1932

Abstract

In political science, one issue still in need of greater theorizing is the proper measurement of bureaucratic autonomy, that is, the degree of discretion that political principals should grant to bureaucratic agents. This article reviews the literature on bureaucratic autonomy both in US administrative law and in political science. It uses the American experience to define five mechanisms by which political principals grant and limit autonomy, then goes on to survey the comparative literature on other democratic systems using the American framework as a baseline. Other democracies use different mixtures of these mechanisms, for example by substituting stronger ex post review for ex ante procedures or using appointment and removal power in place of either. We find that the administrative law and social science literatures on this topic approach it very differently, and that each would profit from greater awareness of the other discipline.

Loading

Article metrics loading...

/content/journals/10.1146/annurev-polisci-051921-102914
2023-06-15
2024-05-06
Loading full text...

Full text loading...

/deliver/fulltext/polisci/26/1/annurev-polisci-051921-102914.html?itemId=/content/journals/10.1146/annurev-polisci-051921-102914&mimeType=html&fmt=ahah

Literature Cited

  1. Andersen D, Møller J. 2019. The transhistorical tension between bureaucratic autonomy and political control. Political Stud. Rev. 17:3284–95
    [Google Scholar]
  2. Auby JB. 2017. Contracting out and “public values”: a theoretical and comparative approach. See Rose-Ackerman et al. 2017 552–65
  3. Bauer M, Peters G, Pierre J, Yesilkagit K, Becker S, eds. 2021. Democratic Backsliding and Public Administration: How Populists in Government Transform State Bureaucracies Cambridge, UK: Cambridge Univ. Press
  4. Berliner D. 2014. The political origins of transparency. J. Politics 76:2479–91
    [Google Scholar]
  5. Berry CR, Gersen JE. 2008. The unbundled executive. Univ. Chic. Law Rev. 75:41385–434
    [Google Scholar]
  6. Bersch K, Lopez F, Taylor MM. 2022. Patronage and presidential coalition formation. Political Res. Q. https://doi.org/10.1177/10659129221100830
    [Google Scholar]
  7. Bersch K, Praça S, Taylor MM. 2017. State capacity, bureaucratic politicization, and corruption in the Brazilian state. Governance 30:1105–24
    [Google Scholar]
  8. Bignami F. 2011. From expert administration to accountability network: a new paradigm for comparative administrative law. Am. J. Comparative Law 59:4859–907
    [Google Scholar]
  9. Brierley S. 2020. Unprincipled principals: co-opted bureaucrats and corruption in Ghana. Am. J. Political Sci. 64:2209–22
    [Google Scholar]
  10. Brierley S. 2021. Combining patronage and merit in public sector recruitment. J. Politics 83:1182–97
    [Google Scholar]
  11. Brinks D, Levitsky S, Murrillo MV. 2020. The Politics of Institutional Weakness. Cambridge, UK: Cambridge Univ. Press
  12. Broms R, Dahlström C, Fazekas M. 2019. Political competition and public procurement outcomes. Comp. Political Stud. 52:91259–92
    [Google Scholar]
  13. Brown LN, Bell J, Galabert J-M. 1998. French Administrative Law Oxford, UK: Oxford Univ. Press
  14. Brumm NDS. 1992. Divergent models of public law in Latin America: a historical and prescriptive analysis. Univ. Miami Inter-Am. Law Rev. 24:11–36
    [Google Scholar]
  15. Bull RT. 2021. Rationalizing transparency laws. Notice & Comment Blog, Yale J. Regul. Sep. 30. https://www.yalejreg.com/nc/rationalizing-transparency-laws-by-reeve-t-bull/
    [Google Scholar]
  16. Cane P, Hofmann HCH, Ip EC, Lindseth PL. 2021. The Oxford Handbook of Comparative Administrative Law Oxford, UK: Oxford Univ. Press
  17. Carpenter D. 2001. The Forging of Bureaucratic Autonomy: Networks, Reputations and Policy Innovation in Executive Agencies, 1862–1928 Princeton, NJ: Princeton Univ. Press
  18. Casey C. 2021. Political executive control of the administrative state: How much is too much?. Md. Law Rev. 81:257–75
    [Google Scholar]
  19. Centeno MA, Mistree D, Kohli A, Yashar D 2017. States in the Developing World New York: Cambridge Univ. Press
  20. Chang KH. 2003. Appointing Central Bankers: The Politics of Monetary Policy in the United States and the European Monetary Union Cambridge, UK: Cambridge Univ. Press
  21. Charron N, Dahlström C, Fazekas M, Lapuente V. 2017. Careers, connections, and corruption risks: investigating the impact of bureaucratic meritocracy on public procurement processes. J. Politics 79:189–104
    [Google Scholar]
  22. Cingolani L, Thomsson K, de Crombrugghe D. 2015. Minding Weber more than ever? The impacts of state capacity and bureaucratic autonomy on development goals. World Dev. 72:191–207
    [Google Scholar]
  23. Crowley JB. 1966. Japan's Quest for Autonomy: National Security and Foreign Policy, 1930–1938 Princeton, NJ: Princeton Univ. Press
  24. Dahlström C, Lapuente V, Teorell J. 2012a. The merit of meritocratization: politics, bureaucracy, and the institutional deterrents of corruption. Political Res. Q. 65:3656–68
    [Google Scholar]
  25. Dahlström C, Lapuente V, Teorell J 2012b. Public administration around the world. Good Government: The Relevance of Political Science S Holmberg, B Rothstein 40–67. Cheltenham, UK: Edward Elgar
    [Google Scholar]
  26. Dahlström C, Lapuente V. 2017. Organizing Leviathan: Politicians, Bureaucrats, and the Making of Good Government Cambridge, UK: Cambridge Univ. Press
  27. Dahlström C, Lapuente V. 2022. Comparative bureaucratic politics. Annu. Rev. Political Sci. 25:43–63
    [Google Scholar]
  28. Dargent E. 2014. Technocracy and Democracy in Latin America: The Experts Running Government Cambridge, UK: Cambridge Univ. Press
  29. Dasandi N, Esteve M. 2017. The politics-bureaucracy interface in developing countries. Public Adm. Dev. 37:4231–45
    [Google Scholar]
  30. De Becker A. 2011. The legal status of public servants or public employees: comparing the regulatory frameworks in the United Kingdom, France, Belgium, and the Netherlands. Comp. Labor Law Policy J. 32:4949–89
    [Google Scholar]
  31. De Souza M 2010. How courts engage in the policymaking process in Latin America. How Democracy Works C Scartascini, E Stein, M Tommasi 77–118. Cambridge, MA: Harvard Univ. Press
    [Google Scholar]
  32. Della Cananea G, Parona L 2023. Administrative procedure acts in Europe: an emerging “common core”?. Am. J. Comp. Law. In press
    [Google Scholar]
  33. DiIulio JJ 2014. Bring Back the Bureaucrats: Why More Federal Workers Will Lead to Better (and Smaller!) Government Conshohocken, PA: Templeton
  34. Dommett K, MacCarthaigh M, Hardiman N. 2016. Reforming the Westminster model of agency governance: Britain and Ireland after the crisis. Governance 29:4535–52
    [Google Scholar]
  35. Driesen DM. 2020. The unitary executive theory in comparative context. Hastings Law J. 72:1
    [Google Scholar]
  36. Dunleavy P, Hood C. 2009. From old public administration to new public management. Public Money Manag. 14:39–16
    [Google Scholar]
  37. Evans P, Rauch JE. 1999. Bureaucracy and growth: a cross-national analysis of the effects of “Weberian” state structures on economic growth. Am. Sociol. Rev. 64:5748–65
    [Google Scholar]
  38. Ferejohn J, Shipan C. 1990. Congressional influence on bureaucracy. J. Law Econ. Organ. 6:11–20
    [Google Scholar]
  39. Fernández-Albertos J. 2015. The politics of central bank independence. Annu. Rev. Political Sci. 18:217–37
    [Google Scholar]
  40. Frug GE. 1976. Does the Constitution prevent the discharge of civil service employees?. Univ. Pa. Law Rev. 124:942–1012
    [Google Scholar]
  41. Fukuyama F. 2013. What is governance?. Governance 26:3347–68
    [Google Scholar]
  42. Fukuyama F. 2014. Political Order and Political Decay: From the Industrial Revolution to the Globalization of Democracy. New York: Farrar, Straus and Giroux
  43. Fukuyama F 2020. The intrinsic functions of government. Public Service and Good Governance for the 21st Century JL Perry, PA Volcker 105–20. Philadelphia: Univ. Pa. Press
    [Google Scholar]
  44. Fukuyama F, Rogger D, Hasnain Z, Bersch K, Mistree D et al. 2022. Global indicator data set v1. Global Survey of Public Servants http://www.globalsurveyofpublicservants.org/indicators
    [Google Scholar]
  45. García-Huidobro LE, Guidi S. 2021. Baena's mirage; lights and shades of comparative administrative law in Latin America. Int. J. Const. Law 19:41291–321
    [Google Scholar]
  46. Garoupa N, Mathews J. 2014. Strategic delegation, discretion, and deference: explaining the comparative law of administrative review. Am. J. Comp. Law 62:11–33
    [Google Scholar]
  47. Gingerich DW. 2013. Governance indicators and the level of analysis problem: empirical findings from South America. Br. J. Political Sci. 43:3505–40
    [Google Scholar]
  48. Ginsburg T. 2017. Written constitutions and the administrative state: on the constitutional character of administrative law. Comparative Administrative Law S Rose-Ackerman, PL Lindseth, B Emerson 60–70. Cheltenham, UK: Edward Elgar
    [Google Scholar]
  49. Grindle MS. 2012. Jobs for the Boys: Patronage and the State in Comparative Perspective Cambridge, MA: Harvard Univ. Press
  50. Grindle MS. 2013. Public sector reform as problem-solving? Comment on the World Bank's public sector management approach for 2011 to 2020. Int. Rev. Adm. Sci. 79:3398–405
    [Google Scholar]
  51. Gulzar S, Pasquale BJ. 2017. Politicians, bureaucrats, and development: evidence from India. Am. Political Sci. Rev. 111:1162–83
    [Google Scholar]
  52. Hamburger P. 2014. Is Administrative Law Unlawful? Chicago: Univ. Chicago Press
  53. Hamilton A. 1788. Federalist No. 71. The Avalon Project. https://avalon.law.yale.edu/18th_century/fed71.asp
    [Google Scholar]
  54. Henderson J, Hulme D, Jalilian H, Phillips R. 2007. Bureaucratic effects: Weberian state agencies and poverty reduction. Sociology 41:3515–32
    [Google Scholar]
  55. Hood C. 1991. A public management for all seasons?. Public Adm 69:13–19
    [Google Scholar]
  56. Howard PK. 1996. The Death of Common Sense New York: Warner Books
  57. Howard PK. 2014. The Rule of Nobody New York: W.W. Norton
  58. Howard PK. 2020. Restoring accountability to the executive branch CSAS Work. Pap. 20-02 Cent. Stud. Adm. State, George Mason Univ. Fairfax, VA: https://administrativestate.gmu.edu/wp-content/uploads/2020/02/Howard-Restoring-Accountability-to-the-Executive-Branch.pdf
  59. Huber JD, McCarty N. 2004. Bureaucratic capacity, delegation, and political reform. Am. Political Sci. Rev. 98:3481–94
    [Google Scholar]
  60. Iyer L, Mani A. 2012. Traveling agents: political change and bureaucratic turnover in India. Rev. Econ. Stat. 94:3723–39
    [Google Scholar]
  61. Joelson MR. 1963. Legal problems in the dismissal of civil servants in the United States, Britain, and France. Am. J. Comp. Law 12:2149–71
    [Google Scholar]
  62. Johns MM, Saltane V. 2016. Citizen engagement in rulemaking—evidence on regulatory practices in 185 countries Policy Res. Work. Pap. 7840 World Bank Washington, DC:
  63. Johnson C. 1982. MITI and the Japanese Miracle: The Growth of Industrial Policy, 1925–1975 Stanford, CA: Stanford Univ. Press
  64. Jordão E, Rose-Ackerman S. 2014. Judicial review of executive policymaking in advanced democracies: beyond rights review. Admin. Rev. 66:11–72
    [Google Scholar]
  65. Kelman S. 1981. Regulating America, Regulating Sweden: A Comparative Study of Occupational Safety and Health Policy. Cambridge, MA: MIT Press
  66. Kelman S. 1990. Procurement and Public Management: The Fear of Discretion and the Quality of Government Performance. Washington, DC: Am. Enterp. Inst. Press
  67. Kettl DF. 2002. The Transformation of Governance: Public Administration for Twenty-First Century America Baltimore, MD: Johns Hopkins Univ. Press
  68. Kurtz MJ. 2013. Latin American State Building in Comparative Perspective: Social Foundations of Institutional Order Cambridge, UK: Cambridge Univ. Press
  69. Lewis DE. 2007. Testing Pendleton's premise: Do political appointees make worse bureaucrats?. J. Politics 69:41073–88
    [Google Scholar]
  70. Lewis DE. 2008. The Politics of Presidential Appointments: Political Control and Bureaucratic Performance. Princeton, NJ: Princeton Univ. Press
  71. Lewis DE. 2019. Deconstructing the administrative state. J. Politics 81:3767–89
    [Google Scholar]
  72. Lewis DE, Moe TM. 2018. The presidency and the bureaucracy: the levers of presidential control Work. Pap. Vanderbilt Univ. https://my.vanderbilt.edu/davidlewis/files/2018/07/Presidency-and-the-Bureacracy_Lewis-Moe-.pdf
  73. Mainwaring S, Welna C. 2003. Democratic Accountability in Latin America Oxford, UK: Oxford Univ. Press
  74. Mairel HA. 2015. The need for comparative administrative law: studies in Latin America. Comp. Rev. 6:11–40
    [Google Scholar]
  75. Manning N. 2001. The legacy of the New Public Management in developing countries. Int. Rev. Adm. Sci. 67:2297–312
    [Google Scholar]
  76. Massot J 2010. The powers and duties of the French administrative law judge. Comparative Administrative Law S Rose-Ackerman, P Lindseth 435–45. Cheltenham, UK: Edward Elgar. , 1st ed..
    [Google Scholar]
  77. McCubbins MD, Noll RG, Weingast BR. 1987. Administrative procedures as instruments of political control. J. Law Econ. Organ. 3:2243–77
    [Google Scholar]
  78. McCubbins MD, Noll RG, Weingast BR 1999. The political origins of the Administrative Procedure Act. J. Econ. Organ. 15:1180–217
    [Google Scholar]
  79. McDonnell E. 2020. Patchwork Leviathan. Princeton, NJ: Princeton Univ. Press
  80. Metzger GE. 2017. 1930s Redux: the administrative state under siege. Harvard Rev. 131:2–95
    [Google Scholar]
  81. Meyer-Sahling J-H, Mikkelsen KS. 2016. Civil service laws, merit, politicization, and corruption: the perspective of public officials from five East European countries. Public Adm. 94:41105–23
    [Google Scholar]
  82. Meyer-Sahling J-H, Mikkelsen KS, Schuster C. 2018. Civil service management and corruption: what we know and what we don't. Public Adm. 96:2276–85
    [Google Scholar]
  83. Michener G. 2019. Gauging the impact of transparency policies. Public Adm. Rev. 79:1136–39
    [Google Scholar]
  84. Moe TM. 1990. Political institutions: the neglected side of the story. J. Law Econ. 6:213–53
    [Google Scholar]
  85. Moe TM, Caldwell M. 1994. The institutional foundations of democratic government: a comparison of presidential and parliamentary systems. J. Inst. Theor. Econ. 150:1171–95
    [Google Scholar]
  86. Nistotskaya M, Cingolani L. 2016. Bureaucratic structure, regulatory quality, and entrepreneurship in a comparative perspective: cross-sectional and panel data evidence. J. Public Adm. Res. Theory 26:3519–34
    [Google Scholar]
  87. Nistotskaya M, Dahlberg S, Dahlström C, Sundström A, Axelsson S et al. 2021. The Quality of Government Expert Survey 2020 dataset: wave III. University of Gothenberg Quality of Government Institute. https://www.gu.se/en/quality-government/qog-data/data-downloads/qog-expert-survey
    [Google Scholar]
  88. O'Connell AJ. 2020. Actings. Columbia Law Rev. 120:613–728
    [Google Scholar]
  89. O'Donnell GA. 1994. Delegative democracy. J. Democr. 5:155–69
    [Google Scholar]
  90. O'Leary R. 2017. The ethics of dissent—can President Trump survive guerrilla government?. Adm. Theor. Praxis 39:263–79
    [Google Scholar]
  91. Oliveros V. 2021. Patronage at Work: Public Jobs and Political Services in Argentina Cambridge, UK: Cambridge Univ. Press
  92. Oliveros V, Schuster C. 2018. Merit, tenure, and bureaucratic behavior: evidence from a conjoint experiment in the Dominican Republic. Comp. Political Stud. 51:6759–92
    [Google Scholar]
  93. Osborne D, Gaebler T. 1992. Reinventing Government: How the Entrepreneurial Spirit Is Transforming the Public Sector Reading, MA: Addison-Wesley
  94. Page EC. 2012. Policy without Politicians: Bureaucratic Influence in Comparative Perspective Oxford, UK: Oxford Univ. Press
  95. Peci A. 2021. Populism and bureaucratic frictions: lessons from Bolsonarism. J. Policy Stud. 36:427–35
    [Google Scholar]
  96. Perlingeiro R. 2016. A historical perspective on administrative jurisdiction in Latin America: continental European tradition versus U.S. influence. Br. J. Am. Legis. Stud. 5:1241–89
    [Google Scholar]
  97. Perlingeiro R. 2021. Administrative functions of implementation, control of administrative decisions, and protection of rights. Br. J. Am. Legis. Stud. 10:11–25
    [Google Scholar]
  98. Peters BG, Pierre J. 2003. Handbook of Public Administration Thousand Oaks, CA: Sage
  99. Peters BG, Pierre J. 2019. Populism and public administration: confronting the administrative state. Adm. Soc. 51:101521–45
    [Google Scholar]
  100. Power M. 1999. The Audit Society: Rituals of Verification Oxford, UK: Oxford Univ. Press
  101. Praça S, Taylor MM. 2014. Inching toward accountability: the evolution of Brazil's anticorruption institutions, 1985–2010. Lat. Am. Politics Soc. 56:227–48
    [Google Scholar]
  102. Rauch JE, Evans PB. 2000. Bureaucratic structure and bureaucratic performance in less developed countries. J. Public Econ. 75:149–71
    [Google Scholar]
  103. Rose-Ackerman S. 1995. Controlling Environmental Policy: The Limits of Public Law in Germany and the United States New Haven, CT: Yale Univ. Press
  104. Rose-Ackerman S. 2021. Democracy and Executive Power: Policymaking Accountability in the US, the UK, Germany, and France New Haven, CT: Yale Univ. Press
  105. Rose-Ackerman S, Lindseth PL, Emerson B, eds. 2017. Comparative Administrative Law Cheltenham, UK: Edward Elgar. , 2nd ed..
  106. Rose-Ackerman S, Perroud T. 2012. Policymaking and public law in France: public participation, agency independence, and impact assessment. Columbia J. Eur. Law 19:225
    [Google Scholar]
  107. Scheuerman WE. 2006. Emergency powers. Annu. Rev. Law Soc. Sci. 2:1257–77
    [Google Scholar]
  108. Schuster C. 2016. What causes patronage reform? It depends on the type of civil service reform. Public Adm. 94:41094–104
    [Google Scholar]
  109. Shefter M. 1993. Political Parties and the State: The American Historical Experience Princeton, NJ: Princeton Univ. Press
  110. Singh MP. 2001. German Administrative Law in Common Law Perspective Berlin/New York: Springer. , 2nd ed..
  111. Soifer HD. 2015. State Building in Latin America Cambridge, UK: Cambridge Univ. Press
  112. Storing HJ. 2008. The Complete Anti-Federalist Chicago: Univ. Chicago Press
  113. Suleiman E. 2003. Dismantling Democratic States. Princeton, NJ: Princeton Univ. Press
  114. Taylor MM, Power TJ, eds. 2011. Corruption and Democracy in Brazil: The Struggle for Accountability Notre Dame, IN: Univ. Notre Dame Press
  115. Tolley MC. 2003. Judicial review of agency interpretation of statutes: deference doctrines in comparative perspective. Policy Stud. J. 31:3421–40
    [Google Scholar]
  116. Toral G. 2022. How patronage delivers: political appointments, bureaucratic accountability, and service delivery in Brazil. Am. J. Political Sci. In press
    [Google Scholar]
  117. Verhoest K, Peters BG, Bouckaert G, Verschuere B. 2004. The study of organisational autonomy: a conceptual review. Public Adm. Dev. 24:2101–18
    [Google Scholar]
  118. Verkuil PR. 2015. Deprofessionalizing state governments: the rise of public at-will employment. Public Adm. Rev. 75:188–89
    [Google Scholar]
  119. Verkuil PR. 2007. Outsourcing Sovereignty: Why Privatization of Government Functions Threatens Democracy and What We Can Do About It New York: Cambridge Univ. Press
  120. Verkuil PR. 2020. Presidential administration, the appointment of ALJs and the future of for cause protection. Adm. Law Rev. 72:101–16
    [Google Scholar]
  121. Weber M. 1978 (1921). Economy and Society: An Outline of Interpretive Sociology Berkeley: Univ. Calif. Press
  122. Wilson JQ. 1989. Bureaucracy: What Government Agencies Do and Why They Do It New York: Basic Books
  123. Yoo CS, Calabresi SG, Colangelo AJ. 2004. The unitary executive in the modern era, 1945–2004. Iowa Rev. 90:601
    [Google Scholar]
/content/journals/10.1146/annurev-polisci-051921-102914
Loading
  • Article Type: Review Article
This is a required field
Please enter a valid email address
Approval was a Success
Invalid data
An Error Occurred
Approval was partially successful, following selected items could not be processed due to error