809:%Pung%Policy%to%Work% An%Introduc7on%€¦ · “Implementation is worth studying precisely...
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809: Pu(ng Policy to Work An Introduc7on Andrew Graham School of Policy Studies Queens University
Transcript of 809:%Pung%Policy%to%Work% An%Introduc7on%€¦ · “Implementation is worth studying precisely...
809: Pu(ng Policy to Work An Introduc7on
Andrew Graham School of Policy Studies
Queens University
First – me…..
� E-‐mail is best, any day and time.
� You have my co-‐ordinates: use my cellular number as I move around.
� I am here PMPA days and happy to set up a meeting, but set it up in advance.
Over-‐riding Themes
� Understanding the basis of public administration: Policy and Delivery
� Public sector values in management and their application
� A framework for understanding management � The realities of managerial life � Trends of change and reform and underlying
elements of continuity
No Magic Bullets, ready clichés to offer or nice sounding bromides – this is a messy business.
How we are going to do this
• Lectures with discussion • Class group exercises – a word on getting started
• Case studies – my overall approach • Stories – yours and mine • Guests: • David Szwarc, CEO, Peel • Mike MacDonald, KGH
Both PMPA grads
The Course Work – Readings, Assignments and Assessment
� All readings are posted on Moodle � All assignments are posted on Moodle � All assignments are expected to be on time. � Any delays require a notification to me – it pays to communicate.
Assignments and Marking
3 – 800 WORD MINI-‐CASES –
15 MARKS EACH
1 – 3000 WORD or 20 PAGE PPT MAJOR CASE – 45 MARKS
PARTICIPATION – 10 MARKS
My assump0ons about you: present and future leaders in the
public sector – this course is designed to signal to you the fundamental underpinnings of
management and leadership to be successful at that.
Your experience counts and we want to draw on it as we look at issues of management.
Put yourself into the manager’s position as you look at this material – you are in the play, not outside
it. But, in the end, this is not a group therapy session
so keep your examples relevant and useful to everyone.
Listen up and respect each other’s views.
What I Look For in Marking
Professional Wri7ng
Link to Ideas: what we have
here
Link to ac7on: here is what needs to be
done
Communica7on: clear, to the
point Link to user: can I do something
with this?
Professional, wriVen in context
Assignments and Professional Writing
Walk with me
To the point
Focused on
ac7on
Pulls it together quickly
An Effective Case Study.
Leaves important issues
unresolved
Mul7ple levels of analysis
Creates tensions among op7ons
Generates ques7ons
Fosters solu7on thinking
Why Management and Why Core? • Great policy poorly executed is poor policy • How things are done (managed) in the public sector often as important as what is done.
• In government, management is how we execute or implement, i.e., bring to realization, public policy.
• No amount of good policy will change anything without good execution.
• This requires more than management, but in the end, the people, regulations, capital and resources must be managed
“Implementation is worth studying precisely because it is a struggle over the realization of ideas. It is the analytical equivalent of original sin. There is no escape from implementation
and its attendant responsibilities.” Pressman and Wildavsky, Implementation: How Great
Expectations in Washington are Dashed in Oakland”: or, Why It’s Amazing that Federal
Programs Work at all , 3rd edition. 1980
Management Framework
Whole of Government
View of Management
Delivering Public Goods The Pillars of
Public Management Management
This course is not about techniques of management, but rather how
management fits into the over-‐riding concept of public administra0on.
But it is about the cra^ of
management.
Some Common Themes in Managerial Thinking: Trade-offs, Balancing and Tensions
• Accountability (following the rules) versus flexibility (getting the job done)
• Public sector management is different from private sector – how and where is an important factor
• New versus old public management – changes, fads, challenges
• Systems versus people 19
Some Common Themes in Managerial Thinking: Trade-offs, Balancing and
Tensions
• Organizations, how they work and what they do
• Management theories versus the life of the manager
• Vertical and horizontal management • Managing up and managing down • Knowing what is happening,
understanding it and speaking to performance
• The search for better cheaper faster processes.
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King Hammurabi, ruler of the Old Babylonian Kingdom
1792-1750 BCE)
An early model of efficient public administration
Hammurabi receives the Code of Laws from Sun God
“To cause justice to prevail in the country,"To destroy the wicked and the evil,"That the strong may not oppress the weak”
• 337 BCE: Chinese philosopher Shen Buhai wrote a treatise on the same topic. Main points: – Seniority – Merit rating – Official statistics – Written reports about government activities
• From 165 BCE, Chinese officials were selected by examination
Managing with Moses: the First Consultant’s Report
• We have traced the first management consultant – Jethro, father-in-law of Moses
• As Moses took on all tasks of governing the Israelites in the desert – classic A type, theory X kind of guy, Jethro came along offered plenty of advice
• Check out Exodus 18 – think of it as a standard consultants’ report
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“And Moses’ father said unto
him, the thing that thou does is not good. Thou wilt surely wear away, both thou, and this people that is with thee; for this thing is too heavy for thee; thou are not able to perform it thyself alone.
Risk Analysis
Workload Analysis
Time to Delegate
Power of Teams
• Thou shalt provide out of all the people able men, such as fear god, men of truth, hating covetousness; and place such over them, to be rulers of thousands, and rulers of hundreds, rulers of fifties, and rules of tens.
• And let them judge the people at all seasons: and it shall be, that every great matter they shall bring unto thee, but every small mater they shall judge; so shall it be easier for thyself, and they shall bear their burden with thee and
• Moses harkened to the voice of his father in law, and did all that he had said.”
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Competency-‐Based Staffing
Chain of Command
Delega0on
The Pay Off
Implement
Never Underestimate the Impact of Machiavelli
• “Stability exists only in the grave; not in this life.” • Keys to leading:
– See the world as it is, good, bad or ugly – Act with humility: recognize there are forces over which you
have no control. – Be ready to react – Aggressively exploit the chances granted to you by Fate. – Create, hope for, and use luck. – Never whine. – Recognize the uniqueness of the moment and circumstance
(fallacy of best practice).
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Management Perspectives Over Time
Max Weber (1864-1920): The Origins of Modern Bureaucratic Theory
• Created an ideal type for this new idea of bureaucracy designed to: – Eliminate entrenched patronage – End capricious decision-making by frivolous nobility – Provide a system for managing and performing repetitive tasks
that involved little or not discretion – Impose order and efficiency – Create a clear understanding of the service provided and
reduce arbitrariness – common goods for all – Ensure clear accountability and limit discretion
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Characteristics of Weberian Bureaucracy
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Posi7ons organized in a hierarchy of authority
Managers subject to rules and procedures
that will ensure reliable predictable behavior
Personnel are selected and promoted based
on technical qualifica7ons
Administra7ve acts
and decisions recorded in wri7ng
Management separate from the ownership of the organiza7on
Division of labor with Clear defini7ons of
authority and responsibility
Concept of permanent employment
Frederick W. Taylor (1856-1915) and Scientific Management
• His most famous technique was the Time and Motion Study to create what he called scientific standards for performing specific tasks
• These are not just production targets but measurements of the very action, i.e. body movements that achieved maximum efficiency.
• This would provide the basis of production planning and the means to measure a worker’s performance against an ideal standard.
• On the management side, there was the need to scientifically analyze and design work flow in the most efficient manner.
• Taylor's contribution affects both the notion of individual labour and the idea that ideal management regimes can be designed as well.
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Frederick W. Taylor (1856-1915) and Scientific Management
• Taylor would feel warm and fuzzy with the notion that all MacDonald's Restaurants can and should run alike using the same manual regardless of the number of under-aged, under-paid people that are running them: he might site MacDonald's as proof of the scientific school
• The Scientific School is built on the conceptual separation of strong backs (workers) from strong minds (managers)
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Taylor, Frederick W., The Principles of Scientific Management, New York: W.W. Norton, 1967
The ‘Science’ in Scien0fic –
fakery, lies and manipula0on.
Henri Fayol 1841-1925 Examples of General Principles of
Management
• Division of work • Unity of command • Unity of direction • Scalar chain – unbroken chain of
command
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Mary Parker Follett 1868-1933
• Importance of common super-ordinate goals for reducing conflict in organizations – Popular with businesspeople of her
day – Overlooked by management scholars – Contrast to scientific management – Reemerging as applicable in dealing
with rapid change in global environment
• Leadership – importance of people vs. engineering techniques
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Concepts such as ethics, power and empowerment
Mary Parker Follett (1868-1933)
• She introduced the idea of Circular Response: people interact in ways that influence both parties: an early articulation of modern communications theory without all the boxes, connectors and arrows
• Follett argued that intelligent, trained individuals are capable of taking their cues from the situation and respond accordingly rather than requiring careful structure to guide their actions – the Giving of Orders, 1926
• She advocated Integration: the need to bring together diverse elements into a whole
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Gulick and Urwick (1930): The Scientific Theory of Organization
– Span of Control: the number of subordinates who report to one supervisor
– Repetitive versus highly varied work – determines span of control and required level of supervision
– Level of skill of subordinates as a determinant of hierarchy
– Extent of geographical decentralization – Overall stability of the organization
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The Origins of PODSCORB
• Gulick and Urwick gave us that enduring description of the activities of an executive: POSDCORB:
– Planning – Organizing – Staffing – Directing – Coordinating – Reporting – Budgeting
• It is also here that we see the first discussion of Line and Staff Functions. These roles continue to play important roles in organizational design
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Culture Power
Communica0ons Leadership
Process Measurement
Control
Recent Historical Trends
● Systems Theory ● Total Quality Management (TQM) ● Learning Organizations ● Lean
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Henry Mintzberg and the Empirical School of Management
• Mintzberg actually looked at what manager did in real life and worked towards his general conclusions from there
• His seminal work, The Nature of Managerial Work was published in 1973
• His most recent book, Managing Publicly
• Argued that what managers did, when successfully carrying out their responsibilities, was substantially different from much business theory
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More to follow next month.
Karl Weick and Organizational Resilience
• Concepts that organizations have fissures and fragilities that require new ways of understanding them – role of managers in sense-making
• Has had and will have a major impact on managing security issues
• Concepts of adaptability and resilience in operations and emergencies
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Karl Weick and Organizational Resilience
• Preoccupation with developing high-reliability organization.
• Highly mindful organizations characteristically exhibit: – a) Preoccupation with failure, – b) Reluctance to simplify – c) Sensitivity to operations, – d) Commitment to Resilience, and – e) Deference to Expertise.
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Risk Management is Key to Resilience
Karl Weick and Organizational Fragility
• Increasing focus on learning from failure and not simply on successes – tricky political dimension of accepting failure.
• Concept of mindfulness.
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“By mindfulness we mean the combination of ongoing scrutiny of existing expectations, continuous refinement and differentiation of expectations based on newer experiences, willingness and capability to invent new expectations that make sense of unprecedented events, a more nuanced appreciation of context and ways to deal with it, and identification of new dimensions of context that improve foresight and current functioning.” – Weick and Sutcliffe, Managing the Unexpected
Management gurus: purveyors of useful theory or sellers of
'snake-oil'?
• Populizer of ideas and charger of high fees • Great attraction to the slogans, slick acronyms
and anthemic solutions (the Cold Play of management)
• Often strike a cord, offer a useful insight, get people excited
• Seldom based in research or proven. • Management gurus try not to concern
themselves with the vagaries of organisations. Success is possible if you listen to their formula.
• Real life is messier.
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Thoughts and Linkages
• Tension between what managers actually do on a daily basis and what they do theoretically
• “Social scientists build elegant, logically consistent models; public managers deal with mess, real-world problems.” – Fred Thompson, Atkinson Graduate School of Management, Willamette University
• Recent changes in public administration and management thinking are shifting traditional thinking – New Public Management
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Thoughts and Linkages
• Theme of tension between structure and people – the human management school versus the systems/structural view
• Theme of tension between accounting and controlling and acting and delivering
• Change versus continuity – change and continuity
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Thoughts and Linkages
• Emerging theme, especially post 9/11, of organizational reliability, capacity to detect and correct errors, especially in a highly political and transparent environment: Karl Weick
• Principles of action (managing for flexibility) versus principles of structure (managing for accountability)
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Concluding Thoughts and Linkages
• Public sector overlay more than just politics – accountabilities, transparencies qualitatively different
• In the 21st century the implementation of public policy is less directed by government in a top-down fashion.
• Policies take shape through bottom-up processes and networks that are loosely managed by government incentives rather than dictated by government fiat in rigid bureaucratic structures.
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Policy, Direction: The Public Good to be
Achieved: the Policy Process
Resourcing the Policy Objectives:
the Budget Process
Accounting, Evaluating and
Reporting
Delivery the Public Good: Operations, Management and
Control
How Does Management Fit into the
Public Policy Cycle?
Policy, Direction: The Public Good to be
Achieved: the Policy Process
Resourcing the Policy Objectives:
the Budget Process
Accounting, Evaluating and
Reporting
Delivery the Public Good: Operations, Management and
Control
Planning, Design, Feedback, Feasibility
Budge7ng, Staffing, IT, Infrastructure
Service, Control, Opera7ons, Monitoring, Adapta7on
Measuring, Repor7ng, Revising
and Adap7ng
Defining characteristics of public administration
• Laws or legally founded rules that create the structure of the administrative apparatus of the state.
• Delegation through law of specific powers and responsibilities to the administrative apparatus to carry on the work of government
• Continuing democratic supervision of administrative activities through the executive which directs activities within the public administration apparatus...
• Accountability vested in the political executive to the legislature.
Defining characteristics of public administration
• A non-‐political administrative apparatus that is subject to policy direction but not partisan.
• Forms of interaction between policy makers and policy implementers
• Forms of interaction among policy makers, implementers and those affected by the policies
• Delivery of services based on law and public resources
• Oversight of delivery by others
Defining characteristics of public administration
• Continuity of accountability and public oversight even when the administrative apparatus is at arms length from traditional government or contracted to independent third parties (private or voluntary groups).
Public Sector Values
Aspira7onal – what we put on plaques
Opera7onal – what we do
Ascribed – what others would say
Nega7ve Posi7ve
Values and Public Service: the John Tait Framework
• Democra7c Values: – Loyalty to government – Non-‐par7sanship – Equity – Candour to poli7cal masters – Discre7on – Service to people
Values and Public Service: the John Tait Framework
Emerging Values?
• Professional Values: – Excellence, economy and effec7veness – Objec7vity and impar7ality in advice – Telling truth to power – Fidelity to the public trust
• Ethical Values: integrity, honesty, impar7ality, probity, trustworthiness, respect for law and careful stewardship of public resources.
• People Values: courage, modera7on, decency, humanity, civility, tolerance, courtesy.
Values Tensions
• Inevitable – Growing number of tasks and expecta7ons – Frequent ambiguity of goals and rela7onships
• Occur in rela7on to – Maintaining standards v. Adap7ng to new circumstances – Responding to needs of different stakeholders – Need for control v. need for discre7on – Managing up vs Managing down
• Conflicts are normal – coping with them is the issue
Challenges to tradi7onal values
• New modes of governance – state and market – Greater fluidity, stakeholders
• NPM or market-‐based reforms • Agencies – ORNGE, Cancer Ontario,LCBO • Genera7onal shids • More informa7on, more openly available with less control over its use
What else?
“Managers are always on “rough ground” where values, feelings,
affect, and ambigui0es are simultaneously in play.”
-‐ Fred Thompson, The Three Faces of Public Management, Interna0onal Public Management
Review, 2008
Public Sector Management Landscape
• Complexity • Interoperability • Inter-‐dependence • Contested results • Breadth of instrumentality • Contingency response and redundancy
“Public management . . . is a world of settled institutions designed to allow imperfect people to use flawed procedures to cope with insoluble problems.”
- James Q. Wilson Bureaucracy: What Government Agencies Do and
Why They Do It
Tensions faced by public administrators
• Efficiency v. Effec7veness – reaching public goals or measuring ac7vi7es?
• Responsiveness v. Accountability – responding to public needs or filling out reports?
• Difference between outputs and outcomes
Old Models Fall
• Delivery by bureaucracy is not the only way to provide government goods and services.
• Flexible management systems pioneered by the private sector are being adopted by governments.
• Governments can operate indirectly. • Poli7cal and administra7ve maVers intertwined • Public demands beVer accountability • Case for unusual employment condi7ons weaker.
New Public Management: Central Doctrines
• No book but… – focus on management, not policy – performance appraisal and efficiency – disaggrega7on of public bureaucracies – user-‐pay rela7onships – use of quasi-‐markets and contrac7ng out to foster compe77on
– cost-‐cu(ng; output targets; limited-‐term contracts; monetary’ incen7ves; freedom to manage.
NPM Implies, but doesn’t necessarily deliver….
• Substan7al changes for personnel • Osborne and Gaebler:
– government needs to be ‘reinvented’ – bureaucracy neither necessary nor efficient – other means should be used.
• “Entrepreneurial governments” promote compe77on between service providers.
• Pushing control into the community • Measure performance by outcomes.
NPM: The Mission
• Redefine clients as customers • Offer choices • Prevent problems before they emerge • Earning money, not simply spending it • Decentralise authority • Par7cipatory management • Preference for market mechanisms • Energising all sectors — public, private and voluntary — to
solve their community’s problems.
NPM: The Legacy
• Much has changed in public administra7on as a result of NPM • ScaVered and inconsistent • Some trends very clearly would have spun out on their own:
– Great focus on measurement – Greater involvement of private (profit and not-‐for-‐profit) in delivery – Disaggrega7on of policy formula7on – Rise of agencies and arms-‐length organiza7ons within government – Clear issues of how to exercise accountability for these – Novel financing arrangements – Transfer of risk to private sector
Emergence of the New Governance
• Concepts of complexity and globaliza7on • An increasing number of public policy issues call for the ac7ve contribu7on of many actors across and beyond government
• Working in networks • Working through others
Emergence of the New Governance
• Government as steering not delivering • Concept of nudge • Value challenges: non-‐tradi7onal rela7onships, less process control leads to less outcome control, forces a concept of policy design based on reverse engineering
• A riskier landscape with less direct control • Concept of resilience and capacity to respond to unpredictable outcomes and events
Emergence of the New Governance: Value Challenges
• Collabora7ve Values • Ci7zen engagement • Holding onto core values
“Above all, it may be 7me to rediscover some very old concepts of the public good, collec7ve interests, democracy, civics and ci7zenship and to explore their meaning in the changing
landscape of today’s reality.” -‐ Jocelyn Bourgon, Public Purpose, Government Authority and
Collec0ve Power
Coming Up: A Management Framework Must Address the Following Issues
• Mission, Vision, Values – more permanent • Objectives, goals, direction • Delivery Elements
• People • Finances • Infrastructure • Information and Knowledge
• Performance Indicators • Reporting and accountability
Tomorrow
