Administrative Reforms and Performance PDF

Part IV. Administrative reforms and performance of PA Part IV Administrative Reforms and Performance Session 14 Disciplines, concepts and methods in PA research...

Part IV. Administrative reforms and performance of PA Part IV Administrative Reforms and Performance Session 14 Disciplines, concepts and methods in PA research Video 1 PA research on reforms PA research has its origins in practical questions. For more than 100 years, practitioners and scholars have asked how PA should be organized to serve the public good. This type of question is still relevant today. Today’s questions refer to aspects of administrative organization in terms of structures, processes, and procedures. Administrations are constantly reorganized. Other current trends are decentralization and outsourcing of tasks; agencification, that is the organization of tasks into more or less independent administrative agencies. Administrative reforms can also refer to new internal administrative procedures: performance management to manage organizations, units, or individual bureaucrats. Procedural reforms can also mean technological innovation. PA scholars also study process innovation that increases the participation of citizens in the provision of public services. First, administrative reforms are described empirically. However, the most relevant questions are about the effects of the reforms. Effectiveness & efficiency Citizens participation, satisfaction… Management, performance, and context Many studies in PA are interested in the effects of certain management interventions on administrative performance. Management = should be understood here in a broad sense It includes political decisions about administrative restructuring or downsizing. It refers broadly to purposeful human intervention into administrative practice. Performance On the other hand, performance refers to the different dimensions mentioned earlier. Each management intervention can be accessed in terms of efficiency, equity, citizen satisfaction, and many more dimensions. Context Over the past years, PA and public management scholars have paid more and more attention to the role of context. Page sur 13 0  Part IV. Administrative reforms and performance of PA It refers to the society and political system in which an admin is embedded, to the demands and inputs of the environment. Many scholars think of contextual effects as an interaction or moderation effect. Context can limit or enhance the positive effects of a reform. In other words, the performance of administrative reforms varies with the context (e.g., differs from country to country). Focusing on context means that there is no one-size-fits-all solution to administrative organization. Administrative reform as a policy eld When assessing administrative performance, scholars engage in policy evaluation. They assess how well this intervention is working. We can conceptualize administrative reform as a policy field of its own: the policy field of state and administrative organization. Administrative reforms are discussed and implemented in response to certain pbs that are diagnosed for the existing administration (e.g., too costly, too bureaucratic…). Some scholars analyze the entire policy circle for administrative reform. Which pbs are prominent? Who puts reforms on the agenda? When? Under which circumstances? Who formulates the proposals? After adopted, is the reform fully implemented? Evaluating the performance of an administrative reform scientifically, that is, policy evaluation, is one important step within the larger policy circle of administrative reform. PA scholars can analyze both: the policy process and political conflicts abt admin reform; the actual perf of the admin reform. Conceptualizing administrative reform as a policy field helps us understand the goals of the reform are socially constructed: they are based on political actors’ judgement that there is a pb with the performance of existing administration. ⟹ Hence, PA scholars evaluating an administrative reform may assess its performance against the official reform goals. But, they should also study the effects of other performance dimensions. Take-aways Studying administrative reforms and their effect is one of the main tasks of PA scholars. It is an important strand of current research in the field. There is a variety of structural and procedural options and a potential for administrative reforms. Even more importantly, the concept of performance is multi-dimensional. We can come to very different conclusions about the same administrative reform when we look at different performance dimensions. Page sur 23 0 fi  Part IV. Administrative reforms and performance of PA Video 2 Conceptualizing performance What is performance in and of PA? What is good performance? Performance = a very broad term It refers broadly to 2 things: the act of doing something // performing a task the success of that action Similarly, in PA and PM research, performance can refer to: how an admin functions how well it functions / how much it produces Traditionally, the classic focus in PA and PM research was on the how well/much aspect, as it is easily quantifiable and measurable. This traditional understanding of performance does appear in classic performance model: the 3Es and IOO models of performance. The 3Es model focuses on the economy, efficiency, and effectiveness of PA. Economy is the cost of procuring specific input of a given quality (e.g., facilities, staff, equipment). Efficiency refers to technical efficiency (= the cost per unit of output) and allocative efficiency (= the responsiveness of the service to public preferences). Effectiveness is the actual achievement of the formal objectives of the public service. The IOO model offers criteria for measuring and evaluating the performance of public organizations or services. Inputs include expenditures // economy Outputs include the quantity and the quality of the service. The ratio of (O)utputs to (I)nputs is one way to define efficiency. Outcomes include effectiveness but also any impact beyond the initial goals of a programme/service. They also include equity and fairness of service provision. The ratio of (Ou)tcomes to (I)nputs is the cost per unit of outcome // value for money. E.g.: how much spending is required to achieve clean drinking water? The service production function Performance can be understood as a service production function. It breaks down the activities of a public agency into a smaller number of steps. Each step is associated with a particular aspect or dimension of organizational performance. Performance is seen as the result of various inputs, organizational processes, outputs and longer-term impacts (=outcomes) and the organizational environment. Efficiency here is the ratio btw (I)nputs and (O)utputs. Effectiveness is the degree to which the outputs achieve the desired result. In this framework, efficiency and effectiveness have a very specific meaning. Page sur 33 0  Part IV. Administrative reforms and performance of PA The environment and the socio-economic situation are also important factors in the model to determine the needs and affect outcomes. Operalization of the model is quite complex. Many management practices, administrative reforms and external constraints affect different dimensions/ steps of performance in different ways. From economy to governance: a critique of the 3Es and IOO models There are several weaknesses in both models. Classic performance concepts are based on a very technical understanding of PA and performance; they strongly emphasize economy, inputs, and efficiency. Costs are a highly controversial topic: is high or low expenditure good? does it matter for achieving performance? But, we suspect that neither high or low expenditure is a predictor of performance. The critiques relate to the nature of the public service production function. In the public service production function, the majority of the costs often fall on labor. Increasing the economy or efficiency through weight reduction for bureaucrats does not especially equate to good performance. Another problem: The 3Es model emphasizes technical efficiency over allocative efficiency. In other words, they ignore responsiveness to the actual public needs and preferences. However, responsiveness is a key characteristic of the performance of PA. Therefore, some scholars suggest a stronger focus on measures of responsiveness of administrative action. In other words, they suggest an increasing focus on other performance dimensions. Responsiveness ➡ Citizen or consumer satisfaction. Measures of responsiveness should consider direct service users or consumers, as well as citizens who may not be direct consumers of the service. ➡ Staff satisfaction. Moreover, the PA literature has shown that overall performance relies partly on the motivation of public servants. Governance. Both models are overly technical and management-oriented. They understand PA as the delivery of public services that can be optimized through management reforms. It overlooks some of the particularities of the political setting of PA and its role in a complex societal environment. In other words, perf is not only about how much of the public service is produced and at what cost, but also how, through which process. ➡ Participation ➡ Accountability ➡ Civil and human rights Robert Dahl (1947) urged PA scholars to take the public purpose and the political ends of administrative action seriously. Efficiency cannot be the only goal of PA. It cannot be the only task for performance. Dahl suggested being explicit abt the values and goals that guide the assessment of administrative performance. It has led to an increased focus of PA scholars on governance-related issues in PA. Governance-related indicators of administrative performance can also include measures of democratic outcomes, participation in democratic processes, and political and civil rights. These are broader and more political aspects of performance. But they can be considered as a fact and outcomes of administrative action. How can and how should performance be measured? How can outputs and outcomes be quantified? Page sur 43 0  Part IV. Administrative reforms and performance of PA There are a nb of challenges when measuring performance of administrative action for scientific purposes. First, measures should reflect actual behavior. In order to capture actual administrative performance, indicators should not be based on formal structures but on actual behavioral characteristics. A certain procedure or program being in place does not mean that it is actually implemented or has any effect. The related point is that outcomes are not only driven by governmental action but are affected by external factors (e.g., wealth and education of the population). In that regard, it may be hard to isolate the effect of administrative action on these outcomes. That is why it is difficult to use outcomes as measures of administrative performance. Outcomes do not directly reflect administrative action. Secondly, measures should be replicable. They should be consistent when repeated by different assessors. Thirdly, measures should be relevant in a given context. Fourth, measures should be actionable. They should be specific enough to allow for clear policy actions that politicians and civil servants can take to improve performance. It is the practice orientation of the research. Which options do we have for measuring performance of PA? First question: who is measuring performance? External actors? Internal actors in the organization? Citizens, private firms, regulators? Stakeholders within the org? Second question: what is the measurement based on? Performance data can be archival or preceptual. ➡ Archival data are collected by an org and stored so they can be checked and audited. ➡ Perceptual data correspond to ppl’s perceptions and views abt the perf of an org. They are often based on beliefs about the level of performance relative to similar organizations. Internal stakeholders can make perceptual judgments abt their services through staff surveys and other means. In some countries, performance indicators of agencies or local govs are audited by other public organizations, often at the central government level. When externally audited, performance indicators fall into external stakeholders and archival data categories. Performance measures that are external and archival are often regarded as the ‘gold standard’. This is because the data is collected or verified by other org. Hence, it assures the quality and accuracy of the information. By contrast, internal and perceptual measures are considered limited as they suffer from a nb of flaws. Performance achievement may be systematically overreported when bureaucrats assess their own agency. Perceptual data consists of recalls and memory. Page sur 53 0  Part IV. Administrative reforms and performance of PA Archival data rely on a limited range of performance dimensions and indicators. The auditor’s judgment on what it is relevant to measure may differ from what is relevant for the researcher or the civil servant. A solution to address the weaknesses of both types of performance measures is to combine them. Another problem for comparative studies across PAs lies in the difficulty of comparing archival data across countries. The exact concepts or scales may differ across countries. Therefore, comparative studies often rely on external data collected by IOs and expert judgments. Take-aways Traditionally in PA and PM, performance has been understood in fairly simple terms, as reflected in the 3Es and IOO models. ➡ the 3Es model focuses on economy, efficiency, and effectiveness. ➡ the IOO model conceptualizes performance based on inputs, outputs, and outcomes. The relation btw inputs and outputs is efficiency. It can be related with effectiveness and outcomes in a performance framework. It is called the service production function. However, the focus on inputs, outputs, and efficiency has come under criticism. Such an understanding of performance is overly technical and ignores the political and societal context and goals of PA. Other performance dimensions have been emphasized increasingly, like responsiveness to citizens. When measuring performance, the political context and the actual policy goals should be taken into account. Measures of PA performance should capture actual behavior, should be replicable, relevant and actionable. They can originate from internal or external actors of the organization. They can be based on archival or perceptual assessments. The combination of external and archival measures is often considered as the gold standard that ensures the quality and the reliability of data. But all data sources represent only a selection of measures and perf dimensions. Video 3 Methods in PA research Which research designs and methods are used in PA research? The state of PA as a research eld In PA research, only the object of study is clear: PA. There is uncertainty around whether PA is an independent discipline that forms an identity crisis. This identity crisis means that there are no distinct or less clear norms in PA about appropriate research approaches than in political science or economics. The diverse backgrounds of researchers can be a strength for the field but can also prevent in-depth methodological debates and developments. Hence, a diagnosis of a methodological crisis. Indeed, it seems that PA research is often limited to cross-sectional linear regressions or to qualitative and descriptive studies. Related to the methodological crisis, some argue for a credibility crisis. The lack of causal identification and sophisticated methods limits the validity of research conclusions. The three diagnoses feed each other and make some ppl question the relevance of PA as a field of research. Page sur 63 0 fi  Part IV. Administrative reforms and performance of PA Goals, disciplines, and methods 2 directions in PA research providing two different answers to the pbs of the PA field. First answer: Boost the relevance of PA research by asking big questions about structural effects of political and cultural factors, changing role of PA in modern societies, changing paradigms… The big questions approach is often inspired by political science and sociology approaches. It is applied by scholars with such backgrounds. The research design and methods are inspired by these disciplines (comparative analysis, case studies, interviews…). Disadvantages: limited generalizability of case studies, the subjectivity of interviews… Opposite answer: Improve causal inference by employing causal identification methods (e.g., regression discontinuity, instrumental variables…). Inspired by fields like economics, psychology. Methods for causal identification, experiments with internal validity. Disadvantages: internal validity is not applicable to the external environment. How to end the ongoing identity crisis? The field should embrace its methodological diversity and plurality by opting for a division of labour of PA research. Individual researchers should self-consciously focus either on micro- or macro-level PA. As we know, division of labor allows for specialization. It should increase the overall performance of PA research. Specialization requires coordination: the discipline should encourage ongoing dialogue. Differentiating ‘methods’ PA has a variety of research approaches and methods beyond the two previously mentioned. 3 methodological levels for empirical research: Basic level of RS Methods for data collection Finally, the method of analysis. Sometimes, these levels are confounded. The general question must be: What is the aim of the study? To build theory? It means explanatory research to develop new hypotheses. It can be derived from empirical material (= inductive way) or theoretical insights (= abductive way). To test theory? It is the most common form for conducting empirical research. Hypotheses are deduced from previous research and are tested with new empirical data or new setting. Single or multiple cases? Which data sources? The point is that the variety of methods is much broader than quantitative vs. qualitative. Researchers have to make many choices based on: Theory Research question But, in practice, researchers often choose their RS based on their methodological toolkit. An approach that has gained importance in PA research and, more broadly, in political science over the last years is mixed methods. That is, different research methods are used within one study to answer the same research question. Mixing data types is not new. It allows for triangulation, to compare and corroborate insights from different sources. Page sur 73 0  Part IV. Administrative reforms and performance of PA 2 common mixed-methods approaches: ➡ First, the qualitative case study based on analysis of documents and itws. It is conducted to develop a new explanation for a phenomenon. It is a case of hypothesis generation, i.e. theory building. In a second step, this hypothesis is tested with quantitative data from more observations in order to generalize the findings and test limitations. ➡ Similarly, another design with reverse order is quite common. First, the relationship btw two variables is tested statistically on a large dataset. Second, the researcher zooms in on specific individual cases, either to illustrate the first causal mechanism or to analyze deviant cases. In short, even mixed-methods complex designs can be broken down analytically into these three levels: 1. First, research design and goals. 2. Data sources and methods for data collection. 3. Methods for analysis PA research often employs a mix of methods from the social sciences toolkit. But, there are some common challenges in PA research. Access. It is related to the character of PA as an object of study. Although bureaucracy produces large amounts of documents and internal statistics, they are not always available for researchers. Archival data are difficult to compare across org or states. Statistical practices differ. It makes it difficult to compare cross-national data. Common source bias, esp. linked to surveys. It means that both the IV and DV in a study are based on the same datasource. It may result in biased findings. The inherently low external validity of experiments. Only a few PA experiments work with actual public servants as subjects. Most rely on students. Dahl (1947) insisted that PA research should be concerned with human behavior and actual governmental agencies, which limits the possibility of using experiments. Take-aways One underlined issue: the fact that the object of PA research remains a black box. PA research is constituted of a research interest in bureaucracies. But it is inherently difficult to get access to this object of study. It often means that research has to deal with low data quality. But for many scholars, this is no reason not to study PA and adress big questions. Page sur 83 0  Part IV. Administrative reforms and performance of PA Session 15 The Effects of Specialization Timing response decision implementation a) threat perception b) response availability/apprisal c) decision-making architecture Specialization Horizontal Vertical Reading Jenkins, J., and Henry, G. (2016) ‘Dispersed vs. Centralized Policy Governance: The Case of State Early Care and Education Policy’, Journal of Public Administration Research and Theory, 26(4), pp. 709–725. What is the analytical approach or statistical modeling strategy? What is the reasoning behind it? Instrumental variables Standard tool to address endogeneity: a good instrumental variable Z. Z is strongly correlated with the endogenous regressor X. Z affects the outcome Y only through the endogenous variable X. This exclusion restriction cannot be tested, only argued well. A good instrument Z is hard to find and requires contextual knowledge and creativity. Page sur 93 0  Part IV. Administrative reforms and performance of PA Session 16 Translating Research Insights for Policymakers Reading Hassel, A., and Wegrich, K. (2022) How to do public policy. Annex 1: How to write for public policy, pp. 309-321. The job of a researcher or policy analyst is to (i) research and (ii) communicate his results. He always has to consider his audience (e.g., academia, the general public, policymakers…). According to Hassel and Wegrich (2022), the basics of policy writing are: 1. Translate evidence and research insights for non-academics. 2. Use concise and plain language. That is, no jargon. 3. Use of formatting, bullet points, and visualization for emphasis. 4. Cite your sources consistently, e.g., in footnotes and bibliography. Formats and purposes can be different: policy paper, policy memo, policy briefs. Page sur 3 1 0 0  Part IV. Administrative reforms and performance of PA Session 17 The New Public Management reform movement Video 1 The New Public Management What is NPM? What are its main arguments and tools for reforming the public sector? NPM is still influential in PA research and practice. Hence it is useful to understand its foundations. The NPM A set of administrative reforms originating in the English-speaking countries in the 1980s. All major English-speaking countries had programs to reform their central govs during the 1980s. The NPM reforms are associated with the names of Thatcher and Reagan. They wanted to reinvent government by making it more business-like. Idea that PA could be made more efficient and efficient when run as a business with management techniques from the private sector. 3 major techniques: ➡ Disaggregation ➡ Competition ➡ Incentives In the US, the approach was officially labeled as ‘reinventing government’. In other countries, it was known as NPM. Subsequently, the NPM trend spread globally. It lasted during the 1990s and is still down in the 2010s. Today, NPM is often used as the primary alternative to the traditional hierarchist and bureaucratic forms of PA. Hence, NPM is one of the most common and prominent interpretations of administrative reforms. For some scholars and practitioners, administrative reform means NPM. PA scholars Pollitt and Bouckaert (2017) understand NPM as a two-level concept: First, as the fundamental level: NPM is a general theory, a doctrine saying that the PS can be improved by running it like a business. Second, at a more detailed level: NPM is a set of specific tools and practices. The NPM doctrine NPM ideas NPM = disaggragation + competition + incentives Hood (1994) highlights five related points: Smaller units (disaggregation): NPM doctrine prefers small, specialized, disaggregated organizational forms. Smaller units are more easily and efficiently managed. A wide-spread use of contracts within PS organizations but also btw the state and private oragnizations. In NPM, contracts should remplace hierarchies as the principal coordination mechanism. Use of performance measurement and output controls. Focus on results and actual outputs. Treat service users as consumers. Competition is expected to increase efficiency and effectiveness. It is a market-type mechanism. Discretion should be left to public managers: ‘let the managers manage’. Page sur 3 1 0 1  Part IV. Administrative reforms and performance of PA NPM tools They have been widely implemented. The most commonly associated with NPM: Agencification. That is, the institutionalization of more or less independent administrative agencies. Most common are executive agencies that focus on specific public services. They are the perfect example of disaggregation into smaller units, as they often result from the split of policy-making function (political) and implementation function (practical). Those functions used to be combined in many central government departments in many countries. Contracts are negotiated between an executive agency and a related ministry or department. Use of contracting out. Specific services that are peripheral to the mission of the public organization are left to private suppliers (e.g., maintenance, cleaning…). The relation between public services and private service providers is again regulated through contract, in line with NPM doctrine. Based on performance management. Specific quantitative goals are formulated. The agency has to report on whether it has actually achieved these targets. At the individual level, performance salary allows that a part of the salary conditional on the achievement of specific outputs. The status of agencies allows for managerial discretion. Public-private partnerships (PPPs). Typically, they are long-term contractual arrangements between public services and private businesses to complete a project or provide a public service to the population. They are used primarily for infrastructure projects (e.g., building a school). PPPs are controversial because of concerns that the public actors face the financial risk of the project but benefit less from the profits. Privatization. Associated with the neo-liberal sights of the late 20th century. Many countries have privatized formerly private services and enterprises (e.g., postal services, railroads, airlines, hospitals…). It was aimed at slimming down the state and the PS and at fostering competition. But privatization changed the quality and tasks of the PS. Once a market privatized, the new task for the government has been to regulate that market and ensure fair and effective competition through newly created regulatory agencies. In short, in NPM, the PA should steer, not row. Take-aways NPM is a two-level concept. On the foundational level, it is a doctrine on how the state should be reformed and run (like a business). At the more applied level, NPM is a set of tools and practices in line with the NPM doctrine. Video 2 The NPM reform cycle What are the political processes around NPM? The NPM policy cycle As any other administrative reforms, NPM can be understood as a policy. Hence, it can be studied and analyzed along the steps of a policy cycle. It would be more accurate to speak of policy cycles in the plural form, as NPM reforms have occurred in many countries but also in waves. There may be several NPM reforms even within one state. The cycles have overlapped, occurred in parallel and influenced each other over time and borders. Page sur 3 1 0 2  Part IV. Administrative reforms and performance of PA POLICY CYCLE STEP 1: PROBLEM RECOGNITION AND DEFINITION The beginning of the NPM reform waves is associated with the economic crisis of the 1970s. They resulted in scarce public finances and need to cut back public spending. The economic problems went hand-in-hand with an increasing common perception that the state and state bureaucracy themselves have become a problem (neoliberal, individual approach). That idea that PA was not effective and very costly become influential and a pressing problem. STEP 2: AGENDA SETTING Awareness for pbs in the PA and for the need to reform means that the issue made it on the public and political agenda. Governments could not and wanted not to ignore that pb. The individualist, anti-bureaucratic mindset was especially strongest in the English-speaking countries: the UK, the US, Australia, NZ, Canada… Those countries were the first to make public reforms onto the agenda and become a priority. In later iterations of the NPM policy cycle, esp. in other countries, agenda setting may not have been entirely domestic but international debates have played a role. Actors like OECD, the WB advocated reforms; including agencification, parformance management, contracting out, privatization across the world. They globalized the pb definition of a PS too big, too slow, too costly. They promoted a menu of reforms that was first tried and tested in the English-speaking countries. STEP 3: POLICY FORMULATION These governments have formulated reform policies based on their political preferences and pro-market doctrines but also based on trials and errors. The formulation of reforms was inspired by the NPM toolkit and menu from international institutions. But it had to be adapted to fit local and national traditions and institutions. NPM reforms also quickly spread to new labour parties as in NZ and to European governments from social-democrats to conservatives. STEP 4: DECISION-MAKING The national context was decisive for decision-making. In the EN-speaking countries, the Westminster-style political system with few veto players made it easier to implement radical reforms, including the NPM reforms. The UK and NZ are prime examples of majoritarian democracies with few veto players. In contrast, the federal setting in Australia has limited the implementation somewhat. In countries like Scandinavia or continental Europe, multiparty systems, coalition governments and strong trade unions have limited government’s power and discretion over reforms even more. This has led to more gradual or looser PA reforms. Page sur 3 1 0 3  Part IV. Administrative reforms and performance of PA STEP 5: POLICY IMPLEMENTATION There may be a gap btw reform talk, decision and real action. NPM reforms have been implemented. In some countries, they have revolutionized the public sector. But this should be assessed on a case-to-case basis. EXAMPLE In Germany, NPM reforms have been implemented in the form of a new toolkit under the label ‘New Steering Model’. The model was designed to fit with the German administrative tradition. It was adopted primarily by municipalities. However, detailed research have shown that implementation was much more comprehensive in municipalities in West Germany than in East Germany. There was an implementation gap that differed in degree within Germany. STEP 6: POLICY EVALUATION Ongoing research with mixed results. Many reforms have reached the primary goal of reducing public spending, improving the ratio of inputs on outputs. But, other unintended and often overseen negative effects on fairness and equal acess to public services. Call into question the state's ability to conduct public services in a globalized world. The identification of negative effects does not lead to the termination of the policy but rather to a new status quo that is difficult if not impossible to roll back. In other words, the evaluation of NPM reforms has led to new pb defintions and sparked new cycles of administrative reforms that adress the most prominent pbs of NPM reforms. The pbs identified are: ➡ A lack of coordination between small and fragmented units ➡ A loss of gov capacity and effectiveness ➡ An overvaluation of efficiency as the primary goal in PA Take-aways NPM reforms: several reform cycles over time and countries. They were heavily influenced by the national context. Variety of reforms makes difficult to assess the NPM reforms as a whole. Ongoing research: mixed picture of the performance of NPM reforms. The pb associated with NPM has led to new post-NPM reforms. Video 3 Beyond NPM What is the legacy of NPM? The NPM has been prominent in PA research and practice until the 2010s. Since then, the debate has moved on. NPM in historical context The rise of NPM started in the 1970s following the economic crisis, oil shock, and rise of neoliberalism. From the 1970s onwards, the NPM doctrine became the dominant discourse, opposed to more bureaucratic, hierarchical models of PA. NPM discourse labelled the existing practices as old and outdated. The existing admin institutions and practices presented the starting point and status quo to which the NPM tools had to be adapted. It means that the broader NPM ideas have been adapted to different local circumstances. Page sur 3 1 0 4  Part IV. Administrative reforms and performance of PA 1980s and 1990s: golden age of NPM. From the 2000s on, the NPM model has been in decline. It is not completely gone and still influences PA thinking. Evaluation research is still ongoing. New reform paradigms have emerged partly in response to NPM reforms and the new status quo. Post- NPM models take NPM reforms as the starting point and identify new problems. The existence of NPM reforms makes clear that NPM reforms are not perceived as adequate anymore. What are the most pressing problems resulting from NPM reforms? What do post-NPM models suggest to adress these issues? NPM criticism and post-NPM models 3 major problems resulting from NPM: 1. The disaggregation of PA has partly become excessive. In some countries, hundreds of agencies have been created. It undermines the capacity of the administrative system and the state to act as a whole. This capacity is crucial in difficult times like economic crisis, globalization, societal complexity. It left a need for more cooperation within the administrative structure. As a response, new models and concepts aim at coordinating. They suggest formal and informal mechanisms to get different org to collaborate, e.g., the whole-of-government or joined-up government approaches. 2. Second limitation of NPM is that it is less compatible with countries that do not have an Anglo-Saxon administrative tradition. NPM reflects the Anglo-American preferences for a limited government. A full NPM implementation would seem too radical in continental Europe. In response, some scholars suggest the introduction of a neo-Weberian state. It acknowledges the need to modernize PA but appreciates the positive aspects of a traditional Weberian PA. Idea behind is to preserve the European welfare state and an impartial administration. 3. The third problem is an excessive focus on efficiency. Performance measures and contracts lead to a short-term perspective focused only on the quantitative ratios of outputs on inputs. NPM ignores the larger political and societal contexts. As a response, scholars and practitioners have focused on the interaction between public and private, state and non-state actors: new public governance or network governance. Networks are based on long-term horizontal relations and trust between actors. Only dedicated collaboration with societal and private actors allows the state to govern effectively and legitimately. These new models present new layers of reforms. They do not replace NPM reforms and tools but rather complement them. Page sur 3 1 0 5  Part IV. Administrative reforms and performance of PA ➡ Important implication: although the expert discourse has moved beyond NPM, NPM reforms continue to exist and have not been rolled back. They have left a legacy. NPM’s legacy consists of: Diversity and fragmentation of public organizations. Blurring of borders between public and private. A new dynamics of bureaucratization by numbers (targets, indicators, benchmarks, rankings…) and empowerment of a new class of managers. Flexibilization and changes in public service employment. Page sur 3 1 0 6  Part IV. Administrative reforms and performance of PA Session 18 The effects of NPM-style reforms Reading 1 Hood, C., and Dixon, R. (2015) ‘What We Have to Show for 30 Years of New Public Management: Higher Costs, More Complaints’, Commentary, Governance, 28, pp. 265-267. Hood and Dixon (2015) discuss the effects of New Public Management (NPM) in a crucial NPM case: the UK. First, Hood and Dixon observe the gross and net running costs of UK civil departments from 1981 to 2010, adjusted to 2012-2013 values. Gross running costs have steadily increased throughout the period. Net running costs remained lower but increased at a slower rate compared to gross running costs. Interpretation: NPM reforms, intended to improve efficiency, might have had a limited impact on containing gross costs over time. Net costs reflect some cost-saving measures but also highlight how accounting practices (like reclassifications) affected reported expenditures. Second, they show the net running costs as a % of departmental expenditure limits (DEL) and total managed expenditure (TME). Interpretation: the declining net running costs relative to DEL and TME suggest some success in controlling administrative costs relative to overall spending, especially after the Gershon efficiency initiatives. Conclusion While NPM introduced efficiency measures, the rising gross costs questioned its effiency in reducing absolute expenditures. The post-Gershon era shows some improvement, but these may partly reflect shifts in reporting rather than fundamental cost reductions. Page sur 3 1 0 7  Part IV. Administrative reforms and performance of PA Reading 2 Overman, S. (2017) ‘Autonomous Agencies, Happy Citizens? Challenging the Satisfaction Claim’, Governance, 30, pp. 211-227. What are the effects of agencification? Reading 3 Elkomy, S., Cookson, G., and Jones, S. (2019) ‘Cheap and Dirty: The Effect of Contracting Out Cleaning on Ef ciency and Effectiveness’, Public Administration Review, 79, pp. 193-202. What are the effects of outsourcing? Page sur 3 1 0 8 fi  Part IV. Administrative reforms and performance of PA Session 20 Personnel & HRM reforms Video 1 From Weber to HRM in the 21st century HRM = Human Resources Management // personnel system = consists primarily of the employment conditions of public personnel = pay, working conditions, required qualifications… Timeline of HRM We can distinguish 3 broad models or tendencies that describe different approaches to the recruitment and management of public servants. 1. The classic, Weberian, meritocratic model. Recruitment by merit is the cornerstone of the Weberian bureaucracy. This approach is opposed to a pre-modern, patrimonial form of public service. Research tends to find that meritocracy-based recruitment contributes to better overall competence and performance of the bureaucracy and to lower corruption. More concern for democracy and the rule of law. Advocated by scholars and IOs. Spread of the Weberian model around the world. 2. The patrimonial, politicized model. It precedes the bureaucratic model. Recruitment and promotion of bureaucrats are based on family ties, personal loyalty, or political connections. In that kind of administration, bureaucrats have little incentive to develop their expertise. They act for their own benefit and not for the common good. Max Weber described the societal forces that led to a change from the patrimonial model to a bureaucratic model. The change applies to the state in general and to public servants in particular. The change was linked to modernity, technological advancement, and increasing rationalization of all aspect of human lives in modern Western societies. Through these forces, patrimonial forms of PA gave birth to a modern, bureaucratic, and meritocratic approach. Research is ongoing about whether this bureaucratic model has been implemented beyond Western states. Patriomonialism and politicization of bureaucracy is not a topic of the past. It continues to exist in many public personnel systems. 3. The post-bureaucratic model NPM NPM inspired post-bureaucratic models that are more management-oriented and flexible. A general effect of NPM reforms has been a reduction in public employment and in the size of the public sector. A smaller number of public employees is managed in a more flexible, decentralized, and results- oriented way. The 2008 financial crisis amplified those trends. Page sur 3 1 0 9  Part IV. Administrative reforms and performance of PA Representative bureaucracy Another post-bureaucratic idea: representative bureaucracy. Public servants are not only selected based on merit but also on representing the population they serve in terms of gender, ethnicity, and other criteria. Ongoing research on whether representative bureaucracy increases administrative performance. The 3 models are not clear-cut models but general approaches on how to recruit and handle public staff. Across the globe, they have been implemented in different forms, to different degrees, and in different times. Administrative traditions are still one of the best explanations for whether a state has moved from the Weberian to a post-bureaucratic model or not. In continental Europe, many states have resisted many NPM-inspired reforms away from the Weberian model. Why? Either (i) to stick with the Weberian administration model or (ii) to be a neo-Weberian state that simultaneously retains and modernizes the Weberian state. In the context of HRM, neo-Weberian model continues with the Weberian core aspects based on merit and seniority. But, at the same time, it adds flexibility for some minor aspects like training and development or flexible working hours. What is the motivation for post-Weberian reforms? Reflecting the NPM dominant doctrine: Private sector practices are the norms and standards to achieve. Public sector enjoys a monopoly status that is overprotected and overly costly. Two competing approaches Bureaucratic, Weberian model Post-bureaucratic models Recruitment based on merit Recruitment still based on merit but achievement and education are assessed more in terms of t with a speci c position Career-based system: bureaucrats are recruted for Position-based system: career becomes less an entire career within the public service secure Promotion based on seniority and quali cations Contract renewal and promotion based on results and responsiveness Clear distinction btw private and public sector No clear distinction careers: little exchange between the two sectors Uni ed and distinct civil service conditions Decentralization of personnal systems: pay and working conditions are decided by each agency/ departement. Beyong manifestating hierarchist and individualist thinking, the two approaches reflect also different cultures and traditions in PA. The Weberian model is aligned with a continental European model. It is still dominant in many European countries (e.g., Germany, France). The post-bureaucratic model reflects the Anglo-American tradition. But it is getting influential even in non EN-speaking countries. The 2008 financial crisis accelerated the post-bureaucratic trend globally. It meant hard times for public servants. Salaries were frozen and some countries implemented wage cuts. Pension rights of civil servants were reduced. Page sur 3 2 0 0 fi fi fi fi  Part IV. Administrative reforms and performance of PA The nb of public servants was reduced, mostly due to hiring freezes. All these measures reflet NPM reforms and market orientations. What are the effects of the two approaches? Bureaucratic, Weberian model Post-bureaucratic models Based on a public service ethos with following Managerial expectations of stronger commitment central values: legality, neutrality, equity, loyalty towards policy and results (performance management) Give frank and fearless advice to politicians, Risk of increased politicization regardless of his own political views: No political interference Bureaucrats motivated to serve the public interest Bureaucrats motivated by short-term oriented (public service motivation) incentives The two models are based on two fundamentally different assumptions regarding the human nature: The post-bureaucratic assumption is based on a homo economicus assumption: human beings are all rational and narrowly self-interested. They are motivated by material rewards and incentives. In contrast, the bureaucratic model is based on the assumption of a public service ethic. Bureaucrats are motivated to serve the public interest and the greater common good. Public service motivation is a subfield in PA research aiming at determining whether motivation is dominant in reality. It is a distinct analytical approach to study what motivates public employees to work. Take-aways The bureaucratic model of the civil service is closely linked to Weber’s concept of bureaucracy. Its cornerstones are merit-based recruitment, career-based system, and promotion on seniority. It was a modern response to previous patrimonial system. The aim is to minimize politicization and increase values like equality, neutrality, and legality. IOs and research continue to advocate the advantages of merit-based recruitment. A competing model is inspired by the NPM doctrine. It aims to make decisions at a decentralized or individual level. Strong focus on policy goals and results. Most prominent in Anglo-American countries but still influential in global debates and practices. Idea that public sector jobs should be limited in their numbers and be managed similarly to the private sector has gained momentum since 2008. Scholars have warned of the short-term orientation and increasing politicization. The two models reflect different approaches to PA. Video 2 Public Service Motivation What is PSM? Which factors drive PSM? What are the effects of PSM? PSM is usually understood as the motivation that ppl have to contribute to society. There is a drive to do good for others and for society. The basic idea behind the concept of PSM is that it is public service motivation that drives public servants, not money or economic incentives, to work and to make an extra effort beyond what their job formally requires. Hence, PSM drives individual and administrative performance in PA. Page sur 3 2 0 1  Part IV. Administrative reforms and performance of PA What is PSM? Perry and Wise (1990) expressed their concern over the decline in public trust and government. They relate it to the choice of rational choice thinking and the growing propularity of monetary incentives in PA. Contrary to these trends, Perry and Wise proposed the idea that public service motivates public employees. In contemporary PA research, PSM is one of the most debated topic. Why? First, it fits into the long tradition of using unselfish reasons to explain organizational behavior. PSM reflects a move back from individualistic, market-oriented ideas to more traditional ideas of bureaucracy and public servants oriented toward the common good. Research on PSM has been very rigourous in terms of methods. It provides a bridge btw institutional and individual levels of analysis. PSM can be considered as the precursor to the current trend toward behavioral PA. PSM is a concept. There are many definitions of PSM, but they all agree that PSM is (i) first about the willingness to contribute to public processes and (ii) second to leave one’s own interests behind to do so. In other words, the essence of PSM is that public servants set aside their personal interests for the common good. Initially, 4 dimensions of PSM have been distinguished. Attraction to policy-making Public interest and service duty Compassion Self-sacrifice Additional dimensions, like democratic governance, can also fit into PSM. Determinants of PSM PSM is thought as an individual trait that ppl can have to different degrees. It is generally understood as a rather stable individual characteristic, like a psychological trait. But it is not randomly distributed among ppl. Researchers have found variables that affect the level of PSM. ➡ Gender: While women score higher on the compassion dimension, men tend to score higher on the attraction to public service and self-sacrifice. ➡ Age: Older ppl generally outscore younger on PSM. ➡ Personality types ➡ Experiences ➡ Family histories… There are also determinants under public managers’ control. Managers can recruit ppl who show a high commitment to serve society, i.e. a high PSM. Motivating leadership Work relations among colleagues But personnal policies can also affect PSM negatively: Sometimes, performance-related pay decreases employees personnal efforts. Pay for performance has a strong effect of crowding out on intrinsic motivation like PSM. Rewards and monetary incentives can extinguish intrinsic motivation like PSM. They diminish performance and crush creativity. Instead, public sector HRM should focus on autonomy and purpose that have been shown to foster PSM. Page sur 3 2 0 2  Part IV. Administrative reforms and performance of PA Strategies for putting PSM to practice Strategy 1: Public adminstration should recrute staff based on their public service management. Strategy 2: At the job level, public managers could emphasize the social significance of their position in job interviews, regular meetings… Strategy 3: At the organizational level, public managers should create a work environment that supports the PSM of the staff. Strategy 4: At the society level, create a societal legitimacy for public service. In short, several ways have been developed to improve the motivation of public employees. Consequences of PSM Research has shown that PSM has positive effects. First, researchers were more interested in the consequences of PSM than in its origins. The consequences are practical values. Relationship btw PSM and performance. ➡ Positive effects have been found for general performance and more contextualized behaviors (e.g., the grading of teachers). ➡ PSM boosts individual performance. But warning againt overly optimistic view. We should consider that PSM alone will not always lead to positive results. What plays a crucial role in determining positive effects is context. Research has recently identified a dark side of PSM. It can increase the risk of stress, burn-out, and insatisfaction. It can induces exhaution and frustration that can lead to negative outcomes both for the individual and the organisation. Take-aways Research on PSM has started in the 1990s. In a seminal article, Perry and Wise (1990) have argued that public employees are not primarily motivated by money and economic incentives but by the drive to do good for society. Their hypothesis: individuals with PSM will perform better in their jobs. Initial 4 dimensions of PSM: attraction to policy-making, public interest, compassion, and self-sacrifice. Determinants of PSM: individual-level factors (e.g., gender) and organization-level factors. Page sur 3 2 0 3  Part IV. Administrative reforms and performance of PA Outcomes of PSM: individual-level and organizational-level outcomes. PSM has a positive effect on the individual performance on the job. Context matters and can moderate the effect of PSM. Page sur 3 2 0 4  Part IV. Administrative reforms and performance of PA Session 21 The effects of meritocratic recruitment What are NPM effects? NPM set ambitious goals of reducing costs and improving services. But NPM’s successes in these respects are either disputed or simply not true. Especially in the long run, NPM increased the costs for the overall society and especially for marginalized groups who suffer the most from the desire to cut costs and increase competition among service providers. The potential for performance of NPM may have been overestimated. In the future, NPM-inspired policies should consider that the ability of market mechanisms to deliver cost-effective and high-quality services is not intrinsic and absolute, rather it depends on the specific characteristics of markets, contracts and other structures. Reading 1 Rauch, J. and Evans, P. (2000) ‘Bureaucratic structure and bureaucratic performance in less developed countries’, Journal of Public Economics, 75(1), pp. 49–71. Rauch and Evans (2000) was an early expert survey research developing the Weberian argument. Reading 2 Sundell, A. (2014) ‘Are formal civil service examinations the most meritocratic way to recruit civil servants? Not in all countries’, Public Administration, 92(2), pp. 440-457. When recruiting civil servants, Sundell (2014) explores the relationship between meritocracy in recruitment and the role of formal examinations in the hiring process, emphasizing that context matters. Sundell argues that there is a general positive relationship between formal examinations and meritocracy, but the strength of the relationship varies across contexts (corruption levels). In other words, the use of formal exams aligns with meritocracy, but their effectiveness depends on the institutional and cultural context. ➥ In countries with low corruption, exams are more likely to ensure skills-based recruitment. ➥ In high-risk environments, formal exams alone may not ensure meritocratic outcomes due to factors like nepotism or favoritism. Implications for policymakers: Reforms to improve meritocracy should consider the institutional context, including corruption levels and governance quality. Formal exams are a useful tool but need to be part of broader reforms to build trust and transparency in the recruitment process. Page sur 3 2 0 5  Part IV. Administrative reforms and performance of PA Session 22 The effects of HRM policies Reading 1 McDonnell, E. (2017) ‘Patchwork Leviathan: How Pockets of Bureaucratic Governance Flourish within Institutionally Diverse Developing States’, American Sociological Review, 82(3), pp. 476–510. 1. McDonnell critiques the idea of studying states as a uniform, cohesive entities. She challenges the ‘methodological nationalism’ theory that assumes that countries can be treated as single units of analysis, hence disreagarding internal variation. 2. McDonnell includes variation within countries. The study highlights significant differences in corruption control across different ministries within individual countries. It compares the variations to the global range of corruption levels measured by the Worldwide Governance Indicators (WGI). ➥ In Malawi, one ministry may have a corruption rating similar to countries like Belgium (high control of corruption) while another ministry has a corruption control rating as low as some of the worst-performing countries globally. 3. By emphasizing internal disparities, McDonnell develops her own theory explaining why and how variations exist within countries. Implications: McDonnell's work sheds light on why anti-corruption strategies that focus only on national- level averages might fail. Understanding internal variations within countries helps target interventions more effectively at the local or institutional level. McDonnell’s theory: bureaucratic niches. It explains the mechanisms behind bureaucratic units developing autonomy and unique characteristics within the broader state apparatus. The ‘bureaucratic niches’ theory helps explain the variation in governance quality observed in her earlier research (e.g., corruption ratings across ministries). Research design Research approach: Theory building design (= focusing on creating a new theory than just testing ones). Case selection: Ghana = main case → under-researched case, intermediate level of Weberianess. Weberianess is a term referring to how bureaucracies function according to Weber’s ideal: (i) rational, (ii) rule-based, and (iii) meritocratic. 4 organizational units were selected in Ghana based on expert interviews to identify the ones with the strongest reputation for organizational capacity (best performers). For each of the four units, McDonnell chose one similar unit from larger organizations (e.g., other countries or contexts) to compare. Page sur 3 2 0 6  Part IV. Administrative reforms and performance of PA Data collection: Interview data. Data analysis: Search for similar patterns across the units to identify what makes them successful. Reporting and refinement: Refinement of theory with abbreviated comparison cases based on secondary literature (comparison cases). 1. By studying extreme examples of strong organizational performance within a broader weak system (Ghana), McDonnell can better identify what factors lead to success and how bureaucratic niches develop. 2. The comparison cases help generalize the findings. How to select a case in qualitative research? Single case Type of case Typical case Deviant case Critical/in uential Extreme case case Description Typical of the deviates from regarding the issue extreme value on X relationship under established in the relationship or Y study. relationship In other words, on the regression line Objective Illustrate and Explore new Explore the Exploratory con rm the case explanations of Y relationship issue Examples Hood and Dixon McDonnell (2017) (2015) on selected cases Comparative cases Type of case Most-similar cases Most-di erent cases Description They are similar on speci ed They di er on speci ed variables variables other than X1 and/or Y. other than X1 and Y. Examples Ziblatt (2006) on ITA and GER. McDonnell (2017) on comparison McDonnell (2017) on control cases. cases. Reading 2 Fernandez, S., Koma, S., and Lee, H. (2018) ‘Establishing the link between representative bureaucracy and performance: The South African case’, Governance, 31, pp. 535– 553. Fernandez et al. (2018) present a mixed-methods study of representative bureaucracy in South Africa. They draw on the representative bureaucracy theory from Riccucci and Van Ryzin (2016). Page sur 3 2 0 7 fi ff ff fl fi fi  Part IV. Administrative reforms and performance of PA Session 23 Peer-to-Peer Feedback session Policy brief feedback session Page sur 3 2 0 8  Part IV. Administrative reforms and performance of PA Session 24 Big Data as the future of PA? Course Wrap-Up E-government and digitalization E-government refers to the use of Information and Communication Technology (ICT)—particularly online tools—to achieve better government. A better government is supposed to be more open, more accessible, more responsive, and collaborative. Introducing ICT tools can have profound effects, e.g., redesign of administrative tasks and procedures, intra- and inter-organizational communication and collaboration. 1. First, a citizen-PA interaction towards open government: 2. Second, an internal PA towards smart government: Big Data and arti cial intelligence Big Data encompasses high volume, velocity, variety, and complexity of data. Increasing awareness of existence of administrative data and potentially fruitful combination of data sources. AI and algorithms are hotly debated but, for now, only limited use in PA pr by policymakers. Reading Pencheva, I., Esteve, M., and Mikhaylov, S. (2020) ‘Big Data and AI – A transformational shift for government: So, what next for research?’, Public Policy and Administration, 35(1), pp. 24-44. Pencheva et al. (2020) study the benefits of Big Data in the policy cycle. Page sur 3 2 0 9 fi  Part IV. Administrative reforms and performance of PA Where do e-government and digitalization fit? Challenges to the digitalization of PA Organizational boundaries, limited collaboration, and IT interoperability. Personnel, lack of expertise, risk-averse PA mindset. Digital divide among citizens and within PA. Ethical, social, and legal concerns. We may have the technology, but do we have the people and the will to do it? Page sur 3 3 0 0