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Public Management e-Government. Klaus G. Troitzsch Summer Academy 2005. Objectives. Become familiar with the role of public administration in state and society, the structure and tasks of public administration and its main processes ,

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public management e government

Public Managemente-Government

Klaus G. Troitzsch

Summer Academy 2005

objectives
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

overview
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

introduction sectors of society
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

introduction sectors of society1
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

introduction institutions in the first sector
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

defining administration
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

defining administration1
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

dimensions of describing public administration
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

dimensions of describing public administration1
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

information systems research in public administration
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

information systems research in public administration1
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

information systems research in public administration2
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

public management and is in public adminisration
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

public management roles and activities of state government and administration

Public Management: Roles and activities of state, government and administration

Klaus G. Troitzsch

Summer Academy 2005

objectives1
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

types of state
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

types of state ii
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

types of state iii
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

types of state iv
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

another typology
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

administrative tasks
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

public management administrative law

Public Management: Administrative Law

Klaus G. Troitzsch

Summer Academy 2005

objectives2
Objectives

Become familiar with

  • the way public administration is controlled by the law

Klaus G. Troitzsch: Public Management and e-Government

legal foundations overview
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

legal foundations typology
Legal foundations: Typology

directed to

NB: technical terms are different between countries!

issued by

Klaus G. Troitzsch: Public Management and e-Government

legal foundations acts and decrees
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

legal foundations acts and decrees1
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

legal foundations administrative regulations
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

legislative procedures
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

functions of the law control
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

functions of the law provide
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

levels of intensity
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

functions of law
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

administration as self controlled
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

public management tasks and activities

Public Management: Tasks and activities

Klaus G. Troitzsch

Summer Academy 2005

objectives3
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

tasks of public administration historical development
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

tasks of public administration typology
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

tasks of public administration typology1
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

a functional typology of administration
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

principles of performing tasks
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

typology of administrative activities
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

administrative act
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

administrative act functions
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

contract under public law
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

plans
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

subsidies
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

informal action
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

public management levels of administration

Public Management: Levels of administration

Klaus G. Troitzsch

Summer Academy 2005

objectives4
Objectives

Become familiar with

  • the organisational structure of public administration and
  • its specific influence on E-Government

Klaus G. Troitzsch: Public Management and e-Government

institutions of public administration
Institutions of public administration
  • Public administration = a network of institutions, related to each other
    • vertical distribution of labour
    • horizontal distribution of labour
  • defined by constitution, law, …
  • founded by parliament, cabinet of ministers, ministries, …

Klaus G. Troitzsch: Public Management and e-Government

levels of public administration
Levels of public administration
  • national level
    • Germany, the U.S., Switzerland
  • regional level
    • the federal states, cantons, …
  • local level
    • municipalities, counties with the right of self-governance

Klaus G. Troitzsch: Public Management and e-Government

institutions of public administration in germany
Institutions of public administration in Germany

Klaus G. Troitzsch: Public Management and e-Government

local self government
Local self-government
  • guaranteed by the constitution (Art. 28 (2) GG)
    • guarantee to be part of the general administration
    • guarantee of their own tasks
    • guarantee of legal rights
    • but no guarantee of their territorial status (the law may reorganise the territorial structure)
  • Legal rights of a municipality
    • right to bear a name
    • right to go to court
    • sovereignty with respect to its territory
    • sovereignty with respect to its financial behaviour (within the limits of the law)
    • sovereignty with respect to local development and other planning
    • sovereignty with respect to internal organisation
    • own civil service
    • full competence in terms of culture

Klaus G. Troitzsch: Public Management and e-Government

institutions of public administration in germany1
Institutions of public administration in Germany
  • Owner of public administration [Meier & Bolten 1992, p. 25ff]
    • state: Federal Republic of Germany, federal states
      • has original power, not derived from any other body but from the people
    • owners of public administration which derive their power from the state
      • corporations (including municipalities), institutes, foundations under public law
      • other persons under public law
    • other persons endowed with administrative competences
      • examples: notary public, chimney sweeper (sic!)

Klaus G. Troitzsch: Public Management and e-Government

institutions of public administration in germany2
Institutions of public administration in Germany
  • person (6) = one (as a human being, a partnership, or a corporation) that is recognized by law as the subject of rights and duties (Webster)
  • persons under public law have their own civil service, organisational and financial independence (within the limits of the law that created them)
  • either „originally existing“ (state) or created by act of law
    • by parliamentary law
    • by other decrees as foreseen by parliamentary law

Klaus G. Troitzsch: Public Management and e-Government

institutions of public administration in germany3
Institutions of public administration in Germany
  • direct state administration
    • tasks are performed by state agencies
  • indirectstate administration
    • tasks are performed by administrative bodies of municipalities or corporations under public law
    • or by other persons under public or private law

Klaus G. Troitzsch: Public Management and e-Government

institutions of public administration in germany4
Institutions of public administration in Germany

Corporations

  • institutions that have members
  • perform tasks of the state with full administrative power
    • regulate their own affairs (self-government) within the limits of the law and under supervision of the state (restricted to checking lawfulness)
    • perform state tasks obeying state laws, under supervision of the state (checking both lawfulness and appropriateness)
  • participation of members in the policy-finding process
  • right to enact statutes
  • right to levy taxes and other contributions

Klaus G. Troitzsch: Public Management and e-Government

institutions of public administration in germany5
Institutions of public administration in Germany
  • Municipal corporations are organized under the applicable state constitution and laws, with powers of government expressly or implicitly conferred by that constitution and laws, and also by charter. [BE]
  • The public corporation form, used extensively in Great Britain and widely copied in other parts of the world, is created by a special act of Parliament that defines its powers, management structure, and relationship with government bodies. As a corporation it has legal entity.Its capital requirements are met by the treasury, but it is supposed to meet its current expenses from its normal commercial operations. Its employees are not civil servants, and the top management is often appointed by the minister in charge. Another administrative form that is popular in parts of the world is the state company, which is simply an ordinary joint-stock company whose shares are owned wholly or partly by the state. [BE]

Klaus G. Troitzsch: Public Management and e-Government

institutions of public admin istration public corporations
Institutions of public admin-istration: public corporations

Types of corporations

  • municipal corporations
    • members = inhabitantsof a certain territorial subdivision of a state
  • other public corporations
    • members = persons with particular personal properties

e.g. having a certain profession (in Germany: physician, apoth-ecary, architect, advocate), acting in a certain business branch, studying or teaching in a university, being insured in some branch of social security, …

In the other countries of the European Community and in some Latin-American countries,they [chambers of commerce] are bodies whose functions, membership,

financial resources, and organization are prescribed by law. In such circumstances the chambers of commerce often undertake duties that are elsewhere usually performed

by local or central governments. [BE]

Klaus G. Troitzsch: Public Management and e-Government

institutions of public admin istration agency
Institutions of public admin-istration: agency
  • capacity = being able to act with legal consequences
    • capacity to contract = being able to be a party to a contract, beng legally competent
    • capacity to sue, procedural capacity= being able to participate in a lawsuit as a plaintiff or as a defendant
  • natural persons are competent (above a certain age, …)
  • corporations cannot act directly; are represented by some board, or organ
  • organs as such are not legal entities but only represent their corporations

Klaus G. Troitzsch: Public Management and e-Government

institutions of public admin istration administrative body
Institutions of public admin-istration: administrative body
  • „eine in den Organismus der Staatsverwaltung eingeordnete organisatorische Einheit von Personen und sächlichen Mitteln, die mit einer gewissen Selbständigkeit ausgestattet ist und dazu berufen ist, unter öffentlicher Autorität für die Erreichung der Zwecke des Staats oder von ihm geförderter Zwecke tätig zu sein“ (BVerfGE 10 20, 48)
  • “an organisational unit of persons and resources, arranged in the organism of public administration, which is equipped with a certain independence and is destined being active under public authority for reaching the purposes of the state or of some purposes promoted by the state”
    • created by charter under public law
    • organisational unit (personnel, resources, uniform direction, uniform rules)
    • independence (independent performing of tasks within the limits of its competence)

Klaus G. Troitzsch: Public Management and e-Government

public management administrative procedures

Public Management: administrative procedures

Klaus G. Troitzsch

Summer Academy 2005

objectives5
Objectives

Become familiar with

  • the processes of
  • decision making,
  • collecting and distributing information
  • controlling

in public administration

Klaus G. Troitzsch: Public Management and e-Government

procedures of administration and the administrative judicial system
protest

protest process

confirmation, repeal,

alteration, obligation to release

an administrative act

administrative lawsuit

Procedures of administration and the administrative judicial system

Public law

individualisation

administrative process

administrative act

Klaus G. Troitzsch: Public Management and e-Government

administrative process aims
Administrative process: aims
  • authority of a decision depends on a comprehensible procedure which ensures and prioritises
    • professional competence,
    • impartiality,
    • „equality of weapons“
  • efficiency
  • security
  • speed
  • economy

Klaus G. Troitzsch: Public Management and e-Government

administrative process co operation and participation
Administrative process: co-operation and participation
  • related to a singular act
    • hearing: opportunity to communicate opinions
    • co-operation: intensive discussion aimed at obtaining agreement, but the final decision is with the agency which calls for co-operation
    • co-determination: decision can only be made if all partners agree (or if a higher entity replaces the disagreement with its own decision)
  • permanently(related to institutions, elected officers etc.)
      • (formal) participation in boards (board of examiners in our faculty)
      • (additionally) informal influence by persuasive communication

Klaus G. Troitzsch: Public Management and e-Government

administrative process citizen participation
Administrative process: citizen participation
  • Participation of individual citizens
    • citizens are active only in particular cases, rather have to be urged to participate
    • but: co-operation and/or co-determination in boards of public institutions

(schools, university, broadcasting corporations, social security corporations)

    • objective of municipal self-government

(little co-operation of the (wo)man in the street, instead co-determination of half-professional city counselors)

recent tendencies: citizen initiatives, participation in local development plans, e-discourse on the Internet

Klaus G. Troitzsch: Public Management and e-Government

verwaltungsverfahren citizen participation ii
Verwaltungsverfahren: citizen participation II
  • Participation of associations
    • lobbying, aimed at promoting their own advantages
    • targeted at legislators, ministries and other agencies which have to apportion funds
    • institutional participation
      • in boards of directors of public enterprises
      • boards of advisors in ministries and othe important agencies
      • compulsory participation in particular processes and for certain bills (drafts of law)
  • mixed types (e.g. full-fledged citizen initiatives)

Klaus G. Troitzsch: Public Management and e-Government

checks and balances supervision
Checks and balances, supervision
  • internal checks
    • within one adminisrative body
    • supervision by superior agencies
  • external checks, actor and supervisor are mutually independent:
    • by parliamentary action (committees ombudspersons, interpellation, petition, ...)
    • by judicial action (administrative courts)
    • by auditors / chamber of accounts (reporting to parliament)
    • by public opinion (press, radio, television, citizen initiative, ...)

Klaus G. Troitzsch: Public Management and e-Government

administrative courts
Administrative courts
  • Law suits between citizens and authorities / between authorities on three levels
    • Verwaltungsgerichte (administrative courts)

for each administrative district (3 to 5 per federal state)

    • Oberverwaltungsgerichte (superior administrative courts)

usually one for each federal state

    • Bundesverwaltungsgericht (supreme or federal administrative court, in Berlin)

Klaus G. Troitzsch: Public Management and e-Government

chamber of accounts
Chamber of accounts
  • one for each federal state and one federal chamber of accounts
  • audits the accounts of selected agencies of the administration of its federal state and of the federal administration, resp.
  • suggests improvements in the organisation of federal, state and local administration
  • reports to parliament after giving the ministries an opportunity to comment on its report

Klaus G. Troitzsch: Public Management and e-Government

parliaments
Parliaments
  • consider and pass budgets
  • during the budgeting process
  • discuss the necessities of and alternatives to the proposed expenses
  • inquire into the spending process

Klaus G. Troitzsch: Public Management and e-Government

public management budgeting

Public Management: Budgeting

Klaus G. Troitzsch

Summer Academy 2005

objectives6
Objectives

Become familiar with

  • the classical budgeting process
  • more modern approaches

Klaus G. Troitzsch: Public Management and e-Government

classical budgeting
Classical budgeting
  • Aim: Parliamentary control of administrative expenses
    • setting limits to administrative activities
    • supervising administrative expenses
    • ensuring parliamentary influence on the executive power
  • historical background: parlamentary budget control in view of an open-handed monarch‘s household (“no taxation without representation”, the begin of the American revolution)

[after Schuppert 2000, p.698ff]

Klaus G. Troitzsch: Public Management and e-Government

classical budgeting1
Classical budgeting

process

[after Schuppert 2000, p.698ff]

preparation of

the 2006 budget

(cabinet,

parliament)

execution of the

2005 budget

(admin-

istration)

control of the

2004 budget

(chamber of

accounts,

parliament)

Klaus G. Troitzsch: Public Management and e-Government

classical budgeting2
Classical budgeting

Budget preparation

  • ministries report demands
  • treasury co-ordinates demands, compares demands with expected revenues
  • parliament considers budget proposal and passes it (usually with some slight changes)
  • budget as result of a negotiation process
  • institutional orientation

Klaus G. Troitzsch: Public Management and e-Government

classical budgeting3
“The basic weakness of the administrative budget is that it is principally concerned with whether expenditure has been properly authorized, rather than whether money has been well spent.” [BE]Classical budgeting

budget preparation: problems

  • no hierarchy of objectives: every branch of administration just lists their needs
  • instead desired: encompassing hierarchy of objectives from which current needs can be derived
  • updating practice, encourages a short-term view
  • instead desired: mid- or long-term planning
  • but: five-year financial plan, co-ordinated between the national and the state level, for part of the budget available since the late 1960s

Klaus G. Troitzsch: Public Management and e-Government

classical budgeting4
Classical budgeting

budget execution: principles of spending the budget

  • annual: expenses and revenues foreseen for one year
  • special: expenses and revenues described in great detail
  • don‘t spend under an exhausted budget heading what you saved under another budget heading

Klaus G. Troitzsch: Public Management and e-Government

classical budgeting5
Classical budgeting

Auditing

  • audit expenses according to:
    • formal correctness (all signatures ?)
    • arithmetic correctness (no miscalculations ?)
    • material justification (compared several quotations ?)
  • aim:was the principle of cost minimisation met?
    • non-political audit: objectives are set politically and are not questioned in the audit process
    • at least not in the chamber of accounts, but possible in parliamentary debate

Klaus G. Troitzsch: Public Management and e-Government

new public management
New public management
  • NPM was conceived as a means to improve efficiency and responsiveness to political principals.  Its origins were in Parliamentary democracies with curiously strong executive powers, centralized governments, and little administrative law.  In this archetypal setting, NPM seems to embody the idea of a cascading chain of contracts leading to a single (usually Ministerial) principal who is interested in getting better results within a sector portfolio over which he or she has significant and relatively unchallenged authority. [World Bank, http://www1.worldbank.org/publicsector/civilservice/debate1.htm]

Klaus G. Troitzsch: Public Management and e-Government

public management it and administration

Public Management: IT and administration

Klaus G. Troitzsch

Summer Academy 2005

objectives7
Objectives

Become familiar with

  • influences of IT on administration
  • the usage of IT by administration

Klaus G. Troitzsch: Public Management and e-Government

it as a resource
IT as a resource
  • IT in data centres:
    • high cost of IT, few IT-specialists available
    • used by several agencies at a time, IT supports particular tasks of different agencies
    • host supported (inter-municipal data centres, statistical offices with services for other agencies, social security bodies)
    • networks for data entry and result distribution

agency A

data centre

agency B

Klaus G. Troitzsch: Public Management and e-Government

it as a resource1
agency

computing centre

IT as a resource
  • IT at the workplace
    • cheap hardware, growing IT skills in civil service
    • standalone PCs nearly everywhere, some in LAN
    • IT supports the task of particular officers
    • office applications (text processing, specialised applications at the workplace, only few host applications)

Klaus G. Troitzsch: Public Management and e-Government

it as a resource2
business

agency

Internet

citizen

IT as a resource
  • IT in networksand on theInternet
    • PCs everywhere, all networked within one agency
    • connected to the Internet and to administrationwide WAN
    • IT as electronic media supporting communication and collaboration between employees (within one agency and between agencies) and between employees and external partners (citizen, business), shared databases
    • groupware, Internet services; server-based procedures

Klaus G. Troitzsch: Public Management and e-Government

it and overall organisation of administration
IT and overall organisation of administration

Overview

  • IT as trigger for New Public Management
  • IT as prerequisite for New Public Management
  • IT and its interactions with administrative structures under New Public Management
  • IT in NPM and E-Government

Klaus G. Troitzsch: Public Management and e-Government

it and overall organisation of administration1
IT and overall organisation of administration
  • IT as trigger for New Public Management
    • IT as trigger for more intensive international competition
    • international competition  more intensive competition between regions and countries  more intensive competition betweenadministrative agencies  necessity of more efficient and effective administration
    • other triggers: e.g. public budget problems, higher complexity of the environment of public administration, claims of employees

Klaus G. Troitzsch: Public Management and e-Government

it and overall organisation of administration2
IT and overall organisation of administration

IT as prerequisite for New Public Management

  • prerequisite for the optimisation of business processes:

IT at the workplace and networking support

    • individual tasks
    • co-operation in an organisational unit
    • co-operation in the process chain (communication, shared data)

Klaus G. Troitzsch: Public Management and e-Government

it and overall organisation of administration3
IT and overall organisation of administration

IT as prerequisite for New Public Management (cont.)

  • enhanced orientation to addressees

concerning customers

    • provide services in the immediate neighbourhood of customers, bundle services (one-stop government)
    • provide higher transparence (e.g. via electronic information systems, freedom of information)
    • gain of feedback information

concerning higher levels of administration and political leadership

    • higher transparence by improved reporting on budgets, effects, cost etc. as a base for controlling and auditing

Klaus G. Troitzsch: Public Management and e-Government

it and overall organisation of administration4
IT and overall organisation of administration

Interactions between IT and organisational structure

  • depth of services of agencies (outsourcing, make-or-buy decisions, contracting-out)
  • decentralisation of administrative services
  • loosening territorial relations
  • centralisation of services (back-office) becomes possible without neglecting proximity
  • shared use of human resources
  • reorganisation of customer interface

Klaus G. Troitzsch: Public Management and e-Government

it and overall organisation of administration5
IT and overall organisation of administration

Reorganisation of the customer interface: One-Face-to-the-Customer, One-Stop-Shop

  • One-Face-to-the-Customer = one employee is in charge of all processes of one customer / client / citizen(within one administration)
  • Single-Window-Government = all processes between citizen / enterprise and administration use the same agency as first point of contact
  • One-Stop-Government = administrative processes are finalised in one single contact with the agency
  • precondition: reorganisation of administrative processes ( interaction between IT and organisational structure and processes)

Klaus G. Troitzsch: Public Management and e-Government

information systems research and public administration

Information Systems Research and Public Administration

Klaus G. Troitzsch

Summer Academy 2005

information systems research and public administration1
Information Systems Research and Public Administration
  • Differences between public administration and business administration
  • Research methods are the same, but with respect to the object there are some differences which have to be taken into account

Klaus G. Troitzsch: Public Management and e-Government

aspects
Aspects
  • Automation
  • Technology assessment
  • Management organisation
  • Technical organisation

Klaus G. Troitzsch: Public Management and e-Government

application areas
Application areas
  • Citizen services
  • Support of internal processes
  • Knowledge management
  • Support of public management
  • Support of political decision making processes

Klaus G. Troitzsch: Public Management and e-Government

differences between business and public administration 1 3
Differences between business and public administration (1/3)

Klaus G. Troitzsch: Public Management and e-Government

differences between business and public administration 2 3
Differences between business and public administration (2/3)

Klaus G. Troitzsch: Public Management and e-Government

differences between business and public administration 3 3
Differences between business and public administration (3/3)

Klaus G. Troitzsch: Public Management and e-Government

research methods and objects
Research methods and objects

IS research generally deals with

  • IT supported processes and workflows
    • for information management
    • decision making
    • services
  • in public administration and government

Klaus G. Troitzsch: Public Management and e-Government

central question
Central question
  • How can we reengineer and improve business processes and workflows
  • in public administration?

Klaus G. Troitzsch: Public Management and e-Government

tasks 1 2
Tasks (1/2)
  • Find and define objectives for IT-supported reengineering of administrative processes
  • Analyse administrative processes and structures as a prerequisite for reengineering
  • Develop appropriate information systems

Klaus G. Troitzsch: Public Management and e-Government

tasks 2 2
Tasks (2/2)
  • Develop information systems from a user perspective (participative system development)
  • Organise IT procurement and updating
  • Administer information systems
  • Control IT application within and between organisational units
  • Design innovation projects

Klaus G. Troitzsch: Public Management and e-Government

neighbouring disciplines
Neighbouring disciplines
  • Political science, administrative science, law
    • for theories of objectives, possibilities and limits of administrative action
  • Management science
    • for theories of structures of and processes in organisations
  • Computer science
    • for a theory of systematic information processing

Klaus G. Troitzsch: Public Management and e-Government

aspects1
Aspects
  • Automatision
  • Technology assessment
  • Management organisation
  • Technical organisation

Klaus G. Troitzsch: Public Management and e-Government

automatisation
Automatisation
  • Which tasks can be automated?
  • How can we reengineer a task (process) in order to automate it more easily?

Klaus G. Troitzsch: Public Management and e-Government

automatisation research
Automatisation research

IS research in public administration

information technology

tasks

objectives and principles of administrative behaviour

Klaus G. Troitzsch: Public Management and e-Government

technology assessment 1 3
Technology assessment (1/3)
  • Which consequences does IT have on
    • the structure of government and public administration?
    • political and administrative processes?
  • Public administration as
    • a socio-technical system
    • a subsystem of society

Klaus G. Troitzsch: Public Management and e-Government

technology assessment 2 3
Technology assessment (2/3)

IS research in public administration

information technology

organisation

consequences

consequences

tasks

objectives and principles of administrative behaviour

Klaus G. Troitzsch: Public Management and e-Government

technology assessment 3 3
Technology assessment (3/3)
  • Which consequences does IT have for
    • the individual workplace?
    • a working group?
    • an organisational unit?
    • the environment of an organisational unit?
  • Which is the contribution of IT to modernisation, innovation, reform?

Klaus G. Troitzsch: Public Management and e-Government

innovation modernisation reform
Innovation

Reform

Modernisation

Innovation, modernisation, reform
  • Innovation: any process of improving a system, a product or a production system (technical innovation, socio-cultural innovation, …)
  • Reform (as opposed to revolution): any process of continuous change / improvement, keeping what proved useful
  • Modernisation: exchange of particular system elements without changing the overall structure

Klaus G. Troitzsch: Public Management and e-Government

dimensions of effects of it
Dimensions of effects of IT
  • solving problems
  • neglecting problems
  • stabilise problems
  • move problems
  • generate problems

Klaus G. Troitzsch: Public Management and e-Government

examples
Examples
  • solving one problem, neglecting another:
  • automatic calculation of pension claims: calculation was centralised in a central agency (without any client contact) in the 1960s; local agencies lost competence (separation of front office and back office, loss of skills)

Klaus G. Troitzsch: Public Management and e-Government

examples uk ucas de zvs
Examples (UK: UCAS / DE: ZVS)
  • centralising applications for places in study programs (Germany: ZVS; United Kingdom: UCAS, Universities & Colleges Admission Service)

Klaus G. Troitzsch: Public Management and e-Government

management organisation
Management organisation
  • Information management:
  • plan, organise, co-ordinate, control the use of
  • information
  • information systems
  • infrastructure of information and communication

Klaus G. Troitzsch: Public Management and e-Government

levels of information management
Levels of information management

level of the usage of information

requirements

support

level of the usage of information systems

requirements

support

level of the organisational and technical infrastructure

of information processing and communication

Klaus G. Troitzsch: Public Management and e-Government

problems in information management
Problems in information management

information wanted

information needed

information demanded

Informationsbedürfnis

information available

Klaus G. Troitzsch: Public Management and e-Government

management research as specific for public administration
Management research as specific for public administration

public administration information systems research

management of

information systems

information

systems

management of

information

information

consequences

consequences

management of

organisation

tasks

objectives and principles of administrative behaviour

Klaus G. Troitzsch: Public Management and e-Government

information system management as integrated organisational and technical approach
Information system management as integrated organisational and technical approach

qualifying and ensuring acceptance

Information

Management

installation and configuration

supervised

usage

supported

usage

training

organisa-tional preparation

shaping and devoloping the organisation

Information

System

Management

technical installation and configuration

maintenance

updated

training (system functions)

technical preparation

shaping IT infrastructures and system developing

Klaus G. Troitzsch: Public Management and e-Government

it management institutions on the german federal level 1 3
IT management institutions on the German federal level (1/3)

IT-Stab

Klaus G. Troitzsch: Public Management and e-Government

it management institutions on the german federal level 2 3
IT management institutions on the German federal level (2/3)

within a ministry:

  • IT group (within the central division, computing center)
  • persons in charge of IT within divisions
  • IT co-ordinator for the ministry (Chief Information Officer)
  • IT co-ordinator for subordinate agencies
  • IT co-ordination committee (ITKA, chaired by the CIO)
  • IT framework concepts

Klaus G. Troitzsch: Public Management and e-Government

it management institutions on the german federal level 3 3
IT management institutions on the German federal level (3/3)

between ministries:

  • Federal Ministry of the Interior (BMI)
  • State Secretary of the BMI
  • Co-ordinating and advisory agency of the federal government for IT within the federal administration (Koordinierungs- und Beratungsstelle der Bundesregierung für Informationstechnik in der Bundesverwaltung, KBSt)
  • Inter-ministry co-ordination committee (IMKA)
  • IT framework concepts
  • Informationsverbund Berlin-Bonn
  • exemplary and pilot projects

Klaus G. Troitzsch: Public Management and e-Government

berlin bonn information network ivbb
Berlin-Bonn Information Network (IVBB)

[KBSt]

Klaus G. Troitzsch: Public Management and e-Government

e government
E-Government
  • Definitions
  • Classification of modes of IT support
  • Exemplary projects
  • Strategies
  • Basic applications
  • Introduction strategies

Klaus G. Troitzsch: Public Management and e-Government

electronic governance definition
Electronic Governance - Definition

Governance = planning and shaping areas of social interaction

[Webster: governance = government!]

[British Encyclopedia 2004: no entry!]

  • finding strategies (opinion formation and definition of goals)
  • setting priorities and making decisions
  • implementing, co-ordinating and moderating agreed attitudes and activities
  • evaluating results with feedback to strategy finding

Electronic Governance = re-shaping of societal areas, using IT

Electronic Governance in a stricter sense = Electronic Governance in the public sector (context of E-Government)

[Reinermann & von Lucke, 2001]

Klaus G. Troitzsch: Public Management and e-Government

electronic government definition i
Electronic Government - Definition I

“With Electronic Government we understand the management of processes of public opinion formation and decision making and of service providing in politics, state and administration given intensive usage of information technology.

This definition includes numerous supporting and management processes as well as financial and political auditing.”

[Memorandum on Electronic Government, Special Committee on Information Systems in Public Management of the German Computer Society (GI), and of Committee #1 of the Information Technology Society (ITG), 2000, S. 3]

Klaus G. Troitzsch: Public Management and e-Government

electronic government definition ii
Electronic Government - Definition II

“Electronic Government is organising business processes in government and administration with the help of information and communication technologies via electronic media“

[Speyer definition of Electronic Government, Lucke & Reinermann, 2000, S. 1]

Klaus G. Troitzsch: Public Management and e-Government

comparing the definitions memorandum vs speyer
Comparing the definitions: Memorandum vs. Speyer

Klaus G. Troitzsch: Public Management and e-Government

relations of processes in e government
Relations of processes in E-Government

E-Government

Population,

citizens

State, administration

Economy, business

NPO/NGO

Population,

citizens

C2C

C2G

C2B

C2N

G2C

State, administration

G2G

G2B

G2N

Economy, business

B2C

B2G

B2B

B2N

NPO/NGO

N2C

N2G

N2B

N2N

[von Lucke/Reinermann (2000), S. 2]

Klaus G. Troitzsch: Public Management and e-Government

interactions in e government
Interactions in E-Government

Why classify?

  • identify typical properties
  • distinguish between different processes
    • introductory strategies
    • evaluating processes
    • appropriateness for particular tasks
    • complexity of realisation
  • requirements:
    • inclusive and exclusive
    • show potential for improvement

Klaus G. Troitzsch: Public Management and e-Government

levels of interaction in e government
Levels of interaction in E-Government

[Reinermann/Lucke 2000]

Klaus G. Troitzsch: Public Management and e-Government

the saga definitions
The SAGA definitions
  • Information: information is made available and retrieved as required.
  • Communication/interaction: bilateral communication for simple, general transactions, such as advice or co-operation.
  • Transaction/integration: complex, specialized transactions with a multi-stage value chain between communication partners with the aim of performing an individual-related service, such as an application procedure, a purchasing project and supervisory measures. Transactions can be performed both online and offline.

Standards and Architectures for e-Government Applications

Klaus G. Troitzsch: Public Management and e-Government

levels of interaction in e government1
Levels of interaction in E-Government

[Hensen 2001]

Klaus G. Troitzsch: Public Management and e-Government

service types
Bund online 2005 Phase I- Federal ServicesService types

Information

Communication

Transaction

Typ 1 – General and special information

Typ 2 – Advice

Typ 3 – Preparation of political decisions and or parliamentary motions

Typ 4 – Co-operation with and among agencies

Typ 5 – Applications (general)

Typ 6 – Subsidies

Typ 7 – Procurement, tendering processes

Typ 8 – Supervision

Klaus G. Troitzsch: Public Management and e-Government

levels of interaction in e government2
Levels of interaction in E-Government

[BSI 2001, S. 5]

Klaus G. Troitzsch: Public Management and e-Government

levels of interaction in e government3
Levels of interaction in E-Government

[BSI 2001, S. 5]

Klaus G. Troitzsch: Public Management and e-Government

two dimensional classification
Two-dimensional classification

IT view

User view

[BSI 2001, S. 5]

Klaus G. Troitzsch: Public Management and e-Government

predicted development
Predicted development

BSI 2001, S. 6

Klaus G. Troitzsch: Public Management and e-Government

project examples
Project examples
  • Citizen services
    • Portals as in Bund Online 2005
    • virtual market place (Esslingen)
    • Front-Office concepts (Köln)
    • Multifunctional service points (Hamburg)
    • Life event approach– a structuration approach (Bremen)

Klaus G. Troitzsch: Public Management and e-Government

project examples1
Project examples
  • Transparent administration
    • Online access to administration information (registry information)
    • Freedom of Information Act (passed by Bundesrat on July 8, 2005!) – access to internal files
  • administrative processes in E-Government
    • Online transactions (Bafög-Online)
    • ELSTER – electronic tax declaration [France]
    • E-Procurement ([email protected])

Klaus G. Troitzsch: Public Management and e-Government

project examples2
Project examples
  • E-Democracy
    • Cuparla – support for a city council
    • Online citizen participation (Lippstadt)
    • Voting on the Internet — Switzerland, Estonia
  • Security issues
    • SHPINX – security in electronic data exchange
    • payment systems for IT-supported administrative procedures (Bremen)

Klaus G. Troitzsch: Public Management and e-Government

project examples3
Project examples
  • SAGA
  • Standards and Architectures for e-Government Applications (KBSt, Federal Ministry of the Interior)
  • … itself subject to electronic participation: KBSt forum

Klaus G. Troitzsch: Public Management and e-Government

services to be covered by
Services to be covered by

[KBSt]

Klaus G. Troitzsch: Public Management and e-Government

purposes of the saga architecture kit
Purposes of the SAGA architecture kit
  • In order to facilitate communications, a common understanding of up-to-date IT architectures and technologies as well as e-government structures is to be achieved.
  • IT technologies available for e-government applications are to be identified, compared, evaluated with regard to their relevance, and given a uniform and consistent structure using this model.
  • The aim is to provide standards that can be used when it comes to the implementation of e-government projects.

[KBSt]

Klaus G. Troitzsch: Public Management and e-Government

viewpoints on saga
Viewpoints on SAGA

[KBSt]

Klaus G. Troitzsch: Public Management and e-Government

network of g2x partcipants
Network of G2x partcipants

Klaus G. Troitzsch: Public Management and e-Government

saga general architecture
SAGA: general architecture

[KBSt]

Klaus G. Troitzsch: Public Management and e-Government

strategies
Strategies
  • improving service quality by
    • improving information und communication
    • online services
  • information and communication strategy
  • IT strategy
  • management strategy

Klaus G. Troitzsch: Public Management and e-Government

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