1. Lecture 5 (-20-)1 Lecture 5: Civil Service in China Yijia Jing School of International Relations and Public Affairs Fudan University

2. Lecture 5 (-20-)2 An in-class survey: Is civil service a prestigious occupation in your country?

3. Lecture 5 (-20-)3 Civil service: a hot occupation in China Competition in central government recruitment ApplicantsRecruitsRecruitment rateTop ratio 20111,415,13816,2051.1%4,896:1 20101,401,84515,5261.1%4,723:1 2009800,00013,5661.7%3,592:1 2008640,00013,9772.2%4,407:1 2007535,57412,7242.4%2,014:1 2006365,00010,2822.8%322:1 2005310,6568,4002.7%Na 2004181,4887,9004.4%Na

4. Lecture 5 (-20-)4 Why is a governmental position so attractive in China?

5. Lecture 5 (-20-)5

6. 6 What do we expect from civil servants? They implement law and regulations faithfully, equally, and strictly. They not just abide by law, but abide by rule of law They deliver services efficiently, effectively, and economically. They are responsive to citizens demands. They are accountable to the citizens for their decisions and performance. In a word, they are expected to deliver good governance.

7. Lecture 5 (-20-)7 Fundamental issues of civil service A balance between inducement and contribution Individual level A balance between discretion/decentralization and control/centralization Individual and organizational level A balance between self-sufficiency and interdependence (this is also about functional areas of governments) Organizational and institutional level A balance between macro-values Institutional level

8. Lecture 5 (-20-)8 Three models to organize civil service 1. The cadre personnel management Typically represented by China in its 1950s-1970s 2. The Weberian bureaucracy Typically represented by the Prussian bureaucracy in late 19 th century 3. The New Public Management (NPM) Typically represented by the bureaucracies of the US, and some other Anglo-Saxon countries after the NPM movement in the 1980s

9. Lecture 5 (-20-)9 People’s Republic of China (Between 1949 and 1978) Cadre personnel management was under integrated political-administrative system Recruitments were made by the Party, and were based on: Family background: from working classes (Peasants, industrial workers, soldiers, and students) Demonstrated political loyalty and activeness Instrumental and technical capacity (technocrat tradition) Promotion was based on a nonmenklatura system Operation of bureaucracy was driven by politics Party set goals, supervised the daily work, and evaluate performance. A revolutionary bureaucracy. Highly centralized and order-driven bureaucracy Upward accountability and the planned system Cadres were responsible for/monopolous of various functions. Cadre personnel management

10. Lecture 5 (-20-)10 The Weberian bureaucracy Max Weber, "Bureaucracy," in Gerth and Mills, eds., From Max Weber: Essays in Sociology (New York: Oxford University Press, 1946). Weber has the widely accepted generalization of the characteristics of bureaucracy, based on the Prussian practice. This was also highly praised by Woodrow Wilson in this 1887 paper, “the study of administration”. Fundamental, the Weberian bureaucracy is a system driven by instrumental rationality, namely, focusing on the maximization of efficiency.

11. Lecture 5 (-20-)11 Characteristics of Weberian bureaucracy (1) Bureaucrats are politically neutral in fulfilling their missions. They are not politicians. They implement policies. Bureaucrats have only managerial accountability. The Administrative Evil: Technical rationality, professionalism, or compliance with orders, may be used to serve bad purposes. The system is hierarchically designed, whose coordination is based on: 1) Top-down authority 2) Division of labor based on specialization A merit system is established for recruitment and promotion Examinations based on administrative capacity Professionalism is the key competence.

12. Lecture 5 (-20-)12 A separation between public life and private life The office is split from the person who assumes it. Bureaucrats are forbidden to use the powers for personal benefits. A document-driven system Rigorous compliance with laws, policies, and regulations is of fundamental importance. Impartial and impersonal administration is emphasized. Citizens are inclined to be treated as cases. Standardization, rationalization and efficiency Compensation Decent compensation. Safe and good pension. Stable employment. Relatively high social esteem. Characteristics of Weberian bureaucracy (2)

13. Lecture 5 (-20-)13 New Public Management (NPM) NPM is originated from conservative philosophy that argues for: The rule of market, decentralization, privatization, entrenchment, and deregulation. In a word, less and smaller government. NPM-style government started from the reform in Anglo-Saxon countries like New Zealand, Australia. It was presented by Reinventing Government in the US.

14. Lecture 5 (-20-)14 Civil service under NPM 1. Results-oriented rather than process-oriented 2. Entrepreneurial government 3. Market-based government Market engagement Customer-driven 4. Cutting back to basics 5. Restructuring of civil service as administrative and productive components

15. Lecture 5 (-20-)15 Civil service reform in China: A gradual and zigzag process On the one hand, cadre personnel management has been in a process of reform according to the principles of modern civil service On another hand, the emerging Chinese civil service has been in a process of reform according to the principles of NPM China is in a difficult situation to accommodate these two sets of conflicting ideas and practices We want law-abiding, rational, and transparent bureaucracy Meanwhile, we want them to be innovative, entrepreneurial, result-oriented, and responsive.

16. Lecture 5 (-20-)16 Civil service reforms in the 1980s In 1980 Deng Xiaoping proposed 4 General Principles of cadre team building as revolutionary, young, knowledgeable, and professional ( 革命化、年轻化、知识化、专业化 ). Job responsibility system was adopted in mid 1980s. Performance evaluation and accountability systems were introduced. In 1987, 13th Party Congress proposed to divide officials as political and career civil servants. In 1988 the Ministry of Personnel was founded. In 1989, the central government started State Civil Servant Examination for non-leading administrative positions The labor allocation system was ended.

17. Lecture 5 (-20-)17 Civil service reforms in the 1990s The 1993 Provisional Regulations on State Civil Servants (PRSCS), with a focus on scientific management. Systematical prescription of basic civil service institutions like recruitment exam, training, appraisal, promotion, compensation, retirement, occupational rights and obligations, and rewards and punishments. This led to a significant development of professionalization. Develop a new framework of personnel management Formally introduce a new category of positions, namely, non-leading positions, which enlarges officials’ promotion spaces Develop a more rational wage system which ensures regular wage adjustments according to CPI and one’s working experience Develop a more complete set of rules and regulations governing personnel management According to this regulation, only state employees in the governmental agencies are state civil servants. The regulation does not clearly touch the relation between the bureaucracy and the party. It did not reflect the essential role of the Party.

18. Lecture 5 (-20-)18 Civil service reforms in the new century In 2000, the Outline to Deepen the Cadre Personnel Institution Reform was issued by the Party, providing comprehensive guidelines for cadre personnel reforms. It emphasizes three principles: 1) A dual emphasis on virtue and talent ( 德才兼备 ) 2) Party manages cadre ( 党管干部 ) 3) Rule by law ( 依法办事 ). The 2005 Civil Service Law was enacted by the Standing Committee of National People’s Congress, to replace the PRSCS. 1) It legally recognized the principle of “Party manages cadre ”. 2) It expanded the scope of civil servants. The CSL highlighted a dual emphasis on political loyalty and technical competence. In 2009, the Outline of the Plans to Deepen the Cadre Personnel Institution Reform between 2010 and 2020 was issued by the Central Party Committee. It requires cadres to have both virtue and talent, and virtue first ( 德才兼备， 以德为先）

19. Lecture 5 (-20-)19 Civil servants according to the CSL Personnel who are 1. Brought into an established post, 2. Are paid by state funds, and 3. Exercise policy making, executive, and supervisory powers in state and public affairs. Personnel other than manual workers in the following six types of entities are civil servants Party organizations and democratic parties People’s congresses Administrative agencies People’s political consultative conferences Judicial agencies Procuratorial bodies In 2010, China had 6.89 million civil servants Central government accounts for about 6%. 0.88 million employees in social groups and public service units were managed “as” civil servants.

20. Lecture 5 (-20-)20 New trends of development 1. A dual emphasis on exam performance and previous working experiences. 2. Job classification Flexible contract-based employment 3. Compensation reform: sunshine income reform. 4. More competition, democracy, and transparency in cadre selection. 5. Rising outsourcing and the shadow of government Essentially, China has been introducing a hybrid civil service system as a mixture of its previous cadre personnel management, the modern civil service, and the NPM ideas.