Public Management e-Government

1. Public Managemente-Government Klaus G. Troitzsch Summer Academy 2005

2. Objectives Become familiar with • the role of public administration in state and society, • the structure and tasks of public administration and its main processes, • the implications these conditions have for public information management and electronic government. Klaus G. Troitzsch: Public Management and e-Government

3. Overview • Introduction – public administration and its information management • Public administration • definition • levels • structure • Role of public administration in Germany • Changes in public administration Klaus G. Troitzsch: Public Management and e-Government

4. Introduction: Sectors of society • state, government and administration shape the other sectors of society: governance in a strict sense • classical : authoritarian state • modern:lean state, activating state, New Public Management after [Reinermann & von Lucke 2001, p. 3] Klaus G. Troitzsch: Public Management and e-Government

5. Introduction: Sectors of society • Governance: shaping the other sectors of society by first sector • Government:the political system by which a nation or community is administered and regulated. • Public administration:the implementation of government policies. • Today public administration is often regarded as including also some responsibility for determining the policies and programs of governments. Specifically, it is the planning, organizing, directing, coordinating, and controlling of government operations. Klaus G. Troitzsch: Public Management and e-Government

6. Introduction:Institutions in the first sector • Public Management: controlling administration by executive and legislative branches Verwaltungen durch Regierung und Legislative • functions of administration [Hesse & Ellwein 1997, p. 342]: • executing the law and acting professionally • characteristics of administration [Hesse & Ellwein 1997, p. 343]: • objective: fulfilling public tasks • referring to the political constitution • organisation ans procedures oriented at public law legislative branch executive branch judicial branch cabinet and exec- utive departments administration Klaus G. Troitzsch: Public Management and e-Government

7. Defining administration • Legal definition • what is called „administration“ in some act of law • usually excludes the judiciary, the administration of parliament, military and diplomatic services • Economic definition • as opposed to private enterprise: no profit maximising • producer of public goods • public enterprises may combine the production of public goods with profit maximisation Klaus G. Troitzsch: Public Management and e-Government

8. Defining administration • Sociological definition • entities to produce binding decisions [Luhmann] • includes judiciary • neglects important activities of administrative bodies • does not distinguish between public and private „binding decisions“ (contracts are also binding!) Klaus G. Troitzsch: Public Management and e-Government

9. Dimensions of describing public administration “… administration can only be described, not defined …” [Forsthoff 1993, p. 1] • objectives: fulfilling public tasks • staff: civil service, entered by examination and offering permanent tenure. • structure: organized upon standard hierarchical lines • procedures: document related and decision oriented Klaus G. Troitzsch: Public Management and e-Government

10. Dimensions of describing public administration • legal framework: • bound by the law, • transparency, • poor working conditions • resources: • budget; • information and communication technology Klaus G. Troitzsch: Public Management and e-Government

11. Information systems research in public administration • … as a branch of science: shaping administrative processes supported by information technology … [Kaack 1992, p. 31] Klaus G. Troitzsch: Public Management and e-Government

12. Information systems research in public administration • objective: shaping sociotechnical systems • employability: • in civil service • in consulting firms Klaus G. Troitzsch: Public Management and e-Government

13. Information systems research in public administration law computer science applied computer science psychology sociology IS in public administration political science IS research organisation theory management science public management Klaus G. Troitzsch: Public Management and e-Government

14. Public management and IS in public adminisration • Electronic governance in general: shaping ways of life referring to modern information and communication technologies • Electronic Governance in a stricter sense: tasks of state and government in electronic governance • Electronic government: government using ICT intensively [Fachausschuss Verwaltungsinformatik der GI und Fachbereich 1 der ITG 2000, p. 3] Klaus G. Troitzsch: Public Management and e-Government

15. Public Management: Roles and activities of state, government and administration Klaus G. Troitzsch Summer Academy 2005

16. Objectives Become familiar with • the role of state in society • the relation between public administration and the role(s) of state Klaus G. Troitzsch: Public Management and e-Government

17. Types of state • [J.G. March & J.P. Olsen 1989, Rediscovering Institutions. The Organizational Basis of Politics. New York/London]: • The sovereign state • role of the state: shaping society according to political preferences and concepts • role of the administration: neutral instrument to achieve politcal goals • organsiation of the administration: hierarchically structured administration (lawfulness of administration, parliamentary control of the administration) • examples: inland revenue (tax services), police Klaus G. Troitzsch: Public Management and e-Government

18. Types of state II • The institutional state • role of the state: guaranteeingcurrent political and social strucures, respecting the autonomy of social entities • role of the administration: shaping culture, values and identities • organisation of the administration: institutions which adapt stepwise to their environment • examples: funding scientific research, regulating markets (e.g. telecommunication market) Klaus G. Troitzsch: Public Management and e-Government

19. Types of state III • The supermarket state model • role of the state: offering goods and services in competition with other suppliers • role of the administration: competition oriented at values such as sustainability, flexibility, efficiency • organisation of the administration: public enterprise, in competition in the market • examples: schools, hospitals, employment boards, public computing centres Klaus G. Troitzsch: Public Management and e-Government

20. Types of state IV • The corporate bargaining state • role of the state: partner in negotiations to formulate political programmes, moderator of political decision processes, implementing political programmes • role of the administration: representative of the state as an institution, negotiator and moderator in the political process • organisation of the administration: negotating and moderating as types of activity (no new types of organisation involved) • examples: round tables to formulate policies (from local to national …) Klaus G. Troitzsch: Public Management and e-Government

21. state sovereign, authoritarian state democratic, constitutional state pluralist, corporatist negotiation state participative, functional state Another typology [following Jann 1998] autonomous administration hierarchical administration co-operative administration responsive administration role of public administration realise the common good realise political preferences defined democratically construct and moderate complex negotiation systems satisfy customers‘ and clients‘ needs normative premise common good democracy problem solving service principle of organisation autonomous bureaucracy bureaucracy as reliable machine bureaucracy as part-ner in negotiations bureaucracy in competition role of citizens subjects voters members of corporations customers, consum-ers, co-producers policy formulation neutral bureaucracy, experts elections, parties, parliament networks, coalitions, corporatism participation policy implementation neutral bureaucracy, experts neutral bureaucracy, experts political bureaucrats professional admin-istration, citizens as co-producers Klaus G. Troitzsch: Public Management and e-Government

22. Administrative tasks • execute the law, apply the law to individual cases • the law programs the activities of the administration (conditional programming) • the law limits and restricts the activities of the administration (lawfulness of administration) • central activity: administrative act: the application of the law to an individual case • shape general political programmes in detail • on the base of more general political programmes or acts of law (final programming) [Schuppert 2000, p. 73ff] Klaus G. Troitzsch: Public Management and e-Government

23. Public Management: Administrative Law Klaus G. Troitzsch Summer Academy 2005

24. Objectives Become familiar with • the way public administration is controlled by the law Klaus G. Troitzsch: Public Management and e-Government

25. Legal foundations: Overview • Types and sources of law • acts and decrees (statutes) • administrative regulations • court decisions • Legislation process • How the law controls the administration Klaus G. Troitzsch: Public Management and e-Government

26. Legal foundations: Typology directed to NB: technical terms are different between countries! issued by Klaus G. Troitzsch: Public Management and e-Government

27. Legal foundations: acts and decrees • Addressee: public • Types [after Eichhorn 1985, p.777] • acts of law • accepted by a parliamentary body in some formal procedure • and published in an official gazette • decrees • issued by a ministry or the cabinet by authorisation of the constitution or an act of law which defines the general contents and objectives, but not the details Klaus G. Troitzsch: Public Management and e-Government

28. Legal foundations: acts and decrees • Types [after Eichhorn 1985, p.777, continued] • ordinances of public corporations • enacted by corporations under public law which are endowed with the power of issuing such decrees within the limits of their self-governance • objective: public law corporations (municipalities, universities etc.) should be able to decide in their own affairs • but only by virtue of state legislation • published in appropriate official gazettes • common law • not written • applied by a court when everybody is convinced of its appropriateness Klaus G. Troitzsch: Public Management and e-Government

29. Legal foundations: administrative regulations • examples: regulation, ordinance, instruction • addressee: subordinate administrative bodies, individual civil servants • objective: standardisation of the interpretation of the law • usually published in annexes to official gazettes [after Eichhorn 1985, p.1009] Klaus G. Troitzsch: Public Management and e-Government

30. Legislative procedures • Legislative initiative • from members of parliament, often with a certain minimum number of signatures • from the cabinet of ministers • from the state president (if there is any) • from the other chamber (in bicameral legislatures) • first reading in plenary session • consideration in committees, sometimes: hearing • second (and sometimes: third) reading in plenary session • [in bicameral legislatures, in the case of differences between the chambers: conference committee] • confirmation (by chancellor / prime minister / president) • publication Klaus G. Troitzsch: Public Management and e-Government

31. Functions of the law: control • Function of the law • controls whatever happens in society • commands and authorises administration • proviso of the law[Schuppert 2000, p. 481] • authorisation by the law needed for any administrative action • granularity of this authorisation (how detailed …?) • subject and object of this authorisation (who is authorised? to what? limits? procedures?) • … the more important, the more details … Klaus G. Troitzsch: Public Management and e-Government

32. Functions of the law: provide The law provides possibilities • [Schuppert 2000, p. 510f] enablesand channelshuman activities (here: administrative action) by providing • appropriate decision processes • appropriate types of action • appropriate types of organisation • appropriate regulations for civil service Klaus G. Troitzsch: Public Management and e-Government

33. Levels of intensity [Schuppert 2000, p. 511ff] Observation: degrees of detail and intensity may be different between statutes: • command: objective(s) and process(es) are compulsory • order: (one or more, perhaps competing) objective(s) must be reached, ways and means can be chosen more or less freely • authorisation: even objectives may be chosen among competing objectives, given the situation in which to act • limit: negative definition; administration must not trespass (e.g. fundamental rights) decreasing degree of detail and intensity Klaus G. Troitzsch: Public Management and e-Government

34. Functions of law • The law is general and refers to the future • In individual cases it has to be made more concrete and complete • Even where the law is detailed, the administration will have to complement it and create new rules by way of interpretation and applying it to situations unforeseen by the legislator • Even individual decisions may have an effect on future decision since everyone has to be treated equally. Klaus G. Troitzsch: Public Management and e-Government

35. Administration as self-controlled • Most codes of law are prepared by the ministries (i.e. by the administration): • professional qualification: knowledge of the law, of the procedures, of methods of co-ordination and of co-operation • wide base of information: state of legislation, information on facts, public opinion, prediction of consequences, necessities of regulation • greater resource of staff • co-ordination of fact knowledge and of political knowledge • Parliament: factual supervision only during legislative process, no self-sustained control • supervision only partial • changes only partial • administration is controled by rules which it influences to a large extent! Klaus G. Troitzsch: Public Management and e-Government

36. Public Management: Tasks and activities Klaus G. Troitzsch Summer Academy 2005

37. Objectives Become familiar with • the range of tasks of public administration • the relation between tasks and types of action in public administration Klaus G. Troitzsch: Public Management and e-Government

38. Tasks of public administration:historical development [Richard Rose, On the Priorities of Government. A Developmental Analysis of Public Policies, in: European Journal of Political Research 4 (1976), p.247-289] • defining activities of the state: • defence of territorial integrity • maintenance of internal order • mobilising finance (taxation, issuing currency) • mobilisation of physical resources • building canals, roads and railways, post and telegraph service (producer orientation) • provision of social benefits • free education, safety at work, health care, full employment five classical ministries: foreign affairs, war, justice, police, treasury Klaus G. Troitzsch: Public Management and e-Government

39. Tasks of public administration: typology Security[Schuppert 2000, p. 82ff] • warding off dangers: prevent immediate damage to people and goods from third parties or nature (e.g. evacuating a region threatened by tomorrow‘s flood) [ebd., p. 85] • protecting from danger: prevent future damage (e.g. building dykes against next year‘s flood), open future opportunities • precautions for risks: precautions taken against long-term unpredictable damage where causes are unknown or difficult to evaluate (e.g. regulations for the design and the construction of buildings) • prevention: prevention of undesirable development and/or events (e.g. compulsory vaccination, compulsory health insurance) Klaus G. Troitzsch: Public Management and e-Government

40. Tasks of public administration: typology [Schuppert 2000, p. 82ff] • Financial administration:providing and re-allocating resources • Planning administration: systematic long-term shaping of some social area, independent from any individual case • Social security administration: helping those who cannot care for themselves sufficiently (collective and political responsibility) Klaus G. Troitzsch: Public Management and e-Government

41. A functional typology of administration • [Hesse & Ellwein 1997, p. 343f] • police (in a wider sense): maintaining public order, enforcing the law (e.g. police, factory inspection) • servicing administration: technical and personal services (e.g. school, university, nursery services, social aid) • housekeeping administration: administering property, inventory, revenue and expenses, (e.g. inland revenue, procurement) • organising administration: administering staff and organisation (staff services, archive, record office) • political administration: decision support, policy formulation (e.g. ministries) Klaus G. Troitzsch: Public Management and e-Government

42. Principles of performing tasks • Principle of the constitutional state • separation of powers • prevalence of fundamental rights (Art. 1 Abs. 3 GG) • lawfulness of administration (Art. 20 Abs. 3 GG) • adequacy • equal opportunities • being subject to judgment by administrative courts (Art. 19 Abs. 4 GG) • Principle of the social state • achievement of social security and socila justice • Principle of democracy • citizen participation in decision process • understandability of regulations and decisions • Efficiency • best possible relation between objectives and resources Klaus G. Troitzsch: Public Management and e-Government

43. Typology of administrative activities • [Schuppert 2000, p. 154 ff] • administrative act • planning • contract under public law • contract under private law Klaus G. Troitzsch: Public Management and e-Government

44. Administrative act administrative act[Schuppert 2000, p. 154ff] • “... any enactment, decision or other administrative measure which an administrative body takes to rule out an individual case under public law and which is directed at immediate effect outside this body” (§35 linea 1 VwVfG). • functions: • to individualise and clarify with respect to a citizen, to discipline with respect to a subordinate administrative body • to issue a writ of execution (if the act is incontestable or otherwise executable) • to finalise an administrative process (according to applicable administrative law) Klaus G. Troitzsch: Public Management and e-Government

45. Administrative act : functions • more functions • to stabilise • making clear in which way the freedom of judgment was used by the agency • formulating conditions for the applicant (e.g. in case of adopting local development plans) • implementing negotiation results (co-operative administration) • implementing stages of complex processes • to control Klaus G. Troitzsch: Public Management and e-Government

46. Contract under public law Contract under public law[Schuppert 2000, p.172ff] • area of application: • wherever “the state could not fulfill its tasks without the voluntary co-operation of organised or non-organised groups in society, or could not do so in a desirable way” • [Krebs quoted after Schuppert 2000, p.175] Klaus G. Troitzsch: Public Management and e-Government

47. Plans Types: • imperative plans: binding all addressees (e.g. local development plans) • influencing plans: indirect control of behaviour (e.g. incentive programmes in research funding) • indicative plans: just informative (e.g. mid-range budget planning) [Schuppert 2000, p.198ff] Klaus G. Troitzsch: Public Management and e-Government

48. Subsidies [Schuppert 2000, p.213ff] • promoting the economic development (sectoral, regional) by funding firms (subsidies) or by exempting them from charges (tax reductions) • objectives: • preserve firms or branches • adapt firms or branches to new conditions • promote progress in productivity and economic growth, develop new lines and methods of production Klaus G. Troitzsch: Public Management and e-Government

49. Informal action [Schuppert 2000, p.236] • distribute and collect information • professional activities (e.g. teaching, extinguishing fire) Klaus G. Troitzsch: Public Management and e-Government

50. Public Management: Levels of administration Klaus G. Troitzsch Summer Academy 2005