Bloc 2: The State at Work, Bureaucracy and Bureaucrats Flashcards
When and where did the idea of bureaucracy emerge?
The idea of bureaucracy as we know today emerged in the early 19th century, particularly in Germany, with the work of sociologist Max Weber. Weber’s theory of bureaucracy was developed in the late 1800s and early 1900s.
However, bureaucratic practices predate modern era and have existed in ancient Chinese governance for millenia.
What was Newton and Van Deth’s (2010) definition of Bureaucracy?
“A rational, impersonal, rulebound and hierarchical form of organisational structure set up to perform large scale administrative tasks” (Newton and Van Deth, 2010)
What was Weber’s definition of Bureaucracy?
His ideal type of bureaucracy consists of a number of organizational features of administrative order - a hierarchically structured, professional, rule-bound, impersonal, meritocratic, and disciplined body of public servants who possess a specific set of competences and who operate outside the sphere of politics.
Is bureaucracy a sign of modernity?
No, bureaucracy is not necessarily a sign of modernity. While Weber associated bureaucracy with modernity, this view has problematic assumptions. Bureaucratic forms existed before the late 19th and early 20th centuries such as in Ancient Chinese Dynasties, and the idea of modernity is often eurocentric, with a linear narrative about state development that doesn’t account for other histories, particularly in the Global South.
What is Crooks and Parsons’ (2018) definition of bureaucracy in the context of empires?
“Bureaucracy here refers to routine adminstrative activity delegated to office holders (who are often, but not always, professional career administrators), conducted on the basis of records (though not always written records), with some differentiation and specialisation of offices that are organised hierarchically and are reliant on systems of communication” (Crooks and Parsons, 2018)
What are the key differences between imperial bureaucracy and state bureaucracy, according to Crooks and Parsons?
According to Crooks and Parsons, the key differences between imperial bureaucracy and state bureaucracy are:
Spatiality: Empires rely on intermediaries, meaning power is always negotiated or mediated, whereas state bureaucracies have more direct control.
Function: State bureaucracy bases its legitimacy on the uniformity of its rule, while imperial bureaucracy is characterized by the rule of difference.
What were the key bureaucratic innovations during the Song Dynasty in China, and how did they influence later dynasties?
Key bureaucratic innovations during the Song Dynasty included:
- Uniformity in governance with administrative divisions and registers for taxes and labor.
- Civil Service Examinations based on Confucian classics, promoting meritocratic recruitment.
- Bureaucratic rituals to reinforce hierarchy and loyalty.
- Salary and office rotation systems to manage officials.
These innovations influenced later dynasties, including the Ming and Qing, with an emphasis on meritocratic recruitment continuing to shape Chinese bureaucracy.
What are the different models of bureaucracy?
- Weberian Bureaucracy: Based on legal-rational authority with hierarchical structure, merit-based appointments, and formal rules.
- Imperial Bureaucracy: Authoritarian and extractive, used to control vast territories through intermediaries and coercion.
- Patrimonial Bureaucracy: Based on personal relationships and loyalty, where bureaucrats are appointed through patronage rather than merit.
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Neopatrimonial Bureaucracy:
Combines traditional patronage practices with modern bureaucratic structures, where state resources are used for personal gain. - State Bureaucracy: A centralized, professional system focused on uniformity, rule of law, and rational governance.
- Colonial Bureaucracy: Authoritarian and extractive, imposed during colonial rule to control resources and people for colonial interests.
What does it mean to be a civil servant in different places?
Being a civil servant means different things in different places due to the varying systems and histories of governance.
In China, civil service exams based on Confucian classics have been in use since the Tang dynasty, with candidates rising through merit rather than nobility. These exams emphasize meritocratic recruitment and have influenced other countries, including Korea and Japan. Civil servants in China also follow rituals reinforcing hierarchy and professionalism.
In Europe, the merit-based recruitment system emerged later, with the first civil service exams appearing in Prussia in the 17th century, influenced by Chinese administrative practices.
Ethnocentric biases can shape how governance systems are studied, potentially disregarding non-Western models of legitimacy and effectiveness.
How do you train to become a civil servant and how do you get hired?
In France, civil servants are hired through competitive exams (concours) and political appointments. Exams, like those for ENA (now INSP), ensure a skilled and professional bureaucracy, but political appointments allow government influence. This system balances merit and discretion, but it can be elitist and limit social mobility. The UK and Germany rely more on exams, while the US mixes exams with political hiring.
How does the meritocratic system work and what are the alternatives?
The meritocratic system rewards individuals based on their abilities, skills, and performance, often through exams or evaluations. It aims for fairness and equal opportunity.
Alternatives:
Patronage System: Appointments based on loyalty or connections, not merit.
Nepotism: Favoritism towards family members or close friends in appointments.
Aristocracy: Power held by a privileged class, usually inherited.
Elections: Positions gained through democratic voting, sometimes influenced by popularity or alliances.
Socialism: Resources and positions are distributed based on need or collective contribution, not individual merit.
Describe quotas and representativeness in bureaucracy
Quotas in bureaucracy set targets for including specific groups (e.g., women, minorities) in government roles to ensure fairness and diversity.
Representativeness means ensuring government institutions reflect the population’s diversity, enhancing inclusivity.
Benefits:
- Brings diverse perspectives.
- Promotes fairness and equity.
- Increases government legitimacy.
Challenges:
- Risk of prioritizing diversity over merit.
- Potential for tokenism without real inclusion.
What other actors, apart from politicians, are involved in policy making?
Bureaucrats and civil servants play a key role in policymaking. They are responsible for implementing policies, providing expertise, and advising politicians on the practicality and potential impact of decisions. Civil servants often have specialized knowledge in specific areas (e.g., economics, law, healthcare), making them crucial for shaping informed and effective policies. They also manage the day-to-day operations of government programs, ensuring that political decisions are executed properly and efficiently. Their work is essential in bridging the gap between political intentions and actual outcomes.
How did new public management lead to increasing the role of private actors?
New Public Management (NPM) increased the role of private actors by introducing market-oriented reforms in public sector services. The idea was to make public organizations more efficient and accountable by adopting practices from the private sector, such as outsourcing, privatization, and competition. This led to:
- Privatization: Government services were sold to private companies, reducing state control and increasing private sector involvement.
- Outsourcing and Public-Private Partnerships: Public services were contracted out to private firms, leading to the outsourcing of services like healthcare, education, and transportation.
- Performance-based Pay: Shifting from a traditional salary system to performance-related pay encouraged efficiency but also aligned public sector work with private sector incentives.
- Competition and Vouchers: Public services were made to compete with private alternatives. For example, vouchers allowed citizens to choose between public and private services, increasing competition and theoretically improving quality.
These changes, driven by NPM, shifted more public functions to the private sector, changing how services were delivered and managed.
What is the role of consultants, foreign experts, international organisation, NGOs in policy making?
Consultants: Provide expert advice, conduct research, and offer recommendations to improve policy efficiency and effectiveness.
Foreign Experts: Share specialized knowledge, offer technical support, and provide international perspectives on best practices.
International Organizations: Set global standards, provide financial aid, and monitor policy implementation to ensure compliance with international norms.
NGOs: Advocate for marginalized groups, support policy implementation, and offer feedback on the effectiveness of policies.
What is the difference between Bureaucracy and Politics?
The difference between bureaucracy and politics lies in their roles and functions:
- Bureaucracy: Focuses on implementing policies set by elected officials. Bureaucrats carry out administrative tasks and make decisions based on established rules and procedures. Their actions are considered non-political as they follow directives without influencing policy.
- Politics: Involves the process of making and deciding policies, typically carried out by elected officials. Politicians engage in discussions, negotiations, and decisions that shape public policy. Their actions are political as they are directly tied to gaining and exercising power.
In essence, bureaucracy executes policy, while politics creates it.
What is technocracy and how does it operate through bureaucracy?
Technocracy is a system of governance where decision-making is led by experts, scientists, engineers, and professionals, rather than politicians or elected representatives. While technocracy operates through a bureaucratic system, it is not apolitical, as expertise can still be influenced by political factors. An example of technocracy is the European Union.
What is the role of permanent administrators in bureaucracy, and how has the system evolved?
Permanent administrators are bureaucrats who are meant to serve ministers impartially and remain politically neutral. They provide continuity in governance and implement policies without bias. However, this neutrality is often fictional, as bureaucracy can be politically influenced.
In countries like France and the UK, the civil service model emphasizes merit-based recruitment. Recently, there has been an increase in non-permanent contracts, reflecting a shift towards more politically influenced bureaucratic appointments.
What are political appointments in bureaucracy, and what issues arise from them?
Political appointments involve replacing top bureaucratic positions when a new government is elected. For example, in the US, a new president appoints around 3,000 officials, with Senate confirmation sometimes required. The main issues include clientelism (appointments based on political loyalty) and challenges to continuity in governance. Both career bureaucrats and political appointees exist in all systems. In France, certain high-level positions, like ambassadors and prefects, are political appointments.
For example, in June 2024, Macron’s wave of appointments before potential cohabitation with the far right was criticized by Marine Le Pen as an “administrative coup.” Key issues raised are the relationship between bureaucracy and politics, and bureaucracy’s role in society.
What is bureaucratic autonomy, and what does discretionary authority mean?
Bureaucratic autonomy refers to the ability of executive agencies to use their discretionary authority to implement policies made by political leaders and make policy according to their own judgment when mandates are unclear or incomplete.
Discretionary authority is the power given to bureaucrats, government agencies, or officials to make decisions and take actions within the broad guidelines set by laws or executive directives. (Bersch and Fukuyama, 2023)
Why is there tension between autonomy and political control in bureaucracy?
Both autonomy and political control are necessary for a functioning bureaucracy.
Control by politicians ensures democratic legitimacy and responsiveness to public needs. But too much control makes the bureaucracy politicized, leading to inefficiency and partisanship.
Autonomy is important for bureaucratic efficiency, allowing officials to implement policies independently. However, excessive autonomy can make bureaucrats self-interested and result in unequal access to services.
In democracies, there’s a trade-off between democratic legitimacy and state effectiveness, where both must be balanced.
What are the 5 ways to keep control of the bureaucracy?
- Ex Ante procedural limitations on discretionary authority
- Ex post review of administrative decisions
- Appointment and promotion power
- Removal Power
- Ad hoc interventions
Give two examples of Ex Ante procedural limitations on discretionary authority
- US Administrative Procedure Act (1946) requires major rule changes to be announced in advance and go through public review. This ensures transparency and accountability.
- DACA case (2020)—The Supreme Court ruled that the Department of Homeland Security did not follow proper procedures when attempting to end DACA.
Explain Ex post review of administrative decisions
After a decision is made, there are evaluations and oversight through judicial review, quasi-judicial bodies, or internal appeals processes.
Freedom of information laws ensure bureaucratic decisions are open to scrutiny. In Sweden, the principle of public access to official records has been in place since 1766.
What are adhoc interventions?
They involve emergency actions by political authorities to intervene in bureaucratic decisions, such as:
Example: Windrush Scandal (2018)—The UK government under Theresa May’s “hostile environment” policy pressured bureaucrats to take strict actions against undocumented immigrants. However, the government intervened later when it was revealed that long-term Caribbean immigrants were wrongly detained or deported, and a compensation scheme was set up.
What is the bureaucratic ethos, and how do recruitment methods impact it?
The bureaucratic ethos includes values like:
- Impersonality
- Hierarchy and order
- Rationality and efficiency
- Rule compliance
- Neutrality and objectivity
- Professionalism and expertise
Recruitment methods can challenge this ethos by changing how bureaucrats are hired, which can affect their mindset and behavior in the bureaucracy. Rituals and practices like exams help reinforce these values.
What is the power of street-level bureaucrats (SLBs) in the context of refugee status determination in Canada?
SLBs, specifically the Board Members (BMs) at the Immigration and Refugee Board of Canada (IRB), have significant power in determining refugee status through hearings. They exercise discretion in fact-finding, with two approaches: interrogation (inquisitorial, seeking a single truth) and interview (flexible, aiming for verisimilitude). Their decisions are influenced by training, institutional factors, and their individual styles, often leading to disparities in outcomes despite “objective tools” like national documentation packages. SLBs play a crucial role in implementing policy, balancing efficiency with political and societal pressures.
What is the concept of autonomy and agency at the bottom of the bureaucracy?
Autonomy exists at all levels of the bureaucracy, including lower-level bureaucrats who interact directly with citizens. Street-level bureaucrats (as described by Lipsky, 1980) have discretionary power and play a key role in implementing policies. They balance formal rules with real-world complexities, often making decisions that reflect the needs and priorities of the communities they serve.
What are the two main models of public service reform?
Market-Oriented Reforms focus on introducing market mechanisms into public services for efficiency and competition.
Participatory Reforms focus on reducing hierarchical barriers and increasing involvement from both public employees and citizens to improve service design and implementation.
What are the key ideas behind Market-Oriented Reforms?
Neoliberalism and New Public Management
- Government services as monopolies with few efficiency incentives
- Privatization and competition in services
- Pay-per-performance system, moving away from career public servants
- Vouchers (e.g., education vouchers)
- Key idea: Competition → Public choice → Efficiency, Accountability
What is the rationale and key assumptions for Participatory reforms in the public service?
Rationale (Why reform the Public Service?)
- The public sector is too hierarchical
- More participation from within the organization and the public in decision-making
- Participation leads to cost-cutting
Key assumptions:
- Government works better when members are involved in decisions
- Public employees are motivated by commitment to public service
- The public is willing to control public sector performance
How can Participatory Reforms be implemented?
- Removing hierarchical levels, using ICTs
- Empowering the public via participatory mechanisms (e.g., school boards)
- Accountability through participation, where both the public and employees monitor performance
What is e-governance and how does it reform public services?
- ICTs enable easier communication between citizens and officials
- Citizens can manage their policy needs, reducing administrative costs
- Technology improves satisfaction and performance
What are the benefits of e-governance?
- Cost-cutting
- Flexibility and efficiency
- Reduces corruption through transparency (e.g., Romania and SK public procurement systems online)
What are the challenges of e-governance?
- Digital divide and illiteracy, leading to exclusion of marginalized populations
- Inequality in access to rights
- Potential increase in scams
- Development of intermediaries (e.g., family members, NGOs)
What are the effects of e-governance on the relationship between citizens and the state?
- Loss of proximity and personalization
- Increased efficiency, simplification, and reduced delay
- Issues related to security and surveillance
What is the concept of anti-administrativism in the US?
- Opposition to the power of federal agencies and bureaucratic structures
- Seen as a threat to liberty and democracy, and a challenge to Congress
- Historically linked to movements against the New Deal and expansion of the administrative state
How has anti-administrativism manifested under Donald Trump?
- Creation of the Department of Government Efficiency (DOGE)
- Rollback of DEI initiatives
- Dissolution of USAID and purges of civil servants
- However, expansion of the administrative state for immigration control and surveillance
How does deregulation affect the administrative state, and what role does the state play in autocratic regimes?
Deregulation reduces direct government intervention in specific sectors, aiming to increase competition and efficiency. However, this often leads to the transformation of the administrative state rather than its disappearance.
In autocratic regimes, deregulation may still result in a strong state, with a shift toward surveillance and control, as these regimes use deregulation strategically to consolidate political power while maintaining authority through mechanisms like repression and surveillance. Thus, while deregulation reduces direct control, it can lead to the transformation of the state’s role rather than its reduction.
What is a common critique of Weber’s bureaucratic model?
It does not account for non state actors
