OSHA receives a complaint about a home office, the complainant will be advised of OSHA’s policy. If an employee makes a specific request, OSHA may informally let employers know of complaints about home office conditions, but will not follow-​up with the employer or employee. (OSHA, 2000)

194  Willow S. Jacobson Workers’ Compensation (WC) is a medical payment and wage replacement benefit law that provides employees with compensation when they sustain an injury or develop an illness during the course of their employment. Information about whether the injury was a result of a home office workplace or residential situation must be taken into account. Injuries that occur in a standard workplace are easier to document. In 2007, there was a case of a woman in Nashville who filed a workers’ compensation claim with her employer for a period when she was working at home (Wait v. Travelers Indemnity Company of Illinois). Her claim related to an alleged attack by a neighbor while she was at home working. The Tennessee Supreme Court ruled against her workers’ compensation claim as it did not find the injuries to be job-​related, but the Court did rule that her status as a telecommuter did not make her ineligible for workers’ compensation (Hooper, 2016). The Americans with Disabilities Act (ADA) of 1990 is a federal law that requires employers with 15 or more employees to provide reasonable accommodation for employees with disabilities: Reasonable accommodation is any change in the work environment or in the way things are customarily done that enables an individual with a disability to apply for a job, perform a job, or gain equal access to the benefits and privileges of a job. The ADA does not require an employer to provide a specific accommodation if it causes undue hardship, i.e., significant difficulty or expense. (EEOC, 2005) Under the ADA, telecommuting may be considered a reasonable accommodation, yet the ADA does not require employers to provide telecommuting as an accommodation. An organization needs to determine for itself if it wants to consider telecommuting a reasonable accommodation. As it considers this, it will want to also consider other factors used in determining employee eligibility for participating in telework or telecommuting programs, such as the nature of the work performed, ability to supervise the employee, and employee performance and tenure.3 Family Medical Leave Act regulations also apply to telecommuters. Supervisors are not required to combine FMLA leave with telework options, but they may opt to and are more likely to do so when a telework arrangement is already in place (Whiteman, 2012). An employer is covered by FMLA if it employs 50 or more employees within a 75 mile radius of the worksite. For this purpose: An employee’s personal residence is not a worksite in the case of employees such as salespersons who travel a sales territory and who generally leave to work and return from work to their personal residence, or employees who work at home, as under the new concept of flexiplace. Rather, their worksite is the office to which they report and from which assignments are made. (SHRM, 2014a) This concept is important for determining whether FMLA will apply to the employer. If the employee meets eligibility and the employer is covered, then the issue of location matters for the employee because the office from which the employee works remotely must be within 75 miles of the office from which they report and receive assignments. While an employer is not required to do so, it may opt to combine FMLA with telework,

Chapter 14  •  Telework in Government  195 in which case an arrangement may be made to have a reduced FMLA leave schedule (Goluboff, 2001).

TECHNOLOGY ISSUES Technology has been a primary reason why telework has become a tenable option, but having work done remotely brings a set of risks and issues that should be considered in advance and carefully managed (Sturgeon, 1996; Kubátová, 2007). Kubátová (2007) highlights that there are a range of cyber security issues involved, and that no single solution is available that addresses them all; however, this should not serve as a reason not to adopt a telework policy. There are several general security rules and tools that can be put into place to help ensure that data and networks are more secure. Scarfone, Hoffman, and Souppaya (2009) note that The nature of telework and remote access technologies—​permitting access to protected resources from external networks and often external hosts as well—​generally places them at higher risk than similar technologies only accessed from inside the organization, as well as increasing the risk to the internal resources made available to teleworkers through remote access … All the components of telework and remote access solutions, including client devices, remote access servers, and internal resources accessed through remote access, should be secured against expected threats, as identified through threat models. Major security concerns include the lack of physical security controls, the use of unsecured networks, the connection of infected devices to internal networks, and the availability of internal resources to external hosts. Cyber security issues should be addressed and made a part of telework policies and training as well as being a continuing consideration for those who are monitoring and managing telework for their organization. Tufts (2020) highlights further security concerns, including increases in phishing attempts via email, social media, and text. To combat the heightened security risks, Tufts also recommends the use of encrypted communications for all, but especially for sensitive information. For a full list of updated cyber security recommendations, see Tufts (2020). The OPM notes that agencies reported taking routine steps to ensure data security when employees telework: In previous reports, agencies cited data security issues and inadequate technology as recurring barriers to telework; however, as in prior years, federal agencies continue to pursue a variety of methods to ensure the security of personally identifiable information (PII) during telework. (OPM, 2013: 9) In 2018, the federal government rolled out two-​factor authentication for employees using dot.gov domains to patch security concerns (Shaban, 2018). In addition to added security, technologically based tools and techniques can improve the teleworking experience. Technologies to support telework continue to be introduced; common ones include: chat apps, web conferencing, flexible business

196  Willow S. Jacobson telephone services, screen-​sharing apps, collaborative tech tools, cloud-​based project management solutions, and remote desktop services.

CULTURE AND MANAGEMENT Challenges to telework can take many forms, including issues related to employee isolation, a decreased sense of camaraderie due to limited in-​person time, employee productivity, questions of equity of eligibility, increased scheduling difficulty, blurring of boundaries between work and non-​work responsibilities, longer workdays, customer service complaints, and increased limitations on career advancement (Igbaria & Guimaraes, 1999; McCloskey & Igbaria, 2003; McDonald, Bradley, & Brown, 2008; Caillier, 2013b). Schoop (2010) notes the importance of in-​person communication and that conference calls and other practices lack the efficacy of face-​to-​face conversations. A 2011 Merit System Protection Board survey found that a significant percentage of managers reported negative impacts of telecommuting on communication (20 percent), teamwork (18 percent), and work relationships (15 percent). Employees reported their concerns that telework hinders teamwork and collaboration (41 percent) and interpersonal relations (31 percent) (MSPB, 2011). A critical challenge is to have inclusive and consistent communication with those who are not physically present. Lumney (2012) underscores the cultural challenges, noting that, “Telework helps agencies save money on expenses ranging from real estate to employee transit subsidies … but the biggest impediment to the widespread use of telework in government often is cultural.” OPM identifies that the most common issues for federal employees are management resistance (22 percent of reporting agencies), information technology (20 percent), and the nature of an employee’s work or position (19 percent) (OPM, 2014). Lister and Harnish (2010: 6) note that: Lack of management buy-​in is the most commonly cited obstacle to the adoption of work-​ shifting programs. It is clear managers fear that left unmonitored, employees will not work as hard as they otherwise would. In fact, study after study shows that people who work from home are more productive than their office counterparts. Factors noted for increased productivity include fewer interruptions, more effective time management, feeling like a trusted employee, flexible hours, and longer hours (Lister, 2010). Worker satisfaction has been seen to be impacted by technical and HR support for teleworkers, managers’ trust in teleworkers, training for teleworking (for those participating in telework and others in the organization), relationships with coworkers and supervisors, levels of distractions in the remote location (family), the nature of work, levels to which work is interdependent on others, and the extent to which the work has measurable outcomes. Moreover, individuals who prefer order and have a high need for autonomy are more satisfied with telework (O’Neil et al., 2009). In addition to increased positive attitudes, telework has been found to be associated with decreased work stress (Gajendran & Harrison, 2007) and work exhaustion (Sardeshmukh, Sharm, & Golden, 2012). In both cases, autonomy appears to be a mediating variable. Employee isolation and relationships with coworkers is a teleworker concern. Employees indicate that they often work longer workdays, feel increased isolation from

Chapter 14  •  Telework in Government  197 colleagues, and have decreased face time with the employer (Wadsworth, Facer, & Arbon, 2010). Not surprisingly, these outcomes are impacted by extent of use. Those who telework more often experience “enhanced relationship quality with leaders, decreased relationship quality with coworkers, and progressively lower work–​family conflict” (Allen et al., 2015: 44–​45). A U.S. Department of Labor review of the literature highlights that, despite perceived benefits Part of the issue may lie with managers’ fears of loss of control over employees. The U.S. Department of Labor published a review of the literature which indicates that managers are accustomed to the classic manager-​ employee relationship. Many managers are uncomfortable with judging employees based on results. They also fear that employees will become distant with the organization and their coworkers. According to the same analysis, these fears are mostly unfounded. (Brehm, 2012) The change in work mode also forces managers to adjust evaluation models from traditional oversight to performance management (Mahler, 2012). Cascio (2000) points out that, for managers, this involves moving from managing time to managing projects. Given the risks associated with telework, managers and supervisors need to have an increased responsibility to ensure that work is being performed and to help employees create appropriate boundaries between work and non-​work activities (Lautsch, Kossel, & Eaton, 2009), to maintain fair workplaces, and to establish appropriate security for remote systems (Pearce, 2009). The most important leadership behaviors in the telecommuting environment are relationship-​ oriented behaviors, with an emphasis on effective leader communication (Dahlstrom, 2013). Virtual team managers should use synchronous communication technological tools to increase the quality and quantity of interpersonal communication between group members and team leaders. Virtual teams should still physically meet periodically to clarify organizational issues and celebrate group accomplishments to enhance group cohesiveness and effectiveness (Green & Roberts, 2010). Teleworking is not right for all positions or all people, so it is critical to determine what positions are appropriate for teleworking. Positions in which the job purpose and related duties are location-​specific are clearly not suitable. Individuals who require minimal supervision and/​or have limited face-​to-​face contact with customers or citizens are often candidates for telework. There need to be very clear standards and careful communication of eligibility decisions with staff. Supervisors will often need to be prepared for difficult conversations about telework eligibility. Those individuals who are eligible to telework but are not allowed to do so may feel frustrated and disaffected. In addition, there can be increased levels of dissatisfaction among non-​teleworkers as they may view it as inequitable (Mahler, 2012). According to SHRM (2008), the employees who make the best telecommuters are those who: • • • •

are organized with strong time management skills; are self-​motivated/​self-​starters; have strong written and verbal communication skills; work well with limited supervision;

198  Willow S. Jacobson • • • • • • • • •

are self-​disciplined; have strong performance records and job knowledge; have successfully completed their training phase; are comfortable using telecommuting equipment; are comfortable working alone; are resourceful when handling technology issues; are able to communicate effectively using mixed media; are able to establish work life/​home life boundaries; and have a supportive home environment free from household distractions.

Carefully considering criteria that can help ensure the appropriate selection of positions and employees is an important managerial and institutional step to ensure the success of a program. The Society for Human Resource Management also provides a series of tips for managing telework programs, in terms of keeping telecommuters informed and involved. They include the following: • Set expectations early and often. These expectations include providing guidelines and policies, setting boundaries, clarifying the expected hours an employee will work, and how communication will be handled. • Establish plans of how traditional modes of communication, which depend upon face-​to-​face interaction, will be supplemented so telecommuters do not feel forgotten when they are off-​site. • Providing special pre-​/​post-​training and telecommuting orientation can help with the transition. • Explore ways for people working in different locations to collaborate. • Assign a more experienced telecommuter to serve as a “mentor” or “reality check.” • Include telecommuters in office celebrations, either by making arrangements for them to be on-​site or through the use of technology (e.g., audio or video conferencing).

Conclusion Research and strategies to address the changing dynamics of flexible work schedules will constitute critical human capital questions for all levels of government and human capital management in general. Technology advances continue to facilitate more options for what alternative working arrangements can look like. While more employees may be interested in flexible arrangements, the implementation of telework involves planning and consideration of a range of issues, from legal and technical requirements to questions of work culture and morale. Ruth (2012) warns of problems with evaluation, challenges of verifying costs and benefits, supervisor–​ subordinate problems, and imbalance of broadband access. As organizations consider expansion of programs, keeping these concerns in mind would serve them well. Mahler (2012) raises a flag of caution regarding the impact on those eligible for but restricted from using telework. Alternative work arrangements present many benefits and possible solutions to human capital concerns, but come with their own set of direct and indirect consequences that need to be anticipated and managed.

Chapter 14  •  Telework in Government  199 Organizations and workers could not have anticipated the dramatic shift and almost instant move to remote work that occurred because of the COVID-​19 pandemic. This situation caused many organizations to reevaluate their approach and the viability of continued use of remote work and the structuring of work arrangements moving forward; hybrid working presents itself as a solution for some, while others will remain fully remote and/​or return to full-​time work in a central office. No matter what working arrangement organizations select, careful thought, intentional design, and consistent evaluation will be needed.

Notes 1. “Citrix Online coined the term ‘work-​shifting’ to describe the growing trend to working from anywhere other than a traditional office through use of web-​based technology. The older more traditional terms for this are teleworking or even telecommuting” (Lister, 2010: 3). 2. “The American Community Survey (ACS) derives its data on work-​at-​home from the question: What was your primary means of transportation to work during the survey week? ‘Worked at home’ is one of the choices. Therefore, all we know about this population is that they worked primarily at home, which we assume means at least half-​time” (http://​globa​lwor​kpla​cean​alyt​ics.com/​teleco​mmut​ing-​sta​ tist​ics). 3. For additional information, see EEOC Guidance “Work at home/​ telework as a reasonable accommodation” (www.eeoc.gov/​facts/​telew​ork.html) and the Job Accommodation Network (www.jan.wvu.edu).

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200  Willow S. Jacobson Caillier, J. G. (2013b). Satisfaction with work–​life benefits and organizational commitment/​ job involvement: Is there a connection? Review of Public Personnel Administration, 33(4), 340–​364. Caillier, J. G. (2016). Do teleworkers possess higher levels of public service motivation? Public Organization Review, 16, 193–​201. California Department of General Services (2021). Telework. State of California. www.dgs. ca.gov/​dgs/​Progr​amsS​ervi​ces/​telew​ork.aspx. Cascio, W. F. (2000, August). Managing a virtual workplace. The Academy of Management Executive, 81–​90. Center for State and Local Government Excellence. (2020). New research finds continued increase in telework for state & local government employees, even prior to COVID-​19. www.slge.org/​news-​posts/​new-​resea​rch-​finds-​contin​ued-​incre​ase-​in-​telew​ork-​for-​state-​ local-​gov​ernm​ent-​employ​ees-​even-​prior-​to-​covid-​19 Crandall, W., & Gao, L. (2005). An update on telecommuting: Review and prospects for emerging issues. S.A.M. Advanced Management Journal, 70, 30–​37. Dahlstrom, T. R. (2013). Telecommuting and leadership style. Public Personnel Management, 42(3), 438–​451. Davis, R., & Cates, S. (2013). The dark side of working in a virtual world: An investigation of the relationship between workplace isolation and engagement among teleworkers. Journal of Human Resource and Sustainability Studies, 1, 9. Day, F. C., & Burbach, M. E. (2011, February). Telework considerations for public managers with strategies for increasing utilization. IBIMA Journals. www.resea​rchg​ate.net/​publ​icat​ ion/​229041280_​Telework_​Considerations_​for_​Public_​Managers_​with_​Strategies​_​for​_​Inc​ reas​ing_​Util​izat​ion Dima, A.-​ M., Tuclea, C.-​ E., Vrânceanu, D.-​ M., & Tigu, G. (2019). Sustainable social and individual implications of telework: A new insight into the Romanian labor market. Sustainability, 11, 1–​12. https://​doi.org/​10.3390/​su1​1133​506 Eldridge, D., & Nisar, T. M. (2006). The significance of employee skill in flexible work organizations. The International Journal of Human Resource Management, 17(5), 918–​937. Equal Employment Opportunity Commission (EEOC). (2005, October 27). Work at home/​telework as a reasonable accommodation. www.eeoc.gov/​facts/​telew​ork.html Ezra, M., & Deckman, M. (1996). Balancing work and family responsibilities: Flextime and child care in the federal government. Public Administration Review, 56(2), 174–​179. Gajendran, R. S., & Harrison, D. A. (2007). The good, the bad, and the unknown about telecommuting: Meta-​ analysis of psychological mediators and individual consequences. Journal of Applied Psychology, 92, 1524–​1541. Gajendran, R. S., Harrison, D. A., & Delaney-​Klinger, K. (2014). Are telecommuters remotely good citizens? Unpacking telecommuting’s effects on performance via ideals and job resources. Personnel Psychology, 68, 353–​393. Gálvez, A., Tirado, F., & Martínez, M. J. (2020). Work–​life balance, organizations and social sustainability: Analyzing female telework in Spain. Sustainability (Switzerland), 12(9), 1–​21. https://​doi.org/​10.3390/​SU1​2093​567 Gauger, F., Bachtal, Y., & Pfnür, A. (2022). Work experience from home: Hybrid work and the future of distributed work locations—​a comparative empirical analysis between the US and Germany. Corporate Real Estate Journal, 11(3), 280–​292. Global Workplace Analytics. (2021, June). Teleworking trend data. https://​globa​lwor​kpla​cean​ alyt​ics.com/​teleco​mmut​ing-​sta​tist​ics Golden, T. D. (2001). Rightsizing telework: More is not always better. In AMCIS 2001 Proceedings. http://​aisel.ais​net.or/​amcis2​001/​365

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202  Willow S. Jacobson Kizza, J. M. (2013). Ethical and social issues in the information age. Springer-​Verlag. Kubátová, J. (2007). Security of telework. Science & Military Journal, 2(10), 45–​50. Kuruzovich, J., Paczkowski, W., Golden, T. D., Goodarzi, S., & Venkatesh, V. (2021). Telecommuting and job outcomes: A moderated mediation model of system use, software quality, and social exchange. Information and Management, 58(3). https://​doi.org/​ 10.1016/​j.im.2021.103​431 Lautsch, B. A., Kossel, E. E., & Eaton, S. C. (2009). Supervisory approaches and paradoxes in managing telecommuting implementation. Human Relations, 62, 795–​827. Lee, S.-​Y., & Hong, J. H. (2011). Does family-friendly policy matter? Testing its impact on turnover and performance. Public Administration Review, 71(6), 870–​879. Liechty, J. M., & Anderson, E. A. (2007). Flexible workplace policies: From the Federal Alternative Work Schedules Act. Family Relations, 56(3), 304–​317. Lister, K., & Harnish, T. (2009). Undress for success: The naked truth about making money at home. John Wiley & Sons. Lister, K., & Harnish, T. (2010). Workshifting benefits: The bottom line. Telework Research Network. www.works​hift​ing.com/​downlo​ads/​downlo​ads/​Works​hift​ing%20B​enef​i ts-​ The%20Bot​tom%20L​ine.pdf Lumney, K. (2012, April 3). Telework isn’t working, some say. Government Executive. www. gove​xec.com/​pay-​benef​i ts/​2012/​04/​telew​ork-​isnt-​work​ing-​some-​say/​41666 Mahler, J. (2012). The telework divide: Managerial and personnel challenges of telework. Review of Public Personnel Administration, 32(4), 407–​418. Mastracci, S. H., & Thompson, J. R. (2010). Managing the flexible public workforce. In S. E. Condrey (Ed.), Handbook of Human Resource Management in Government, 3rd ed. Wiley, pp. 129–148. McCloskey, D. W., & Igbaria, M. (2003). Does “out of sight” mean “out of mind”? An empirical investigation of the career advancement prospects of telecommuters. Information Resources Management Journal, 16(2), 19–​34. McDonald, P., Bradley, L., & Brown, K. (2008). Visibility in the workplace: Still an essential ingredient for career success? The International Journal of Human Resource Management, 19(12), 2198–​2215. Merit Systems Protection Board (MSPB). (2011). Telework: Weighing the information, determining an appropriate approach. A report to the President and the Congress of the United States. www.doi.gov/​sites/​doi.gov/​files/​migra​ted/​telew​ork/​upl​oad/​MSPB-​2011-​Rep​ ort.pdf Merit Systems Protection Board (MSPB). (2012). Federal employee engagement: The motivating potential of job characteristics and rewards. A report to the President and the Congress of the United States. www.mspb.gov/​netsea​rch/​viewd​ocs.aspx?docnum​ber=​780​015&vers​ion=​ 782​964 Metzger, R. O., & Von Glinow, M. A. (1988). Off-​site workers: At home and abroad. California Management Review, 30(3), 101–​111. Minnesota Department of Administration. (2009, October 28). Telecommuting. https://​mn.gov/​ admin/​ass​ets/​Pol​icy-​Teleco​mmut​ing-​Admin-​A_​tc​m36-​208​092.pdf Minnesota Department of Transportation. (2021). Minnesota management and budget, 2021, HR/​LR Policy #1422. www.dot.state.mn.us/​pol​icy/​hr/​wf023-​pro​cedu​res.html Newman, M., & Mathews, K. (1990). Federal family-​friendly workplace policies: Barriers to effective implementation. Review of Public Personnel Administration, 19(3), 34–​48. Nigro, F. A., & Felix, L. G. (2000). The new public personnel administration, 5th ed. Peacock. Noonan, M. C., & Glass, J. L. (2012). The hard truth about telecommuting. Monthly Labor Review, 135, 38–​45. Office of Personnel Management (OPM). (2013). 2013 status of telework in the federal government. www.telew​ork.gov/​Repo​rts_​and_​Stud​ies/​Ann​ual_​Repo​rts/​201​3tel​ewor​krep​ort.pdf

Chapter 14  •  Telework in Government  203 Office of Personnel Management (OPM). (2015). 2014 status of telework in the federal government. www.telew​ork.gov/​repo​rts-​stud​ies/​repo​rts-​to-​congr​ess/​2014-​rep​ort-​to-​congr​ ess.pdf Office of Personnel Management (OPM). (2021). 2020 status of telework in the federal government.  www.telew​ork.gov/​repo​r ts-​stud​ies/​repo​r ts-​to-​congr​ess/​2021-​rep​ort-​to-​congr​ ess.pdf Office of Personnel Management (OPM). (2022). Federal Employee Viewpoint Survey results: Employees influencing change. www.opm.gov/​fevs/​repo​rts/​gov​ernm​entw​ide-​repo​ rts/​gov​ernm​entw​ide-​repo​r ts/​gov​ernm​entw​ide-​man​agem​ent-​rep​ort/​2022/​2022-​gov​ernm​ entw​ide-​man​agem​ent-​rep​ort.pdf O’Neill, T. A., Hambley, L. A., Greidanus, N. S., MacDonnell, R., & Kline, T. J. (2009). Predicting teleworker success: An exploration of personality, motivational, situational, and job characteristics. New Technology, Work and Employment, 24, 144–​162. OSHA. (2000, February 25). OSHA instruction: Home-​based worksites. www.osha.gov/​pls/​ osha​web/​owad​isp.show_​d​ocum​ent?p_​ta​ble=​DIR​ECTI​VES&p_​id=​2254 Pearce, J. (2009). Successful corporate telecommuting with technology considerations for late adopters. Organizational Dynamics, 38, 16–​25. Perry-​Smith, J. E., & Blum, T. C. (2000). Work–​family human resource bundles and perceived organizational performance. Academy of Management Journal , 43(6), 1107–​1117. Pini, B., & McDonald, P. (2008). Men, masculinities and flexible work in local government. Gender in Management, 23(8), 598–​612. Ruth, S. (2012) The dark side of telecommuting: Is a tipping point approaching? George Mason School of Public Policy. https://​pap​ers.ssrn.com/​sol3/​pap​ers.cfm?abst​ract​_​id=​1880​895 Saad, L., & Wigert, B. (2021, October). Remote work persisting and trending permanent. Gallup News. https://​news.gal​lup.com/​poll/​355​907/​rem​ote-​work-​per​sist​ing-​trend​ing-​ perman​ent.aspx Saltzstein, A. L., Ting, Y., & Saltzstein, G. H. (2001). Work–​family balance and job satisfaction: The impact of family-​friendly policies on attitudes of federal government employees. Public Administration Review, 61(4): 452–​467. Sarbu, M. (2018). The role of telecommuting for work-​family conflict among German employees. Research in Transportation Economics, 79. https://​doi.org/​10.1016/​j.ret​rec.2018.07.009 Sardeshmukh, S. R., Sharma, D., & Golden, T. D. (2012). Impact of telework on exhaustion and job engagement: A job demands and job resources model. New Technology, Work & Employment, 27, 193–​207. Scarfone, K., Hoffman, P., & Souppaya, M. (2009). Guide to enterprise telework and remote access security recommendations of the National Institute of Standards and Technology. U.S. Department of Commerce. http://​perman​ent.acc​ess.gpo.gov/​lps115​503/​sp800-​46r1.pdf Schoop, M. (2010). Support of complex electronic negotiation. In M. Kilgourm, & C. Eden (Eds.), Handbook of group decision and negotiation. Springer, pp. 409–​423. Shaban, H. (2018, October 8). The government is rolling out 2-​factor authentication for federal agency dot-​gov domains. Washington Post. www.was​hing​tonp​ost.com/​tec​hnol​ogy/​2018/​ 10/​08/​gov​ernm​ent-​is-​roll​ing-​out-​fac​tor-​aut​hent​icat​ion-​fede​ral-​age​ncy-​gov-​doma​ins Society for Human Resource Management. (2014a). FMLA eligibility: Is an employee who works remotely (75 miles or more from the employer’s office) eligible for Family and Medical Leave Act (FMLA) leave? www.shrm.org/​resour​cesa​ndto​ols/​tools-​and-​samp​les/​hr-​ qa/​pages/​telec​ommu​ting​andf​mla.aspx Society for Human Resource Management. (2014b). Telecommuting and FMLA. www.shrm. org/​resour​cesa​ndto​ols/​tools-​and-​samp​les/​hr-​qa/​pages/​telec​ommu​ting​andf​mla.aspx Society for Human Resource Management. (2016). Employee benefits: Looking back at 20 years of employee benefits offerings in the U.S. www.shrm.org/​hr-​today/​tre​nds-​and-​fore​cast​ing/​ resea​rch-​and-​surv​eys/​Pages/​2016-​Emplo​yee-​Benef​i ts.aspx

204  Willow S. Jacobson Society for Human Resource Management. (2022). 2022 Employee Benefits Survey. www.shrm. org/​hr-​today/​tre​nds-​and-​fore​cast​ing/​resea​rch-​and-​surv​eys/​pages/​2022-​emplo​yee-​benef​i ts-​ sur​vey.aspx Stavrou, E. T. (2005). Flexible work bundles and organizational competitiveness: A crossnational study of the European work context. Journal of Organizational Behavior, 26(8), 923–​947. Sturgeon, A. (1996). Telework: Threats, risks, and solutions. Information Management & Computer Security, 4(2), 27–​38. Thompson, C. A., Beauvais, L. L., & Lyness, K. S. (1999). When work–​family benefits are not enough: The influences of work–​family culture on benefit utilization, organizational attachment, and work–​family conflict. Journal of Vocational Behavior, 54, 392–​415. Thulin, E., Vilhelmson, B., & Johansson, M. (2019). New telework, time pressure, and time use control in everyday life. Sustainability, 11, 1–​17. https://​doi.org/​10.3390/​su1​1113​067 Tufts, S. (2020). Teleworking guidance: Best practices, sample policies and cybersecurity. www.sog.unc.edu/​telew​orkt​ips U.S. Census Bureau. (2013). Current Population Survey (CPS). Bureau of Labor Statistics. www.cen​sus.gov U.S. Census Bureau. (2014). About the American Community Survey. Questions on the form and why we ask. www.cen​sus.gov/​acs/​www/​about​_​the​_​sur​vey/​quest​ions​_​and​_​why​_​ we_​ask U.S. Department of Labor. (2016). FLSA hours worked advisor. http://​weba​pps.dol.gov/​elaws/​ whd/​flsa/​hour​swor​ked/​scree​n1d.asp U.S. Environment Protection Agency. (2007). The plain English guide to the Clean Air Act. www.epa.gov/​air​qual​ity/​peg_​caa/​pdfs/​peg.pdf U.S. Environment Protection Agency Office of Air and Radiation. (2005). Telework programs: Implementing commuter benefits as one of the nation’s best workplaces for commuters. www.bes​twor​kpla​ces.org/​wp-​cont​ent/​uplo​ads/​2010/​10/​teleco​mmut​e_​be​nefi​ t_​br​ief.pdf Vega, R. P., Anderson, A. J., & Kaplan, S. A. (2015). A within-​person examination of the effects of telework. Journal of Business and Psychology, 30(2), 313–​323. Velsey, K. (2022, April 5). The junior bankers are winning: Return to the office. Curbed: New York Magazine. www.cur​bed.com/​2022/​04/​jp-​mor​gan-​chase-​lat​est-​firm-​to-​ cave-​hyb​rid-​work.html Virick, M., DaSilva, N., & Arrington, K. (2010). Moderators of the curvilinear relation between extent of telecommuting and job and life satisfaction: The role of performance outcome orientation and worker type. Human Relations, 63(1), 137–​154. Wadsworth, L. L., Facer, R. L., & Arbon, C. A. (2010). Alternative work schedules in local government: Cui bono? Review of Public Personnel Administration, 30(3), 322–​340. Whiteman, L. (2012, August 20). Consider combing FMLA leave, telecommuting. Federal Times. http://​career​matt​ers.feder​alti​mes.com/​2012/​08/​20/​consi​der-​combin​ing-​fmla-​leave-​teleco​ mmut​ing

15



HUMAN RESOURCES MANAGEMENT IN NONPROFIT ORGANIZATIONS Shahrin Upoma and Meghna Sabharwal

INTRODUCTION Nonprofit organizations (NPOs), also known as non-​governmental organizations or charities, are established with the primary goal of achieving a social or environmental mission. This is what sets them apart from for-​profit businesses, which aim to generate profits for shareholders. They can take many forms, engage in various activities, and stimulate economic development in their community. They share similarities with for-​profit businesses and public sector organizations in terms of being planned, structured, and coordinated entities with economic value. However, they also have unique variables, such as relying on donations and grants, balancing social mission with financial sustainability, and managing stakeholders’ expectations that can impact the formulation and implementation of their strategies (Smith & Lipsky, 1993; Ridder & McCandless, 2010; Akingbola, 2013). Despite the differences in their mission and activities, nonprofit organizations share some similarities with for-​profit businesses and public sector organizations. Both types of organizations are planned, structured, and coordinated entities that operate within a particular environment and have economic value. However, nonprofit organizations also face unique institutional variables that can impact the formulation and implementation of their strategies. These variables may include their reliance on donations and grants, the need to balance their social mission with financial sustainability, and the expectations of their stakeholders. Nonprofit organizations often face long-​term financial sustainability as they mainly depend on donations and grants for funding. In addition to their social mission, they also need to generate sufficient revenue to cover expenses and maintain operations. Since these organizations are responsible to a diverse range of stakeholders (donors, beneficiaries, volunteers, community, etc.), aligning the organization’s mission and activities with everyone’s needs can be challenging. Given that they operate under an ever-​increasing complex environment, nonprofits must respond to these changes by managing their human resources.

IMPORTANCE OF HUMAN RESOURCES MANAGEMENT IN NONPROFITS Effective human resources management (HRM) is crucial for nonprofit organizations, especially as they navigate a constantly changing environment marked by fierce DOI: 10.4324/9781003403401-15

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206  Shahrin Upoma and Meghna Sabharwal competition, deregulation, and a growing demand for services. For NPOs to stay ahead of the game, they must have a skilled and motivated workforce. HRM is a key component of nonprofit organizations, as it ensures that the right people are in the right positions, equipped with the necessary skills and understanding to achieve the organization’s goals. The critical functions of HRM in nonprofits are shaped by the values, strategic orientations, and motivations of the organization. For example, nonprofit organizations with a social justice mission may place a greater emphasis on diversity and inclusion in their recruitment and retention practices. Similarly, nonprofits that are focused on environmental conservation may place a greater emphasis on sustainability in their training and development programs. To understand the factors that influence HRM practices in nonprofit organizations, it is important to analyze the theoretical foundations of HRM. This includes understanding the various roles played by HRM within NPOs, including recruitment, training and development, and performance management. It is also important to examine the unique challenges faced by nonprofit organizations and to understand how these challenges impact HRM practices. The function of HRM in nonprofits is shaped by the values, strategic mission, and motivations of the organization. For example, if nonprofit organizations have a social justice mission, they may place a greater emphasis on diversity, equity, and inclusion in their recruitment and retention practices. Similarly, nonprofits focused on environmental conservation may place a greater emphasis on sustainability in their training and development activities. Despite these needs, nonprofit organizations may face specific challenges when it comes to HRM. For instance, nonprofits may have limited resources for recruitment and retention efforts, and may have a high turnover rate due to the nature of their work and the fact that many employees are volunteers. Nonprofit organizations must also balance their social mission with the need to generate sufficient revenue to cover their expenses and continue operations. Given the increasing complexity of the nonprofit sector and the need for nonprofit organizations to respond to these challenges, research on how to manage human resources effectively in nonprofit organizations is critical. However, HRM practices within nonprofit organizations can be vast. The aim of this chapter is not to cover every aspect of nonprofit HRM, but rather to provide an overview of key aspects of HRM in nonprofit organizations such as legal issues in nonprofits, labor relations, volunteer management, and recruitment and retention during turbulent times in leadership succession management. The first aspect to be covered will be the legal considerations that govern the employment of individuals in NPOs. This will include an examination of relevant laws and regulations, such as anti-​discrimination laws and labor relations. Given that nonprofit organizations rely heavily on volunteers, the chapter also provides an in-​depth discussion on volunteer management, including an examination of how nonprofit organizations can effectively recruit, manage, and retain volunteers, as well as how to ensure that volunteers are effectively aligned with the mission of the organization. Following this, the chapter will turn its focus to leadership succession management and strategic HRM in nonprofit organizations. Delving into an analysis of the current succession practices of nonprofit organizations, this section will include a discussion of the unique challenges faced by nonprofit organizations when it comes to implementing effective strategies in replacing executive leadership positions, such as a limited talent pool and high turnover rates. Hence, the chapter will explore how

Chapter 15  •  Human Resources Management In Nonprofit Organizations  207 HR can strategically contribute to the organizational goal of having a succession plan contingent on different circumstances. Finally, it will delve into the topic of strategic human resource planning for nonprofit organizations, including an examination of how nonprofit organizations evolved and adapted to a drastic change in HRM practices during the COVID-​19 pandemic. In summary, this chapter will provide a comprehensive overview of the key aspects of HRM in nonprofit organizations, with a focus on the unique challenges and considerations faced by these organizations.

EMPLOYMENT LAW IMPACTING NONPROFIT ORGANIZATIONS Many people believe nonprofit organizations are exempt from state and federal employment laws, but this is a misconception. However, nonprofits are bound by the same employment laws as government and for-​profit organizations. These laws include minimum wage, overtime, discrimination, and harassment laws. Noncompliance can result in legal and financial penalties. It is essential for nonprofit organizations to be aware of and comply with laws related to discrimination and harassment, as well as labor laws. They should also have an employee handbook that includes all legally required policies and procedures. Title VII of the Civil Rights Act of 1964 prohibits discrimination in the workplace based on race, color, religion, sex, and national origin in hiring, firing, pay, promotions, or any other conditions of employment. This federal law applies to employers with 15 or more employees, including nonprofit organizations. In a recent case of racial discrimination, a nonprofit, Skils’kin was ordered to pay $100,000 by the Equal Employment Opportunity Commission (EEOC). The details of the case are below.

Case Study: Discrimination and Retaliation at Skils’kin Skils’kin is a nonprofit organization that aims to offer training and job opportunities to individuals with disabilities. However, it was discovered that the organization violated Title VII of the Civil Rights Act of 1964. The case involved a Black man, Bryan Wheels, who was employed as a part of a grounds crew at Warren Air Force Base in Cheyenne, Wyoming, and was the only Black employee on the crew. According to the EEOC’s complaint, Wheels reported that he was subjected to racial slurs by coworkers, but instead of addressing the worker’s complaints, the company is accused of assigning the man to work directly under the employees who called him the names. The worker’s complaints continued to be ignored and he was eventually fired. He had worked with the company for multiple years. As a result of the case, the court ruled against Skils’kin and ordered the company to pay $100,000 in damages to the employee. The company is also required to conduct workplace training on harassment to prevent future incidents from occurring and to ensure a respectful and inclusive work environment for all employees. This case illustrates the severe impact that racial discrimination can have on an employee and the importance of addressing such incidents in the workplace. It also highlights the serious consequences that companies can face if they fail to take appropriate action when faced with complaints of discrimination or retaliation. Source: www.eeoc.gov/​newsr​oom/​eeoc-​sues-​skils​kin-​race-​dis​crim​inat​ion-​and-​reta​ liat​ion

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Religious Discrimination While Title VII of the Civil rights Act of 1964 prohibits discrimination based on religion, there are certain exceptions for religious organizations. For example, a Catholic institution of higher education can restrict its employment to Catholic faculty members. Additionally, the ministerial exception is a constitutional principle that prevents government and courts from interfering in religious matters; this applies as a defense for religious institutions. Section 702(a) of Title VII, 42 U.S.C. § 2000e-​1(a), states: [Title VII] shall not apply to…. a religious corporation, association, educational institution, or society with respect to the employment of individuals of a particular religion to perform work connected with the carrying on by such corporation, association, educational institution, or society of its activities. Section 703(e)(2) of Title VII, 42 U.S.C. § 2000e-​2(e)(2) states that it is not an “unlawful employment practice for a religious educational institution to hire and employ individuals of a particular religion” if the institution is “in whole or in substantial part, owned, supported, controlled, or managed by a particular religion or by a particular religious corporation, association, or society, or if the curriculum of such school, college, university, or other educational institution or institution of learning is directed toward the propagation of a particular religion.” In the ministerial exception case, the Supreme Court has upheld the rights of religious institutions to handle employment matters without interference from the judiciary in two cases: Our Lady of Guadalupe School v. Morrissey-​Berru (2020) and Hosanna-​Tabor Evangelical Lutheran Church & Sch. v. EEOC (2012).

Case for Ministerial Exception In 2020, the Supreme Court of the United States heard the consolidated case of Our Lady of Guadalupe School v. Morrissey-​Berru and St. James School v. Biel. The case involved two teachers, Agnes Morrissey-​Berru and Kristen Biel, who worked at Catholic elementary schools in Southern California. Both women had employment contracts that included an affirmation of their willingness to support the school’s religious mission, and their roles included teaching religion and participating in religious activities. Morrissey-​ Berru and Biel both had their contracts terminated by their respective schools, with the schools citing poor performance as the reason. However, both teachers alleged that their terminations were motivated by age discrimination and breast cancer, respectively. The Supreme Court ultimately ruled in favor of the religious institutions, stating that they had the right to manage employment matters without interference from the judiciary, citing the ministerial exception. These cases build on the legal precedence set in Hosanna-​Tabor Evangelical Lutheran Church & Sch. v. EEOC (2012), in which Cheryl Perich was terminated from her position at the school in 2004, following a period of disability. Perich, who was diagnosed and treated for narcolepsy, stated that upon her return to work, she was able to perform her duties without any limitations. The school, however, allegedly asked her to resign and, when she refused, decided to fire her. Perich took legal action, alleging that she was fired in response to her intention to file a complaint under the Americans

Chapter 15  •  Human Resources Management In Nonprofit Organizations  209 with Disabilities Act (ADA). Her employer, however, argued that the case was not valid as it falls under the ministerial exception. The courts sided with the employer citing the ministerial exception. Source: Barrick (2020)

Sexual Harassment Title VII not only prohibits discrimination in the workplace, but also any type of harassment based on protected characteristics. This includes verbal or physical behavior that creates an intimidating or hostile work environment or negatively impacts an employee’s job performance. Nonprofits are predominantly female, with 70 percent women compared with 40–​50 percent women in the for-​profit sector (Leete, 2006). It is commonly believed that nonprofit organizations, which often have a high proportion of women employees, are not subject to sexual harassment in the workplace. However, sexual harassment lawsuits have been filed against nonprofit organizations, which rely heavily on volunteers to fulfill their mission: see Bryson v Middlefield Volunteer Fire Department Inc. (2011); Sister Michael Marie v. American Red Cross (2014); Volling v. Antioch Rescue Squad (2012). More than a quarter of the U.S. population aged 16 years and over volunteered for an organization from September 2010 through 2014 (U.S. Census Bureau, 2015). However, volunteers are often not subject to the same guidelines as employees and, in instances of discrimination, may not be covered under Title VII of the Civil Rights Act of 1964 since protections are afforded only to employers with 15 or more employees. The courts have ruled differently in cases involving volunteers, since what constitutes an “employee” is contentious. Another challenge faced by nonprofits when it comes to drafting and implementing human resource policies is their size. Most nonprofits are small and do not have the resources to hire human resource personnel; this lack of capacity can compromise effective training, implementation, and monitoring of employee practices related to non-​discrimination. Furthermore, nonprofits largely depend on donors and individual contributors for fundraising, and most donors are White, older males, while the fundraisers are overwhelmingly younger females; this creates an inequitable power dynamic, and a culture that is subject to third-​party sexual harassment (Sandoval, 2018). Consequently, sexual harassment in the nonprofit sector may be more prevalent than initially thought. To avoid negative publicity and costly lawsuits, and to safeguard their employees, nonprofits must assess their legal, structural, and leadership abilities within their organizations. Zero-​tolerance sexual harassment policies must be implemented and reinforced regularly through employee, volunteer, and board member training. The change must start from the top: nonprofit boards should reevaluate their sexual harassment policies and complaint procedures. A clear definition of sexual harassment, including examples of unacceptable behaviors (including those on social media), and a transparent and confidential complaint-​taking process that ensures prompt action and investigation, are crucial for addressing harassment in the workplace (Ma, Beaton, & Bhati, 2022). Boards should not only react to complaints of harassment, but actively investigate the culture of the organization where sexual harassment and abuse may go unchecked. And if they find any issues, they must take action to address them (Wallestad, 2018). Nonprofit organizations thus have the responsibility to establish policies and procedures for reporting and investigating complaints of harassment. However, it should be noted that the provisions of Title VII of the Civil Rights Act do not apply to volunteers, who are typically unpaid and constitute a significant part of nonprofit organizations.

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VOLUNTEER MANAGEMENT Nonprofit organizations rely heavily on volunteers as a crucial part of their human resources. As government funding decreases and these organizations need to adapt their HR management practices, it becomes essential to consider the management of both paid staff and volunteers. Volunteers are often seen as the backbone of nonprofits, as they typically offer their time and efforts out of concern for the organization’s beneficiaries. According to the U.S. Bureau of Labor Statistics, between September 2020 and 2021, approximately 23.2 percent of Americans, or more than 60.7 million people, formally volunteered with organizations (AmeriCorps, 2023). These volunteers served an estimated 4.1 billion hours with an economic value of $122.9 billion. However, with recent changes in the economy and labor force, issues related to volunteer management—​such as effective volunteer involvement and measurement of volunteer contributions—​have reemerged. Proper HR management can support nonprofit organizations by managing volunteers to increase engagement, commitment, and productivity. In the past, nonprofits may have focused primarily on advancing their vision, but it is now becoming increasingly important for them to adopt a professional approach to managing volunteers to achieve their goals (Alfes, Antunes, & Shantz, 2017). To provide legal protection to volunteers from harm that can be caused by civil liability in cases of negligence, the United States passed the Volunteer Protection Act in 1997 to safeguard individual volunteers (Groble & Brudney, 2015). Safrit and Schmiesing (2012: 6) defined volunteer management as “the systematic and logical process of working with and through volunteers to achieve an organization’s objectives in an ever-​changing environment.” Volunteer management is an integral part of HR practices in any nonprofit organization; therefore, identifying ways to best optimize volunteer engagement and increase retention is imperative. Research has shown that volunteers provide more value-​based services to an organization because they are not relying on the organization for their livelihood (Cuskelly, McIntyre, & Boag, 1998). While volunteer services are less tangible than those of paid employees (Cuskelly et al., 1998), Handy, Mook, and Quarter (2008) showed that there is often interchangeability of tasks between paid workers and volunteers in a nonprofit organization. However, the nature of this interchangeability can vary on the basis of the historical role of the task, such as whether it has always been an unpaid position filled by volunteers or whether it is a response to a last-​minute need. Comprehensive volunteer-​management practices are rare in the nonprofit sector, with only one-​third of charities adopting any strategy to recognize the work of their volunteers, according to a survey of 3,000 charities by Hager and Brudney (2004). Most current practices use a “universalistic” or “one-​size-​fits-​all” approach, which overlooks the differences in organizational missions, volunteer characteristics, and other factors that can affect volunteer management. To address this, volunteer-​focused management practices that recognize varying circumstances and effective recruitment and retention policies are essential. In the survey, regular supervision and communication were the most common practices, while training paid staff to work with volunteers was the least common. Larger organizations invest more than smaller ones in retaining and engaging volunteers but, regardless of size of organization, volunteers are critical to the mission of nonprofits. A wide variety of reasons exist for why volunteers provide their time and efforts to a particular nonprofit organization. Historically, volunteers have been associated with altruistic motivation and selflessness (Rehberg, 2005). Research on volunteer motivations

Chapter 15  •  Human Resources Management In Nonprofit Organizations  211 showed that extrinsic and intrinsic rewards motivate them differently. While intrinsic motivation includes self-​ satisfaction, self-​ accomplishments, and being challenged, extrinsic motivations often include recognition by the organization (Pynes, 2008). In addition to altruistic motives, volunteers also have specific expectations for their time invested, the content of their volunteer involvement, social contacts, and personal and emotional needs (Yeung, 2004; Rehberg, 2005). It is also important to note that through their time and efforts, volunteers may directly or indirectly benefit themselves (Shibli et al., 1999; Silverberg et al., 1999). All these factors are crucial to consider since recruiting and selecting volunteers who are interested in and committed to a particular cause pose a significant challenge for nonprofits. To overcome this challenge, nonprofits need to identify individuals who align with their mission, attract them to the organization, and retain their loyalty. To do this effectively and efficiently, a nonprofit can take several steps, such as involving key staff in the development of the job descriptions and the recruitment and training processes for the volunteers they will supervise (Pynes, 2008). Support from the executive level in volunteer involvement is a critical issue in volunteerism. Taking time to understand the needs of both the organization and the volunteer, then matching the skills and interests, helps to minimize the frequent turnover or absenteeism of volunteers in nonprofit organizations (Pynes, 2008). Importantly, the way managers treat their employees has a significant impact on voluntary turnover in nonprofit organizations (Selden & Sowa, 2015; Hernandez et al., 2022). Additionally, nonprofits can recruit volunteers through various methods, such as posting flyers, advertising in local newspapers and specialized publications, and using word of mouth. However, in today’s world, it is also essential for nonprofits to use social media and other modern technologies to attract potential volunteers. Technology provides various benefits for nonprofits, including improved service quality, streamlined work processes, enhanced visibility, fundraising, and volunteer management (Geller et al., 2010; Jaskyte, 2012; Boles, 2013). It also increases efficiency in managing volunteers by reducing barriers such as time, distance, and physical limitations (Merrill, 2006; Dhebar & Stokes, 2008). Building rapport and providing a positive user experience, clear roles and expectations, and recognition can optimize volunteer impact (Chui & Chan, 2019). Training and development programs can also improve volunteer retention. Overall, effective volunteer management requires a strategic approach that includes planning, recruiting, training, and evaluation. Maintaining positive employee relations is essential for retaining valuable employees, particularly in human service nonprofits where job stress may be high (Selden & Sowa, 2015). Managers should make it a priority to regularly monitor and manage employee relations to ensure the well-​being and satisfaction of their employees. This is important, as employee retention is a key indicator of the overall health of the organization and can positively impact its performance. Considering the distinctive challenges encountered by nonprofits, the following section will delve into labor management relations.

LABOR RELATIONS IN NONPROFITS Nonprofits face unique labor relations challenges since they are mission driven rather than profit driven, which can affect staffing and compensation. While nonprofits are governed by the same laws as for-​profit organizations, limited resources can make it difficult to offer comparable compensation and benefits. Nonprofit labor relations and

212  Shahrin Upoma and Meghna Sabharwal collective bargaining are governed by the same laws that cover for-​profit organizations. Initially, the National Labor Relations Board (NLRB) excluded nonprofit employees from the National Labor Relations Act (NLRA) (Pynes, 2015). In 1974, the NLRB amended the NLRA to bring nonprofit healthcare institutions under the law’s coverage. From 1976, nonprofits and charitable organizations have been treated the same as for-​profit organizations. The NLRB’s authority over religious organizations is limited. For example, schools that teach religious topics, provide their students and staff with a religious educational environment, identify as a nonprofit, and are directly or indirectly related to a religious organization are not under the jurisdiction of the NLRB (Pynes, 2017). The NLRB’s jurisdictional threshold varies by organization type and revenue, for example, healthcare and childcare institutions with at least $250,000 in revenue fall under NLRB jurisdiction, while the threshold is $100,000 for nursing homes and $1 million for cultural and educational centers (Pynes, 2017). Nonprofits also have the freedom to negotiate wages, working hours, and conditions, unlike federal, state, or local governmental employees. Nonprofit workers can unionize and go on strike, and union contracts are particularly helpful during mergers. Merging with other nonprofits can result in layoffs and other challenges for employee recruitment and retention. However, if there is a union contract, nonprofits are required to give employees advance notice of changes and layoffs. Unions can also negotiate reduced hours instead of layoffs, workplace security, service standards, and professional judgment, protecting employee rights, increasing job security, and providing a sense of control among employees (Pynes, 2017). Unions play a crucial role in improving labor relations and collective bargaining processes in the nonprofit sector. They advocate for fair treatment and worker rights, such as malpractice and liability insurance coverage, and may provide legal assistance to workers. During the pandemic and other social justice movements, unions and nonprofit advocacy groups worked together to address low minimum wage and health and safety concerns of frontline nonprofit workers. To maintain a non-​adversarial psychological contract between nonprofit employers and employees, it is essential for nonprofit administrators and boards to collaborate with their staff to develop policies that provide employees with a sense of control and perceived rights during times of crisis (Kehoe & Wright, 2013; Ko & Hur, 2014). Studies have shown that job satisfaction and productivity are linked to organizational justice and trust in management. When employees feel treated fairly and contribute to the agency’s mission, turnover intentions decrease (Pynes, 2009, 2013; Choi, 2011; Rubin, 2011).

SUCCESSION PLANNING AND MANAGEMENT IN NONPROFITS Leadership management and succession planning pose unique challenges to nonprofits, particularly smaller organizations (Cornelius, Moyers, & Bell, 2011). According to estimates from the U.S. Census Bureau and recent research findings, the retirement of Baby Boomers in the coming years is expected to result in a gap in the executive leadership pool in the nonprofit sector (Peters, Wolfred & Allison, 2001; Cornelius et al., 2011; Deaton et al., 2013). Tierney (2006) projected that the nonprofit sector would require almost 60,000 new nonprofit executives annually, or a total of 640,000 new executives over the next decade. However, executive leaders also leave organizations for reasons such as retirement, job changes, death, termination, and others. The centrality and importance of executive leadership for nonprofit organizations are undeniable.

Chapter 15  •  Human Resources Management In Nonprofit Organizations  213 However, 11 independent surveys conducted from 2006 to 2015 found that only 24 percent of nonprofit organizations have a succession plan in place to replace their executive leaders (Santora & Bozer, 2015). Effective succession planning is a critical HRM practice for nonprofits to ensure sustainable growth and continuity. Succession planning is a systematic process that involves identifying key leadership roles and developing new leaders to replace current leaders when they depart from the organization, whether voluntarily or involuntarily (Kramer & Nayak, 2013). This proactive approach aims to build a pipeline of internal leaders and identify strong external candidates (Kim, 2017). Nonprofit organizations often rely on the succession-​planning processes developed for private organizations, despite the fundamental differences between the two sectors. Nonprofits differ from for-​profit organizations in terms of their end goals (money vs. mission), reliance on volunteers, the unique relationship between the executive director and the board, and the complicated revenue streams (Middleton, 1987; Herman & Heimovics, 1989; Gronbjerg, 1993; Froelich, 1999; McFarlan, 1999; Froelich et al., 2011). Effective succession planning requires an understanding of the core functions and mission of the organization, as there are numerous subsectors within the nonprofit sector based on the service provided by the organization. Nonprofits face a shortage of experienced executive leaders in the job market; coupled with other issues, such as lower salaries, a lack of organizational infrastructure, and increasing expectations from executive leaders, this makes nonprofit executive positions less appealing to incoming generations (Allison, 2002; Kunreuther, 2003; Tierney, 2006). Despite succession planning’s critical role in organizational performance, it is often a neglected aspect of nonprofits. There are several reasons behind this negligence, including a lack of interest from the senior management team. Smaller nonprofit organizations face significant struggles when appointing their next chief executive officer (hereinafter CEO) or executive director (ED) due to limited resources, funding, and poor succession planning. Key leaders in many smaller and even larger nonprofit organizations are often unwilling to bear secondary responsibilities, such as training their successor. Senior executives may be reluctant to train incoming leaders for fear of replacement and compromising their authority (Wolfred, 2008). Volunteer boards may also be unwilling to invest in the process due to its time-​consuming and demanding nature (Wolfred, 2008). Despite research showing that succession planning fosters engagement of senior management in managing talent, guides leadership development by considering diversity, and supports the leadership-​ renewal process in alignment with HRM functions, it is not a top priority for nonprofit leaders (Leibman, Bruer, & Maki, 1996). The true potential of succession planning lies within successful succession management. For decades, succession planning mainly consisted of replacement planning, where the successor was chosen from an internal pool of candidates based on specific skills, experience, and the performance appraisal of superiors (Leibman et al., 1996). However, with changing workforce dynamics and organizational structures, there is a demand for a more comprehensive model for leadership succession. Thus, the traditional succession model that worked well with low turnover and fewer transitions has become obsolete in modern nonprofit organizations. The current literature has shifted toward a succession management approach (Gandossy & Verma, 2006). According to Rothwell (2005), succession management is an active and dynamic approach toward leadership and talent development within an organization. Unlike traditional succession planning, succession management searches for talent from both external and internal pools, and links the selection criteria to a candidate’s specific competencies and embeddedness

214  Shahrin Upoma and Meghna Sabharwal within inter and intra-​organizational frameworks (Leibman et al., 1996; Cao, Maruping, & Takeuchi, 2006). Succession management focuses on three approaches to succession planning, which are developed by leadership transition consultants at CompassPoint Nonprofit Services and Transition Guides (Wolfred, 2008) and highlighted below. While these concepts are not mutually exclusive, nonprofit organizations may find that one approach is better suited to their situation and organizational life-​ cycle, depending on different resource levels, preparation, and lead time for a leadership transition (York, 2017). • Nonprofit organizations that are not faced with imminent leadership transition can adopt a strategic leader development approach. It is an ongoing process that engages the organization’s strategic vision when identifying leadership potential and management skills needed for an individual to emerge into a future leadership role. • Emergency succession planning ensures that in an event of an unplanned departure or temporary absence of an administrator, key leadership and administrative functions along with agency services can continue without any interruption. • In an event when a long-​term leader announces their departure two or more years in advance, departure-​defined succession planning is recommended. This approach identifies the skills and tools needed for a successor to move forward with the agency’s goals and concentrates on capacity building of the board, managers, and systems. Succession management focuses on developing leaders whose strengths and experiences do not just fit the role, but also the organization’s mission and values (Cao et al., 2006). To help with the succession-​management process, four HR practices suggested by Santora and Bozer (2015) can be used: 1. Acknowledge that the CEO is the most critical factor in nonprofit effectiveness as they are responsible “for both successful and unsuccessful outcomes” (Herman & Heimovics, 1990: 171). Nonprofits should invest in a proactive measure, such as building pipelines within the organization, rather than replacing CEOs upon their departure. Nonprofit boards and existing CEOs/​EDs must confront the issue of succession planning proactively. HR can help the board implement the process, and HR, the board, and the ED should revise the plan annually. 2. Develop an active leadership development planning strategy within the organization. Even if funding is an issue for smaller nonprofits or if HR responsibilities are outsourced, they should engage in developing a strategy using alternative resources (for more details, see Santora et al., 2013). 3. Strategically implement long-​term hiring decisions, such as whether the organization will hire an outsider or an insider as a successor. Factors such as organizational performance, size, and the availability of internally qualified candidates should be considered. 4. Have a transparent HR policy and approach towards the succession hiring process. The board and CEO/​ED should be clear about their beliefs, whether they favor developing and managing internal leaders or are inclined to hire a successor from outside. However, in some cases, hiring an outsider could indicate the failure of the organizational pipeline (Tichy, 2015).

Chapter 15  •  Human Resources Management In Nonprofit Organizations  215 Overall, succession planning and management in nonprofit organizations can be challenging and demanding, as the process involves dealing with risks, limited applicant pools, and organizational change (Khurana, 2001). It also requires adjustment from both the departing executive and employees, as well as a significant responsibility for the board of directors (Austin & Gilmore, 1993; Khumalo & Harris, 2008). Although boards tend to rely on the EDs to initiate the process, a lack of succession planning can have severe consequences for nonprofits, especially in times of crisis such as the sudden departure or retirement of an ED or a global crisis like a pandemic. In such situations, emergency succession planning, including replacement planning and analysis of the current talent pool, is crucial for ensuring continuity. Building a pipeline within the organization is also helpful, but this requires efficient HR management that is aware of the organization’s planning and development. Nonprofits should therefore proactively address the issue of succession planning, engage in developing a strategy, and ensure transparency and clear policies when it comes to succession hiring.

STRATEGIC HUMAN RESOURCES MANAGEMENT (SHRM) IN NONPROFITS While there is no formal definition, SHRM is often identified as a managerial practice that focuses on “designing and implementing a set of internally consistent policies and practices that ensure a firm’s human capital contributes to the achievement of its business objectives” (Huselid, Jackson & Schuler, 1997: 172). Wright and McMahan (1992: 298) defined SHRM as “the pattern of planned human resource developments and activities intended to enable an organization to achieve its goals.” The distinction of SHRM from traditional HRM is that, in traditional HRM, the functions of the HR are considered more “administrative” (Ridder & Baluch, 2017), whereas strategic HRM focuses on partnering with managers and employees to attain the organization’s goal by integrating human resource activities into overall strategic planning (Pynes, 2008). In addition, SHRM is designed to be able to adapt to changes quickly. In many smaller nonprofits, the responsibility of carrying out certain human resource functions, such as selecting, recruiting, training, and managing employee performance, falls on the manager or other key staff, as there may not be a designated HR department. However, when these functions are disconnected from the organization’s mission and strategic goals, it can lead to lower employee satisfaction and higher turnover rates, as employees fail to see how their work contributes to the organizational goal. To avoid this, nonprofits should develop HR policies that align with their strategic goals and implement practices that support these goals. By doing so, nonprofits can improve employee satisfaction, reduce turnover, and ultimately achieve their mission (Ridder & Baluch, 2017). The adaptability of SHRM to changing situations is particularly important in the context of nonprofit organizations. SHRM emphasizes the importance of understanding the strategic orientation of a nonprofit organization and how HR can plan accordingly to contribute to that strategy systematically (Ridder & Baluch, 2017). For example, if a nonprofit organization that provides humanitarian services to refugees decides to expand its services by offering legal help through pro bono services, HR would need to systematically develop strategies to help the organization identify and engage with lawyers who can offer such services. This involves HR developing job descriptions

216  Shahrin Upoma and Meghna Sabharwal and qualifications needed for the new hire and being in sync with the overall strategy of the organization, other departments, and the board. In this scenario, HR plays an active strategic partner role, not just an administrative one. This is an example of the vertical fit in SHRM, which is often accompanied by a horizontal fit. The horizontal fit occurs when old and new HR practices are combined into a coherent system. Using the example of the lawyers, SHRM may hire a lawyer using existing hiring practices, but come up with a new strategy for socialization, training, and development keeping the future of the organization in mind.

Recruitment and Retention During COVID-​19 The COVID-​19 pandemic provides another good example of the importance of SHRM in nonprofit organizations. This crisis caused unprecedented challenges across the globe, and among the entities that were severely affected, nonprofits were hit particularly hard (see also Chapter 10). Nonprofits not only had to cope with the crisis themselves, but many were also responsible for providing essential services to their local communities. However, the pandemic also caused an economic crisis for nonprofits, with many having to cancel their fundraising events due to social distancing restrictions. In response, many nonprofits turned to using social media platforms, such as Facebook and Twitter, as fundraising tools. However, some nonprofits that were resistant to using technology to enhance their operations and experiences for workers, volunteers, and donors struggled to adapt to the online environment. Despite the challenges, it was crucial for all nonprofits to have effective SHRM strategies in place to help them navigate the crisis. Following the financial crisis, major layoffs also occurred in the nonprofit sector. Between March and May 2020, the nonprofit sector observed a loss of 1,643,128 jobs (Salamon & Newhouse, 2020). Twenty percent of the nonprofit employees said their employers implemented layoffs in 2020 while 49 percent expressed concern over more layoffs occurring in 2021 (Eagle Hill Consulting, 2021). After the immediate repercussions, the nonprofit sector observed the long-​term effect of the pandemic, mainly in career practices that were triggered by this critical incident. For example, preferences for remote work increased, resulting in a shift in worker identities, and gender and racial disparities in the workplace (Ashforth, 2020; Milliken et al., 2020; Munir, 2020; Alexander et al., 2021). The layoffs during the pandemic shrank the already limited talent pool for nonprofit organizations. Although nonprofits were used to occasional layoffs, the pandemic layoffs had a long-​lasting effect on their core competencies (Akingbola, 2020). These layoffs resulted in an erosion of trust among nonprofit employees, as it hampered the ability to maintain the sustainable organizational growth necessary to attract and retain employees. Moreover, layoffs occurred at a time when the demand for nonprofit services was increasing (Akingbola, 2020). Employees felt left out of participating in important decisions that severely impacted not only the organization but also their lives (Levine & McCambridge, 2020). The pandemic showed that employees felt disempowered without the knowledge of issues that impacted them and felt disengaged from the organization (Akingbola, 2020). The slow recovery from the job losses also impacted managers, who lost trust and support in the organization, as they were left to handle the managerial difficulties (Kim, 2022). Other HR-​related issues also became vital during and after the initial wave of the pandemic. With a record increase in remote work, issues related to

Chapter 15  •  Human Resources Management In Nonprofit Organizations  217 mental health, team collaborations, and legal matters related to interactions between clients and remote workers emerged (Chirstie, 2020). Despite the low competitive wages, nonprofit organizations were attractive to workers because of work flexibility along with the intrinsic motivation of altruism. However, the pandemic’s consequences disrupted the work–​life balance because of remote work and made employees question their careers in nonprofits. The HR crises that emerged during the pandemic were not surprising to many scholars and practitioners. Nonprofit organizations are a unique mix of paid employees and volunteers who conduct mission-​critical human services, healthcare, and education services, making human resource-​intensive work (Walk et al., 2014). Therefore, all nonprofits must provide basic HRM functions to support these workers. However, as we discussed in this chapter, sometimes HRM is of the least concern for nonprofits due to overhead pressures from stakeholders and donors (Ridder & McCandless, 2010). Therefore, when the pandemic struck, the functions collapsed, exposing the vulnerability of current HR practices in the nonprofit workplace and the need for strategic HRM.

Conclusion The nonprofit sector is the third largest employer in the United States, employing about 12.5 million people pre-​pandemic (Newhouse, 2022). However, during the first three months of the pandemic, the nonprofit sector observed the loss of about 1.64 million jobs. The recovery from the pandemic has been slow but consistent. The nonprofits that survived the first few years of the pandemic are now facing the challenge of expanding their network and recruitment. Because of the sudden layoffs, and the burnout of nonprofit workers during the pandemic, the nonprofit sector is faced with a new crisis of worker shortages. Nonprofits have always had unique HRM needs that can be challenging to navigate. The structure of HRM varies greatly within nonprofits based on the organization’s structure. For example, in volunteer-​dependent nonprofits, the SHRM practices differ from other organizations that rely more on paid staff (Guo et al., 2011). As noted earlier in this chapter, volunteers differ in many aspects from paid employees, including their attitude towards the job. Therefore, certain HRM practices, such as leadership training and development opportunities or performance-​ based financial rewards, might not be enticing to them. Nonprofits may need to adopt a different HRM strategy that is more community-​oriented to attract more volunteers than they would if they were an employee-​based organization. HRM is a critical element in the overall success of nonprofit organizations, and many nonprofits struggle with a lack of expertise or resources dedicated to HRM, with some not having any designated HRM function (Word & Sowa, 2017). The traditional HRM was thought of as only comprising responsibilities related to payroll, record-​keeping, and benefits administration (Word & Sowa, 2017), while SHRM showed that the HR functions have much more to contribute towards the organizational strategy through systematic development of practices (Ridder & McCandless, 2010; Ridder & Baluch, 2017). Hence, nonprofits need to invest more time in better managing their human resources to ensure a resilient organization with a stable and productive staff.

218  Shahrin Upoma and Meghna Sabharwal

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Cases Bryson v. Middlefield Volunteer Fire Department Inc. 656 F.3d 348 (6th Cir. 2011). Sister Michael Marie v. American Red Cross. No. 13-​4052 (6th Cir. 2014). Volling v. Antioch Rescue Squad. No. 11 C 04920. 999 F.Supp.2d 991 (2013).

INDEX Note: Page numbers in bold refer to figures, page numbers in italic refer to tables. Aarhus University 26; Crown Prince Frederik Center for Public Leadership 25 Aaron, D. 110 Abbott, Governor 7 Abdel Hadi, S. 186, 190 Abel, R. L. 96 Aberbach, J. D. 7 ability, motivation, and opportunity (AMO) theory 3, 36, 46 accessibility 60–​62 access to colleagues and supervisors 42, 44, 45, 46 access to information 39, 42, 44, 45, 46 accountability 6, 7; anti-​civil service lobby 131; for constitutional torts 129–​131 activity-​based working (ABW) 34, 35, 39, 40, 41, 44, 45, 46 affirmative action 81–​90; Bakke ruling 81–​82, 89; constitutionality 82; COVID-​19 142; and diversity 82; Fisher rulings 81, 83–​86, 87; future 87–​89; Grutter decision 82, 83, 84, 85, 87; Johnson v. Transportation Agency, Santa Clara County 87; and layoff systems 89; legality 82, 87; quota systems 81–​82, 83, 85, 86; Students for Fair Admissions cases 81, 86–​87, 89; University of Michigan rulings 82–​83; U.S. v. Paradise 87; Wygant v. Jackson Board of Education 89 age, and generational differences 76–​77 Allen, T. D. 186, 188–​189, 191, 197 Allgood, M. 139 American Community Survey 107, 187 American Federation of Government Employees (AFGE) 149 American Rescue Plan Act (ARPA), 2021 139, 142–​143, 144 Americans with Disabilities Act (ADA): Hosanna-​Tabor Evangelical Lutheran Church & Sch. v. EEOC 208–​209; teleworking 138, 193, 194 Andersen, L. B. 25 Anderson, A. J. 192 Andrews, R. 27 Anglo-​Saxon administrative model 18 appraisal process, and unions 151–​153, 153, 154, 155, 156, 157 Arbon, C. A. 189 Archuleta, Katherine 178 Arizona 11n1 Arthur, Chester A. 123

222

assessment procedures, and employee engagement 9 asylum-​seekers 27 austerity 165 Australia 110 automation: cybersecurity 182; workforce planning 171 autonomy: employee engagement 9; LGBTQ individuals 116; New Ways of Working 35, 38, 39, 40; and performance 39 Baby Boomers 70, 71, 72, 73, 75, 77; retirement 165, 212 Bach, S. 21 Bachtal, Y. 192–​193 Backhaus, L. 25 Badgett, M. L. 114 Bakker, A. B. 38 Bakke ruling 81–​82, 89 Ballinger, R. A. 124 Baltimore data breach 177–​178, 182 Battaglio, R. P., Jr. 166 Bazelon, David 128 Bekkers V. 139 Biden, Joe 7; COVID-​19 vaccinations 129; diversity, equity, inclusion and accessibility 60, 61, 62, 63; human capital leadership 164; teleworking 141 Birch, E. 110 Bishu, S. G. 109 Blader, S. 95 Blok, M. 35 Blum, Edward 86 Board of Regents v. Roth 127 Boon, C. 3 Booth, A. L. 76 Boselie, P. 24 Bostock v. Clayton County 89, 103 Boyne, G. 20 Bozer, G. 214 Branti v. Finkel 127, 132 Bray, M. 3 Brehm, G. 189–​190, 197 Brewer, G. A. 75 Bridgeworks Corporation 72, 73 Brotheridge, C. M. 156 Brown, J. 166 Brudney, J. 210 Bryson v. Middlefield Volunteer Fire Department Inc. 209 budgetary choices 165

Index  223 bureaucracy 71 Bureau of Labor Statistics see U.S. Bureau of Labor Statistics burnout 4, 28; COVID-​19 8, 137, 143, 164, 217; emotional labor 156, 157; engagement compared with 8; New Ways of Working 35; nonprofit organizations 217; teleworking 140, 186; and unions 156, 157 Bush, George W. 6 Caillier, J. G. 191 California 103, 189 California Public Utilities Commission on Workforce Planning, Career Development and Succession Planning 167 career development, LGBTQ individuals 115 career trends 167–​168 CARES Act, 2020 139, 142, 143 Cascio, W. F. 197 Census see U.S. Census Center for American Progress 64 Center for State and Local Government Excellence 189 Centers for Disease Control (CDC) 132, 138 charities see nonprofit organizations (NPOs) Chauvin, Derek 166 Choi, S. 62–​63 Christensen, R. K. 131 City of Baltimore data breach 177–​178, 182 City of Ontario v. Quon 128 civil liberties revolution 126 Civil Rights Act, 1964 81, 86, 89, 90n1, 97, 98, 99, 142; nonprofit organizations 207, 208, 209 Civil Rights Act, 1991 89 Civil Service Act, 1883 6, 123, 131, 132 Civil Service Commission see U.S. Civil Service Commission (USCSC) Civil Service Reform Act, 1978 92 Cleveland Board of Education v. LaFleur 128 Cleveland Board of Education v. Loudermill 127–​128 climate change 2 Clinton, Bill 6, 64 Coker v. Whittington 128–​129 Colgan, F. 110 collective bargaining 148, 153, 154–​155, 156, 158; nonprofit organizations 212 Colvin, R. A. 109 communication: interpersonal justice 94; New Ways of Working 39; nonprofit organizations 210 compartmentalization 21 CompassPoint Nonprofit Services and Transition Guides 214 compensation: COVID-​19 pandemic 164–​165; cybersecurity personnel 182; discriminatory 96; nonprofit organizations

211, 212, 213, 217; and personnel shortages 8; teleworking 140, 141, 194 competency gaps 169 competency models, workforce planning 171 conflicting outcomes see mutual gains and conflicting outcomes perspective Constitution see U.S. Constitution constitutional stewardship 122, 131–​132 constitutional torts 126, 129–​131 consultative committees 22 context, importance of 25–​26 continuity of operations planning (COOP) 138, 188 coping resources, and unions 152, 153, 154, 155, 157, 158 coproduction 22–​23 Coronavirus Aid, Relief, and Economies Security (CARES) Act, 2020 139, 142, 143 Coronavirus Relief Fund 139, 142 Coronavirus State and Local Fiscal Recovery Funds 139, 142–​143 Council of State Governments 138 Court of Appeals see U.S. Court of Appeals COVID-​19 pandemic 4, 10, 136–​144; burnout 8, 137, 143, 164, 217; future 144; Generation Z 74; New Public Management 21; New Ways of Working 34, 35, 39, 40, 46; nonprofit organizations 207, 212, 216–​216; resignations and retirements 8, 137, 143; retention and hiring conditions 141–​143; rule of law 129; teleworking 136–​141, 144, 185–​193, 199, 216; and unions 149; vaccines 129, 131–​132, 143; as wicked policy problem 2; workforce planning 164, 166 cybersecurity: case studies 177–​179; cyber-​ attacks 176–​177; cyber-​threats 175–​176; definition 177; frameworks 179–​181; HRM role 175–​182; incidents 176, 177; strategic planning 176; teleworking 195; training 180, 195; vulnerabilities 176; workforce planning 180–​181 Cybersecurity Workforce Planning Capability Maturity Model (CMM) 180 Daniels, K. 136, 144n1 Daughters of Bilitis 104 Davis, R. S. 152, 156, 157 decentralization 20 Defense of Marriage Act (DOMA), 1996 63, 103 democracy, and unions 148 Democratic Party, spoils system 122–​123 demographic change 165 Den Dulk, L. 18 Department of Defense see U.S. Department of Defense (DOD) Department of Homeland Security see U.S. Department of Homeland Security (DHS)

224 Index Department of Labor see U.S. Department of Labor DeSantis, Ron 7 de Vries, H. 139 Dew v. Halaby 126 discrimination 81, 86; federal court decisions 92–​101; intersectionality of 63; as justice violation 94–​95; LGBTQ individuals 103–​104, 109–​110, 111, 116; nonprofit organizations 207–​209; religious 98–​99, 208–​209 distributive justice 93, 93, 95, 98 diversity, equity, and inclusion (DEI) 5, 6, 7, 57–​66; and affirmative action 81, 82, 83–​86; creation 81; fairness perceptions 92; Fisher rulings 83–​86; Hispanics 64, 66; and leadership 62–​63, 64, 66; LGBTQ individuals 63, 103–​105, 109–​111, 112, 113–​116; nonprofit organizations 206, 213; percentages 58, 59; plans 60, 62; priority areas 66; promotion 57; Ricci v. DeStefano 90n1; Senior Executive Service 64, 65, 66; Students for Fair Admissions v. Harvard 86; talk 57, 60–​63, 60–​62; training 101; types 69; walk 57, 62, 63–​66, 65; workforce 26–​27; workforce planning 170 diversity, equity, inclusion, and accessibility Executive Orders 60–​62, 61–​62 Downs, A. 71

New Ways of Working 40, 41, 44, 45, 46, 47; nonprofit organizations 210, 213; and performance 38; teleworking 139 equal employment opportunity 81, 87–​89, 87–​89; Bostock v. Clayton County 89; laws 60 Equal Employment Opportunity Act, 1972 142 Equal Employment Opportunity Commission (EEOC) 60; discrimination court cases 97, 98–​99, 100; LGBTQ individuals 103; nonprofit organizations 207; teleworking 138; and unions 149 equity see diversity, equity, and inclusion (DEI); social equity equity theory 93 ethics: procedural justice 94; professional 7, 10 Europe: administrative traditions 17–​18; coproduction 22–​23; diversity 17–​19; employee participation 20–​22; human resources practices 17–​23, 27–​28; leaders and leadership 24–​25; network governance 22–​23; New Public Management 18, 19–​21, 28; pay systems 20; stakeholders 21, 24; trade unions 22; welfare states 18 European Union (EU) 17–​18, 20, 21–​22; unions 149 Executive Orders: 10450 126; 11478 63; 13171 64; 13583 60; 13957 7; 13985 60–​62; 13988 63; 14035 57, 62

Eaton, S. C. 191 Eckes, S. E. 109 economic forces, on workforce planning 164–​165 EEOC v. Abercrombie and Fitch 97, 98–​99 Eisenhower, Dwight D./​Eisenhower Principle 125, 126, 167 Elder, G. 76 electoral reform 123 Elias, N. 110 Elrod v. Burns 127 emotional exhaustion 4; emotional labor 156, 157; teleworking 186, 190 emotional intelligence 9 emotional labor (EL): process model 156; and unions 154, 156–​157 emotions, and unions 151–​158 employee engagement see engagement employee motivation 2, 3, 23–​24, 27, 35; LGBTQ individuals 114; New Ways of Working 35 employee outcomes 27–​28 employee participation, human resources management 20–​22 employees: average age 165; demographic shifts 165; see also workforce employee satisfaction see job satisfaction engagement 2, 8–​10; group engagement model 94–​95; LGBTQ individuals 116;

Facer, R. L. 75, 189 Fadairo, S. A. 165 Fair Labor Standards Act (FLSA) 193 Family Medical Leave Act (FMLA) 193, 194–​195 Faragher v. City of Boca Raton 97, 99–​100 Farnham, D. 19, 22 federal court decisions on discrimination 92–​101; examples 96–​100, 97; formal complaint 96; organizational justice forms 93–​94, 93, 97; organizational justice violations 94–​95 federal employment, growth in 63–​64 Federal Tort Claims Act, 1946 129 Federman, P. S. 110 feedback: and engagement 9; fairness 100; New Ways of Working 46 Felix, L. G. 192 Felstiner, W. L. 96 Fisher v. University of Texas 81, 83–​86, 87 flexible work arrangements 36, 37, 185, 190, 191, 198; COVID-​19 137, 141; and engagement 9; nonprofit organizations 217; see also hybrid working; New Ways of Working (NWW); teleworking flexicurity 28 flextime 35, 42, 44, 45, 46, 141 Florida 7, 103 Floyd, George 166 Food and Drug Administration (FDA) 132

Index  225 Ford, Gerald 83 France 110 Francesconi, M. 76 free-​agents 74 French, P. E. 166 Friedrich, Carl 126, 132 Fullagar, C. J. A. 154 furloughs 137, 143 Gajendran, R. S. 191, 192 Garcetti v. Ceballos 127 Garcia-​Serrano, C. 76 Garfield, James 123 Gauger, F. 192–​193 General Social Survey (GSS) 107, 108 Generation X 71, 72–​73, 74–​5, 77 Generation Z 71, 73, 74, 76, 77 generational affiliation 69 generational differences 73, 74; and age 76–​77; managing 73; personalities 71; profiles 72–​74; public service motivation 75–​6; social and historical impacts 70; workforce 10, 69–​78; and work values 74–​5 generational profiles 72–​74 generational research 71–​74 generational similarities 77–​8 generations, definition 71 GeorgiaGain 70 Giauque, D. 24, 140, 145 Glass, J. L. 193 global justice see overall justice Global Workplace Analytics 187 goal alignment 2, 3, 9; nonprofit organizations 211, 215 goal attainment 27 Goerdel, H. T. 131 Golden, T. D. 186, 191, 192 Goluboff, N. B. 193 Goodman, D. 166 Gossett, C. W. 109 Government Accountability Office see U.S. Government Accountability Office (GAO) Government Business Council 168–​169 government performance 1–​11; balancing values 4–​7; challenges 4–​10; employee engagement 8–​10; future 10–​11; strategic importance of employees 2–​4 Government-​wide Inclusive Diversity Strategic Plan 60 Government-​wide Strategic Plan to Advance Diversity, Equity, Inclusion, and Accessibility in the Federal Workforce 62 Gratz v. Bollinger 82–​83 Great Recession, 2007–​2009 164, 165 great resignation 8 Greenberg, J. 100 Griggs v. Duke Power Company 97, 97–​98 Groeneveld, S. 27

Grøn, C. H. 25 group cohesion 39 group engagement model 94–​95 Grutter v. Bollinger 82, 83, 84, 85, 87 Guy, M. E. 1, 157, 171 Hager, M. 210 Hakanen, J. J. 9 Hammerschmid, G. 20 Handy, F. 210 Hansen, M. B. 21 harassment: of LGBTQ individuals 103, 104, 109, 111, 116; in nonprofit organizations 207; sexual 98, 100, 209 Harlow v. Fitzgerald 130 Harnish T. 196 Harrison, D. A. 191, 192 Harvard, Students for Fair Admissions case 81, 86, 87, 89 Hawaii 137 Heimovics, R. 214 Henderickx, E. 20 Herman, R. 214 high-​performance work practices (HPWPs) 3, 4 High Performance Work Systems (HPWS) 24 hiring see recruitment Hispanics, diversity management 64, 66 Hoffman, P. 195 Holmes, Oliver Wendell 124 home resources 9 homophobia 109, 110, 111, 114 Hood, C. 19, 21, 22 Horton, S. 20, 22 Hosanna-​Tabor Evangelical Lutheran Church & Sch. v. EEOC 208–​209 Huerta Melchor, O. 166, 169, 171–​172 human resources management 3–​4; capacity 171; challenges 27–​28; cybersecurity role 175–​182; mutual gains perspective 36; New Ways of Working 35; nonprofit organizations 205–​217; objective 17; and performance 39; and the rule of law 126, 131, 132; strategic 3–​4, 8, 25, 207, 215–​217; systems 24 human resources practices: coproduction 22–​23; employee participation 20–​22; Europe 17–​23, 27–​28; network governance 22–​23 human resources research: context 25–​26; Europe 23–​27; insights from different disciplines 26–​27; leaders and leadership 24–​25; levels of analysis 25; USA 23 Humphrey, J. C. 110 Hung, C. 137 Huselid, M. 215 hybrid working 35, 191, 192–​193, 199; COVID-​19 141, 144; material conditions 46; see also New Ways of Working (NWW); teleworking

226 Index identity 95; violations 95, 100 identity theory 95 inclusion see diversity, equity, and inclusion (DEI) individual rights 153 informational justice 93, 93, 94 Ingersoll, R. M. 115 Ingraham, P. W. 20 insurance, and constitutional torts 130 interactional justice 94, 100 International City/​County Management Association 70 internet 34, 187 internships, cybersecurity 182 interpersonal justice 93, 93, 94, 96, 99–​100 intersectionality 63; LGBTQ individuals 109; workforce planning 170 Jackson, S. 215 Jacobsen, C. B. 25 Jacobson, W. S. 166 Janvier, R. 20 Jenkins, G. 20 job demands–​resources theory ( JD-​R) 9 job mobility 76 job resources 9 job satisfaction 3, 191, 196; LGBTQ individuals 110, 113, 114, 115; New Ways of Working 40; nonprofit organizations 212, 215; teleworking 139 job tenure 76 job vacancies see personnel shortages Johnson, G. L. 166 Johnson v. Transportation Agency, Santa Clara County 87 JP Morgan 187 justice 57, 66; see also organizational justice Kahn, W. A. 8 Kaplan, S. A. 192 Kass, H. D. 132 Keegan, A. 24 Kennedy, A. R. 109 Kessler, I. 21 Kettl, Donald F. 19 Keypoint 178 Kim-​Goh, M. 139 Kjeldsen, A. M. 25 Klingner, D. E. 153, 163 Knies, E. 21 knowledge: access to 39, 42, 44, 45, 46; loss 71, 115, 156, 165; plans 70–​1 Kossel, E. E. 191 Kranz, H. 58 Kubátová, J. 195 Ku Klux Klan Act, 1871 129; 42 U.S.C. 1983 129–​130 Kwon, M. 139

labor process theory 36 Lancaster, L. C. 75 Lane v. Franks 127 Larson, S. J. 104 Laurent, T. 110 Lautsch, B. A. 191 Lavender Scare 103–​104 layoffs: COVID-​19 137, 141, 142, 143, 216, 217; nonprofit organizations 212, 216, 217; systems 89 Lazarus, R. S. 151–​153, 154, 155, 156, 157 leaders and leadership: and diversity 62–​63, 64, 66; employee engagement 9; Europe 24–​25; human capital leadership 164; human resources research 24–​25; LGBTQ individuals 115; New Ways of Working 47; nonprofit organizations 212–​215, 217; role 24; transactional 8, 25, 47; transformational 8–​9, 25, 47; workforce planning 167, 171 Ledbetter v. Goodyear Tire & Rubber Co. 96 Lee, R. T. 156 Leiden University, Leadership Centre 25 Lewis, G. B. 109, 110, 111 LGBTQ individuals 63, 103–​121; diversity, equity, and inclusion 104–​105, 111, 112; employees’ perspective 110–​111; employer perspectives 111; engagement 116; equal employment opportunity 89; legal perspectives 109–​110; literature review 105–​111, 107, 120–​121; purges 125–​126, 128; recruitment 113–​114; retention 114–​115 life-​course research 76 Lister, K. 196, 199n1 living systems theory 26 Llorens, J. J. 153, 163 Lloyd-​La Follette Act, 1912 124–​125 location flexibility see activity-​based working (ABW) logic models, workforce planning 169–​170, 170, 172 loyalty and security purges 125 Lumney, K. 196 Maggio, E. 165 Mahler, J. 139, 198 material equipment 42, 44, 45, 46 Mattachine Society 104 Mayer, Marissa 187 McAuliffe v. Mayor of New Bedford 124 McCarthy, M. M. 109 McMahan, G. 215 Meier, K. J. 127 mentoring, of LGBTQ individuals 115 mergers, of nonprofit organizations 212 Merit System Protection Board 196 merit systems 5–​6 Messersmith, J. 4 methodological sophistication 28

Index  227 Meyer, R. E. 20 Mihoubi, F. 110 Millennials 71, 73, 74, 75 Minnesota 189 Mitchell, R. 3 model employer approach 18, 21 Moe, T. M. 148 Mook, L. 210 Morgan, D. F. 132 Mosher, F. C. 58, 148 motivation see employee motivation; public service motivation; volunteers: motivation mutual gains and conflicting outcomes perspective 4; New Ways of Working 35–​36, 42, 44, 46, 47 Nalbandian, J. 153, 163 Napoleonic administrative model 18 National Association of Letter Carriers 124 National Council of Hispanic Program Managers 64 National Health Service 18 National Initiative for Cybersecurity Careers and Studies (NICCCS) 180 National Institute of Standards and Technology (NIST) 179, 180 National Labor Relations Act (NLRA) 212 National Labor Relations Board (NLRB) 212 National Oceanic and Atmospheric Administration 7 National Security Agency 176 Netherlands 18–​19, 26, 35, 39, 40 network governance 22–​23 network groups, LGBTQ individuals 113 neutral competence 2, 5, 6–​7 Newland, C. A. 148 New Public Governance 22–​23, 29 New Public Management 8; doctrines 19; Europe 18, 19–​21, 28; performance focus 38 New Ways of Working (NWW) 34–​56; appeal 35; concept 34; definitions 36, 38, 47; emergence 35; empirical study 40–​47, 43, 55–​56; literature review 36–​40, 37; mutual gains and conflicting outcomes perspective 35–​36, 42, 44, 46, 47; performance 35–​36, 38–​39, 41, 42, 44, 45, 46, 47; well-​being 35–​36, 38, 40, 42, 44, 45, 46, 47; see also hybrid working; teleworking New Zealand 19 NICE Framework 180, 181 Nicholson-​Crotty, S. 131 Nie, F. 110 Nigro, F. A. 132, 148, 192 Nijp, H. H. 35 Nishii, L. 25 nonprofit organizations (NPOs) 205–​217; COVID-​19 216–​217; employment law 207–​209; importance of HRM

205–​207; labor relations 211–​212; LGBTQ individuals 110; religious discrimination 208–​209; sexual harassment 209; strategic HRM 215–​217; succession planning and management 212–​215; volunteer management 210–​211 Noonan, M. C. 193 Northfield, R. 115 Norton v. Macy 128 Novack, W. K. 130 Obama, Barack 60, 63 Obeidat, S. M. 3 Occupational Safety and Health Administration (OSHA) 193 O’Connor v. Ortega 128 Office of Diversity, Equity, Inclusion, and Accessibility (DEIA) 60 Office of Personnel Management see U.S. Office of Personnel Management (OPM) official immunity doctrine 129 Ogbonnaya, C. 4 Oklahoma 11n1 Ones, D. S. 38 Opall, B. S. 113 Oregon 188 organizational culture: New Ways of Working 39, 48; teleworking 139 organizational goal achievement 23 organizational justice: forms of 93–​94, 93, 97; nonprofit organizations 212; scholarship 92; violations 94–​101 organizational networks 28 organizational outcomes 24 organizational performance 25 organizational psychology 151–​158 Organization for Economic Development and Cooperation (OECD) 149 Our Lady of Guadalupe School v. Morrissey-​Berru 208 overall justice 93, 93, 94, 98 Overmyer, S. P. 140 Parson, Mike 165 Partnership for Public Service 179, 182 part-​time work 141 patronage 127 pay systems 20 Pearce, J. 191 Pendleton Act (Civil Service Reform Act), 1883 6, 123, 131, 132 people management 25 performance 1–​11; and austerity measures 165; balancing values 4–​7; challenges 4–​10; definition 38; employee engagement 8–​10; extra-​role 38–​39; future 10–​11; in-​role 38–​39, 41, 44, 45, 46, 47; New Ways of Working 35–​36, 38–​39, 41, 42, 44, 45, 46, 47; nonprofit organizations 206,

228 Index 211; quality of 163; strategic importance of employees 2–​4; teleworking 139, 140, 188, 190, 191, 192; unions’ influence on 148, 149, 156 performance management 20, 27 performance-​related pay 21, 22 Perry, J. L. 75 personal resources 9 personnel shortages 8, 69, 70; nonprofit organizations 217; workforce planning 165 person–​organization fit 39 Peters, B. G. 18 Pfnür, A. 192–​193 Pickering, C. 105 Pickering v. Board of Education 127 Pinchot, Gifford 124 Pitts, D. W. 110 political neutrality 2, 5, 6–​7 Pollitt, C. 25 Poole, M. 20 popular culture 69 Portillo, S. 5 position management 124 post-​communist administrative model 18 pregnant teachers, firing of and unpaid leave 128 Preston, A. 110 Price, A. 110 procedural justice 93, 93, 94, 96, 98, 99 professionalism 2, 7 Protestant work ethic 74 Prussian administrative model 18 public employment privilege doctrine 124–​126 public service, predisposition to 70 public service model 126–​129, 132 public service motivation (PSM) 2, 3, 4, 24, 75–​76; and performance 38; teleworking 191 public values 153–​154 Pynes, J. E. 163 Quarter, J. 210 quota systems 81–​82, 83, 85, 86 Ragusa, A. 110 Rainey, H. 63 ransomware 177–​178 Reagan, Ronald 6 Rechtsstaat tradition 18 recruitment 1, 2, 7, 77; COVID-​19 137, 141–​143; cybersecurity 180, 182; difficulties 70; and diversity 64; employee engagement 8, 9; LGBTQ individuals 113–​114, 116; merit systems 5; nonprofit organizations 206, 210, 211, 212, 214, 216–​217; police officers 166 refugees 27 Regents of the University of California v. Bakke 81–​82, 89

Rehabilitation Act 138 relationship repair 95 religious discrimination 98–​99, 208–​209 religious nonprofit organizations 208–​209, 212 remote working see teleworking Renard, K. 38 representative bureaucracy 5, 27, 57, 58, 60, 66; LGBTQ individuals 109 Republican Party, spoils system 123 research 27–​28; LGBTQ individuals 104, 105–​111, 120–​121; unions 151, 152, 153, 155, 156–​158 resilience 8, 9, 21, 27, 217 resource-​based view (RBV) 2–​3 resource groups, LGBTQ individuals 113 Respect for Marriage Act, 2022 103 responsive competence 7 retention 3, 76–​77; COVID-​19 137, 141–​143; cybersecurity 180; employee engagement 9; flexible working arrangements 191; LGBTQ individuals 114–​115, 116; New Ways of Working 35; nonprofit organizations 206, 210, 211, 212, 216–​216; police officers 166 retirement: COVID-​19 137, 143; eligibility 74, 163, 165; mass 69; nonprofit organizations 212; replacements 70; transitions of responsibility 69 Ricci v. DeStefano 90n1 Riccucci, N. M. 58, 109, 149 Robbinhood 177–​178 Roberts, R. 123 Rockman, B. A. 7 Rogers v. the U.S. Equal Employment Opportunity Commission 97, 98, 100 Rohr, J. 132 Roosevelt, Franklin 125 Roosevelt, Theodore 124 Rosenbloom, D. H. 126 Rothwell, W. J. 213 Rourke, F. E. 5 rule of law 122–​132; accountability for constitutional torts 129–​131; civil liberties revolution 126; constitutional stewardship 122, 131–​132; electoral reform 123; merit system 123; mission of public service 131–​132; morality 125; position management 124; public employment privilege doctrine 124–​126; public service model 126–​129; spoils system 122–​123 Ruth, S. 198 Safrit, R. 210 Saltzstein, A. L. 190 Saltzstein, G. H. 190 Santora, J. C. 214 Sarat, A. 96 satisfaction see job satisfaction Scandinavian administrative model 18

Index  229 Scarfone, K. 195 Schmiesing, R. 210 Schröter, R. 27 Schuler, R. 215 Selden, S. C. 75 Senior Executive Service (SES), diversity 64, 65, 66 sexual harassment 98, 100, 209 Shockley, K. M. 186 Shoop, T. 196 shortages see personnel shortages Singer Group 74 Sister Michael Marie v. American Red Cross 209 Skils’kin 207 Smith, T. M. 115 Smola, K. W. 74 social cohesion 39, 46 social equity 57–​58, 60–​62, 63, 66, 153; workforce planning 170; see also diversity, equity, and inclusion (DEI) social exchange theory 36, 46 socialization, and unions 153–​154, 156 social psychology 76 Society for Human Resource Management 179, 187, 191, 197–​198 Sony 175 Souppaya, M. 195 sovereign employer approach 18, 21 sovereign immunity doctrine 129 Sowa, J. E. 1, 171 spoils system 122–​123, 132 stakeholders 21, 24, 28; nonprofit organizations 205, 217 standardization 26 Stanton, T. H. 164 Status of Telework in the Federal Government report, 2020 188 Stillman, D. 75 St. James School v. Biel 208 strategic human resources management 3–​4, 8, 25; definitions 215; nonprofit organizations 207, 215–​217 strategic planning 169 stress 4, 152; COVID-​19 164; fairness perceptions 101; New Ways of Working 35, 40, 41, 44, 45, 46, 47; nonprofit organizations 211; teleworking 40, 190 Students for Fair Admissions v. Harvard 81, 86, 87, 89 Students for Fair Admissions v. University of North Carolina 86–​87, 89 succession planning and management 163, 166, 167; nonprofit organizations 206–​207, 212–​215 supervisors and supervision: employee engagement 9; fairness 100–​101; New Ways of Working 42, 44, 45, 46; nonprofit organizations 210; organizational justice

93, 94; teleworking 140, 186, 191, 192, 194, 197 Supreme Court see U.S. Supreme Court sustainable employability 28 Sutton, C. D. 74 Switzerland 38, 39, 40–​47 systemic epistemology 26 Taft, Howard 124 talent management 24 Target Corporation 175, 176 tax incentives for teleworking 189 Taylor, Frederick 123–​124 Taylor, H. E. 111 Telework Enhancement Act, 2010 138, 186, 188 teleworking 11, 36–​38, 37, 185–​199; access 187; benefits 185, 186, 192, 196, 197; boundaries 197; communications 197, 198; concerns 185–​186; COVID-​19 136–​141, 144, 216; culture and management 196–​198; cybersecurity 195; defined 136, 186; eligibility 188, 194, 198; employee criteria 197–​198; employee engagement 9; employee satisfaction 191, 196; employment laws and legal considerations 193–​195; factors impacting 192–​193; government use 187–​190; growth in 185, 186–​190, 198; impact of 190–​193; issues 196–​197; nonprofit organizations 216; performance 188, 190, 191, 192; positions 197; state and local level 188–​190; stress 40; tax incentives 189; technology issues 195–​196; training 188, 195, 198; and unions 149; and work–​life balance 190–​191; see also hybrid working; New Ways of Working (NWW) Telework Research Network 189 tenure 76 Texas 7, 103 Thatcher, Margaret 19 Tierney, T. J. 212 Timming, A. R. 110 Ting, Y. 190 Traditionalists 71, 72, 73 training 1; cybersecurity 180, 195; diversity 101; employee engagement 10; fairness issues 100–​101; LGBTQ individuals and issues 111, 114, 115, 116; nonprofit organizations 206, 207, 209, 210, 211, 213; teleworking 188, 195, 198 transactional leaders and leadership 8, 25, 47 transformational leaders and leadership 8–​9, 25, 47 Truman, Harry 125 Trump, Donald 7, 131, 136, 164 trust 39, 95 Tufts, S. 195 Tummers, L. 139

230 Index turnover: COVID-​19 pandemic 165; nonprofit organizations 206, 211, 212, 215; and unions 156 two-​factor authentication 195 Tyler, T. 95 Ukraine war 27 unemployment 137 union–​management relationships 149, 155 unions 148–​58; appraisal process 151–​153, 153, 154, 155, 156, 157; bargaining conflict 154–​155; and coping resources 152, 153, 154, 155, 157, 158; density 149, 150, 157; and emotions 151–​158; Europe 22; history 124; influence on members 154; influence on performance 148, 149, 156; members’ dispositional proclivities 155; nonprofit organizations 212; as normative institutions 153, 157; outcomes 148–​149; political importance 148; psychological process approach 151–​158; and public values 153–​154; relevance 148; research 151, 152, 153, 155, 156–​158; scholarship 148, 149–​151, 156; socialization 153–​154, 156; and turnover 156; values 153–​154 United Kingdom 18, 19–​20, 22 University of Chicago, National Opinion Research Center 108 University of Michigan rulings 82–​83 University of North Carolina, Students for Fair Admissions case 86–​87, 89 University of Texas, Fisher rulings 81, 83–​86, 87 U.S. Bureau of Labor Statistics 8 U.S. Census: Baby Boomers 212; and diversity 66; Household Pulse Survey 63; LGBTQ individuals 107–​108 U.S. Civil Service Commission (USCSC) 123, 125–​126; Norton v. Macy 128 U.S. Constitution 17, 122, 123, 126–​131; affirmative action 81, 82, 83, 86, 89; First Amendment 127, 132; Fourth Amendment 128; Fifth Amendment 127–​128, 129; Fourteenth Amendment 81, 82, 83, 86, 127–​128, 129; Fifteenth Amendment 123 U.S. Court of Appeals: Dew v. Halaby 126; Norton v. Macy 128 U.S. Department of Defense (DOD) 63–​64 U.S. Department of Homeland Security (DHS) 63–​64, 179, 180–​181, 182 U.S. Department of Labor 193, 197 U.S. Geological Survey, Workforce Planning Desk Guide 167 U.S. Government Accountability Office (GAO): cybersecurity 176, 177; workforce planning 164 U.S. Office of Personnel Management (OPM) 60, 163, 169, 171, 179; data breach 178–​179, 182; employee engagement

9–​10; Federal Employee Viewpoint Survey (FEVS) 10, 107, 108; Federal Human Capital Survey 9; LGBTQ individuals 107, 108; Preliminary Guidance to Agencies During COVID-​19 138; teleworking 138, 186, 188, 191, 192, 195 U.S. Supreme Court: affirmative action decisions 87–​89, 87–​89; Bakke ruling 81–​82; Board of Regents v. Roth 127; Bostock v. Clayton County 89, 103; Branti v. Finkel 127, 132; City of Ontario v. Quon 128; Cleveland Board of Education v. LaFleur 128; Cleveland Board of Education v. Loudermill 127–​128; constitutional rights 127; constitutional torts 129, 130; COVID-​19 vaccinations 129; EEOC v. Abercrombie and Fitch 99, 100; Elrod v. Burns 127; Faragher v. City of Boca Raton 100; Fisher rulings 81, 83–​86, 87; Garcetti v. Ceballos 127; Griggs v. Duke Power Company 97–​98; Grutter decision 82, 83, 84, 85, 87; Harlow v. Fitzgerald 130; Johnson v. Transportation Agency, Santa Clara County 87; Lane v. Franks 127; Ledbetter v. Goodyear Tire & Rubber Co. 96; O’Connor v. Ortega 128; Our Lady of Guadalupe School v. Morrissey-​Berru 208; Pickering v. Board of Education 127; public service model 126, 132; religious discrimination decisions 208; Ricci v. DeStefano 90n1; St. James School v. Biel 208; Students for Fair Admissions cases 81, 86–​87, 89; University of Michigan rulings 82–​83; U.S. v. Paradise 87; Wygant v. Jackson Board of Education 89 U.S. v. Paradise 87 Utah 11n1 Utrecht University School of Governance 26 vacancy rates see personnel shortages values: balancing 4–​7; and workforce planning 172 Van de Voorde, K. 24 Vega, R. P. 192 Veiga, J. 191, 192 Veterans Affairs (VA) 63–​64 Veterans’ preference 58 Viswesvaran, C. 38 Vogel, R. 25 Volling v. Antioch Rescue Squad 209 voluntary organizations see nonprofit organizations Volunteer Protection Act, 1997 210 volunteers 206, 209–​211, 213, 217; motivation 210–​211 Wadsworth, L. L. 189 Wagner, E. 149

Index  231 Wait v. Travelers Indemnity Company of Illinois 194 Weber, M. 71 welfare states 18 well-​being: COVID-​19 137; New Ways of Working 35–​36, 38, 40, 42, 44, 45, 46, 47; nonprofit organizations 211, 217; teleworking 140, 141, 217 White, Leonard 124 wicked policy problems 2 Willems, I. 20 Williams, R. 165 work councils 22 work engagement see engagement workers’ compensation (WC) 193, 194 work–​family/​nonwork conflicts 190 workforce: aging 28, 69, 70, 74; Baby Boomer generation 70, 71; diversity 26–​27; gaps 168–​169; generational cohorts 69; generational differences 10, 69–​78; generational profiles 72–​74; knowledge loss 71; managing multiple generations 74–​5; see also employees Workforce Framework for Cybersecurity (NICE Framework) 180, 181 workforce planning 3, 163–​172; commitment to 163; context 164–​166; crises 166;

cybersecurity 180–​181; and demographic shifts 165; economic forces on 164–​165; evaluation 169, 172; inputs 169–​170; logic models 169–​170, 170, 172; models 167, 168, 172; organizational barriers 166; outcomes 170; outputs 170; potential 172; in practice 167–​169; priorities 170–​171; strategic 166, 167 Workforce Planning Desk Guide (U.S. Geological Survey) 167 working hours 193; COVID-​19 137; nonprofit organizations 212; teleworking 140, 141 working time flexibility 35, 42, 44, 45, 46 work–​life balance 77; COVID-​19 137, 144, 217; employee engagement 9; New Ways of Working 35, 47; nonprofit organizations 217; teleworking 139, 141, 190–​191, 217; union support for policies 22 workspace flexibility see activity-​based working (ABW) work values 74–​5 World Health Organization (WHO) 136 Wright, P. 25, 215 Wygant v. Jackson Board of Education 89 Yahoo 187