GOVT 2034 Lecture 2: Bureaucracies in the Commonwealth Caribbean PDF

The University of the West Indies St. Augustine GOVT 2034 –Public Sector Human Resource Management Topic 2: The Development of Bureaucracies in the Commonwealth Caribbean  The Development of Bureaucracies in the Commonwealth Caribbean Focu...

The University of the West Indies St. Augustine GOVT 2034 –Public Sector Human Resource Management Topic 2: The Development of Bureaucracies in the Commonwealth Caribbean  The Development of Bureaucracies in the Commonwealth Caribbean Focus: The role, function and structure of the public sector under colonial administration. The requirements of the public sector after independence. The culture of the public sector - changes in personnel policies Traditional Model: Personnel Management model Contemporary Model: The Rise of New Public Management (NPM) and Human Resource Management  The Development of Bureaucracies in the Commonwealth Caribbean: Introduction HR activities such as:  Recruitment - ascription vs. merit  Promotion - seniority vs performance or merit  Classification – ranking  Compensation – pay, rewards/benefits  Training & evaluation  Discipline  Bureaucracies in the Commonwealth Caribbean: Definition of Bureaucracy Formally, a ‘bureaucracy’ is defined as:- i. Large organizations made up of many departments and levels of management. ii. Formal systems of large organizations, organized into defined levels of hierarchy of bureaus/offices, each of which has a specified role and mission to maintain efficiency and effectiveness.  Bureaucracies in the Commonwealth Caribbean: Bureaucracy The development of bureaucratization was closely linked to the emergence of industrialization and the capitalist economies and also to the greater pressure for economic efficiency and the emergence of larger-scale business units. Max Weber developed a theory for what he referred to as an ‘ideal type’ of bureaucracy that would reflect the most characteristic aspects of all human organisations. Nonetheless, the central feature of Weber’s bureaucratic model is its rationality – its sound judgment; reason, proper understanding etc.  Bureaucracies in the Commonwealth Caribbean: Bureaucracy  Types of leadership/authority.  Weber’s 3 types of authority/leadership – Traditional, Charismatic and Rational/legal.  Public sector authority: Pre-Public Sector Management/NPM: Rational/legal, very little [if any] charisma. After Public Sector Management/NPM:  Public Sector leadership:  Is it authoritative, participative, democratic, laissez-faire ??????????? Criticisms of the Bureaucratic Model Dehumanizing of workers.  By treating workers as machines. Weber's claim that bureaucratic organizations were based on rational- legal authority. Too centralized.  Development of Public Bureaucracies of the Caribbean Bureaucracies of the Commonwealth Caribbean have their roots in colonialism. However, the Caribbean Commonwealth countries saw most of their major changes to their respective public services taking place after each country gained its independence and began planning for development. Bureaucracies in the Commonwealth Caribbean: Historical Perspective Public bureaucracies in the Caribbean must be understood in the context of:  Origination - British origin  Structure -  Weberian - hierarchical Bureaucracies in the Commonwealth Caribbean: Historical Perspective Origination The machinery of public administration in CARICOM member states was shaped by the British colonial government during the period of colonial rule:- Dating back to the 1600s to the late 1950s (Colonialism), leading into ‘Self-Government’ (1950s – early 1960s) and followed by Independence.  Bureaucracies in the Commonwealth Caribbean: Paths to Development The countries adopted the Westminster based parliamentary political system which evolved from:- Crown Colony (1600s – 1950s), Ministerial systems (1950s) Full Cabinet systems (1950s), Internal Self-government (Early 1960s; T&T, Jamaica, 1961) Post independence systems (1962 – beyond)  Public Bureaucracies: Crown Colony Government (1600s – 1950s) During the colonial period, day to day administration was carried out through various departments each administered by a chief professional officer who was in turn responsible to a Colonial Secretary, or Governor in some instances, who was in turn responsible to the imperial government.  Changing Structures and Reporting Relationships in Public Administration Colonial Period (1600s – 1950s) Imperial Government (Britain) Reports to sends down orders/decisions Secretary of State / Governor sends down orders/decisions Reports to Departments Departments Chief Chief Chief Chief Professional Professional Professional Professiona Officer Officer Officer l Officer  Public Bureaucracies: Crown Colony Government (1600s – 1950s) Power and Conflict: During the period of Crown Colony Government there was much Conflict between the Assemblies and the Governor. The governor was all-powerful. The Governor was absolute in that he alone:  Made the laws  Administered the laws  Appointed judges to interpret the laws.  Decided who would sit on the Legislative Council and Executive Council Crown Colony Administration (1600s – 1950s) Responsibilities The main areas of responsibilities were characterized by a somewhat regulatory and ‘commandist’ type of functions, namely:-  Provision and maintenance of basic law and order  Provision of basic infrastructure  Collection of revenue and taxes  Provision of minimal services: health, etc.  Delivery of justice  Security  Crown Colony Administration: (1600s – 1950s) Responsibilities Personnel [human resource] functions:  All appointments, promotions, discipline, compensation matters, terminations were done by the Governor.  All senior employees came from the UK, on the recommendation of the governor.  Civil Service Structure The policies and practices tended to favour the British officers rather than the local officers. The public service was stratified along coloured lines.  Whites, dominated the higher echelons/ranks.  Near-whites were located in the middle ranges.  African descents occupied the lowest ranks. Civil Service Structure Whites Near Whites Africans  Civil Service Structure The structure of the Civil Service saw the wider Civil Service (Caribbean region) comprised of:-  Over 200,000 employees.  Who were divided among fifty (50) separate administrations.  Serving approximately 50 million persons throughout the Caribbean region. The structure of the public service in each colony was a distinctly hierarchical administration, established strictly on Weberian/rule-based lines.  Civil Service Structure Within each of the colonies, the supervisor and subordinate relations were maintained by establishing three types of functional areas/structures, namely:- 1.The Secretariat – Coordinating unit 2.Departments - Subordinates’ unit 3.District Administration – Subordinates’ unit  Civil Service Structure Some of the key functional areas of focus in the Civil Service were on:-  Personnel Management Basic functions: Recruitment, Selection, Promotion  Performance Management  Disciplinary procedures  Changing Structures and Reporting Relationships in Public Administration: Self-Government (1950s- early 1960s) to Independence (1960s - Onwards)  Changing Structures and Reporting Relationships in Public Administration: Self-Government – Independence (Early 1960s) NOTE: A lot of the Public Administrative changes was a result of the political changes taking place throughout the Caribbean. Decision making and executive authority was transferred from Governors and Colonial Secretaries to locally elected politicians serving as ministers. Responsibility for policy decisions shifted from the chief professional officers to ministers of an elected government assisted by officials, the senior of whom were the Ministers’ senior advisors, the Permanent Secretary or the Chief Executive Officer.  Changing Structures and Reporting Relationships in Public Administration: Self-Government – Independence (Early 1960s) A fundamental change in leadership and decision making took place at the strategic apex of these public bureaucracies. Change in Titles: The status/title of the Chief Professional Officer was changed to the Head of Department and Chief Technical Officers were established.  Changing Structures and Reporting Relationships in Public Administration: Self-Government – Independence (Early 1960s) GOVERNMENT (Legislature) Reports to sends down orders/decisions Minister Minister Minister Minister Chief Chief Chief Chief Technical Technica Technical Technica Officer l Officer Officer l Officer  Changing Structures and Reporting Relationships in Public Administration: Internal Self-Government Changes: With this new development there was also a steady increase in the number and powers of elected members in the governor’s executive council. Decrease of powers of the Governor. Ironically, the top-down management of the Crown Colony system persevered.  Civil Service Structure: Personnel Management Personnel Management has a history of placing emphasis on bureaucratic control, often in a reactive sense, i.e., control of manpower and personnel systems. The civil service was designed to function as a bureaucratic system based on perceived/alleged rationality.  Internal Self-Government: Civil Service Structure: Personnel Management Ironically, the very policies that were intended to promote rationality, promoted the stratification system. A critical policy: that was established was on that clearly stated that public officers could not accept gifts. They were also forbidden to publish any material which would reasonably be regarded as political or administrative in nature. Overall, officers were viewed as ‘passive’ agents who responded in a neutral and efficient manner to the demands of the government.  Internal Self-Government: Civil Service Structure: Personnel Management Bissessar (2001) notes that, “bureaucrats were perceived as passionless, grey figures who served the public interest – they were portrayed as administrative eunuchs (an ineffectual person), devoid of personal ambition and tied to the organisation by a rationalised set of rules and regulations”.  Internal Self-Government: Civil Service Structure: Personnel Management Existence of a high degree of patronage. In an attempt to reduce patronage, a number of practices were adopted:- Introduction/or continuation of control systems dating as far back as:  1928 - A Civil Service Select Committee  1938 - A Civil Service Staff Board [to oversee the operations of the Service]  1935 - Introduction of competitive examination – to allow for greater transparency and equity i.t.o. recruitment practices. Internal Self-Government: Civil Service Structure: Personnel Management: Trinidad and Tobago According to the Civil Service Regulations, a written examination and an interview conducted by the Public Service Commissions in T&T (1950). Introduction of policies to deal with the issue of equity in promotion.  Internal Self-Government: Civil Service Structure: Performance Management Trinidad and Tobago A Confidential Staff Reporting system. Promotion: Considerations of social interaction and friendship were the criteria for promotion placements. Internal Self-Government: Civil Service Structure: Disciplinary Procedures Trinidad and Tobago In terms of discipline, these procedures were enshrined in the Colonial Regulations: Swift disciplinary action. (Bissessar 2001), a public servant could be discipline for:-  Accepting presents/gifts;  Seeking outside influence in connection with claims to promotion;  Prohibiting the granting of testimonials in favour of subordinates; Internal Self-Government: Civil Service Structure: Disciplinary Procedures  Prohibiting valuations of property;  Going against the rules of broadcasting outlined in the regulations;  Initiating legal proceedings against a public officer or member of the public;  Participating openly in political meetings. How much has changed?????? Changing Structures and Reporting Relationships in Public Administration Decision-making and executive authority was transferred from Governors and Colonial Secretaries to local elected politicians serving as [Line] Ministers. Responsibility for policy decisions shifted from the Chief Professional Officers to Ministers of the elected government, assisted by officials - Ministers’ senior advisors, the Permanent Secretaries. Changing Structures and Reporting Relationships in Public Administration Also, the Chief Professional Officers’ positions was also transformed to Head of Department/Chief Technical Officer configurations. The emergence of a new administrative elite grouping, the Permanent Secretaries and Heads of departments.  GOVT 2034 – Public Sector Human Resource Management Post-Colonial Administration (Independence – 1962)  Post-Colonial Administration: (1960s – Beyond) The post-colonial administrations attempted to follow the British Whitehall model of public administration which was governed alongside the principles of: Neutrality - serving any government, without fear or favour, regardless of personal preferences and/or interests;  Anonymity - confidentiality and privacy - What must remain ‘public’ information what must remain ‘private’? Impartiality - serve objectively; without prejudice or biases  Post-Colonial Administration: (1960s – Beyond) What we have seen is that over time, the level of political influence on personnel matters increased and deteriorated into instances of nepotism and patronage, based appointments, and denial of jobs to non- supporters of the governing party.  Post-Colonial Administration: (1960s – Beyond) After Independence, many Administrative structures evolved into patronage institutions and not agencies of change and development. As a result, the system of meritocracy eroded because of the assault – abuse of power and authority. The doctrine of neutrality, impartiality and anonymity rang and still rings increasingly hollow – only in theory, not practiced. Post-Colonial Administration: Level of Authority Also visible was an over centralization of authority at the strategic head of each ministry. This in itself led to the following observations: a) “Heads of departments not having control to discharge their responsibilities of running their departments efficiently because they do not have sufficient authority, particularly in relation to discipline” (Bain). b) There was also a general weakness in human resource planning and development.  Post-Colonial Administration: c) Issue of the recruitment and retention of technical, managerial, and professional staff - ‘brain drain’. d) A general inability to provide training in service to middle level and potential top managers. e) Low morale, poor performance, and low productivity levels.  Post Independence Era: Persistence of the Colonial Policies and Practices: Many of the systems and methods of the colonial administration were retained. For example:-  Rules and regulations  Procedures for employment  The type of forms used  The language and styles used in letters and memoranda  Persistence of the Colonial Policies and Practices in the Post Independence Era  Civil Service Regulations established in the 1960s (1965 to be exact);  The format of the examinations first introduced in 1935;  Promotions [still predominantly based on seniority];  Obsolete methods and procedures;  However, what was visible was an increasing mandate to cater for the needs of society;  Review of the Bureaucracies in the Early Post Independence Era Retention of many of the recruitment practices. The retention of the seniority principle and security of tenure. Much of which allowed for “square pegs to be place in round holes”.  Bureaucracies in the Commonwealth Caribbean: The reality of it all is that building public HRM systems in the Caribbean, requires some awareness of the impact of culture and history on administrative systems.  For some Caribbean nations, domestic and international pressures led to a series of government modernization reforms intended to counteract a traditional culture of authoritarianism and corruption. Public HRM systems continue to reflect a colonial legacy of passivity and ‘slavery’.  Personnel Management https://www.iedunote.com/personnel-manageme nt  Personnel Management Age of Personnel Management (1950s- 1980). Personnel management is a traditional approach of managing people in the organization. Defined as a set of programmes, functions and activities designed to maximise both personal and organisational goals. Contemporary Model Bureaucracies in the Commonwealth Caribbean: The Way Forward for Caribbean Bureaucracies: The Governments of these English- speaking Caribbean countries need to articulate a vision for the future which recognizes the limitations/benefits of size, provides a stable macro- economic environment, provides for the full development and innovative use of human resources available, facilitates an acceptable quality of life for their people, and so 'unlocks the potential of the region." (Gloria Knight)  Contemporary Model: New Public Management (NPM) Policy Internationally, by the beginning of the 1980s, this new model of public sector management had emerged in most advanced countries (USA, UK, etc.) and filtered down into many developing countries. New Public Management (NPM) emerged as the new paradigm informing public sector reform programs throughout the region.  New Public Management (NPM): Rationale According to Sutton (2008), “NPM sought to redefine the role of government through introducing an “entrepreneurial dynamic” into public administration, adopting management techniques borrowed from the private sector and pioneered in public service reforms in countries such as the United Kingdom, the United States, Canada, and New Zealand”. The states of the Commonwealth Caribbean were among the prime exemplars of this new movement.  Elements of the New Public Management Model The elements of this new NPM model comprised of: a. A flatter structure; b. Movement away from the ‘monolithic’/huge public sector towards smaller, more competitive units. c. Allow managers the freedom to manage; d. Movement away from the large number of rules and regulations; e. More specifically, movement away from Personnel Administration practices to the introduction of HRM policies and practices.  Characteristics of New Public Management Performance measurement Changed management style Contracting out Freedom to manage (flexibility) Improved accounting Personnel management (incentives) User charges Separation of politics and administration Improved financial management More use of information technology  Comparing Models: Traditional Personnel Management and New Public Managemen (NPM)  Personnel New Public Features Management Management Structures Centralized, hierarchical, Decentralized, flat pyramid like Communication Top-down Vertical and horizontal Focus on Low degree of emphasis High degree of emphasis on outputs/performance outputs, measurability Focus on High degree of emphasis on Low degree of emphasis inputs/procedures/rules procedures/inputs/rules and regulations Decision-making Centralized at the top of the Dispersed throughout the authority/power organization organization, managers were given the autonomy to manage Competition None High degree Private Sector Style Very low degree; here Very high degree; emphasis is Management emphasis is on rules, on greater flexibility in regulations etc. hiring, rewards etc. Resource usage Low degree of discipline and High degree of discipline and parsimony in resource use parsimony in resource use 56  Contemporary Model: HRM in the Public Sector  Contemporary Model: Human Resource Management The organization’s Human Resources (HR) are now managed under a more people-centered philosophy that puts people in the center of attention. HRM practices support the idea of achieving competitive advantage through employees’ knowledge, skills and abilities and stresses on the strategic nature of HR departments within organisations.  Bureaucracies in the Commonwealth Caribbean: HRM in the Public Sector In the Caribbean public HRM reform efforts have focused on:  Decentralization of HRM responsibility from central agencies to line departments.  Delegated HRM responsibility within line departments or agencies.  Bureaucracies in the Commonwealth Caribbean: HRM in the Public Sector: Objectives  More flexibility with respect to payment, employment and recruitment systems.  More Training and Development (HRD) to build agencies’ capacity as well as employees’ KSA in order to meet program demands.  Introduce measures to reduce costs by downsizing and improving efficiency.  Bureaucracies in the Commonwealth Caribbean: HRM in the Public Sector: Objectives Manage external pressures to reduced government spending – IMF, other IGOs. Manage internal demands for a more responsive and accountable government from citizens, civil society groups, etc. Decentralization and privatization of many services and organisations.  The Rise of NPM and HRM Focus: The forces that led to the emergence of New Public Management. Differences between the Public Sector and the Private Sector. Challenges in reforming from Personnel Management to Human Resource Management.  Forces That Led To The Emergence of NPM:  Enlarged personalism which provided opportunities for corruption through nepotism and patronage.  Political sympathies and loyalties of individuals – breaches the anonymity and confidentiality of the job/organisation. Culture of the public service.  Mirrors the class, racial and ethnic divides.  In T&T and Guyana – most visible.  Forces That Led To The Emergence of NPM: Work attitude – major problem  Reluctance to delegate work by senior officials and at the same time,  Reluctance to take responsibility Poor work ethic expressed as low achievement and high absenteeism. External forces:  Economic Crises (1980s) - SAPs  Reform Differences Between the Private Sector and Public Sector Principles of Public Sector Governance – Accountability – Transparency – Integrity – Stewardship – Leadership – Equity and Efficiency: Government’s concern with equity – Personnel Constraints resides in the rigidity ( rules, structure, culture, etc.) in the Public Sector  Differences Between the Private Sector and Public Sector Private Sector Public Sector 1. Authority to revise the 1.Structure may be organization and key influenced by outside positions. and special interest groups (IMF, etc.). 2. Continuity of leadership to 2.Time for implement long range accomplishment is plans. limited by the political influence - the election 3. Excess funds process. distributed as a bonus or salary increase, other financial 3. Fixed salary. incentives/benefits.  Differences Between the Private Sector and Public Sector Private Sector Public Sector 4. Objectives measured 4. Objectives measured by by results. (Profit) process. (Programs) 5 Anonymity, isolation from the media. 5. High visibility, pursued 6. Ability to reduce costs by the media. by selectively cutting specific projects. 6. Reduce costs by across-the-board 7. Rewards for program cuts. E.g. achievement. - 7% cut in T&T (2016) - 1986 NAR Gov’t  Differences Between the Private Sector and Public Sector Private Sector Public Sector 8. Must educate a 8. Selects “Expert” volatile board to the Board to set policy setting role. general operating policies. 9. Operations 9. Operations geared geared to to effectiveness. efficiency. 10. Top management 10. Top management evaluated by evaluated by overall dramatic incidents.  how well they handle big effectiveness. trouble and/or opportunity; not based upon continuous assessment.  E.g. Episode with Mayor  Introduction of Human Resource Management in Caribbean Public Sectors Introduction of Human Resource Management in the Public Sector Human resources is also echoed in the various proposals for public sector reform by various countries: For example,  As had earlier plans for public sector reform in Barbados (1998)  St. Lucia (2000)  Three of the eight chapters in Jamaica’s plans for public sector reform focus directly on human resource management (Jamaica, 2003), Role of the Public Service Commission (PSC) According to Mills, The rationale for the PSC was threefold: (a) To protect public servants against discrimination in respect of appointments, promotion, transfers and disciplinary proceedings; (b) To provide public servants with equal opportunities and fair treatment on the basis of merit; (c) To avoid, or at least minimise, the incidence of the exercise of patronage as the reward for support of a political party or of individual politicians, and the exercise of nepotism, or favouritism from other influential sources. (Mills, 1984: 218-19)  Introduction of HRM in the Public Sector: Trinidad and Tobago Experience In December 1991, the newly elected People’s National Movement (PNM) government in Trinidad and Tobago became the first in the country’s history to appoint a minister, Gordon Draper, with specific responsibility for the public service. In January 1992, Mr. Draper presented his vision of public sector reform to the Trinidad Senate. One of the central elements was “human resource management and human resource development” (Draper, 1995).  Introduction of HRM in the Public Sector: Trinidad and Tobago Experience The reform program in HRM had two main elements. 1. Decentralization of the personnel function.  a drastic reduction in the powers and responsibilities of both the PSC and the Personnel Department. 2. Detailed changes in the HRM system.  Introduction of HRM in the Public Sector: Trinidad and Tobago Experience In 1992, a new performance appraisal system was developed and piloted with the intention of applying it to the whole public service by 1995. In 1993, it commissioned a new “job evaluation and classification exercise” from KPMG to replace one that had been in operation since 1966.  Introduction of HRM in the Public Sector: Trinidad and Tobago Experience Initiatives were also taken in training and in informing public servants of the purpose and direction of reform. “Retreats” were organized to discuss the need for reform throughout the public sector and were accompanied by various brochures and circulars setting out proposals for change. Training: New permanent secretaries were given an intensive training program with a focus on key elements of NPM reform, such as self-management, strategic management, and transition and change management in large complex organizations. Middle-level managers in the civil and protective services were trained to deliver better HRM to improve strategic planning.  Introduction of HRM in the Public Sector: Trinidad and Tobago Experience The introduction of an Integrated Human Resource Information System (IHRIS). These initiatives were to be coordinated within individual ministries by small implementation teams headed by a senior official and reporting regularly to the respective head of department or permanent secretary.  Introduction of HRM in the Public Sector: Trinidad and Tobago Experience OUTCOMES: Despite the efforts and the publicity , the reform was not a success. WHY?????? Poor Communication: Many public servants remained suspicious of the program. There was a loss of political ‘will’: Draper became less and less involved in its implementation as he was given first the post of Minister of Foreign Affairs and then, following the unravelling of the PNM government in 1995.  Introduction of HRM in the Public Sector: Trinidad and Tobago Experience OUTCOMES: Nepotism - many of whom were seen as close friends of Draper and supporters of the PNM. Maintenance of old structure: The Public Services continued to function largely along Weberian lines. In short, the change from Personnel Management to HRM was viewed as largely “cosmetic.”