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C E N T R E F O R T H E STUDY OF DEMOCRACY Policy Studies
Building, Room 335 138 Union Street Queens University Kingston,
Ontario, Canada K7L 3N6 Tel: 613 533-6273 Fax: 613 533-2135
www.queensu.ca/csd
Closing the Implementation Gap: Improving capacity,
accountability, performance and human resource quality in the
Canadian and Ontario public service Thomas S. Axworthy and Julie
Burch January 2010
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ContentsAcronyms 3Acknowledgements 4ExecutiveSummary
5.....................................................................................................................CapacityandPerformance
5..................................................................................................Attractingandretainingemployees
6............................................................................................Improvementtoaccountabilitydesign
6ForewordbyThomasS.Axworthy
8.....................................................................................................................................GoldenMoments
11.........................................................................................................................................TruthtoPower
15.....................................................................................................................VirtuesoftheMandarins
17........................................................................................................................................TheWayAhead
21..............................................................................................................CapacityandPerformance
21..........................................................................................AttractingandRetainingEmployees
22....................................................................................ImprovementtoAccountabilityDesign
22Introduction 24Sectionone:Thestateofthepublicservice
29.............................................................................................................................................Surveysays
30........................................................................Oncapacityandperformanceimprovements
31.....................................................................Onattractingandretainingqualityemployees
32.................................................................................................................Onaccountabilitydesign
34......................................................................................................................................Commonthemes
36Sectiontwo:Thepathtoreform
37...................................................................................Capacityandperformanceimprovements
37................................................................................Attractingandretainingqualityemployees
40...........................................................................................................................Accountabilitydesign
46Sectionthree:Goingforward 51Recommendations
53..................................................................................................................CapacityandPerformance
53..............................................................................................AttractingandRetainingEmployees
54......................................................................................ImprovementstoAccountabilityDesign
56References 59Appendices
66Appendix1:ComparativeAnalysisofPublicServiceEmployeeSurveysAppendix2:SummaryofRoundtablesAppendix3:RecruitingtheBestandBrightestforEmploymentinCanadasPublicServiceAppendix
4: A Report on Human Resources in the Public Service: The Quest to
MakeGovernmentanEmployerofChoice2
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Acronyms
ADM AssistantDeputyMinisterCIDA
CanadianInternationalDevelopmentAgencyCSD
CentrefortheStudyofDemocracy,SchoolofPolicyStudies,QueensUniversityCMHC
CanadianMortgageandHousingCSDES
SurveydesignedandexecutedbytheCentrefortheStudyofDemocracy,
Queen'sUniversityDM DeputyMinisterDFAIT
DepartmentofForeignAffairsandInternationalTradeFAA
FederalAccountabilityActEEIT
EmployeeEngagementInterjurisdictionalTeamEHR
ElectronicHealthRecordsH1N1 Newstrainofpandemicin`luenzaIPAC
InstituteofPublicAdministrationofCanadaLGBT
Referscollectivelytolesbian,gay,bisexual,andtransgenderpeopleMPA
QueensMastersofPublicAdministrationprogramalumniNPM
NewPublicManagementOPSES 2009
OntarioPublicServiceEmploymentSurveyPAC PublicAffairsCommissionPCO
PrivyCouncilOf`icePEP
QueensPublicExecutiveProgramrespondentstoCSDESPMO
PrimeMinstersOf`icePS PublicservicePSES
2008FederalPublicServiceEmploymentSurveyPSMA
PublicServiceModernizationActSSHA SmartSystemsforHealthAgency
Closing the Implementation Gap
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Acknowledgements
ThisstudyonthepublicserviceispartofalargerprojectattheCentrefortheStudyofDemocracyonthecurrentperformanceofcriticalinstitutionsforCanadiandemocracy,likeParliamentandthepartysystem.Mr.L.R.
(Red)Wilson,aformermemberofthepublicservicewhounderstandshowvitalanassetagoodpublicservicecanbe,agreed
thatthe timewasripeforan
independentthinktanktolookatthefutureofthepublicservice.Wearemostgratefulforhissupportofthisproject.ThisstudywasalsogreatlyassistedbyagrantfromtheAureaFoundation,andwethankthemfortheirgenerouscontribution.We
are especiallyindebted to PeterMunk, the founderof
theAureaFoundation,andAllanGotlieb,itschair,formakingtheCentrefortheStudyofDemocracyoneofthebene`iciariesoftheFoundations`irstgrants.Thispaperisricherforthevarietyofcontributorstowhomweoweadebtofgratitude.Weextendour
thanks to Glenda Fisk, Tyler Johnson, Mathew Johnson, Craig Jones,
Amie Skattebo, Kyle
G.Toffan,andBenWinningerfortheirresearchinput;DeborahAartsforasuperbjobinconsolidatingallthedisparatepieces;andSaraFrenchforeditingthe`inalpaper.The
twoyears of time spenton this project hasseen the investments of
research, opinions,
andassistancefromagreatnumberofinterestedCanadians.Alltold,fourroundtableshavebeenheldone
inToronto and one inOttawa with former studentsof the Queens School
of Policy
StudiesMastersofPublicAdministration,andattwoatQueenswithacademicsandpolicyexperts,manyofwhom
formerlyworkedinthe federalorprovincialcivilservices.
AppendixTwocontainsa
listofthosewhoparticipatedandwewishtothankthemall.TheCSDmethodistocompletepenultimatedraftsofreportsandthensubjectthemtopeerreviewand
public scrutiny. Closing the Implementation Gap incorporates many
of the insights of
theRoundtableparticipantsandtogivereadersa`lavouroftheirinput,weincludeasummaryoftheirremarksinAppendix2.We
alsohave
animmensedebttotheformerstudentsoftheQueensSchoolofPolicyStudiesMPAProgram,whotookthetime
tocompleteoursurvey.Weareequallyindebtedtotheparticipantsinthe
Senior Public Executive Program of the Queens School of Business
and the Civil
ServiceTrainingandDevelopmentInstituteoftheGovernmentofHongKong.Theresponsesoftheseseniorpublicservantsallowedustocompareand
contrasttheirinsightswithmore
recententrants.TheheartofthisstudyisthesurveyincludedinAppendix1andwewanttothankallwhorespondedfortakingthetimenotonlytoanswertheposedquestions,butalsoinprovidingdetailedandinsightfulcommentsintheopenendedsections.
4
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Executive Summary
TherecentcontroversyateHealthOntariohasputthespotlightonthepublicservicein2009,justastheGomeryInquiryintothe
SponsorshipScandaldid in2005.Publicadministration`indsitselfas the
unlikelycentrepieceofbitterdebates. Thisstudy`indsthatithasbecome
evidentthat thecornerstoneof theWestminstermodelof
responsiblegovernmentwhoisaccountabletowhomfor what?has broken
down, and that the resulting confusion has soured the
relationshipbetweenpoliticiansandpublicservants.Onimplementationissuesthisstudyaf`irmsthenecessityofreducingtheturnoverrateinstaf`ingpositions,particularlyatthemoreseniorlevels.TheGomeryCommissionconcludedthatthepublicservice
isdemoralized.Thisstudyseeksto`indoutwhy this is so. Through
evaluation of surveys conducted byCanadas public service and
theCentre for the Studyof Democracyat the Schoolof PolicyStudies,
QueensUniversity(CSD),wehavecomparedandcontrastedtheattitudesofcivilservantsinboththeOntarioandfederalpublicservices.
Graduatesof theQueensMasterof PublicAdministration (MPA)
andparticipants intheQueensPublicExecutiveProgramsconstitute
theCSDsurvey(CSDES)sample.TheMPAsample
isparticularlyinstrumentalinthatitcapturestheviewsofyoungerpublicservants.The`indingsofthe
surveyrevealseriousconcerns,amongemployees,aboutinternalmanagementissues
that affect employee engagement, these in`luence performance, which
in turn in`luenceimplementation. We put forth recommendations under
three broad categories: capacity
andperformance;attractingandretainingemployees;andaccountability.Capacity
and PerformancePerformance improvementmechanismsneedtobe
revampedtoprovide the autonomy,
`lexibility,andcreativitythatpublicservantswant.Thesurveysindicatethatpublicsectoremployeesfeelthattheexcessive
rotationofseniorstaff
(31%havehadthreesupervisorsinthreeyears)1isamajorissue for
performance improvement. With deputy ministers and assistant deputy
ministersspending lessthantwoyears
intheirpositions,publicservantsare constantlyreadjusting
tonewmanagement,whichaffectstheirabilitytodotheirjob.1. Recognition
that the neutrality, merit-based recruitment and expertise of the
public
service are fundamental features of our democracy and must be
preserved.
2. Implementation must become as important to the policy process
as analysis or communication is. Cabinets should regularly review
implementation issues. A Results Unit should be created in the
Treasury Board to fulfill this function.
3. The norm for holding senior management jobs in the public
service should be five years.
Closing the Implementation Gap
1 2008 Public Service Employee Survey, Treasury Board . The
public service refers to the core public administration
(thosedepartments and agencies for which the Treasury Board is the
employer) and separate employers (principally the Canada
RevenueAgency,theParksCanadaAgency,theCanadianFoodInspectionAgency,andtheNationalResearchCouncilofCanada).
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4. Discourage the use of consultants in line positions in favour
of building up the capacity of the regular public service.
Attracting and retaining employeesWhile 8090% of respondents say
they are content in their job only 55% believe they
haveopportunitiesforpromotionandmostthinkthatthejobpostingthattheyrepliedtodoesnotmatchthejobthattheyendedupdoing.Only2%ofCSDESrespondentsfeltthatthecivilservantseffortsto
identify, recruit and retain young people are working very well.
Complaints about
therecruitmentprocesswereprevalent.However,complaintsinthisareaseemtogotwoways,asthestudyconcludedthatyoung
recruitshavehighdemands:theydonotwantorexpectanentryleveljob;theywantfreedomtochangejobsregularly;andtheyhaveunreasonablyhighexpectationsforcompensationandperks.5.
Improve the recruitment process. To improve the attraction of
employees this study suggests that the publicserviceneeds to be
realistic in its hiringgoalsbalancing the needs for
bothgeneralistsandforexperts.Longtermplanningneedsto
includedialoguewithschoolsofpublic
administrationanddealingwithemployment
barriersduetocitizenshipevenwhenCanadiancredentialshavebeenearned.6.
Expand Interchange Canada and make it work much more directly as a
focus of
Canadas development policy.Canadaneeds to develop
anexchangeprogram thatwould see its federal andprovincial public
servants working abroad in their respective homedepartments around
the world, while other countrys civil servants come towork
inCanada.Ourideais togreatlyexpandInterchangeCanada
andmakeitmuchmoredirectlyafocusofCanadasdevelopmentpolicy.7.
Establish a Mentoring Program
AformalmentoringprogrammodelledontheSingaporeexperienceneedstobeadoptedbybothfederalandOntariopublicservices.Openended
comments from the CSDES sample and interviews with publicservants
for this study reveal great interest in the potential of
mentoringprograms.Winninger, inAppendix4, citestheSingapore
Administrative
Servicewhereeachnewof`icerisassignedamentorwhocanofferfriendlyadviceandshow
you the ropes. The 2001 OECD report highlights that mentoring
isespecially critical for women and underrepresented minorities
because ofperceptionsofanoldboysnetwork.Improvement to
accountability designTheQueensCSD surveyfoundthatwhile75%of
respondentsknewwhatwasexpectedof themregarding accountability,
only52% thought thatthesemechanismsmeasure the right
factors.Anareaof concern, according
tothesurveys,ishowaccountabilityissharedamongpoliticalstaffand
6
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civil servants. Most respondents felt that neither they (66%)
nor political staff (54%) areadequately trained towork together.
This has left public servants feeling vulnerable
topoliticalpressures51%saythat theyare NOTfree fromundue
politicalpressure andthis`igure
risesto80%formunicipalemployees.Toaddresstheaccountabilityissuethisstudyrecommendsthat:8.
A task force or Wise Person Group is established to create an
Accountability Code
that will clarify the responsibilities of public servants,
ministers and the staffs that ministers employ. This code, passed
as a non-binding resolution in Parliament and the provincial
legislatures, would become the benchmark to guide future
accountability disputes.
9. It should be a condition of employment in any ministers
office that exempt staff be required to attend a two week course on
the essentials of government and the political-civil service
relationship.
10. Develop an Exempt Staff Code of Conduct and Ethics. 11.
Adopt the title Executive Assistant to more accurately reflect the
duties of political
advisors.
12. Exempt staff post-employment activity restrictions should be
reduced to one year.
Ultimately, the public service is a re`lection of the political
and institutional context where itresides. In orderfor public
servants tohave the clarity, `lexibility, and creativity
theyrequire
toimplementpoliciesproperly,aworkableaccountabilitybargainbetweenministers,theirstaffs,andthepublicservice
needstobe recreated.Untilthisisachieveditwillbe
verydif`iculttoclosetheimplementationgapidenti`iedinthisreport.
Closing the Implementation Gap
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Foreword by Thomas S. Axworthy
The civil service in a democracy worksunder very peculiar
conditions. The controlexercised over it from the top is both more
lax and more severe than in
otherbureaucracies.BecauseoftheconBlictingandunreconciledinterestsintheelectorate,
inthelegislature,andinpoliticalparties,direction ofthe civil
service isoften vacillatingandlacking in vigoron
theotherhand,because thecivil servicedealssomuchwiththeprivate
interestsof groupsand individualswhose rightsmustbe respected to
theletterexceptinsofaraslegislationauthoritizesinterference,thereisveryrigidcontroloftheactionsoftheservicefromthetop.Thereismorerelianceonthebitandtightreinthanthespur.2The
subjectmatter of this study is the peculiar conditions in which
Federal and Ontario publicservantswork.
J.A.CorryandJ.E.Hodgetts,twoofthegreatestteachersofpublicadministrationinthehistoryofQueensUniversitydevotedtwochaptersoftheirseminalDemocraticGovernmentand
Politics tothe issueofdemocraticvaluesandtheroleof the
publicservice incontributingtotheirattainment.Writtenmore than a
generation ago, the insight thatpoliticians, parliament, and
thepublicrelymoreon restraintandcontrolthebitandtightreinin
theirrelationshipwiththepublic service, rather than encouraging
risk taking and creativity (the spur) could serve as
adescriptionofourcurrentageofaccountabilityoverdrive.ThepublicservicetodayenduresadailybarrageofcriticismfargreaterthaninthedaysofCorryandHodgettsthebitcutsdeeperthanitdid
thenandasthe surveyin thenextsectiondemonstrates, this is taking a
toll onthemorale,expectations,andcareerprospectsof
themenandwomenwhohavededicatedtheirlivestopublicservice.The
centrepiece of this study is the Canadian Public Service
CareerSatisfaction
Survey(CSDES)designedandcarriedoutbytheCentrefortheStudyofDemocracy(CSD),attheQueensUniversitySchoolofPolicyStudies.Twogroupsweretargetedforthesurvey:i)alumnioftheQueensMastersofPublicAdministrationprogram(MPA),
halfofwhom are young recruitsandhave less
thantenyearsexperience;and ii) seniorpublicexecutives attending the
PublicExecutive Program at
theQueensSchoolofBusiness.Therespondentsare,byandlarge,dividedequallybetweentheFederalandOntarioPublicServices.
Althoughnotintegrated intothedata presented, some
referencesarealsomadetotheresponsesofseniorHongKongpublicservantswhocompletedasurveyin2009.3TheHongKongresultsshowthatconcernsaboutaccountabilityresonatefarbeyondourborders.OnecanarguethatsamplesrestrictedtoQueenspublicadministrationgraduatesorparticipantsofQueensexecutiveprogramsaretoonarrowtogeneralizeaboutthestateofpublicserviceaswhole.Suchcaveatsaredulynoted,buttheCSDresultsarebroadlyinlinewithmanyofthe`indingsof
thepublic service employee surveysconductedona regularbasisbyboth
the federal
andprovincialgovernments.TheCSDsurveyresultsweresupplementedbyaseriesofinterviewsandroundtableswith
Ontario and federal public servants who reinforced the survey
`indings by augmenting8
2 J.CorryandT.Hodgetts(1960),488.3
ThomasAxworthyfacilitatedDirectorateSeminarsfortheHongKongSARProgram,April2009.
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statisticaldatawithpersonalcolourandanecdotes.Further,the2009CSD
studycomplementsthe`indings and research of the 2007
PublicPolicyForum studyCanadas PublicService in the 21stCentury4
andthethreereportsofthePrimeMinistersAdvisoryCommitteeonPublicService.5Iamverycon`identthatthissurveyisanaccuratesnapshotofthecurrentviewsofmanyin
the federalandOntariocivilservices.Public servants do a variety
things ranging from senior of`icialswhomanage crisesand
adviseministersto the verydifferent rolesof those whodeliver
frontline servicesthrough interactionwithcitizens.
JamesQ.Wilson(1990),inhisclassicBureaucracy,
dividespublicservicesintothreecategories:operations,managers,
andexecutives.6 Allaremembersof thepublicservice,yetsomepartsmight
be in crisiswhile others are working perfectlywell. For example,
senior executivesdealingwithministersand legislaturesona
dailybasismaybemalfunctioningwhencomparedtootherparts of
themachine, like those providing passports orconstructing highways.
Ora policyframeworkmaybe well thought out and articulated at senior
levels, such as in Canadas PublicHealth Agencys H1N1 strategy, but
the implementation at the delivery levelvaccinationsforexample,
mightbe `lawed. In bodies so vast (estimated employment levels in
the federal
publicservice:401,0007;Ontario:68,6458),itisprudenttobecarefulaboutgeneralizations.AsthePublicPolicy
Forum Report, A Vital National Institution warned in its summaryof
several roundtablediscussions there is toomuch emphasis on the
5,000 employeeswho provide high level policyadvisetopoliticians,
andfartoolittle on the400,000 including Crowns,
theCanadianForcesandotherorganizations,whoimplementprograms,deliverservicesandworkdirectlywiththepublic.9Certainlymany
use the word crisis10 in describing todays public service. Donald
Savoie, a veryastute observer of comparative public administration,
for example, quotes a former Canadiansenior government of`icial who
remarked: the civil service has simply lost its way.11
Savoieexamines, in great detail, the relationship between
politicians and civil servants in Canada andGreatBritain and
concludesthattheoldcooperativemodelisnowbroken12
Politiciansdirectingpolicybutstaying outof
administration,andcivilservantswilling tospeaktruth
topower,havebeen replaced by court government where individual
public servants may `lourish (if they
Closing the Implementation Gap
4 Green,Baird,Fawks,(2007).5 See the Fourteenth, Fifteenth,
andSixteenth:Report to the Prime Minister on the Public Service of
Canada within the annexes the`irst, second, thirdreportof the
PrimeMinisters AdvisoryCommittee on the PublicService
chairedbyTheRight Honourable Donald F.Mazankowski, P.C., O.C.,
A.O.E.,
LL.D.http://www.pcobcp.gc.ca/index.asp?lang=eng&page=information&sub=publications&doc=arra/162009/3rd3eme/20090226eng.htm6
JamesWilson,(1990).7
StatisticsCanada,2009.Retrieved27November2009.http://www.statcan.gc.ca/dailyquotidien/090529/t090529b1eng.htm8
Howlett, (2009).
http://www.theglobeandmail.com/news/national/ontarioshrinkscivilserviceby1500jobs/article1376568/.Retrieved:25November2009.9
PublicPolicyForum,(2007).P12.10 Whether crisis is the right word or
not can be debated, but manywhowork in the public service responded
that they perceivethemselvestobe undersigni`icantstress. Graham
Lowe, forexample,cites the
StatisticsCanadaCommunityHealthStudytoshowthatinselfperceived
workstress respondents saying that almost always at work they were
quite a bit or extremely stressful, publicadministration
employeeswere nearthe topofthosemost underpressure.With37%of the
public administration sampleindicatedthattheywere stressed,
compared to 22% in primary occupations, like agriculture or
processmanufacturing. Only employees in `inancialmanagement or the
healthsector recorded higher percentagesof stress than public
administration employees generally. Source:
Lowe,2007.www.cprn.org.Retrieved:4January2009.11
DonaldSavoie,(2008).P1512 Ibid,P16.
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implement the wishesof thecourt),butthedistinctpersonalityand
independentrole of the
civilserviceasawholehaswithered.TheCSDsdata,however,
demonstratesthatwhile the civil servicemayhave somedents, itis
farfrombroken. Heavymajoritiesof the respondents to the CSD survey
reported high levelsof jobsatisfaction80%of the
Queenssampledescribe
theirjobassatisfyingandover50%ofFederalrespondentsthinkthattheirorganizationisperformingbetterthanitdidwhentheystartedoveradecade
ago. In generalabouttwothirds of the respondentsare happywith
theirwork,
withtheotherthirdthinkingaboutleavingorareactuallyseekinganotherjob.TonyDean,
thenSecretarytotheOntarioCabinet, inhis2007Framework
forActionReportto
thePremiertookmanyinsightsfromaMarch2006surveyofOPS
employeesandhisconclusionsareroughlysimilartotheQueensstudy.ThereportfoundthatOntarioemployeeswerefairlysatis`iedandreasonablyengagedwith
theirjob13.About twothirdsof those surveyed said that
theworkthattheydogivesgoodvalue
fortaxdollarsandthattheirunitplaceshighvalueongoodservice.The2009OntarioPublicServiceEmployeeSurveyevenshowsanincreasefromthetimeDeanwroteof
job satisfaction among public servants (67% satis`ied and 12% not),
which represents
anincreasefrom3.50meanin2006to3.77meanin200914.Yet,liketheQueensCSDsurvey,Deanalsohighlightedareasforimprovementonly38%feltthattheyhadopportunitiesforcareergrowth,only22%feltleaderswereprovidingcleardirection,andonly35%saidtheamountoftraininganddevelopmentreceivedmettheirneeds15.Eventhoughjobsatisfaction
isrelativelyhigh,theQueensCSDsurveydemonstratesthattherearesigni`icant
problem areas, particularly in the political civil servant
relationship that Savoiehighlighted. Over half of the respondents
believe that their organization suffers from unduepolitical
interference (this number is 10% higher among MPA graduates) and
53%of the MPAsample believe that political staff are seldom capable
and trained adequately for theirresponsibilities16. Savoie argues
that civil servants should have a legal basis for
resistinginstructions from elected politicians to perform
essentially partisan acts, and the Queens
CSDsampledemonstratesthathehasidenti`iedarealconcern17.Whatwe heard
from ourroundtable experts, however, is that the problem
isnotsomuchaboutinterferenceasitisaboutunderstandingthe
relationshipbetweencivilservantsandexemptstaff.Thisrelationshipissueismoreaboutmisunderstandingsratherthanmalignintent.Savoie
wonders if there ever reallywasa golden age of the political
civilservantrelationship.Regardless, he believes that it is not
possible to turn the clockback to the way thingswere.18Perhaps he
isright. Compared to theirpredecessors two generationsago, todays
public service
10
13
TonyDean,(2007).http://www.gov.on.ca/mgs/graphics/121594.pdf.Retrieved:25November2009.14
IpsosReid,2009).15 TonyDean,(200716 Formore informationonpolitical
staff,seeLiane B.Benoit. MinisterialStaff: the life
andtimesofparliamentsstatutoryorphansinCommission of Inquiry into
the Sponsorship Program and Advertising Activities: Restoring
Accountability, Volume 1.
(Ottawa:PublicWorksandGovernmentServicesCanada,2006.)17
DonaldSavoie,(2008).P338.18 Ibid,P335
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mustmanage in a worldwith a twentyfourhour news cycle, much less
deference to authority,articulate thinktanksandinterestgroupsof
everypersuasion,and the pervasive in`luenceof
theCharterofRightsandFreedoms,whichhasmade the judiciarymuchmoreof
apolicyfactor19.Addtothisfrequentdeputyministerjobswitchesthatoftenresultindeputiesbringingwiththemtheirclosestassociates,sothattherearewholeteamsofseniorof`icialsonthemove.In2007,
thePublicServiceCommissionhighlighted thisproblem
initsannualreportwithastudyof payrecordsthatshowed that 40% of
public servants started and ended the year in different jobs; 58%
of thegovernments5000executivesmovedtodifferentjobs.LindaDuxbury,
ahuman resourcesexpert,told theOttawaCitizen: Its
abigdance.Someonemoveswhichcausessomeone else tomove
toactingpositionandsomeoneelsetopositionthemselvesforthenextpromotion20.Managersdonotstaylongenoughtoknowtheir`ilesorgain
the trustandloyaltyoftheiremployees.Churnmeansthat there is no one
tomentor or train new recruits. Duxbury further re`lected that this
trendresultsinnocorporatememory,soitslike
apingpongpolicygame21.HenryMintzberg,Canadasleadingmanagementtheoristwiselyconcludes
that: thewhole issue of musicalchairs in seniormanagement is
destructive. The managers Ive seen who are effective are devoted to
theirdepartment22.Golden Moments
Stability,however,wasthenorminthe1960s.IfthePearsonerawasnotinfactagoldenage,therewerecertainlygoldenmomentsandweshouldnotforgettheachievementsofthepastintryingtoconstructa
betterpublicpolicyfuture. Incertain keyareas, suchasthe
constantshuf`le
todayofseniorpublicservantscomparedtothestabilityandacquiredexpertiseevidentinthe1960seraofcivil
service leaders, there is no doubt that in the past the public
service wasmanaged moreintelligently. C.E.S Franks reports, for
example, that in September 2009 eleven out of the
coretwentytwodeputyministersin Canada had beenintheirof`ice
forlessthan twoyears,nine lessthanoneyear23.Yet,
thePublicAccountsCommitteewastoldbyaSecretarytotheTreasuryBoardthat
it tookabout twoyears fora deputyministertobecome fullyeffective in
a post.
AsFranksconcludes,totheextentthatthisistruemostdepartmentsinCanada,muchifnotmostofthetime,areoperatingwitha
lessthaneffectivedeputyminister24.Constantpersonnelchangesarealsonotsimply
an Ottawa phenomenon. Our study frequently references the recent
controversy
overOntarioselectronichealthrecordinitiative(orlackthereof).TheAuditorGeneralofOntariofoundthat
a contributing factor to the implementation woes of that project
was that, the recentreplacements of eHealth Ontarios board Chair
and CEO mark the fourth such overhaul
ofleadershipateHealthOntarioanditspredecessor,SSHA.Eachoftheseoverhaulsbroughtwithititsown
period of transition where progress on the initiatives
objectiveswas slowed or, at times,
Closing the Implementation Gap
19
Savoie(2008),P94123hasanexcellentchapteronsocietythenandnow.20
OttawaCitizen.Toomuchreshuf`linginPSranks,expertsays.OttawaCitizen.November2007.21
Ibid.22
VicPakalnis,CanadasManagementGuruinCanadianGovernmentExecutive.Vol.13.No.1.2007.P6.23
C.E.S.Franks,fromanunpublishedpaper:"The Functioning of
thePresentDayCanadianHouse ofCommons:a
paperpreparedfortheconferenceinhonourofPeterAucoin,"Halifax,November2009.TableV,page824
Ibid.
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halted25. The Auditor rightly notes that on eHealth (and his
observation applies to the
publicserviceasawhole)thatwitheveryseniorchangeinpersonnelthereisapricetobepaidintermsoflosttime,lostexpertise,andworkingrelationships.Iwasfortunatethatmy`irstexperienceinOttawapolicymakingwasinthe1960sduringthegreatcreative
periodof the Pearson government. Thiswasalso the tailend of
thesocalled MandarinEra26. Iobserved `irst hand themen (and a
fewwomen)whowere responsible for establishingCanadasreputation
ashaving one of the bestpublic services in
theworld.ThatwasalsoanerawhenpoliticalpartiesactuallydebatedpolicyLiberalPartydelegatesatthe
1961Rally, not theleadersadvisors,made
theCanadaPensionPlanaplatformpriority.Again, in1966,
LiberalPartydelegatesresistedanyattempttoundulydelaymedicare27.Mr.Pearson,withagoodeyeforCabinettalent,
broughtthreenewfacesintoCabinetinApril1967eachofwhomeventuallybecamePrimeMinister.
The cabinet that these young menPierre Trudeau, John Turner and
Jean
Chrtienjoinedwasmuchmorethanatalkshop.EquallycriticaltothesuccessofthePearsonGovernmentwasthestrengthof
thepublicservice.Vibrantvolunteerbasedparties,strongwilledCabinets,andapowerfulpublicservicemadethe1960sagoldeneraofpublicpolicymaking.Todayeachofthesethreepillarsparty,cabinetandpublicservicehasbeenweakened.Inthesummerof1967,IbeganworkasajuniorresearchassistanttoWalterGordon,PresidentofthePrivyCouncil.GordonhadworkedatFinanceduringthewarasadollara
yearman28
andin1946hechairedaRoyalCommissiononAdministrativeClassiBicationsinthePublicService.IhappilyaccompaniedMr.GordonwhenhemetoldfriendslikeW.A.MacIntosh29whohadalsoheldseniorpositionsintheDepartmentFinanceandReconstructionandIlistenedattentivelyastheyswappedanecdotes.
In discussing the successes of the postwar Mandarite and their
preference foranonymity,
Iremembertheirinsightthattherewasnolimitonwhatonecould achieve
inOttawaprovidedyoudidnotcare
forpubliccredit.Thisisaninsightthatpoliticalassistantsanxioustogettheirnamesinpoliticalgossipcolumnsshouldre`lectoncarefully.Consideringacareerinpublicservice,Iwrote
theForeignServiceexamsandwasofferedpositionsinbothExternalAffairsand
thePrivyCouncilOf`ice,butthe sirensongof
politicswastoostrong.KeithDaveyand Jim Couttshad little dif`iculty
in persuadingme to become
apoliticalassistant.Priortothe1960stherehadcertainlybeenpoliticaladvisorstoministersinOttawa,buttheywerefewinnumber30.
The bestknownwasJackPickersgillwhodespitebeing amemberof the
public
12
25 Of`iceoftheAuditorGeneralofOntario,(2009).P10.26 Granatstein,
(1982).P118. Gordon Robertson, one of the great public servants of
that era has written an insightful memoir ondecisionmaking in
Ottawa. See Gordon Robertson, Memoirs of a Very Civil Servant:
Mackenzie King to Pierre Trudeau.
(Toronto:UniversityofTorontoPress,2000).27 Incontrast, the policy
forum at the 2006 Liberal leadershipconventionwas a sea of
emptychairs, devoid of anydiscussionof
theLiberalRenewalCommissionsreportthatIhadchairedthatyear,whichhadgarneredthecontributionofhundredsofvolunteers.28
DollaraYear Man, a term used during WWII to describe those business
executives who were brought to Ottawa to work ingovernment, largely
inthe Department ofMunitionsandSupplyand intheWartime
PricesandTrade
Board.Theircompaniespaidtheirsalaries,whileOttawaprovidedlivingexpenses.Source:TheCanadianEncyclopedia29
W.A.MacIntoshbecamea
distinguishedPrincipalatQueensUniversity,asdidJ.J.Deutsch,
anotherofthe famousmandarinswhoalsoretiredtoQueenstoeducategraduate
students, myselfincluded. Fora descriptionof theMandarinsat
theDepartment ofFinance
intheGoldenAgesee:DavidW.Slater.EconomistsattheDepartmentofFinance,19451980inCanadianBusinessEconomics.(1997).30
Foranexaminationofthe role ofpoliticalstaffpriortoMr.Trudeaus
initiative in creating a formalclassof exempt
politicaladvisorssee:J.R.Mallory,TheMinistersOf`ice:AnUnreformedPartofthePublicServiceinCanadianPublicAdministration.Vol.10.No.1(1967).
-
service gave partisan advice to both Mackenzie King and Louis
St. Laurent (a transgression ofneutralitythatwouldnotgounnoticed
today).Iwasamemberof the `irstgeneration ofpoliticalassistants, a
cadre that hasgrown in in`luence eversince. The data from the CSD
survey showsclearly how uneasymany public servants are about the
expanding role of political assistants.However, political advisors
make a real contribution to policymaking and this should not
beforgotten when we assess the relationship between ministerial
of`ices and the regular publicservice.Oneof
thegreatcontributionsofapublicservice iscautionitmustoutline
theobstaclestoministerialorpolitical goals.Ministers are often
frustrated, because the main word that theyhearfrompublicof`icials
is no. Yet, thisisa real service, because of`icialsare trying
toprotecttheir minister from trouble. Political advisors, however,
have an opposite virtuethey areexceedingly energetic, passionately
loyal, and keen to tackle what appear to be
impossibleobjectives.Thereisarole forthewisdomandmemoryof the
publicservice,butalsoanequalroleforthecommitmentandenergyof
thepoliticaladvisor.Weneedgoodpoliticaladvisors,
justasweneedgoodpublicservants.The 1968 innovation of Pierre
Trudeau of formally creating a new type of public
of`icialthepolitical advisoris often cited as the beginning of the
aggrandizement of primeministerialpower31.But,
infact,Trudeaupreservedoursystemofa
professionalpublicservicebyrecognizingthatpoliticswascentraltoanygovernment,ministersneededstafftohelpthemdotheirjobs,andthatitwasinappropriatetoasknonpartisanpublicservantstotakeonthesetasks.Advancingtheagenda
of the government, following uponministerialdirectives,
interpretingpublicopinion,
anddevelopinganarrativeandcommunicatingaconsistentmessageareallvitaltasks;asimportanttothesuccessofagovernmentastheprofessionalandtechnicalexpertiseofthepublicservice32.Thus,the
public servant category of exempt staff was born. Exempt, because
unlike career publicservants,politicalstaff arenotsubjectto
themeritbased rulesof the PublicServiceCommission,but public
servants still, because: political advisorsmake a legitimate
contribution to the policyprocess,aresubjecttovariousstatutes,
suchasthePublicServiceEmploymentAct,theCon`lictofInterestAct,andtheLobbyingActandarepaidfromallocationsauthorizedbyParliament.In2008,therewere
oversix hundredministerial staff inOttawa serving twentyseven
ministers and
`ivesecretariesofstate,includingapproximately80staffpositionsinthePrimeMinistersOf`ice33.Ministersneedassistance
frompoliticalprofessionals justastheyneedexpertpolicyadvice
fromthepublicservice.Publicservantsmayoftenbe frustratedin
theirdealingswithpoliticalservantsastheevidenceinAppendix1demonstratesbuttheymightfeelfarworse
iftheywerethrownintothemaelstromofpoliticallifeintodayspartisanenvironment.Theoutsideimpressionmaybeof
anallpowerful PMO, butinside thebellyof the beast it isa
constantbattle to stay on top ofevents, manage a myriad of
priorities, and move an agenda forward inch by inch in a
federalcountryinaglobalizedworld. Icant imaginebeinganybusierthan
Iwasindirecting thePMOin
Closing the Implementation Gap
31
See,forexample,anearlycritiqueinWalterStewart,Shrug:TrudeauinPower.(Toronto:NewPress,1971).32
Foradescriptionofthe strategic roleofthe PrimeMinistersOf`ice
see:Thomas S.Axworthy. Of Secretaries
toPrincesinCanadianPublicAdministration.Vol.31.No.2(1988).33 Alex
Smith. Ministerial Staff Issues of Accountability and Ethics,
December 2008,
http://www2.parl.gc.ca/Content/LOP/ResearchPublications/prb0602e.htm(Accessed:4January2010).
-
Mr.Trudeauslasttermandthatwasinanerathatpredatedthe24hournewscycle,Youtube,andemail!
This study has several recommendations on how to recruit and retain
quality men andwomen forthe public service.We need
tobeequallydiligent in encouraging and supporting
theexemptcategoryofpoliticaladvisor.Tothatend,we needtorealize
thatthepoliticaladvisorgrouparenolongerunreformed,asJ.R.Mallorywrote
about the breed in 196734. The Privy Council Of`ice, for example,
describes thepoliticaladvisoryfunction
inAccountableGovernment:AGuideforMinistersandMinistersof
Stateas:toprovideMinistersandMinistersofStatewithadvisersand
assistantswhoare notdepartmental public servants, who share their
political commitment, and who
cancomplementtheprofessional,expertandnonpartisanadviceandsupportofthePublicService.Consequently,
theycontribute a particular expertise or point ofviewthat
thePublicServicecannotprovide35.TheAccountabilityGuide
speci`icallyinstructsthatexemptstaffdonothave the
authoritytogivedirectionstopublicservantsandinmeetingtheirresponsibilitytorespectthenonpartisanshipof
public servants, exempt staff have an obligation to inform
themselves about the appropriateparameters of public service
conduct, including public service values and ethics and to
activelyassesstheirownconductandanyrequeststheymake
todepartmentalof`icialsinthelightofthoseparameters36.TheConBlictofInterestActhasseveralprovisionsthatapplytoministerialstaff(suchasnottousetheir
position to in`luence a decision to further private interests) and
sets rules for postemployment activities(suchasnotentering into
contractsoracceptemploymentof
aperiodofoneyearwithanentitythattheyhavesigni`icantof`icialdealingswith).Formerministerialstaff
ina particularly excessive restriction are prohibited under the
Lobbying Act from engaging inlobbying
activitiesfor`iveyears!Inshort,ministerialstaffinOttawaalreadyoperateunderastrictethicalcodewithsigni`icantprohibitionsonpostpoliticalemployment.Theproblemisthatfewrealizethisfact,certainlynotthepublicservants,whowereinterviewedforthisstudy.Thepredominantimpressionarticulatedbymanypublicservantsinoursamplewasthatwhilepublicservantsare
guidedbywellarticulatedcodesof conduct,politicalstaff
aremotivatedonlyby partisan needs. Yet, ethical standards for
political behaviourexist inmanystatutes
andpoliticalguidelinesforPCOstaff. Thisde factocode
shouldbemadeexplicit inaCodeofEthnical
Conductfor ExemptStaff, asrecommendedbythe
GomeryCommission37.Suchacodewould helpdispel the image of political
staff as amoral political warriorsand putexempt staff on an
equalethicalfootingwiththepublicservice.
14
34 J.R.Mallory(1967)35
PrivyCouncilOf`ice,AccountableGovernment:AGuideforMinistersandMinistersofState,2008,P.37.36
Ibid,P.3738.37 Commission of Inquiry into the Sponsorship Program
and Advertising Activities: Restoring Accountability,
Recommendations.(Ottawa:MinisterofPublicWorksandGovernmentServices,2007),Chapter7.
-
The Gomery Commission also advocated that exempt staff receive
training for their
importantduties.Trainingandprofessionaldevelopmentarethehallmarksofourprofessionalpublicservicesand
there is no reason that such opportunities should be denied to
exempt staff given
theirlegitimateandcriticalroleinthepolicyprocess.AsPrincipalSecretarytothePrimeMinister,Imetregularlywiththeexemptstafffromeachministersof`iceandsometimesseminarswereorganizedaround
political topics (usually the latest in political management
techniques from the UnitedStatesortheUnited Kingdom),
butsucheffortswere adhoc. Asa juniorassistanton ParliamentHill,I
receivedverygoodadvice,especiallywhenmeetingveryseniorpublicservants,tokeepquietandtakenotes.Butbeyondthispersonalmentoringtherewasnoorientationsession.TheInstituteofPublicAdministrationofCanada
in2006produced anExecutiveBriefonTrainingand Recruitment of
Political Staff at Queens Park, which contains ideas worthy of
widerapplication38.Theyrecommendedthatthereshouldbeorientationtrainingfornewpoliticalstaffbycurrentandformerministerialpersonnelandbypublicserviceexecutives.Thereshouldalsobeasystemofmasterclasses,formoreindepthexecutivedevelopment.Justasimportant,thereshouldbe
similarclassesforpublicservantsonhowtobuildeffective
relationshipswithministerialstaffandthepremiersof`ice.ThedatainAppendix1showsthatmanypublicservantsfeelthattheyarenotadequatelytrained
to dealwithpoliticiansand thatministerialassistantsare
notadequatelytrainedtodealwith theirpublicadministrationduties.The
IPACprogramwouldmeetboththeseneeds.Aswell as the developmentof a
Code of Ethical Con`lict forExemptStaff and better
educationalopportunitiesforexemptstaff,akeydisincentiveforpoliticalstaffrecruitment,shouldberemoved.Theprovisionin
theLobbyingAct,whichprohibitsemploymentinlobbyingactivitiesfor`iveyearsafterleavingaministerialof`ice,istoodraconian.Bylimitingcareeropportunitiesforsuchalengthoftime,itdissuadesmanyfrombecomingexemptpoliticalstaff.Aoneyearprohibitionissuf`icient.There
is one change, however, which shouldbe made tomore
accuratelyre`lect the function
ofpoliticaladvisors.Theyareassistantsnotdecisionmakers.
TodaysdesignationofChiefofStaffimpliesanexecutiveauthoritythatsuchapositionshouldnotpossess.Inthe1960sseniorpoliticaladvisorswerecalledExecutiveAssistantsandthatisamoreaccuratedescriptionforwhattheydo.Truth
to PowerAlthough I decided against a public service career, I had
the good fortune to work with publicservantswhowere experts in
implementationandmaintained the higheststandards in speakingtruth
to powercareer public servants like Ian Clark, Sylvia Ostrey,
Gordon Smith, RobertRabinovitch, Robert Fowler, Arthur Kroeger,
Maureen ONeil, Huguette LaBelle, Ed Clark, BobAdamson, Ian Stewart,
AllanGotlieb, TommyShoyama, and Gordon Osbaldeston. In particular,
Ilearnedmuch fromMichaelPit`ield, Secretarytothe Cabinet.
Pit`ieldsapproachtopublicpolicymaking was often criticized for
being unnecessarily complicated. He was trying to
achieveequilibrium between collegial cabinet debates combined with
the longterm perspective of the
Closing the Implementation Gap
38 PatrickDutil. Working withPolitical Staff at Queens Park:
Trends, Outlooks,Opportunities.(Institute of PublicAdministration
ofCanada,2006).
-
Canadianpublicservice.IcanpersonallyattestthathewasforthrightinbringingproblemstothePrime
Ministerhe certainly never had trouble speaking truth to powerand
he was a stoutdefenderof
thepublicserviceagainstsomeofthemoreproblematicideasof
thePrimeMinistersOf`ice(manyofwhichIoriginated).InOttawa
inthe1960sand70sonedidnotnecessarilyhavea long
personalrelationship, likeMr.Pit`ield did withMr. Trudeau, to
speaktruth to power. I saw this characteristic displayed
manytimes.The`irstthingtomakeclearisthatspeaking
truthtopowerdoesnotmeansubstitutingthevalues of appointed public
of`icials over those of the elected politicians. By running for
of`ice,politiciansdothe heavydemocratic lifting anddemocratic
accountabilitygivesthemthe
primaryjobofallocatingvalue.Butinassessingtheimpactof the
valuechoicethatpoliticiansmake,publicservants have the duty to give
their ministers theirbest professional advice. I have
mentionedWalter Gordon as my `irst Ottawa boss and an anecdote
about his controversial 1963
budgetillustrateswelltheframeworkofahealthytruthtopowerrelationship.
Inthe1970s,IgottoknowClaudeIsbister,whowasacivilservantwhoheldmanyseniorjobs,including
servingasAssistantDeputyMinisterofFinanceatthetimeofthe1963budget.Isbisterandhisfellowof`icialswerenotinfavourofmanyofthemeasurestoreduceforeigninvestmentthatwereattheheartofGordonsbudget.
But, Gordonsviews on the subjectwere wellknown, he had campaigned
on itand theDepartmentacceptedthatasaministerhehadthe
righttopromotepoliciesthathebelievedwereinthepublicinterest.Speakingtruth
topower,
however,doesimplythedutyofpublicservantstogivepoliticalsuperiorsthebestpossible
informationandadvice.AsadevoteeofMr.Gordon,yearslater when I was a
member of the PMO, I asked Isbister if the Department of Finance
haddeliberately let him down by not pointing out the implementation
dif`iculties and `inancialtechnicalities in many of the budgets
provisions (many had to be withdrawn and Gordonsreputation tooka
severe hit). Isbistertoldme thathisconscience was clearhe and
others hadsuggestedproceeding, in stages, ratherthan througha
boldprogram allatonce.
Gordonrejectedthisadvice,ashewasentitledtodo, buttheDepartmentfelt
ithaddoneitsjobbynothidingtheprobablereactionofthe`inancialmarkets,nortellingtheministerwhathewantedtohear39.ThiscaseillustratesthetruthtopowerdynamicsthatJamesR.Mitchellrecentlyoutlinedtoagroupof
civil service leaders. The `irst thing to remember, he said, is
that this whole business
ofspeakingtruthtopowerisnotaboutyou;itisaboutyourdutyasaseniorpublicservant.Itisaboutthefacts,anditcanbeaboutideas,butnotaboutyouandnotyourideas40.Of
course Isbisterscautionsaboutthe 1963 budgetand the doubtsof
LouisRasminsky, the thenGovernorof the BankofCanada,were given
toMr.Gordon con`identially. TherewasnoAccess
toInformationActor24hournewscycle
totrumpetthatseniorof`icialshadreservationsaboutthespeed of the
minister. David Zussman contrasts the situation twenty`ive years
ago when
theCanadianPublicServicecouldbecharacterizedasanonymous,wellhidden,andtheunchallengedprimarysource
of policyadvice. Asa result, publicservantscould be candid with
theirpolitical
16
39 The story of the 1963 budget is welltold in Steven
Azzi.WalterGordonand the Rise of CanadianNationalism.
(Montreal:McGillQueensUniversityPress,1999).P.95110.IsbisterwasalsoakeysourceforAzzisaccount.40
JamesR.Mitchell. Can I ReallySpeakTruth toPower? PracticalAdvice
for New Executives,Ottawa. March 25, 2007 at the SussexCircle.
-
masters in the full knowledge that their advice would be
con`idential. Today, however, heconcludes, there appears to be less
interest in speaking truth to power given the
extremelypartisanenvironment41.RuthHubbard,a
formerDeputyMinisterandChairofthePublicServiceCommissionaddsafurtherdimension
tothenecessityofspeaking truthtopowerbymaking thepointthatthe
exercisedoesnot have to be a zero sum game. It is a mistake to
start every conversation at the politicalbureaucratic boundarywith
a mindset that presumes thatwhat is intended is forone party
toconfront the other42. She gives the example of of`icials
understanding the objectives of theministerwhile suggesting
bettermeansof obtaining the goal or public servantsbeing
attentiveenoughtopoliticalrealitiestofashionresponsesthattakeintoaccountthepoliticalvaluesoftheirministers.
With a newly elected government, she recounts, instead of relating
choices to thecollective good,the value frame of
thepreviousgovernment,of`icials instead talked intermsofreducing
crime, a reference more in keeping with the goals of the new
minister. This skill inunderstanding
thevalueframeofthepartyinpowerandthenusing
thattohighlighttradeoffswasbrought home to me through observation
of the effective performance of Tommy Shoyama,
aDeputyMinisterofFinance.Membersof the Liberal caucus,
supportedbythePMO,wantedmoredone forsmallbusiness ina forthcoming
budget. Shoyamadidnotoppose thisgoalheadon,
butinsteadusedaLiberalprinciplewellenunciated invariouscampaigns
ofhelping `irstthose
whoneedhelpmosttoshowthatmoreresourcesdevotedtosmallbusinesswouldtakeawayfromtheenvelopethatwastobeusedforpoorseniors.Shoyamawonhispointnotbyconfrontation,butbyskilfuluseofframingandlanguage.AsHubbardstates,ministersareneitherfoolsnormalevolent.Therefore,
the greaterburdenlieswith
thedeputyhead(orotherseniorpublicservants)
ratherthanwithelectedof`icialsto`indeffectivewaystoenable the
highestqualityconversation to takeplace43.Virtues of the
MandarinsBeyond speaking truth topower,whatwere
theothercharacteristicsof
thepublicservantsthatIknewinthe1960s,1970sand1980sandhowdotheycontrastwithtodayspublicservice?The
`irst is that the senior public servants in Ottawa in the
1960s1980s had tremendoussubstantive knowledge of
theirdepartments`ield. Therewasnothing about Finance that
SimonRiesmandidnotknow.DavidGoldenhadhimself
inventedtheDepartmentofDefenceProduction.BobAdamson of CMHC
kneweveryaspectof housing. Seniordeputies stayed in their jobs
longenoughtogainexpertdepth inthe subject.Advancementdepended onthe
abilitytodemonstratesubstantive competence. Ministers relied on the
expertise of theirdeputies. Today, as
discussedabove,wehaveamadmerrygoroundofdeputiesjumping
toanotherjobwithineighteenmonthswhenittakesyearstomasteraportfolio.Publicservantsneedtoprovideexpertiseandpoliticiansenergyand
communication skills. Seniorpublic servants, therefore,
shouldstayin theirpositions
Closing the Implementation Gap
41
DavidZussman.Whitherthefearlessadviser?inCanadianGovernmentExecutive.Vol.15.No.1(2009).42
Ruth Hubbard. Speaking truth topower:A matter of imagination and
courage in Canadian Government Executive. Vol. 15. No.
1(2009).P11.43 Ibid
-
foraminimumof`iveyears.ThisisnotanewideaitwasrecommendedbytheRoyalCommissionFinancialManagementandAccountabilityin197944.Second,when
I`irstcame toOttawa in the
1960stherelationshipbetweenpoliticiansand seniorpublic servantswas
largelyone of trust. The essence of trust,writesPaulThomas,
ispositive,con`ident expectations about the motives, intentions,
competence, and anticipated behaviour ofinstitutions and their
leaders45. As Principal SecretarytoMr. Trudeaumyof`ice could
nothavesurvived excepton a systemof trustbetweenmyselfand
theClerksof
thePrivyCouncilMichaelPit`ieldandGordonOsbaldeston.WithbothclerksIestablishedtheruleofnoendruns.WithboththePMOandPCOhavingaccesstothePrimeMinisteritwas
imperative toargueissuesopenlyinfrontof
him,ratherthanattemptingtokeep theotherinstitutionin
thedark.UsuallythisentailedthePMOaddingapoliticalbrie`ingnotetotheCabinetpackageassembledbythePCO.Wereliedonthe
PCO to inform us about the agenda, they reliedonustoalertthem
topoliticalmine`ieldsoropportunities.Trustmeansthatpoliticians,politicaladvisors,andpublicservantscandisagreewithoutimpugningeach
others motives or character. Senior public servants, a generation
ago, certainly had thecourage tosayno to aminister
andministerscould saynoto thePrimeMinister. The head of
apoliticalof`icewasanExecutiveAssistantnota
ChiefofStaff,anddeputieswerepolite
toEAsbuttheywouldnevertakeanorderfromthemnorallowthemselvestobeshutoutofmeetingswiththeminister.TheMandarinswerepowerful,becausetheytoldthetruthandtheyhadtheexpertiseandexperiencetobackuptheirclaims.Trust,
however,nowseemstobe inshortsupply,inOttawa.Civilityisa
companionvirtue totrust.Previousreports fromthe Centreforthe
StudyofDemocracyhaveshownthatthealwayspresentpartisanship
atQuestionPeriod in the House of Commonshas nowseeped throughto
affect theworkof House Committeesandrecentlythe same disease
hasbeenallowed topoison the publicservicepoliticalrelationship.
LindaKeen, theformerHeadoftheNuclearSafetyCommission,wasdismissed
inadispute withtheMinisterof Energy,butnotbefore shewaswrongly
labelledasaLiberalappointee46.RichardColvin,adiplomatdoinghisjobreportingthefactsfromAfghanistanondetaineetransfershasbeensimilarlypersonallyattackedbytheMinisterofDefence.ColvinhasbeensupportedpubliclybymanyformerAmbassadors,butnotbytheSecretaryoftheCabinet,whoissupposedtobetheof`icialdefenderofthepublicservice47.AndwhenColvingavehistestimonytoa
House Committee, he did so alone, instead of being accompanied by
the DeputyMinister ofForeignAffairs and Trade. Steven Covey, a
world renowned management consultant,
saysabouttrustthatwejudgeourselvesbyourintentionsandothersbytheirbehaviour48.Thebehaviourof
18
44 RoyalCommissiononFinancialManagement
andAccountability.FinalReport. (Hull:CanadianGovernment Publishing
Centre,1979).P.194.45 PaulC.Thomas.Trust andParliamentAgenciesin
The Evolving PhysiologyofGovernment,UniversityofOttawa Press
(2009).21524846 CBC News. Nuclear safety watchdog head `ired for
'lack of leadership' January
2008,http://www.cbc.ca/canada/story/2008/01/16/keen`iring.html?ref=rss.Retrieved:5January2010.47
Steven Chase and Campbell Clark. Former ambassadors condemn
Ottawa's attack on diplomat December 2009,
http://www.theglobeandmail.com/news/politics/formerambassadorscondemnottawasattackondiplomat/article1392248/.
Retrieved: 5January2010.48
StephenM.R.Covey.CommitmenttotrustinCanadianGovernmentExecutive.Vol.15.No.1(2009).
-
theConservativeGovernmentinattackingtheperformanceofpublicservantsinafashionsimilartothe
usual cutandthrust of party slanging is a radical departure from
the norm of the socalledGoldenAge andmakesurgentthe
necessityofdefendingpubliclythe traditionof
ameritbasednonpartisanprofessionalpublicservice.Inthecurrentcontext,arespondenttotheCSDsurveysharedthisopinion:Often,
the politiciansgo overboard in responding to issuesthe response
ispolitical,notpractical.Forexample,withrespecttoEHealth,theorganization
ignoredtherulesthe rules did not need a major overhaul. It is not
necessary to implement a
newreportingregime.Sometimesyoucanbringinaconsultantforasmallamountofmoneytoaccomplishsomethingquickly.So
forthebadactionsofone organization, everyoneelse
thathadbeingobeying theruleswaspunished,resulting
inmore"administrative"work(process) lesseffectiveness. Sometimesthe
senior executivesshould say"no"tothose political responsesrecognize
the workload that the political response willrequireand
supportthepublicservantsacknowledgetheirexpertise,
judgmentandintegrity.(Fall,2009)Third, the senior members of the
public service that I worked closely with throughout the1960s1980s
had great pride in their profession. Deputy ministers in that era
were primarilyconcerned abouttheirowndepartments, but theyalsomet
and socialized informally and had awider commitment to the
government and public service as a whole. The term
horizontalgovernmentwasnotinvogue,buttherealityofgovernmentwideprioritieswasclear.MinistersinthePearsonGovernmenthadwide
leewayintheirownportfolios,butalsoenthusiasticallydebatedissuesoutside
of their particular remit. AsPresident of the PrivyCouncil, Mr.
Gordon had greatinterest in foreign affairs issues, like the
VietnamWar. We would discuss the overall agenda
ofCabinetasmuchasthedetailsoftheTaskforceontheStructureofCanadianIndustry,whichwashismain
focus at the time. In the early 1970s when Iworked forRonald
Basford, the Minister ofHousing, one of my speci`ic dutieswas to
prepare brie`ing notes for him on cabinet issues
ofimportanceoutside of hisportfolio.Cabinetwasnotsimplya focusgroup
forthe
PrimeMinister,buthadintensedebatesthatdecidedissues.Indeed,MichaelPit`ielddesignedacabinetcommitteesystemwhereministersintheEconomicandSocialAffairsCommittee
of cabinetwere givenbroad resourceenvelopesthat
theycouldallocateaccordingtotheCommitteeswishes.TherewasnoPMOmicromanagementofthisprocess.Deputyministers
served inmirror committees of the cabinet structure, so that
Pit`ield would have
theadviceofhiscivilservicecolleaguesonthebroadissuesofgovernment.HebroughtthisperspectivetothePrimeMinisterinthedailybrie`ingsandpoliticallyPrimeMinisterTrudeauencouragedwidedebate
in cabinet committees and in the caucus. Trudeau loved to compare
and contrast thepolitical and public service perspective on
issuesandwouldhave been dismayed if one side
hadconsistentlydominatedthedebate.Itistrue thatTrudeaubeganthe
processtocreate amuchmorepowerfulPMO,butourmandatewas to work on
and direct the issues he waspersonally interested in, not every
issue in everydepartment. The public service and the political
staff interacted on many different levels
Closing the Implementation Gap
-
departmental,cabinetcommittee,andprimeministerial,witha
realbalancebetweenthepoliticalandtheadministrative.TrudeauvaluedtheexpertiseofthepublicserviceasmuchashevaluedtheelectoralexpertiseoftheLiberalParty.Fourth,seniormembersof
thepublicservice in thePearson
andTrudeaugovernmentshadgreatin`luence becauseof theirexpertise and
longevityin theirposts. But theyalsohad a passion foranonymity49.
J.E.Hodgetts, inhishistoryof theCanadianpublicservice
from1867to1970whichconcludesatjustaboutthe
timeIwenttoOttawa,writesof the erathere isaparadoxinthe factthat
the administrative branch of government by far the largest of our
public and privateinstitutionsandyet, even to theinformedmembersof
thegeneralpublic, it isthe leastvisible.50Ministers appeared before
parliamentarycommitteesto defend and take responsibility for
theirownactionsandthedecisionsoftheirdepartments.Sometimestheypaidaprice.Itisraretodayforaministerto
resignoverprinciple orpolicydifferencesbutthe
`irstministerforwhomIworked,WalterL.Gordon,resignedtwice.Today,incontrast,picturesofpublicservantsaredisplayedinthefrontpagesofa
newspaperorarethe lead storiesinthe
televisednewsastheyaresummonedtoappear before parliamentary
committees. Ministers publicly blame of`icials for mistakes
andof`icialshavehadtolearnpublicrelationsskillsinordertosurvive.Thismaybethe
single
largestdifferencefromtheOttawaIexperiencedinthe1960sandtheOttawaoftoday.Fifth,
thecivilservice Iknewalsosharedaparsimoniousculture
thatshunnedpublicdisplayandwasveryconsciousabout expenseaccounts.
Ioncewastohave lunchwithTommyShoyama, theDeputyMinisterof Finance
and hadmade a reservation in the ChteauGrill. Uponhearing
this,Shoyama said, ahno,neverforgetthatwearepaidbytaxpayerswhohavea
lot lessthatwe
do.WeateinsteadatMurraysintheLordElginHotel.Sixth,anothergreatchangesincetheGoldenEraoftheMandarinsistheexplosionoftheconsultantculture
inOttawa.Agenerationago, departmentshadexpertise inhouse,and
ifconsultantswereemployed,itwouldbetotestoutideasalreadygeneratedbythebureaucracyorto`ixashorttermproblem.Today,thereisanundergroundpolicytriangleofregularof`icials,consultants(oftenlongtermand
retiredpublic servants) and lobbyists. It ishard to believe,
butwhen I `irstarrived inOttawa
therewasnotasingleprofessionallobbyistof`ice.Lawyersmightdiscretelyperformwhatwe
would now call lobbying, but there was certainly no industry. Bill
Lee a former ExecutiveAssistanttoPaulHellyer,openedthe
`irstlobbyistsof`ice,calledExecutiveConsultantsin
thelate1960s.Today,therearenearly5000 lobbyists,a
neardoublingofthebreed,sincethe
`irstregisteroflobbyistsin198951.Theremaybeevenagreaternumberofconsultantscarryingoutjobsthattheregularpublicservice
used todoitself.If theprivate sectorwantstopaylarge
retainerstotrytoin`luence policy through lobbying, there is little
that can be done about it, except making
theprocessastransparent,aspossible.Withthefederalgovernmentnowrunninganannualde`icitof
20
49 Foragooddescriptionof the traditionalpublicservice ethos,
includinganonymitysee:JohnTait. AStrong Foundation,Report of
theTaskForceonPublicValuesandEthicsinCanadianPublicAdministration.Vol.40.No.1.1997.Writtenin
themid1990s theTaitReportdiscusseda faultline inthe publicservice
around the concept ofaccountability, a continuing
preoccupationofthe publicservice,as thedatainAppendix1testi`ies.50
Hodgetts,1973.P341.51
AndrewMayedaandJackAubry.LobbyingAliveandWellinOttawa.EdmontonJournal.January2008.
-
over$50billion,thereissuretobesigni`icantattemptstoreigninpublicsectorspending.Onegoodplace
to startwould be to cutbackradicallyon the use of outside
consultantsand to insist
thatdepartmentsshouldbuildinternalcapacity.ThisthemewillbeexploredlaterinthepaperwhenwediscusstheeHealthdisputeinOntario.The
Way AheadOne cannot turn the clockback two generations, butwe can
suggest improvements that try tocapture the strengthsof the
Mandarinera while being true toourown time
andconsistentwithtodaysvalues.Certainly, the greaterdiversity,of
todayspublicservice,particularlyin
genderandemploymentofFrancophones,
isagreatimprovementoverthepublicserviceI`irstencounteredinthe1960s.But,themanagementskillsandthepolicyexpertiseofseniorpublicservantsatthateraisanassetthatweshouldtrytorecreate.Similarly,therewasaclearaccountabilitybargaininthe1960s
between ministers and public servants. Ministers had the public
pro`ile and the publicservantshadanonymitythatallowedthem
tohavegreatpolicyin`luence.Thisbargaincannotbeexactlyreconstructed,giventhe24/7roleofthemedia,butitispossibletohavemuchmoreclarityintherelationshipsbetweenministers,
theirstaffs,parliament,andpublicservants.There isgreatconfusion
today, for example, overthe accounting
of`icerconcept.Deputyministers in theirnewrole as accounting
of`icers, since the passage of the Federal Accountability Act in
2006,
holdresponsibilityintheirownrightfor:thestatutoryauthoritytheyhavebeengranted,
forthepublic`inancesforwhichhe orshe
isanswerable,andfortheef`icientadministrationofthedepartment.Ministerial
responsibility is still the overarching concept, but within that
framework deputyministersnowhave personal responsibility forcertain
keyactivities. However, the PrivyCouncilOf`ice has provided one set
of guidelines to help public servants assess their duties under
theAccountabilityAct,butthePublicAccountsCommitteehasdevelopedadifferentprotocol
tospelloutthe
responsibilitiesandaccountabilityofaccountingof`icers.Theircompetingde`initionof
theaccounting of`icer concept, which was designed to eliminate
confusion over responsibility
andaccountability,nowappearstohavemademattersworse52.In integrating
past bestpublicpolicypracticeswith todays challenges, I thinkwe
shouldhave
apublicpolicysystemthatachieves/incorporatesthefollowing:Capacity
and Performance
1. Recognition that the neutrality, merit-based recruitment and
expertise of the public service are fundamental features of our
democracy and must be preserved.
2. Implementation for too long has been the orphan of the public
policy system. Management is at least as critical a function as
policy analysis. The importance of this function must become
central to the career prospects of public servants and the most
senior level of political decision-makers must devise systems to
regularly assess
Closing the Implementation Gap
52 Savoie, (2008),P58. C.E.S.Frankswasthe `irst to raise the
issue ofthe dueling protocolsbetweenthe Public
AccountsCommitteeandthePrivyCouncilOf`iceoverwhattheaccountingof`icerconceptimpliesinpracticefortheprincipleofministerialresponsibility.
-
implementation issues. A Results Unit, as described in the next
section, located in Treasury Board should make regular reports to
cabinet.
3. A public service with less turnover based on the
understanding that it takes time to learn a subject and to manage
intelligently.
4. The use of consultants for long-term or line jobs in the
public service should be discouraged so that internal capacity
within departments is cultivated.
Attracting and Retaining Employees
5. To maintain a strong public service in the future such a
career must be attractive to a new generation of recruits,
especially in light of the rapidly approaching retirement of the
baby boom generation. To achieve an improved public service,
greater attention must be paid to mentoring, opportunities to learn
and develop, and lifestyle-work balance.
Improvement to Accountability Design
6. Our traditional system of a partnership between a
professional non-partisan public service and strong ministers
advised by competent political assistants is worth preserving.
Politicization of the public service must be resisted as should the
diminution of cabinet as the central decision-making institution.
Political staff should be regarded as a legitimate part of the
policy process and enjoy professional development and
post-employment opportunities comparable to the public service.
7. There must be a new accountability bargain between
politicians, their political advisers, parliament and the public
service through the advice of a wise persons task force.
Relationships must be clarified and a new accountability framework
voted on and approved by legislatures to help guide the inevitable
debates that will occur over questions of accountability. As the
CSD has argued in earlier studies, accountability would be enhances
by an improved policy development process in our political parties
and an improved oversight role for parliament53.
8. Building on existing provisions in several statutes and the
PCO Guide to Accountability there should be a
CodeofEthicalConBlictforExemptStaff, comparable to the 2003
ValuesandEthicsCode.
9. Institute training for exempt staff on the essentials of
government and the political-civil service relationship. Public
servants also need course on how to develop an effective
relationship with ministers offices.
10. The provision of the Lobbying Act which discriminates
against political advisors by prohibiting post-employment
opportunities for five years should be reduced to one year.
22
53 The Centre for the Study of Democracy in itspreviousreport
entitledEverything Old isNewAgain:Observations on
ParliamentaryReform made a series of recommendations to improve
parliaments role in the policymaking
process.:http://www.queensu.ca/csd/documents/2008_EverythingOldIsNewAgain_CSDreport_ExpertiseInParliament3.pdf).Anextensiveplanonhowtorenewat
least oneofthe Canadian parties can be found in: Thomas S.
Axworthy. The Four Key Questions: An Essay on Liberal Renewal.
http://www.queensu.ca/csd/publications/Axworthy_4_Key_Questions.12.4.06.pdf.
-
Expertise, integrity, pride, and trustthese were the civil
service attributes and ethics that Iwitnessed, learned from, and
sawimplemented. It iscertainlypossible torestore
thesevaluestopublic servicestoday. Imaybe wearing rosetinted
glasseswhen I re`lect upon policymaking
agenerationago,butittrulywasagenuinepartnershipbetweenthepublicserviceandtheministersandstaff
from the political realm. The comparative surveydata presented in
this studyindicatesthatpublicservants todayhave greatconcern about
theconfusedaccountabilityrelationship andthat this in turn
negatively impactstheirabilitytoachievesuperior implementation.The
publicservice must be con`ident in order to achieve optimum
policymaking, we must restore
thecon`idencetothepublicservicethatitoncedemonstratedonadailybasis.ThomasS.Axworthy
Chair,CentrefortheStudyofDemocracyDecember2009
Closing the Implementation Gap
-
Introduction
Public administration hasrecentlybecome the stuff of high
politics. In Ontario, questionsin
thelegislatureabouttheexpenseaccountsofconsultantsandthesolesourcingofcontractsled,inJune2009,totheresignationoftheCEOandChairoftheBoardofeHealthOntario,theagencymandatedtodevelopelectronichealthrecordsforOntarians.InCanada,in2005,theGomeryInquiry
intotheSponsorshipScandalmadepublicits`irstoftworeportsandin2006theaccountabilityissuesraisedby
Gomery helped lead to the defeat of the Liberal Government. Public
administration, longrelegated to government reports that fewread or
academic papers (that even fewer read),
hassuddenlybecomeascythetocutdowngovernments.If the Gomery report
focused public attention on the shortcomings of Liberal management
ofsponsorship activities in Quebec, the October 2009 Special Report
by the OfBice of the AuditorGeneralofOntario, foundseriouslapsesin
theplanningof the ElectronicHealthRecordInitiative(EHR), the
oversightof eHealthOntariobythe MinistryofHealthand questionable
managementpractices within the eHealth Agency itself. The Auditor
Generals blockbuster report, in
turn,precipitatedtheresignationoftheMinisterofHealthhoursbeforethereportwasmadepublicandamonthlaterthedepartureoftheDeputyMinisterofHealth.The
eHealth debacle in Ontario containsmany lessons for policymakersand
students of publicadministration.Oneof themostimportantconcernsa
central issue of this studythe
capacityofourpublicservices.BothCanadaandOntariofaceatsunamiofretirementsintheirpublicservicesoverthenextfewyearsasthebabyboomgenerationmoveson.
Itisnecessarytomakethepublicservice an attractive careerchoice,
sothatrecruitsare attracted and retained.
Thiswillaffectourcapacitytomaintainorevenimproveuponthedeliveryofpublicservices,whichisakeyconcernofthisstudy.AsurveyofQueensgraduatesintheOntarioandfederalpublicservicesaskedaseriesofhumanresource
questionsconcerning:performance improvements, jobsatisfaction,
learning anddevelopment,worklifestyle balance, and such. Thispaper
comparesand contraststhe resultsofthis survey with the larger
surveys of public service employees commissioned by the
twogovernments.The Ontario AuditorGenerals report on the eHealth
controversy demonstrates that a capacityimplementation gap exists
today, not only that there is a projected one for the
future54.Implementation isthe job of the public service. In an
idealpublicpolicyworld, politiciansbringenergy, creativity,
communication skills and knowledge of public opinion; public
servants
bringexpertise,memory,andmanagementskills.MinistersofHealth,asthetextbookssaytheyshoulddo,decidedin2000
thatelectronicrecordswereahealthpriorityacrossCanadabothtoimprovecareandtoin`luencecosts.Yet,nineyearsandabilliondollarslater,astheOntarioAuditorconvincinglydemonstrates,
Ontariohas little to showforallof thiseffort.Near the bottom in
comparison
tootherprovincesinachievingelectronicrecordgoals,theAuditorwrotethat,
OntariosprogressinEHRprojectshasbeenslow, andEHRprojectshave for
the mostpartnotmetexpectations. In
24
54 See C. David Crenna. The Role of Governmental Effectiveness
in a New Liberalism: Four Key Gaps in Searching for the
NewLiberalism:Perspectives,PoliciesandProspects.HowardAsterandThomasS.Axworthy(eds)(Oakville:MosaicPress,2003).
-
addition,thenetworkbuiltbySSHA(SmartSystemsforHealthAgency)isnotbeingmanagedcosteffectively55.AfterpagesofdetailtheAuditorwrote:tosumup,
toomanyprocurementsat the eHealth OntarioAgencyand to a
lesserextent at the ministryseHealth programbranch andat SSHAwere
the product ofrushed decisionmaking, the acceptance of expediency
over thoroughness ...
poor,absent,orcontradictingdocumentation;and,aparticularconcern,theconcentrationof
decisionmaking power in the hands of few individualswith no
compensatingcontrolstoensurethattheirdecisionswereappropriate"56.Thisisnotanimplementationgap,butratheran
implementationabyss, andOntarioisnotalone,nor is the eHealth
controversy an isolated example. Implementation is a vitalthough
oftenneglectedpartofthepolicyprocess.Publicpolicyrequiresideasandoptimalsolutions,hencethenecessity
for good analysis. Ideas, in turn, need to be communicated and
adopted, thus
theemphasisonpoliticalleadership.Iftheproofofthepuddingisintheeating,the`inalcriticalstepisimplementationtocarryout,accomplish,
ful`ill,produceandcomplete.
Implementationdependsontheoperationaldemandsof theprogram,
theresourcesorcapacitythatarerequiredtoachievethegoals,andtheexperienceinlearningonthegroundwhatworks.Whatisneededarestreetlevelbureaucratsorpeoplewhoknowhowtomakethingsworkontheground.Implementationisoftenneglectedpolicyadviceandcrisismanagementaretheglamourtasksofthepublicservice.Yet,itisoftenimplementationfailuresthatleadtopolicydebacles.Thereislittledoubt
that the goal of having eHealth electronic records is an important
one, but the `lawedimplementation process led tomajorcontroversy.
The goalof raising federal visibility inQuebecafter the 1995
Referendum could certainly be defended, but the implementation
shortcutspractisedbysomepublicservantsandpoliticaladvisorseventuallydestroyedagovernment.Because
of the centrality of implementation, some governments have made the
process morecentraltotheagendasofseniordecisionmakers.
IntheUnitedKingdom, theCentralPolicyReview
Staff (CPRS) chaired by Lord Rothschild in the 1970s gave
British cabinets an overview ofhorizontal policy issues and an
evaluation of the efforts of departments to cope with
thesechallenges57.
Cabinettherebygainedanondepartmentalperspective.Later,Mrs.Thatchercreatedthe
EfBiciency Unit under Lord Rayner, which carried out evaluations
and suggested
managerialimprovements58.TonyBlairin2001establishedaDeliveryUnitintheCabinetOf`iceandTreasury.In2005,
the British Cabinet Of`ice began a program of capability reviews,
which focused on
theimplementationandmanagementabilitiesofvariousdepartments.Twothirdsofthe170capabilityassessmentsinthe`irstroundratedadepartmentlessthanwellplaced59.In
Canada, we need to develop a similar implementation focus in public
policymaking. Once amonth,Cabinetshould
reviewtheprogressorloomingobstaclesof
implementationforitscritical
Closing the Implementation Gap
55 Of`iceoftheAuditorGeneralofOntario,(2009),P1011.56
Ibid,P13.57 LordRothschild,(1977),58 PeterHennessy(1989),P59559
UnitedKingdom(2009).NationalAuditOf`ice.ReportoftheComptrollerandAuditorGeneral.London:TheStationeryOf`ice.
-
programs. AResultsUnitcomposed ofrepresentativesof the
TreasuryBoard,
ControllerGenerals,andthePrivyCouncilOf`iceshoulddevelopanimplementationevaluationreviewasrobustastheregularpolicyandcommunicationaspectsofthecabinetagenda.Suchaunitisrecommendedbecause
implementationgapsabound.Withgreatfanfare Parliamentpassed the
Pledge To Africa Act (2004) to produce generic drugs to help poor
countries
`ightdiseaseslikeAIDS.Yet,yearslaternotasinglepillhadbeenexported60.TheGunRegistry,asensibleideatoaidpolice
forcesandprotectcitizenswassubjecttohuge
costoverrunsandcoverupsthatmadeitaneasytargetforitsopponentsandlesseneditspubliccredibility.Evenassimpleataskasdeveloping
a nocall registryfromnuisance telemarketerstookyears to create. In
thepreface tothisreportreference ismade tothe creativityof the
PearsonGovernmentof the 1960s;within a`iveyearperiod the federal
government launchedMedicare, the Canadian Pension Plan,
CanadaAssistance Act, the Federal Student Loans Programand uni`ied
the Armed Forces. These were
allcomplicatedprogramsinvolvingmanyfederaldepartments,
theprovinces,privatesectorinterests,and millions of individual
Canadians. The Mandarins carried it off; politicians in the
Pearsongovernmentgavethemarchingorders,butitwasthepublicservicethatputthewheelstotheroad,guided
the throng towards the desired destination, and concluded the trip
with most
citizenssatis`ied.Whatcancompareinrecentyearswithsucharecordofimplementation?61ThecontroversyovereHealthcentredonconsultantsexpense
accountschargingforminorlunchitemswhilecommandinglargedailyfeesbutintrackingtheimplementationwoesofeHealth,
theOntarioAuditorraisedamuchmoreprofoundissueaboutcapacity.TheeHealthprojectwasoneofthemostvisible
initiatives inthe
largestandbestfundeddepartmentintheOntariogovernment,buttheprojectwaslargelyrunbyconsultants,notregularemployeesoftheDepartmentofHealth.TheAuditorofOntariowroteonthispoint:
Thefact thatthedevelopmentofanEHRhadbeenon the
governmentsagendaasfarbackastheearly2000scausedustoquestiontheheavy,andinsomecasesalmosttotal,reliance
on consultants. This reliance continued to increase over time. This
wasparticularly the case at the Ministry, which in 2007
consolidated all of its
eHealthprojectsintoaneHealthProgramBranch.By2008,theBranchwasengagingmorethanthreehundredconsultantscomparedtofewerthan
thirtyfulltimeministryemployeesevenanumberofseniormanagementpositionswereheldbyconsultants.62If
capacitywithin the Department of Health was lacking presumably the
Governmenthad littlechoicebutto gooutside thepublicservice todrive
the project.Thisbegsthe
questionwhywascapacitylackinginsuchapowerfulministry?Andwhywasitlackingoversuchanextendedperiod?Theprioritywassetin2000,buttheuseofconsultantscontinuedtoincreaseovertime.Onemighthaveguessed
thatconsultantswouldhave beenused initially, butgrowing internal
expertise and
26
60 Axworthy,(2006).61 A September 2008 survey of public sector
leaders in Canada by Deloitte Research found that 41% of
respondents deemedgovernmenttobe lesssuccessfulatimplementing large
projectsthantenyearsago.61%ofCanadianrespondentsbelievethatpoliciesaredesignedwith
little or no input from the people expected to implement them.
PaulMacmillan and ToddCain.Closing the
GapbetweenpolicydesignandexecutioninCanadianGovernmentExecutive.Vol.15.No.1(2009).62
Of`iceoftheAuditorGeneralofOntario,(2009).
-
knowledgeinpublicsectormanagerswouldhavemadesenseforsuchalargeproject.Theoppositehappened.
This study surveys public sector employees with the intent to
assist a
dedicatedworkforcetodevelopthecapacitytoruncreativelycomplicatedprojects.TheeHealthstoryshowsthatthisisanurgentnecessity.Manystudiesshowthe
interrelationship between the humanresources issueshighlighted in
thisreport and the effectiveness of the public service in
implementation. Ralph Heintzman, anexperiencedpublicservant,
capturedtherelationshipwell
inhistalkonPeople,ServiceandTrust:Exploring the Public Sector
Service Value Chain63. Heintzman argued that employee
engagementleads to service satisfaction by citizens, which in turn
leads to greater citizen trust in
publicinstitutions.Thedriversofemployeecommitmentarefactorslike:meaningfulwork,colleaguesandsupervisors(eachofthesefactorscanbeassessedintheCSDsurveyinAppendix1).Supervisorsormiddle
managers encourage employees to use their skills, give recognition
and organize amanageableworkload.Ifobtained, these
leadtobetterorganizationalperformance. Citizensvaluetimeliness,
competence, courtesy and fairness in service delivery. Heintzmans
advice is to usedriversof engagement, like the clarityof the
mission andmanagementperformance to improveimplementation. As
common sense would argue, superior internal workplace practices
lead tobetter performance. Yet, many reports demonstrate that human
resources do not receive theprioritytheyshould
fromseniorpublicsectormanagers.LindaDuxburymakesthe pointthat
thethings thatattractpeople toapublic sector jobpayand bene`itsare
not the
thingsthatkeepemployeesmotivated.Engagementdependsoncareerdevelopment,recognition,andworklifestylebalance64.It
isnotonly the public sector, of course, where engagement is an
issue. An engaged employeeaccordingtoGerardH.SeijtsandDanCrim:isa
personwhois fullyinvolved
inandenthusiasticabouthisorherwork65.Theycitea2005surveyinwhich17%ofCanadianworkersreportedbeinghighlyengaged,66%weremoderatelyengagedand17%wereactivelydisengaged.SeijtsandCrim,likeRalphHeintzman,arguethatanengagedworkforceisamoreproductiveworkforce:employeeengagementdoesnotmerelycorrelatewithbottomlineresultsitdrivesresults66.Ifengagementandpublicsectorcapacityisonethemehighlightedbythesurveydata,thesecondisaccountabilityand
the nature of the politicalcivil servant relationship.The
eHealthdisputeoverimplementation cost a CEO, a chairof the board, a
ministerand his deputy their jobs, but
thesponsorshipaccountabilityscandaldefeatedagovernment.
Closing the Implementation Gap
63 RalphHeintzman(2007).64 Linda DuxburyandChrisHiggins.WorkLife
Con`lict inCanadaintheNewMillennium:A
StatusReportOttawa:CareltonUniversity,2003. These `indingswere also
reiterated ina presentation byLinda Duxburyentitled, You,Me and
Them:Dealing with
GenerationalDifferencesintheWorkplace.http://www.calgaryeconomicdevelopment.com/`iles/Misc/DuxburyPresentation.pdf.65
GerardHSeijtsandDanCrim.(2006).66 Ibid.P2.
-
Thereisalargeliteratureonthesponsorshipissue,thesubsequentGomeryreportsandtheFederalAccountabilityAct(2006)67.TheGomeryCommissionfoundclearevidenceofpoliticalinvolvementintheadministrationof
theSponsorshipProgram;insuf`icientoversightattheseniorlevelsof
thepublicservice;anabsenceof
transparency;andtherefusalofministers,seniorof`icials,thePrimeMinisters
Of`ice, and public servants to acknowledge their responsibility for
the problems ofmismanagementthatoccurred68.The Sponsorship Program
had its origins in 19941995 when the advertising section of
PublicWorksandGovernmentServicesCanadabegantodispersefundsforspecialprojects.Thisactivityintensi`ied
after the Quebec referendum in 1995, leading to newspaper
articleswhich began toquestionaspectsof thisspending.Aninternal
auditof the programwasordered
in2000andtheAuditorGeneralofCanadamadeadramaticreportinMay2002withcertain`ilesbeingreferredtothe
RCMP. In December 2003, the Martin Government cancelled the
Sponsorship Program andcreated the Gomery Commission in February
2004, which attracted considerable attention
andreportedin2005.TheMartinGovernmentwasdefeatedlargelybecauseofthisaccountabilityissuein2006.TheSponsorshipScandalisa
particularlyvividexampleof
thedif`icultiesthatcanoccurbetweenpoliticaldemandsandcivilserviceresponsibilities,buttheissueoftheproperrelationshipbetweenthenonpartisanmeritbasedpublicservice
andapartisandominatedexecutiveandparliamentishardlynew.
LucJuilletandKenRasmussen inDefendingaContestedIdeal, a historyof
thepublicservicecommission,arguethat,adecisiontobuildaprofessionalandimpartialbureaucracyisoffundamental
importance to the development of modern democracy69. Democratic
governmentsrequire legitimacyand legitimacyisderivedinno
smallmeasure from the effectivenessofpublicservants, indelivering
importantpublicgoodsand
fromcitizensabilitytotrustthattheywillbetreatedwithfairnessandimpartialitybythestatebureaucracy70.Theinteractionsbetweenanonpartisancivil
serviceandverypartisanstaffs,however, isoftenadialogue ofthedeaf
fraughtwithmisunderstanding, incomprehension, `ingerpointing, and
as the Sponsorship Scandal showed,sometimes outright larceny.
Accountability, writesDavid Johnson in ThinkingGovernment,
haspolitical,
legal,andsocialdimensionsanditincludesconcernsofministerialresponsibilityandthedeveloping
and functioning of a ministerial chainof commandand discipline
alongwith broaderquestions about the responsiveness of public
policies to the needs and interests of
society71.Accountabilityisoftencomplicatedandalwayscrucial.Who is
responsible, as Judge Gomery asked, is the basic question in
accountability. The
CSDESsurveypointsoutthattheanswertothisquestionisdif`icult,becauseofthelackofclarityabouttheproperrolesofthepublicserviceandtheministersof`ice.TheseconcernsarenotonlyaCanadian
28
67 See the reports of The Commission of Inquiry intothe
Sponsorship Program and Advertising Activities:Whois Responsible
(2005)and Restoring Accountability (2006). See also: Francois
Perreault. Inside Gomery. Translated Carl Angers (Toronto: Douglas
andMacIntyre,2006)andRuthHubbardandJilles
Paquet.GomerysBlindersandCanadianFederalism
(Ottawa:UniversityofOttawaPress,2007).68
TheCommissionofInquiryintotheSponsorshipProgramandAdvertisingActivities:WhoIsResponsible?,P7.69
JuilletandRasmussen,(2008),P2.70 Ibid,P2.71 Johnson(2009),P222.
-
preoccupationasCSDESdatafromHongKongdemonstrates.HongKonghasrecentlyintroducedaministerialsystemandresponsestotheCSDESdemonstratethattheeliteHongKongpublicserviceisascon`lictedaboutaccountabilityaspublicservantsinOttawaandQueensPark.Thesurveydatathatfollowscomparesthe
viewsof juniorandseniorpublicservants,whohave
attendedcoursesrelatedtopublicadministrationatQueensUniversity(sample
described indetailinthe
followingsection).Thisdatapointsoutveryrealissuesincapacityandaccountability.Section
one: The state of the public service
Thecapacityofagovernmentdependsonthequalityofitspublicservice.Whileelectedpoliticiansinfuse
the executive process with momentum and political savvy, public
servants provide theexperience, technical expertise, and longterm
perspective needed to govern effectively. Thecapacity of
governmentdepends on the motivation and calibre of the people
whomake up thepublic service. This has always been the case, but
achieving this objective for a 21st centurygovernment workforce
will only occur if we understand the aspirations, global outlooks,
andexpectationsofthecurrentgenerationofcivilserviceaspirants.Canada
hasbeen lacking in thisarea. In several recenthighpro`ile
incidents, the governmenthasfailed to conduct its business
ef`iciently and sometimes even failed to conduct it legally.
Thesescandalshave put culpabilityat the feetof
seniorpublicof`icials,mostnotoriouslyin
theGomeryCommissionofInquiryintotheSponsorshipProgramandAdvertisingActivities.As
a result, public service reform is on the agenda. But where to
start? There has been
somemovementtowardsanewgovernmentorder,butithasnotbeenbalanced.Manyproposedreformshave
centredon the Gomeryrecommended issuesof accountabilityand
control.While these
areimportant,theyonlyaddresspartofwhatmustbedonetoimprove
theperformance ofthepublicservicecomprehensivelyandeffectively.What
are the challenges affecting the performance of the Canadian public
service, and
whatmanagementdirectionsandinstrumentsaretheretoimprovethesituation?Surveys
of public sector employees reveal a moderatelydissatis`ied and
unmotivated
workforcewithmiddlingoptimismforthefuture.Thiswillnotsuf`icegoing
forward.Canadaneedsacreative,risktaking,globallyinformedpublicservice.Toachieveit,
the
publicservicemustattracttalentedyoungpeopleandcreateaworkenvironmentstimulatingandeffectiveenoughtoretainthem.Inhis2004paperTheDeadGeneralist,EdStrawarguesthatahighperformingpublicorganizationaligns`ive
things: a compelling proposition tothemarket, a clearand
comprehensive strategytodeliver that proposition, a structure
wholly built around it, instruments to guarantee that allfunctions
(systems, incentives and performance measures) all point in the
same direction,
and,`inally,asetofsharedvaluestosupportthewhole.72Ole
IngstrupandPaulCrookallhavea similar
Closing the Implementation Gap
72 Straw,(2004).P10.
-
view.Their1998workThe ThreePillarsofManagement: Secrets of
SustainedSuccessdeterminedthat the three pillars of wellperforming
public organizations are: aim (a mission and cleardirection of
where itis headed), character (a strong sense ofwhat itisandwhatis
importantnamely, trust, communication, andpeoplecentred ideas) and
execution (the ability to get
thingsdonethroughinnovation,teamwork,andopennesstochange).73Ifeffectiveorganizationsarebuiltontheseprinciples,itis`ittingtomeasurethecurrentstateoftheCanadianpublicservice
againstthem.Thisapproach
formsthebaseonwhichourresearchbuildstocomeupwithrecommendationsforimprovementstothreekeyareasofpublicsectorcapacity:CapacityandPerformanceimprovements:howcanoptimumperformancebeencouragedconsidering
the political versusadministrative tradeoffsthatpermeate all
corners of
thepublicsector?Attractingandretainingqualityemployees:whatreformsandmodi`icationswouldmakethepublicsectoravaluedanddesirableplacetowork;aplacethatwouldattractandretaincreativeandinnovative,publiclyspiritedCanadians?Accountability
design: howmight a better environment be cultivated which
facilitatesbetteraccountabilitytoParliament,
themediaandtheCanadianpublic,whileencouragingcreativityandmanagerial`lexibility?
Survey saysThe engagement and satisfaction of Canadian public
service employees, and the ability for thepublic sector to attract
and retain new talent, is of the great interest and concern given
thedemographicpressuresthatunderpinpublicsectorreform.Thisinterestisre`lectedin
threekeysurveysregarding
thejobsatisfactionlevelsofpublicserviceemployeesworking at the
federal, provincial, and municipal levels, namely: the Canadian
PublicService Career Satisfaction Survey(CSDES)74; Public Service
Employee Survey (PSES)75;OntarioPublicService Employee
Survey(OPSES)76.Lookingatengagementandsatisfactionfactorsacrossthesectorthroughthewindowsprovidedbythesurveysallowsamorecompleteviewthananyoneofthethreecouldonitsown.These
informedouraimtosuggestimprovementsinthethreecriticalareas:
capacity and performance, attracting and retaining employees, and
improvements toaccountabilitydesign.
30
73 IngstrupandCrookall,(1998).P7.74 Respondents to the Centre
for the Studyof Democracys selfadministered Web survey(referred to
as CSDES in this document)includes alumni ofQueensMastersof
PublicAdministrationprogram (emailinvitationdelivered to 689people
inOctober 2009;returnrate of29%)and three groups of participants in
the Public Executive Program, Queens SchoolofBusiness (September
2008, January2009,September2009,n=98).75 The Public Service
Employee Survey was administered to all employees in the Public
Service for which Treasury Board is theemployeraswellas
employeesofparticipating separateagencies.The surveywasa
voluntarycensus,andthecollectionwasdoneusingan electronic
questionnaire, between 20081103 and 20090109. Data was also
captured from 6172 paper questionnaires
receivedbetweenNovember2008andJanuary2009. The target
populationfor2008consisted of 257,764individuals. The
overallresponse
rateforthe2008PublicServiceEmployeeSurveywas65.8%(169,600).76 The
OPS Employee Survey is a census survey;all69,340OntarioPublic
Service employees were invited to participate (online ormanually)to
a 98question survey. In 2009, 41,604 employees participated
(response rate of almost 60%). Ipsos Reid presented
thesurveyresultsonJune1,2009.
-
The comparisonsclearly indicate that public servantswanttomake a
differencewith
integrityintact;theywantautonomy,greater`lexibility,opportunitiestobemorecollaborativeandcreative,but
are oftenworking in a rigid environment thatdoesnot reward
creativity; they are proud oftheirworkandatthe same
timeembarrassedbythepublicperceptionandattitudestowardwhattheydo.Severalexpressedconcernabouttheprevailing'goodenoughforgovernmentwork'attitudeanattitudethattheyfeelunderminesthereputationofthepublicservice.Common
themes emerged that suggest that public servants want to streamline
activities tomaximizeef`iciencies,ensure
fairness,andimprovecommunications.Theywanttobeempoweredand rewarded
for good performance. Employees value crossdepartmental
collaboration andshouldbeencouragedtodoso.On capacity and
performance improvements
Studiesshowthatprideinonesworkandapositiveinterpersonalrelationshipwithonesbossaresaidtohavefourtimesgreaterimpactononesdiscretionaryworkeffortthanotherfactorssuchaspay.77Yet,theprevalenceofrotatingseniorstaffhasbeentaggedbysurveyrespondentsasamajorissuethataffectsaccountability,productivity,andengagement.Imaginethe
impactof having three differentsupervisorsinthreeyearswhiledoing
the same job!Thisiswhat31%ofFederalemployeesreported in
thePSES2008, and in
realtermsthatmeans58,000federalcivilservants.Coincidentally,only31%oftheFederalCSDESsurveyrespondentsfeelthatchange
ismanagedwellwithintheirdepartment.Experienceandspecialistknowledgearelostwhenseniormanagers
are rotated from department todepartment.Employeesare in a
constantstateof`luxastheyadjusttodifferentworkstyles.Seniorof`icials(DMsandADMs)spendtoolittletimeinoneplace(generallylessthan2years).Thisnegativelyimpactsthedepar