華柬師範大學教育管理學系

教育管理与教育治理的实践基础Practical Foundations of Educational Management & Governance(19-23 & 26-30 Oct., 2015) 華柬師範大學教育管理學系曾榮光 http://www.fed.cuhk.edu.hk/~wktsang/ECNU-workshop/

第一講教育管理与教育治理：實踐的探討Educational Management & Governance: A Practical (Comparative-Historical) Enquiry 華柬師範大學教育管理學系教育管理与教育治理的实践基础工作坊 19 October, 2015

“Governance is said to be many things, including a buzzword, a fad, a framing device, a bridging concept, an umbrella concept, a descriptive concept, a slippery concept, an empty signifier, weasel word, a fetish, a field, an approach, a theory and a perspective.” (Levi-Faur, 2012, P.3) The Emergence of the Discourse on Governance

“The term ‘governance’ refers to a change in the meaning of government, referring to a new process of governing. There are many uses of governance, for example, it refers to minimal state; corporate governance; and the new public management. It has too many meanings to be useful.” (Rhodes, 1997, P. 15; original emphasis) The Emergence of the Discourse on Governance

“The difficulties surrounding the term governance are considerable. …One colleague describes it as a ‘weasel’ word ─ slippery and elusive, used to obscure not to shed light.” (Bevir & Rhodes, 2003, P. 41) “There is no essentialist notion of governance.” (P. 43) The Emergence of the Discourse on Governance

The discourse of governance “involves some rather slippery, confusing and contested concepts.” (Ball & Junemann, 2012, P. 1) The Emergence of the Discourse on Governance

The task ahead: This enquiry attempts to clarify the various meanings surrounding emerged from the discourse of governance. It aims not only to break the labyrinth around the notion of governance but also substantiate the practical, empirical and theoretical significance in the study of governance The Emergence of the Discourse on Governance

The approach to the study of governance: There are commonly two approaches to the study of the phenomenon of governance Essentialist approach: In search of the empirical-positivistic valid constituents that can definitively delineate a specific social phenomenon. Comparative-historical approach (Morphogenetic Approach): In search of the patterns of human activities emerged and constituted in given temporal and socio-political contexts. The enquiry is to adopt the latter approach. The Emergence of the Discourse on Governance

It has been well documented in the literature of the study of governance that there have been significant changes in the ways of governing in most of the post-industrial societies, most notably the UK and the US in the past thirty years. It has also been stipulated that these transformations of models of governing have invoked the popularity of the idea governance. … The Idea of Governance: A Comparative-Historical Approach

…. Hence, one way to understand the meanings of the idea of governance is to trace the trajectories of the transformation undertaken by the states in post-industrial societies in their ways to obtain and exercise their public authorities, to conduct their public administrations, to implement their public policies and to deliver their public service. The Idea of Governance: A Comparative-Historical Approach

The operational definition of governance: In order to facilitate the subsequent enquiry, let’s render an operational definition of governance as following: It refers to the ways the popular sovereignty of a modern state used its public authority to govern its subjects. (Peter, 1996; Kettl, 2005; Bevir, 2012). The Idea of Governance: A Comparative-Historical Approach

The operational definition of governance: … Distinction between the studies of government and governance: In light of this definition, researchers commonly make a distinction between studies of government and that of governance as follows The traditional studies of government in political science focus on the institutions and organizations, i.e. the rules and procedures, employed by the public authority of a sovereign state. The studies of governance in political science focuses on the interactions and social dynamics evolved and “institutionalized” in a particular process of governing. The Idea of Governance: A Comparative-Historical Approach

The operational definition of governance: … Levels of studies of governance: Accordingly, the process of governance can further be differentiated into three levels Public-authority level of governance: It focuses on the way the sovereign state obtaining and exercising its public authority. It concentrates mainly on the macro-level studies in political science. Public-policy level of governance: It focuses on the way the governing authority implements public policies of a particular policy domain, for examples education, public health, national defense, etc. It relates in general to the meso-level studies in public administration. The Idea of Governance: A Comparative-Historical Approach

The operational definition of governance: … Levels of studies of governance: Accordingly, the process of governance can further be differentiated into three levels … Public-service level of governance: It focuses on the way a particular policy branch with a government delivers specific services to the respective targets clients. It relates generally to the micro-level studies of the managements and operations of particular agencies, such as schools, hospitals, social-service agencies, etc. The Idea of Governance: A Comparative-Historical Approach

Transformations of Models of Governing: A number of scholars in the field of public administration and policy have synthesized the changes in models of governing in post-industrial societies into several stages. (Peter, 1996; Mayntz, 2003; Kettl, 2005; and Rhodes, 2000: Bevir, 2010) The Idea of Governance: A Comparative-Historical Approach

Transformations of Models of Governing: ….They basically includes the following four stages Post-WWII Keynesian Welfare-state (1950s-1970s) New Public Management of Neoliberalism (1980s-1900s) Network Governance (The latter half 1990s…) The Idea of Governance: A Comparative-Historical Approach

Post-WWII Keynesian welfare-state: It signifies the model of governing commonly adopted by Western capitalistic-democratic state since the post-WWII decades. It has been characterized by Bob Jessop as the “Keynesian Welfare National State (KWNS)” (1999). The Idea of Governance: A Comparative-Historical Approach

Post-WWII Keynesian welfare-state: Governing orientations of the KWNS: KWNS signifies four specific governing orientation of the post-WWII state Keynesian approach to economic policy by means of demand-side management of public expenditure target national full employment; social-welfare provisions in the form of social-wages, which aim to facilitate the reproduction of labour power for capitalistic economy; confinement to the scope within its national boundary and the interests of its nationals and citizens; state-interventions in the forms of nationalization, direct provisions of services, substantial subsidies, etc. The Idea of Governance: A Comparative-Historical Approach

Post-WWII Keynesian welfare-state: Governing measures of KWNS: In order to achieve the above policy orientations, post-WWII state adopted specific governing measures of Centralized planning; Top-down implementation; Bureaucrat-professional led delivery; Political-hierarchical accountability The Idea of Governance: A Comparative-Historical Approach

Post-WWII Keynesian welfare-state: The Westminster-Whitehall model of the UK: The model of governing adopted by the UK has the characterized as one of the typical cases of post-WWII KWNS. It has be labeled as the Westminster and Whitehall models, which signify two of the specific features of UK governing model, namely the traditions of the parliament sovereignty and professional public servants. The Westminster-Whitehall model can be summarized as follows The Idea of Governance: A Comparative-Historical Approach

The Westminster Tradition The Whitehall Tradition Public authority of the sovereign state rests on the institution of democracy Public servants of political neutrality & public anonymity Expertise based on management science and policy science Rule by the majority in the House of commons The Cabinet & its functional ministers Tradition of “public spirits”, i.e. duty of defending “the public interest” Executive decisions to be checked & balanced by the Parliament Accountability to the respective functional ministers Accountability through periodical election

Post-WWII Keynesian welfare-state: The Old Public Administration in the US: A comparable tradition to the “Whitehall Tradition” can also be found in the US. It is commonly called the “Old Public Administration”. For example, Denhardt and Denhardt have summarized the tenets of the “Old Public Administration” tradition as follows. (Denhardt & Denhardt, 2000, Pp. 551-552) “Public administration is politically neutral, valuing the idea of neutral competence. The focus of government is the direct delivery of services. The best organizational structure is a centralized bureaucracy. The Idea of Governance: A Comparative-Historical Approach

Post-WWII Keynesian welfare-state: The Old Public Administration in the US: …. Programs are implemented through top-down control mechanisms, limiting discretion as much as possible. Bureaucracies seek to be closed system to the extent possible, thus limiting citizen involvement. Efficiency and rationality are the most important values in public organization. Public administration do not play a central role in policy making and governance: rather, they are charged with the efficient implementations of public objectives. The job of public administration is described by Gulick’s POSDCORB (Planning, Organizing, Staffing, Directing, Co-Ordinating, Reporting, Budgeting).” The Idea of Governance: A Comparative-Historical Approach

New Public Management of Neoliberalism: Governance failures of the welfare state: Since the 1970s, welfare states in most of the Western industrial societies witnessed a series of crises and public critiques. They included Oil crisis and global economic recessions; Fiscal crises in the forms of mounting deficits in most of government budgets the Western industrial societies; Rising criticisms on the inefficiency of the ever-growing state bureaucracies; Critiques on overloading the state; Critique of the effects of de-commodification of the welfare states on the capitalist production sectors; Neoliberal’s “war-cries” of “roll back the state”. The Idea of Governance: A Comparative-Historical Approach

New Public Management of Neoliberalism: … The rise of Neoliberalism: As a result of the discourse of the governance failure of the post-WWII welfare state, political parties of Neoliberalism came to and remained in power for over a decade in several Western industrial countries, for examples From 1979 to 1997 the Conservative Party led by Margaret Thatcher and then John Major rule over the UK from 18 years; From 1981-1993 the Republican Party presided by Ronald Reagan and then George H. W. Bush governed the US for 13 years; From 1982 to 1998 the Christian Democratic Union led by Helmut kohl ruled over the West Germany and then the Unified Germany for 17 years. The Idea of Governance: A Comparative-Historical Approach

The Trajectory of the Emergence of the Discourse of Goverance The emergence of the discourse of governance at the turn of the century The rise of Neoliberalism in the 1980s Post-WWII Keynesian Welfare State The Post-War Welfare-state Consensus in the UK The New-Right Government from 1979-97 New-Labour’s Modernising Govt. (1999) … Joined-up government, Policy Network & the Third Way Westminster-Whitehall Model New Public Management Movement

The Trajectory of the Emergence of the Discourse of Goverance The emergence of the discourse of governance at the turn of the century Post-WWII KeynesianWelfare State The rise of Neoliberalism in the 1980s The Reagan-Bush Government from 1981-93 The Post-War Welfare-state Federalism Clinton-Gore’s Reinventing Government 1993 ….. Traditional Public Administration New Public Management Movement The New Public Service Critique …..

The Trajectory of the Emergence of the Discourse of Goverance The emergence of the discourse of governance at the turn of the century The rise of Neoliberalism in the 1980s Post-WWII Keynesian Welfare State The Kohl’s CDU Govt. 1982-98 ….the reunification & constitution of the Berlin Republic The Merkel’s CDU Govt. 2005 … The Hegelian conception of the state and the post-WWII democratic state in FRG The Cologne School

New Public Management of Neoliberalism: … Public Sector Reform of the Neoliberalism: To many researchers of in the theory and practice governance, the governance discourse or even paradigm was initiated in the 1980s by the so-called “Public Sector Reform”. The Idea of Governance: A Comparative-Historical Approach

New Public Management of Neoliberalism: … Public Sector Reform of the Neoliberalism: … The background: As Jan-Erik Lane underline: (1997, P. 2) “The public sector reform drive was initiated during the 1980s in the advanced capitalist democracies as a response to the public sector expansion process that had been such a dominant feature of the OECD countries after the Second World War. In the early 1980s there was a realization that the public sector had a profound problem in relation to how well its various programmes were operating, given the fact that the public sector had grown from below 25% to over 45% of GDP in a couple of decades as an average.” The Idea of Governance: A Comparative-Historical Approach

New Public Management of Neoliberalism: … Public Sector Reform of the Neoliberalism: … As a result, a series of reforms were launched by central governments in most of the OECD countries. These so-called public sector reforms have been related by researchers as the “Chicago-School” teaching (Lane, 1997) or the advent of “Neoliberalism” (Harvey, 2005). The Idea of Governance: A Comparative-Historical Approach

New Public Management of Neoliberalism: … The policy features of the public sector reforms: Different researchers have characterized the policy features in different ways, for example Jan-Erike Lane (1997) has characterized the reforms in OECD countries by three features, namely deregulation, privatization and marketization (DPM); The Idea of Governance: A Comparative-Historical Approach

New Public Management of Neoliberalism: … The policy features of the public sector reforms: … Christopher Hood (1991; Pp. 4-5) has labeled the reform in the UK as the New Public Management and characterized it with seven “doctrinal components: (1) hands-out professional management in the public sector; (2) explicit standards and measures of performance; (3) output control; (4) disaggregation of units in the public sector; (5) competition; (6) private-sector styles of management practice; and (7) greater discipline and parsimony in resource use. The Idea of Governance: A Comparative-Historical Approach

New Public Management of Neoliberalism: … The policy features of the public sector reforms: … David Osborne and Ted Gaebler have formulated the reforms of the US government into “ten principles of entrepreneurial government ” (1992, P. 20). They simplify them as follow: The Idea of Governance: A Comparative-Historical Approach

“Most entrepreneurial governments (1) promote competition between service providers. (2) They empower citizens by pushing control out of the bureaucracy, into the community. (3) They measure the performance of agencies, focusing not on input but on outcomes. (4) They are driven by the goals ─theirmissions─not by their rules and regulations. (5) They redefine their clients as customers and offer them choices ─between schools, between training programs, between housing options. (6) They prevent problems before they emerge, rather than simply offering service afterward. (7) They put their energies into earning money, not simply spending it. (8) The decentralizeauthority, embracing participatory management. (9) They prefer market mechanism to bureaucratic mechanism. And (10) they focus not simply on providing public services, but on catalyzing all sectors ─public, private and voluntary ─into action to solve their community’s problems.” (Osborne & Gaebler, 1992, 19-20, original emphases) The Idea of Governance: A Comparative-Historical Approach

The policy rhetoric advocated by neoliberals in the public sector reforms in various countries may be summarized into four dimensions. They are Hollowing out the state Bringing in the market Dismantling the hierarchy (public bureaucracy) Constructing the hegemony of performativity and auditing culture Accordingly, the New Public Management proposed by politicians and scholars of Neoliberal stance can be synthesized as follows. The Idea of Governance: A Comparative-Historical Approach

Hollowing out the state • Decentralization & delayering of decision making • Devolution of service delivery (Rowing rather than steering) • Privatization, contracting out, & deregulation • Bringing in the Market • Introducing market competition into the public sector • Open & reverse bidding among agencies by lower cost and higher standard The Neoliberal Reform & New Public Management • Constituting the auditing culture • Management by results rather than by input & procedure • Developing quantifiable performance indicators • Introducing ranking or league-table system • Dismantling the Hierarchy • Displacement of anonymous public servants with high prolife public managers • Introducing the organizational culture of entrepreneurship • Restructuring rule-driven organization into mission-driven

Network governance: The background: Since the second half of the 1990s, the discourses around the limitations and pitfalls of the public sector reform waged by the New Right and Neoliberal governments had proliferated across different Western countries in both academic and practical arenas in the field of public administration and policy. These limitations and pitfalls include The Idea of Governance: A Comparative-Historical Approach

Network governance: The background: … Hallowing the state: The consequences of devolution and privatization have substantially weakened or even dismantled the coordinating and controlling apparatuses of the state. As a result, the neoliberal reforms have been criticized as “steering out of control”. Apart from the Neoliberal’s policy of internally dismantling and hollowing the state mechanism, the governing capacities of the state have also been weakened externally by the process of globalization and Europeanization. The advent of the international organizations, such as the WTO, World Bank and European Union has also eroded away some powerful policy instruments of the state, most notably, the governing instruments on international-trade, fiscal and monetary policies. The Idea of Governance: A Comparative-Historical Approach

Network governance: The background: … Fragmentation of the public sector: As the consequences of contracting-out, devolution (in the form of agencification and corporationaliztion), and privatization; the public sector, especially the public-service delivery sectors have been fragmented into diverse providers with different criteria and standards. The Idea of Governance: A Comparative-Historical Approach

Network governance: The background: … The growth of managerialism and performativity: To remedy to loss of direct supervision and control over the public agencies, the state has expand and extend its quality-assurance mechanism and surveillance apparatuses. As a result, it has practically destroyed the alliance and trust between the officials and professionals built up during the post-war period in delivery of public services. A distrusting and depressing culture has been proliferating among the serving professionals in the public sectors, such as school teachers, social workers, doctors and nurses, etc. The Idea of Governance: A Comparative-Historical Approach

Network governance: The background: … The advent of entrepreneurialism and the loss of public spirit: The introduction of competitions in the forms of open bidding and reverse audition among public-service providers has nurtured the entrepreneurial culture of cost-cutting and risk-taking among public-service agencies. As a result, it has gradually eroded away the long tradition of “public spirit” of serving and caring among civil servants and serving professionals. The Idea of Governance: A Comparative-Historical Approach

Network governance: The structuration of the network governance: New Labour’s Modernizing Government project: After eighteen years of ruling, the Conservative Party was replaced by the New Labour Party led by Tony Blair in 1997. One of major reforms waged by the New Laubour government was to deal with “the problem of fragmentation, which the Labour leadership believed was a symptom of eighteen years of Conservative state reforms.” (Richard & Smith, 2002, P. 239) The governance reform launched by the New Labour was commonly advocated as the “Modernising Government” project or more generally called the Third Way. The Idea of Governance: A Comparative-Historical Approach

New Labour’s Modernizing Government project: … “New Labour …advocates the idea of networks of institutions and individuals cooperating in mutually beneficial partnerships based on a relationship of trust. Labour is not seeking the outright abandonment of central bureaucracy or the welfare state. Nor does it advocate the wholesale use of markets instead it embrace a mixture of both. The aim is to utilize a combination of hierarchies, networks and markets, the mix of which is determined by the nature of the particular service to be provided. …No formal structure should be adopted to condition this collaboration; instead, different options should be available in order to ensure flexibility and responsiveness. The key to binding the various relationships together is one of trust.” (Richard & Smith, 2002, P. 238) The Idea of Governance: A Comparative-Historical Approach

華柬師範大學教育管理學系