ASSESSING EXECUTIVE PERFORMANCE IN A TECHNICALLY-DRIVEN PUBLIC SECTOR ORGANIZATION: An Analysis of Political Appointees at the U S Department of Energy by Albert M. Gallo, Jr. B.A. in Mathematics, August 1976, Rhode Island College M.S. in Technical Management, May 1996, The Johns Hopkins University A Dissertation submitted to The Faculty of The School of Engineering and Applied Science of The George Washington University in partial satisfaction of the requirements for the degree of Doctor of Philosophy May 15, 2011 Dissertation directed by Thomas Mazzuchi Professor of Engineering and Applied Science The School of Engineering and Applied Science of The George Washington Uni- versity certifies that Albert M. Gallo, Jr. has passed the Final Examination for the degree of Doctor of Philosophy as of February 28, 2011. This is the final and ap- proved form of the dissertation. ASSESSING EXECUTIVE PERFORMANCE IN A TECHNICALLY-DRIVEN PUBLIC SECTOR ORGANIZATION: An Analysis of Political Appointees at the U S Department of Energy Albert M. Gallo, Jr. Dissertation Research Committee: Thomas Mazzuchi, Professor of Applied Science and Engineering, Dissertation Director Lile Murphree, Professor of Applied Science and Engineering, Committee Chair Julie Ryan, Professor of Applied Science and Engineering, EMSE Department Chair Michael Stankowski, Professor of Applied Science and Engineering, Committee Member Linda Wilbanks, Executive Assistant, Director for IT, Naval Criminal Investigation Service, Committee Member ii Dedication Completing a dissertation is a lengthy, difficult, and solitary journey yet is never made alone. I dedicate this, my latest adventure, to several people who were unaware they were helping and guiding me along the way. To Grandma Sadie, who believed that if even one human before you has done something difficult, then you can accomplish at least as much. To my Dad, who taught his children that if a thing is worth doing, it’s worth doing right, but above all, always finish what you start. To my Mom, who is now teaching her grandchildren that anyone can do any- thing; it’s only a matter of working hard enough. To my two sons, who are just beginning their own life’s journeys: may you never forget the wisdom of those who came before and always remember to laugh for journeys are meant to be enjoyed. Finally, to my wife, who completed the doctoral voyage years before I did, all the while keeping hot meals, car pools and soccer games happening on schedule. You continue to amaze us all by doing anything you set your mind to and al- ways doing it well. iii Acknowledgments I would like express my appreciation to the following people who provided me much-needed encouragement, served as role models, or supplied just the right amount of persuasion to keep me going on this project. To Tom, my adviser and advocate, who with patience, sincerity and good humor supported me from the earliest days as I considered and discarded what must be a record number of potential research topics. Above all, I appreciate your intellectual curiosity and open mindedness in exploring areas that were new to both of us. To Linda, I owe so much to your encouragement and even some occasional blunt feedback. You continue to be an outstanding friend, mentor and colleague, and I thank you for always being available. To the Tuesday Gang: Dolores, Al and Bill, my longstanding cheering squad. Your collected wisdom, experience and unique brand of humor have kept me go- ing at so many points during this process. You have been both muses and sages all these years, and I am sincerely grateful. iv To my longtime friend Sriram, whose infinite patience, insight and Eastern tranquility counterbalance the frenetic reality of our Western society. I learn something new at each of our all-too-infrequent lunches. I am also grateful to Frank DiGiammarino of the Brookings Institution and A. Roy of the CIA, not only for their early encouragement in pursuing this research topic, but also for helping me to see real worth in finding the answers. To Zoe Dansan, our coordinator of doctoral students and chief magician at the School of Engineering, your ability to unravel every Gordian knot ever de- vised by the administration while simultaneously keeping Tom in line attests to your superhuman powers. I truly thank you for all your help through the years. And most importantly, I thank my wife for patiently enduring this multiyear process, for listening politely to things that did not interest you, and for never telling me simply to write faster . well, hardly ever. Now to our next life adventure! Will it be the land of Hamlet or Macbeth? v Abstract ASSESSING EXECUTIVE PERFORMANCE IN A TECHNICALLY-DRIVEN PUBLIC SECTOR ORGANIZATION: An Analysis of Political Appointees at the U S Department of Energy The myth that political appointees who comprise presidential administrations are selected for their outstanding leadership and professional qualifications is followed closely by the one claiming cabinet government is a viable source of policy formulation in the United States. Both PAS (those requiring Senate con- firmation) and non-PAS appointees, are given authority over, and responsibility for, the performance of their agencies, but if unsuccessful, to whom are they really accountable? The White House? Congress? or the American Public? Despite changes in administrations, the turmoil of presidential transitions, and the asynchronous comings and goings of political appointees, members of the Senior Executive Service (SES) play a stabilizing but much less visible role in maintaining the functions of government. This dissertation analyzes appointees’ leadership effectiveness over the past three decades of the Modern Presidency. Specifically, it investigates those at- tributes associated with success in leading a technically-driven organization in the public sector – the US Department of Energy. Research data was obtained by vi surveying permanent SESs who are directed by, and answerable to, the myriad of political appointees who continually enter and exit the federal government. vii Table of Contents Dedication ........................................................................................................................................... iii Acknowledgments ............................................................................................................................... iv Abstract ........................................................................................................................................... vi Table of Contents .............................................................................................................................. viii List of Figures .................................................................................................................................... xiv List of Tables .................................................................................................................................... xvii List of Acronyms ............................................................................................................................. xviii CHAPTER 1 ......................................................................................................................................... 1 1. INTRODUCTION ......................................................................................................... 1 1.1 HISTORICAL BACKGROUND ........................................................................................... 4 1.1.1 Origins and Evolution of Political Appointments ................................................... 7 1.1.2 The Executive Branch and the Appointment Process ............................... 10 1.1.3 The High Price of the Status Quo ................................................................. 18 1.2 OVERVIEW OF THE RESEARCH PLAN .......................................................................... 22 1.2.1 Motivation behind This Research .................................................................. 22 1.2.2 The Nature of the Problem ............................................................................ 24 1.2.3 The Problem Statement .................................................................................. 25 1.2.4 Approach to This Research ............................................................................ 26 1.3 APPROACH TO THE MULTI -DISCIPLINARY LITERATURE REVIEW ........................... 28 1.4 CONTRIBUTIONS OF THIS RESEARCH ........................................................................... 29 viii 1.4.1 Uniqueness of this Work................................................................................. 29 1.4.2 Contribution of this Work .............................................................................. 29 1.5 ORGANIZATION OF THE DISSERTATION .................................................................... 31 CHAPTER 2 ....................................................................................................................................... 32 2. AN INTERDISCIPLINARY REVIEW OF LITERATURE ............................... 32 2.1 GOVERNMENT AND PUBLIC ADMINISTRATION ........................................................ 33 2.1.1 Origins and History of Presidential Appointments .................................... 33 2.1.1.1 Early Use and Misuse of Presidential Appointments ................................. 34 2.1.1.2 A Neutral and Competent Bureaucracy .......................................................