Understanding Canadian Public Administration, 4th Edition Instructors Manual

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Understanding Canadian Public Administration, 4th Edition By Gregory J. Inwood

INSTRUCTOR’S MANUAL Leslie C. Carrothers, University of Winnipeg Linda C. Jay, North Island College

Understanding Canadian Public Administration An Introduction to Theory and Practice Fourth Edition Gregory J. Inwood, Ryerson University

Toronto Copyright © 2012 Pearson Canada Inc., Toronto, Ontario. Pearson Prentice Hall. This work is protected by Canadian copyright laws and is provided solely for the use of instructors in teaching their courses and assessing student learning. Dissemination or sale of any part of this work (including on the Internet) will destroy the integrity of the work and is not permitted. The copyright holder grants permission to instructors who have adopted Understanding Canadian Public Administration, Fourth Edition by Gregory J. Inwood to post this material online only if the use of the website is restricted by access codes to students in the instructor’s class that is using the textbook and provided the reproduced material bears this copyright notice.

Instructor’s Manual for Inwood, Understanding Canadian Public Administration, 4e

CONTENTS

Preface ........................................................................................................ iii CHAPTER 1 ................................................................................................ 1 CHAPTER 2 ................................................................................................ 6 CHAPTER 3 ...............................................................................................12 CHAPTER 4 ...............................................................................................18 CHAPTER 5 ...............................................................................................21 CHAPTER 6 ...............................................................................................27 CHAPTER 7 ...............................................................................................32 CHAPTER 8 ...............................................................................................37 CHAPTER 9 ...............................................................................................41 CHAPTER 10 .............................................................................................45 CHAPTER 11 .............................................................................................48

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Instructor’s Manual for Inwood, Understanding Canadian Public Administration, 4e

PREFACE This Instructor’s Manual is prepared for the purposes of working through the text, Understanding Canadian Public Administration: An Introduction to Theory and Practice, 4th edition, by Gregory Inwood. This edition of the manual follows the third edition prepared by Leslie C. Carrothers of the University of Winnipeg and is written from the viewpoint of teaching and learning administrative principles, as they are theoretically developed and practically applied in the public sector. Most instructors of public administration will recognize the challenges particular to this cross-disciplinary subject.

The study of public administration requires sensitivity to the theoretical contributions of political science and business management as well as those of sociology, psychology, economics, history and law. It also requires sensitivity to the context in which you are required to introduce this field of study. If your course is presented in the context of a business administration program, the challenge will likely be to encourage an understanding of the important roles public organizations play in our society. On the other hand, if your course is presented in the context of a political science programme the challenge will be to encourage an understanding of the importance of “what works” without being “too descriptive”. One must also be sensitive to the assumptions students bring to the classroom which inevitably requires dealing with dichotomous assumptions about the role and value of public organizations in modern society.

The Instructor’s Manual closely follows each chapter in your text, with suggestions for discussion after each section in the chapter. This is followed by definitions of Key Words and Concepts covered in each chapter. Instructors are encouraged to incorporate these parts of the manual into their classroom presentation strategies and on-line supports to assist students with their review of the text.

The work in this Instructor’s Manual, and the accompanying Test Item File, is guided by the assumption that effective and efficient administration of the public sector is central to the success of a modern democratic society. The way we define and apply these concepts in practice contributes to the important and enduring debate in our society about the realization of balance between a collective order and individual freedom. This edition has been built upon the writings of Leslie C. Carrothers of the University of Winnipeg, whose eloquence and thorough treatment of the subject is informed by extensive research in political science. It is our sincere wish that these materials be a useful aid in developing your approach to the presentation of Understanding Canadian Public Administration.

Linda C. Jay North Island College, 2011

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CHAPTER 1 Introduction: The Nature of Public Administration

CHAPTER OUTLINE This chapter introduces the field of public administration and is divided into five sections.

As this chapter may be a student’s first exposure to the discipline, it may prove useful to link the concepts covered here with the realities of a student’s experience with organizational structures.

Section 1. What is Public Administration? (Pages 2-5) 1. While the systematic academic study of public administration is relatively young, the practice of public administration is ancient.

2. Early civilizations in China and Egypt, as well as the Roman Empire, developed practices to meet demands that, in some respects, resemble those faced by modern public organizations.

3. The academic study of public administration draws on research from several academic disciplines.

4. The practice of public administration involves institutional arrangements and procedures to provide goods and services through public agencies.

5. Woodrow Wilson, writing in 1887, argued that political research neglected the role that administrative practices played in successful democratic governance.

6. During the early twentieth century Canadian researchers were influenced by American research interested in finding “one best way” to manage public organizations through the application of a rational science of administration.

7. R. MacGregor Dawson’s research in the 1920s contributed to the development of post-secondary public administration courses and related research in Canada.

8. Attempts to limit growth in the costs of providing public goods and services in the 1980s and 1990s influenced debates regarding government downsizing. This, in turn, raised questions about public administration as a sound career choice.

9. Government revenue growth and related labour market projections suggest that employment opportunities for students of public administration are once again expanding.

This section emphasizes that the study of public administration combines theory and practice.

Discussion questions might include: • How might each of the academic disciplines identified on page 3 (political science, business administration, sociology, psychology, law and economics) contribute to the study of public administration?

•

Name an aspect of your life that is directly influenced by a public organization and identify whether this influence is a responsibility of the federal government or a provincial/territorial, local/ band level of government.

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•

Given that you are attending a post-secondary institution and pay costs of your program, how do public sector practices affect the institution you are attending?

•

Is there an aspect of your life that is not influenced in some way by a public organization?

Section 2. Public Administration and Democratic Government (Pages 5-7) 1. Since public administration is about the public provision of services and regulations, the study of politics is a key feature of this field.

2. The politics-administration dichotomy is an important concept that informs the theory and practice of public administration.

3. Politicians are responsible to the electorate for public policy choices, however, public servants influence the formation and implementation of those choices.

4. During the 1960s and 1970s it became fashionable to suggest that an increasingly professional public service should be provided enhanced discretionary power.

5. During the 1980s and 1990s it became fashionable to suggest that public servants held too much power and reforms were needed to return discretionary power to politicians.

This section introduces the concept of the politics-administration dichotomy and indicates that this theoretical division of labour has, over time, been challenged and modified in practice. The tensions between the prescriptive aspects of theory and practice described here are not uncommon in public administration. This may be due, in part, to the complexities of formulating policy and managing institutions within the principles of a democracy. Politicians and public servants face demands and constraints unlike any undertaken by managers in private sector organizations. To inquire about the nature of public demands in Canada, a discussion question may be: • What kinds of input should senior public servants be allowed in the development of public policy choices? Do you feel that public servants currently have too much or too little input in (federal/provincial) government agendas?

• What would you consider to be an appropriate level of governance in public institutions?

Section 3. Bureaucracy (Pages 7-9) 1. The key components of a bureaucratic organization are personnel, formal rules, policy instruments, conventions of behaviour and institutions.

2. Within the public sector bureaucracy is the expectation that all citizens receive fair and equitable treatment.

3. Within the administration of the public bureaucracy is the expectation that services will be produced and delivered efficiently.

Inwood’s discussion of five features of bureaucracy offers an opportunity to introduce concepts such as accountability, policy instruments, and conventions of behaviour.

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This section also provides an opportunity to note the role of the mass media in political discourse.

A discussion question might be: • How do “popular” assumptions about “bureaucracy” presented in the mass media influence the way we view public sector organizations in Canada?

This will be an opportunity to emphasize that while media organizations tend to reinforce popular assumptions, they do not have to be democratically accountable for the positions they take. Democratic accountability requires greater sensitivity to the plurality of views present in our society.

Section 4. Comparing Public and Private Sectors (Pages 9-17) 1. Since the 1990’s public administrators have adopted more business techniques and methods to run government.

2. Public and private administration can be distinguished by examining the mandate and goals, efficiency and service, and the professionalism and ethics of both. The mandate and goals of public sector organizations can be differentiated along eight factors: time frame, duration of service, measurement of goals, hiring and firing, emphasis upon equity over efficiency, public scrutiny, the nature of public goods, and accountability.

3. Ethics in the public sector are informed by a unique mix of professional codes, democratic values, and institutional traditions designed to ensure that decisions are made on the merits of a particular issue.

This section describes three observable differences in the organizational cultures of public and private organizations. In addition to introducing students to these three differences, this section gives attention to the sources of and management practices pertaining to professional ethics in a public organization.

Discussion questions may include: •

If public administration is geared toward the provision of public services and not “the bottom line”, can the government provide all kinds of services endlessly? Is there a “bottom line”?

•

Are there public goods or regulations that benefit some and cost others?

Section 5. Restructuring the Public Sector and the Role of the State (Pages 17-20) 1. The evolution of the Canadian administrative state can be studiedin three eras that are related to changes in our nation’s political economy 2. The minimalist state era was based on a limited approach to the role of government.

3. The Keynesian welfare state era saw considerable expansion in the state’s management of the economy and social service delivery roles.

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The neo-conservative state era, beginning in the 1970’s, saw considerable retrenchment of the state’s role relative to previous years and a shift of service provision to private and not-for-profit institutions.

In this section three broad eras are used to describe the evolution of Canada’s political economy and the history of public sector development. Your discussion of each era, in particular the move from Keynesianism to neo-conservatism to the financial crisis of 2008, provides an opportunity to raise questions about the direction of reform in the current policy environment. A discussion question relevant to this last point is: In response to the financial crisis of 2008, the state was called to “come to the rescue of capitalism gone wild”. What does Inwood infer by this phrase?

Key Words and Concepts public administration (p.3) – can be viewed from two perspectives. On the one hand, it is a field of academic study, derived from several different disciplines, that examines government processes. On the other, it is a set of of accepted principles and practices that shape and influence the actions of public servants, the relationship between politicians and bureaucrats, and the decision-making systems used to formulate, implement and evaluate public policy. democratic society (p.6) – a social system in which the values of democracy are central to the theory and practice of collective decision-making. eElected representatives (p.6) –persons who are democratically elected to represent the interests of citizens who reside in a defined geographical area known as a constituency. oolitics-administration dichotomy (p.6) – the distinction between the duties and responsibilities of elected officials who make public policy and the public servants responsible for executing policy choices. merit principle (p.6) – the principle that all citizens should have an equal opportunity to be considered for employment in the public service as a result of their qualifications and should be promoted on the basis of their abilities and talents. bureaucracy (p.7) – a form of organization characterized by hierarchy of authority, division of labour, a system of hiring and promotion based on merit, and management by detailed but impersonal rules. accountability (p.8) – a fundamental principle of democratic government which states that those who hold legitimate governmental power must be answerable and responsive to citizens for the way in which that power is exercised.

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public sector/private sector (p.9) – commonly used terms to distinguishthe legitimate scope and practices of institutions and actors of the state from those of market-based institutions. public goods (p.13)- goods and services that are provided through government support for the benefit of all members of society. patronage (p.15) – the awarding of contracts and the appointment of individuals to government positions on the basis of personal relationships or partisan support for the governing party rather than on merit. minimalist state (p.17) – a term used to describe the focus of state policies in Canada from Confederation to the 1930sDuring this time, the state priorities were national defence and providing infrastructure (legal, transportation, financial) to support economic expansion.

Keynesian welfare state (p.18) – A term used to describe decades following the Great Depression when the state used interventionist policies to provide for citizens’ wellbeing. r British economist, John Maynard Keynes argued that full employment should be the central economic policy goal in modern states.

Neo-conservative state (p.17) – From the 1970’s onward, state policy emphasized fiscal responsibility, thereby curtailing government spending on social programs Services, formerly provided by the state, were transferred to private sector and not-for profit or “third sector” organizations.

Gross Domestic Product or GDP (p.18) – A measure of the nation’s output in terms of total dollars spent on the production of goods and services

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CHAPTER 2 Public Administration and Democracy

CHAPTER OUTLINE This chapter explores the concepts of power, legitimacy, authority, and decision-making and the role of public administration in a democracy. It is divided into five sections. The chapter’s goal is to explain the relationship between democratic values, political power and the way we structure state institutions and practices. From theoretical constructs described in parts 1 and 2, discussion continues to explore the difference between state and government, how political culture is created through symbols, institutions, attitudes, and identities, and how this political knowledge has affected administrative structure and policy.

Section 1. Power, Politics and Public Administration (Pages 28-30) 1. In a democratic society political power is directly related to the legitimate authority of a person or agency to authorize, influence or coerce social behaviour.

2. Public administration is the mechanism through which legitimate authority is implemented and administered in a democratic society.

3. Max Weber’s exploration of why persons consent to authority resulted in his definition of three sources of legitimacy.

4. At its core, politics is about power and the resolution of conflict over scarce resources through mechanisms designed to facilitate cooperation among competing interests.

5. While the basis of democracy is one person, one vote, the failure of democratic models is the “tyranny of majority rule”. To ensure political democracy, Canada has constitutional limits to the will of the majority to impose upon the rights of minorities.

This section covers a range of foundational concepts, in particular, power, authority, and legitimacy. It also defines the links between politics and the rule of law. Two points should be emphasized: first, that political discourse regarding what should be considered matters for public decision-making and what should remain in the realm of the private is often contentious. Second, the state possesses considerable power in terms of its legitimate right to coerce citizens. This is because it is the only social structure that can legitimately claim to speak and act on behalf of the entire society regarding social order.

As Inwood notes, social order is a necessary condition for all collective activities and without it we lack the means to reconcile conflict in a peaceful manner.

A discussion question for the classroom may be: • What do we mean when we use terms such as “social order” or “collective order”?

How might these concepts play a role in your behaviour as a student in this class?

Does the social order in this classroom facilitate or impede your “freedom” as a student?

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1. Democracy is a “contested concept” because its definition is based on the views individuals hold about what the term should mean in theory and in practice 2. Direct democracy allows the use of popular assemblies that are constituted by citizens to directly govern themselves 3. Representative democracy allows citizens to choose representatives who, in turn, make decisions on behalf of the collective 4. The concept of representative democracy can be subdivided into political and economic democracy 5. The focus of political democracy is the assurance of fairness and justice for all citizens and protection against “the tyranny of majority rule” 6. The notion of economic democracy presumes a reversal of disproportionate ownership of capital to ensure equal opportunity

This section contains two debates about democracy as a contested concept. The first concerns the distinction between direct and representative democracy and the different ways western states have structured the election of representatives (single-member plurality, single-member majority, proportionate representation). Canada’s system of representative democracy delegates decision-making powers to elected officials.

However, technology allows each citizen to exercise a choice so direct democracy is a possibility. A second debate points to the distinction between political and economic democracy and the complex factors that contribute to the ways citizens view their place in society.

A discussion question may be: • Given Inwood’s discussion of political and economic democracy, to what extent should government give attention to the matter of economic democracy?

Section 3. State and Government (Pages 34-37) 1. While the terms “state” and “government” are sometimes used interchangeably, in Canada we use the latter to refer to the legitimately elected party that currently holds power 2. The term “state” is more abstract and refers to a complex of norms, rules and structures that hold a power within an territorial boundary 3.

4. Weber explains it is more useful to view the state in terms of ends rather than means.

5. Trotsky explained that “every state is founded on force” and Weber added “ A state is a human community that claims the monopoly of the legitimate use of physical force within a given territory .Note that territory is one of the characteristics of the state. ..”

6. In the Communist Manifesto, Marx claimed that “the executive of the modern State is but a committee for managing the common affairs of the bourgeoisie”.

The goal of this section is to distinguish between the concepts of state and government.

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two concepts will help students understand how different and successive governments have contributed to the current structure of state norms and practices. In addition, it leads to the question of whether institutional structures or management practices should be the focus of reforms for improved effectiveness. A discussion question that emphasizes the difference between the concepts of state and government is: • Given any of our current national issues, to what degree does this issue require a change in government policy or programs versus a more fundamental change in state structures? Is it easier for a government to undertake the former or the latter?

Section 4. Political Culture (Pages 37-46) 1.

2.

3.

4.

5.

6.

Political culture refers to the values, attitudes and beliefs that citizens hold in relation to political life in a society.

The study of political culture can be framed within four general areas of inquiry: questions of identity and attitudes about political institutions and symbols, attitudes of some groups to other groups within the political system, political values and knowledge about state structures and practices, and lastly the acquisition and transmission of political beliefs.

Canada’s political culture is impacted by our geography, demography, AngloFrench and aboriginal cultures and our history of political economy.

Four interpretations of Canadian political culture are offered by Louis Hartz, Serymour M. Lipset, John Porter and Harold Adams Innis.

Canada’s political culture is characterized by political fragmentation as evidenced by elections in 2004, 2006 and 2008 that could not turn out a majority government Among the factors contributing to this fragmentation are the historic role of founding nations, regionalism within Canada and our proximity to the United States

This section explores the significant impacts of historical and cultural factors upon structures, cultures and institutions.

Discussion questions may include: • To what degree have the values of your parents, your schools, or the media contributed to your political socialization and shaped your attitudes about Canada’s political culture? What have you accepted or rejected and why? How close are your views to those of Hartz, Lipset, Porter, or Innes? Other views? (e.g. from the postmodernist, structuration, discourse ethics, and realist schools).

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Section 5. The Interplay of Democracy, Political Culture and Institutions of Public Administration (Pages 46-54) 1. The Canadian Constitution has evolved to reflect the changing conditions in Canadian society from the BNA Act, 1867, to the Constitution Act, 1982, which contains our Charter of Rights and Freedoms. The effect of our constitution is reflected in our political culture and the manner in which Canadian public institutions are administered.

2. The Charter protects our basic freedoms and rights and ensures equal protection and equal benefit of the law without discrimination based on race, national or ethnic origin, colour, religion, sex, age, or mental or physical disability.

3. The North America Free Trade Agreement, 1990, created tariff-free borders among Canada, the U.S. and Mexico and improved market access in areas such as services, agriculture and resources. NAFTA also imposes supra-national processes whereby the Canadian government sacrifices decision-making powers over the economy to a commission.

4. Under Canada’s constitution, the federal government has authority over the economy, transportation, communication and other elements of national interest but the responsibility for health, social and cultural needs rests with the provinces.

Conflict grows over jurisdictional issues when provinces aim for goals that must be funded by federal budgets. Three branches of government, or Parliamentary actors, are the executive which writes and implements policy, the legislature which debates policy, and the judiciary which ensures the legality of policy. The executive includes the Crown’s representative, the Prime Minister and Cabinet and the public service 5. Extra-parliamentary actors, include political parties, interest groups and the media, which influence our perceptions of the legitimacy of government actions and structures.

The goal of this section is to extend the previous section’s discussion of links between our political culture and state, government, and economic structures in Canada. It is based on the assumption that our political culture is continually influenced by the priorities and practices of actors representing five institutional frameworks of importance to our political culture; the Constitution, the NAFTA trade agreement, federalism, parliamentary actors and extra-parliamentary actors.

• Discussion questions may be:What are the institutions in your life and how have these shaped your political attitudes?

• What political symbols have shaped your attitudes toward Canada, other Canadians, our politicians or our political system?

• Extra-parliamentary actors are important contributors to attitudes about politics in Canada. Who are these actors and how do they attempt to influence political culture in Canada?

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Key Words and Concepts power (p.28) – the ability to authorize, influence or coerce behaviour. quthority (p.28) – the ability to exercise power on behalf of the members of a society. traditional legitimacy (p.28) – a form of legitimacy outlined by Max Weber in which long-established custom or habit is central to the structuring of power and authority in a society.

Charismatic legitimacy (p.28) – a form of legitimacy outlined by Max Weber in which the personal qualities of a leader play a central role in the structuring of power and authority in a society.

Legal-rational legitimacy (p. 28) – a form of legitimacy outlined by Max Weber in which a set of rationally created rules and legal statutes play a central role in the structuring of power and authority in a society. rule of law (p.28) – the principle that no person, not even those who make the law, is exempt from or above the prescriptions contained in a state’s legal codes. direct democracy (p. 31) – a form of government in which citizens make all important community decisions as a collective, usually in some form of public assembly. representative democracy (p.32) – a form of government in which citizens elect representatives to make decisions on their behalf, usually in some form of a legislative assembly. political culture (p. 37) – the broad pattern of beliefs, values and attitudes citizens hold toward politics, the political system, and their understanding of agency. party discipline (p.44) – is central to the workings of responsible government. This concept holds that the members of political party’s caucus are expected to reflect the consensus position of the caucus when participating in legislative voting. responsible government (p.44) – a system of government in which the executive branch requires the support and confidence of the legislative branch (and through it the people) in order to govern.

Free Trade Agreement (FTA) (p.45) – a trade agreement between Canada and the United States passed by the government of Brian Mulroney in 1988 and implemented in 1989. It created a largely tariff-free border for goods and affirmed the United States as Canada’s most important trade partner.

North American Free Trade Agreement (NAFTA) (p.47) – the 1994 extension of the Free Trade Agreement between Canada and the U.S. to include Mexico.

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Charter of Rights and Freedoms (p.46) – part of The Constitution Act (1867) that came into force in 1982, the Charter protects Canadians’ fundamental freedoms, democratic rights, mobility rights, legal rights, equality rights, language rights and Aboriginal rights. executive branch (p.49) – composed of the Governor General at the formal (or symbolic) level, and the Prime Minister, cabinet and bureaucracy at the political level, the executive is the organizational centre of power in our political system. legislative branch (p.50) – that branch of government charged with making and amending laws. In Canada it is composed of the Parliament, which is made up of the elected House of Commons and the appointed Senate.

Judicial branch (p.51) – The Supreme Court and justices and all the other courts and justices below it. The judiciary in Canada is appointed rather than elected, and is separate from and independent of the other two branches of government (the executive and legislative branches).

Judicial Committee of the Privy Council (JCPC)(p.51) – the British law Lords who acted as the court of final appeal for Canadians until 1949 when the Supreme Court of Canada was made the final court of appeal for Canadian judicial cases.

Interest group (p.52) – An organized association that attempts to influence state institutions to pursue policies favourable to the collective interests of its members. Other terms used to describe these associations are pressure groups, lobby groups, and stakeholder groups.

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CHAPTER 3 Theories of Organization

CHAPTER OUTLINE This chapter, which is divided into five sections, reviews theoretical approaches to public administration by examining various schools of thought about bureaucratic organization.

This chapter introduces systematic ways of thinking about bureaucracy and considers the roles of bureaucratic organizations and their impacts upon society and the individual.

Section 1. Perspectives on Bureaucratic Organization (pages 61-62) 1. Bureaucratic organizations are ubiquitous and affect all parts of our lives.

2. A variety of theoretical perspectives inform debates about the design of these organizations and the values and goals they should pursue.

3. During the nineteenth century, the approach to administer complex organizations led to practices that would enhance rationality and efficiency.

4. Organizations in the public sector were required to consider values of democracy and fairness to their operation.

5. In the past century, much knowledge has informed the development of effective and efficient management practices and their application to the unique challenges of public sector organizations.

Section 2. The Classic Theorists (pages 62-74) 1. The first modern theorist to address the bureaucratic organization of the state as part of his “critical” theory was Karl Marx.

2. Marx attempted to show that Hegel’s portrayal of bureaucracy as a “bridge” between the state and civil society ignored the role played by bureaucratic organizations in supporting the values of the capitalist class.

3. Marx viewed the hierarchical structure of public and private sector bureaucratic organizations as a contributor to alienation among members of the working class.

4. Neo-Marxists extended this perspective by focusing on the state’s role in promoting legitimation of capital accumulation.

5. Max Weber’s contribution to theories of bureaucracy was based, in part, on his critique of Marxist theory.

6. While Weber agreed with Marx that the power of modern bureaucracy needed to be contained, he argued that rather than diminishing or eliminating these organizations and the social tasks they performed, strict operational rules consistent with his theoretical assumptions about “rational” behaviour should be enforced.

7. According to Weber, rational bureaucratic behaviour requires conditions of an established hierarchy, occupational continuity, and impersonal application of procedural rules and the employment of persons based on their expertise (merit).

8. Criticisms of Weber’s theory point to a disconnect between the model and real organizations, which may be rigid and impersonal but also inefficient and ineffective.

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The classic theorists were important observers of the development of 19th century political economy and western modernity. Both Marx and Weber wrote about emerging organizations and their influence upon concepts of “rational behaviour” that informed human agency. A discussion question may be: • It is not a coincidence that Karl Marx and Max Weber chose to write about the roles of complex organizations during a time (the last half of the 19th century) when complex economic (industrial) and state structures were emerging as a central feature of modern western society. What was taking place in the societies they observed and why do we continue to place importance upon their observations today?

Section 3. Structuralist Theories (Pages 74-80) 1. Structuralist theories use a mechanistic view of organizational design based on the assumption that people, resources, and facilities are interchangeable parts of a structure.

2. The Scientific Management approach, pioneered by F.W. Taylor, is a prominent North American example of applied structuralism.

3. Taylor developed the use of time and motion studies in a search for “one best way” of performing any task.

4. Gulick and Urwick applied scientific management to administration to develop their assumptions that administration could be treated as a science based on the POSDCORB concept.

5. The assumption of Scientific Management that people and machines can be treated as standardized interchangeable parts drew increasing criticism for its failure to see workers as members of workplace groups and holding social values.

This section examines the prominent view of organizations as machines and the emergence of positivistic science as a method of explaining human behaviour.

Experimentation and methodical measure are part of every major study from the industrial revolution to the mid-20th century. While Taylor and Gulick conducted experiments to understand how individual workers could produce more efficiently, several important discoveries –Mayo, Follett, Bernard – pointed to the importance of “the group” in worker productivity and to social interaction as a motivator.

Discussion question • In your experience, are workers motivated by individual rewards or by a social life at the workplace? Which draws out the best performance?

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Section 4. Humanist Theories (Pages 80 to 89) 1. Humanist theory developed as a critique of structuralism and is based on views that human and social values that contribute to organizational effectiveness were ignored.

2. Mary Parker Follett was an important early contributor based on her assumption that the informal powers of workers were a dynamic and important feature of organizations.

3. The Hawthorne experiments tested Taylor’s assumptions but failed to produce the expected results; they showed instead that the norms and values of workers were a key factor in productivity.

4. One of the founders of the humanist school in North America, Elton Mayo, used the findings of the Hawthorne experiments to develop his theory of group dynamics.

5. Chester Barnard contributed to humanist theory with his assumption that organizations should be viewed as cooperative human structures rather than as machines.

6. Abraham Maslow developed his concept of the “hierarchy of needs” from the findings of studies that supported the importance of social norms and values in organizations 7. Critics of the human relations school claim that facilitating group interaction in the workplace could be considered a ploy to stop workers from joining unions. In addition, they claim that conflict, not just harmony, has an important place in organizational culture.

Unlike the mechanistic bias of scientific management, the humanist school assumed that the human side of organizational life was also important in an efficient and productive organization. As a result, theorists looked to the study of formal and informal powers of workers and managers to understand the linkage between work groups and productivity.

The time frame for this school’s development includes the Great Depression of the 1930’s and the beginning of WW II in 1941. A discussion question might be: • How might events such as the Great Depression and the initiation of WW II have affected the industrial workplace? How might these factors have contributed to acceptance of the findings of the human relations school?

Section 5. Other Theoretical Approaches (Pages 89-93) 1. Systems approaches view organizations as the products of dynamic interactions among four central elements; inputs, processes, outputs and feedback. An organization exists in relation to many variables within it and external to it. Systems theory attempts to draw the relationships amongst these variables to offer some predictability of behaviour.

2. Contingency theory counters systems theory with the claim that there are no absolutes or universal rules that apply to organizations; rather management solutions are contingent upon the specific circumstances at the time.

3. Population ecology theory borrows concepts from the biological sciences and looks at the nature of competition and survival in an environment of scarce resources.

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4. Critics of systems approaches have noted problems with its rationalism and the methodological challenges they pose for organizational evaluation.

Early theories in organizational behaviour studied individual performance, the formation and communication of goals, structures and efficiency. The basis for Fayol, Gulick and Urwick can be found in military traditions. Over many decades, psychological and sociological studies became more sophisticated and informed management theory about the nature of an organization’s culture and environment.

A discussion question may be: • Within it and external to it, a range of variables act upon the organization and affect its behaviour and performance. Is this a natural phenomenon? Can the effect of internal and external variables be observed and measured for all organizations?

Early theories in organizational behaviour studied individual performance, the formation and communication of goals, structures and efficiency. The basis for Fayol, Gulick and Urwick can be found in military traditions. Over many decades, psychological and sociological studies became more sophisticated and informed management theory about the nature of an organization’s culture and environment.

A discussion question may be: • Within it and external to it, a range of variables act upon the organization and affect its behaviour and performance. Is this a natural phenomenon? Can the effect of internal and external variables be observed and measured for all organizations?

Key Words and Concepts Karl Marx (62) – an influential German philosopher and political economist (1818-1883) who developed the modern political philosophy of Communism class conflict (p. 62) – a central premise of Marxist theory which argues that capitalist societies are divided into mutually antagonistic classes whose fundamental interests are ultimately irreconcilable. alienation (p. 62) – a concept used in Marxist analysis to describe the condition in which state and economic bureaucracy is seen as a distant, impersonal and oppressive force by workers. hierarchy (p. 63) – the ordering of individuals or groups within an organization based on their relationships of power and control. autonomy (p. 63) – freedom of action. This term is used by Marxists in connection with the freedom of state officials to formulate policies independent of the control or influence of the capitalist class.

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accumulation (p.65) – A neo-Marxist concept that refers to the need for capital to generate (accumulate) profits and for government to formulate policies that foster the conditions to make profitability sustainable. legitimation (p. 65) – a neo-Marxist concept that refers to the state’s role in formulating public policies that legitimate liberal capitalism as a dominant social idea. Thus, policies that support “free market” macroeconomic strategies, income security, and universal health care are viewed as legitimizing “the system” for the working class Max Weber (p. 66) – a German sociologist (1864-1920) generally regarded as one of the most influential classic writers on the subject of modern bureaucracy. span of control (p. 73) – an organizational concept pertaining to the number of subordinates that report to a particular manager in an organization. structuralist theory (p. 74) – the school of organization theory that concentrates on the design of bureaucratic organizations based on the assumption that those who work in organizations can be made to “fit” rational designs that maximize the efficient use of resources. Workers are seen as little more than interchangeable parts in a machine that achieves efficiency through rigid procedural practices carefully monitored by managers. scientific management (p. 75) – Generally associated with the work of Frederick W. Taylor, it emphasizes the need to find “one best way” of accomplishing a task. Taylor assumed that his approach would facilitate improvements in worker productivity and reduce labour conflict by increasing the economic success of the organization that workers depended on for their income. time and motion studies (p. 77) – An innovation introduced by Frederick W. Taylor.

Taylor used a stop-watch to record the time it took to complete every motion of a particular task. His analysis of the findings attempted to discover the “one best way” of routinizing the task to improve efficiency by eliminating unnecessary motions.

POSDCORB (p.78) – An acronym defining the functions of management executives in an organization. It was devised by Luther Gulick and stands for planning, organizing, staffing, directing, coordinating, reporting and budgeting. division of labour (p.79) – A principle of work design in which each worker is assigned a narrow range of tasks. Frederick W. Taylor viewed a strict division of labour based on scientific management practices as necessary for realizing efficiency in an organization. humanist theory (p. 80) – a school of organization theory that allows a role for the social norms and values of workers in the design of efficient and effective organizations. It originated with Elton Mayo’s interpretation of the findings of the Hawthorne experiments of the 1920s and 1930s which contributed to doubts about the validity of structuralism.

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psychologists at the Hawthorne Works plant of Western Electric (near Chicago) beginning in 1924. The intent of the experiments was to determine how physical conditions affected worker productivity. The findings of the experiments are generally regarded as important in the development of human relations theory. informal group (p. 84) –a phenomenon discovered during the Hawthorne experiments The findings indicated that employee performance was related to their social interactions with fellow-employees and managers as well as to the physical conditions of work.

These social interactions were found to play a role in norms and values pertaining to productivity levels and related workplace behaviours.

Hierarchy of human needs (p. 86) – a theory developed by psychologist Abraham Maslow. It argues that humans are motivated by the satisfaction of five groups of needs ranging from basic physical requirements (food, shelter, clothing) to esteem and selfactualization. As lower level needs are realized, people move on to fulfill higher level needs.

Theory X and theory Y (p. 89) – Douglas McGregor’s linkage of the findings of structuralist and humanist researchers to construct a typology of two contrasting management styles.

Systems theory (p. 89) – the adaptation of cybernetics to organization theory to evaluate the role of four dynamic interconnected elements assumed to be important to an organization’s survival and growth; inputs, processes, outputs and system feedback.

Contingency theory (p. 91) – the extension of systems theory through a concentration on a range of contingent factors that can impact an organization’s success.

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CHAPTER 4 Organization Theory and Canadian Public Administration

CHAPTER OUTLINE This chapter explores the impact of organizational theory on the structures and institutions within Canada’s public sector., The first of two sections offers an opportunity to link the theoretical assumptions surveyed in Chapter 3 with the practice of public administration in Canada. The second section explores a range of contemporary developments which have prompted important changes to practices within public organizations. It also introduces a controversial approach to public administration, known as New Public Management that challenges conventional views of the bureaucracy, of what makes up public and private sectors, and of the quality of government institutions.

Section 1. The Impact of Organization Theory (pages 100-102) 1. Public administration in Canada has been influenced by the writings and research of organizational theories such as Karl Marx, Max Weber and Frederick Taylor.

2. Proposed practices of the humanist school, such as allowing employees to set goals and producing non-routinized tasks, could not be implemented in government structures which require rigid hierarchy and consistency of performance.

3. One concept borrowed from the humanist school is decentralization which has been emphasized within Canada’s public service from the Glassco Commission, 1965, onward.

As the theory of public administration is informed by many developments, the practice of it must make sense to both providers and users. The vast diversity of the Canadian public requires that government bureaucracy be sensitive to these differences. A discussion question might be: • To what degree have factors such as the geographic and demographic diversity of Canada played a role in the application of theory to bureaucratic practice?

Section 2. Contemporary Developments (pages 104 - 117) 1. Since the 1960s the theory and practice of public administration in Canada has been influenced by two new approaches to reforming bureaucratic structures: Participatory Management and New Public Management (NPM).

2. Early participatory management approaches were derived from the work of Peter Drucker who developed Management by Objectives (MBO).

3. Organization Development (OD), developed by Kurt Lewin, extends the focus of participatory management to an organization’s cultural history to assess and change its responses to internal and external factors.

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4. Total Quality Management (TQM), created by Edward Deming, is based on the practice of implementing control measures throughout all aspects of an organization’ activities 5. As early as the 1960’s, criticism arose from empirical evidence that bureaucracies were not the efficient machines predicted by Weber’s model. This prompted “postbureaucratic” thinkers to suggest that organizations could seek efficiencies through improved human competencies rather than structure. The contributions of women in the public sector and a growing scholarship of feminist literature add to management reforms.

6. New Public Management (NPM), composed of austerity measures and coined by the phrase “three E’s of efficiency, effectiveness , and economy” , was introduced in the early 1980’s by Britain’s Prime Minister Maggie Thatcher and quickly adopted in the U.S. by President Ronald Reagan and in Canada by Prime Minister Brian Mulroney.

7. In Canada NPM has not been applied as systematically as it has been in some other developed nations due, in part, to recognition that public and private organizations differ in important ways.

Two conflicting views of the practice of NPM have incited a burgeoning debate over what constitutes the public’s domain. Proponents of NPM claim that private sector values are enough to sustain a free society and that market practices offer a reasonable approach to the rising costs of managing government. Critics of NPM disparage the erosion of democratic principles and call for a return to government’s obligation toward political and economic democracy.

Discussion question may be: • Are private sector organizations more efficient than government organizations? Is there waste and inefficiency in large private corporations?

• Can public goods, such as police protection or national parks, be produced according to principles of supply and demand (user pay)?

• Several services, formerly provided by government, are now offered only through private service-providers. From your experience, which do you see are improved? Which are worsened?

• What is the “third” sector?

Key Words and Concepts elite (p.100) – a small group of people who exercise considerable power in society, either politically, economically, socially and/or bureaucratically. homogeneity (p.101) – a principle of scientific management that suggests similar activities ought to be grouped together in the same unit under a single supervisor and a single plan. unity of direction (p. 101) – another term for homogeneity (see above).

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includes a number of approaches such as Management by Objectives (MBO), Organizational Development (OD) and Total Quality Management (TQM).

Management by Objectives (p. 103) – MBO is a management system associated with the work of Peter Drucker and others that focuses on co-operation between managers and workers in the establishment of broad-based organizational goals and objectives.

Organizational Development (p. 103) – OD assumes that organizational change requires a process of unfreezing, change and refreezing of organizational practices to enhance their responsiveness to internal and external demands.

Total Quality Management (p.105) – TQM is a participatory management approach that establishes quality control points throughout a production process. The overall focus is on high standards of quality throughout an organization.

New Public Management (p. 110) – NPM is a school of organization theory that advocates changes to the design and managerial practices of public organizations consistent with the “reinventing government” perspective promoted by Osborne and Gaebler. It is broadly aimed at making the state more responsive to political direction and to the needs of citizens as the customers of public agencies. privatization (p. 110) – the act of selling or turning over all or a majority part of a public agency or crown corporation to private or third sectors. deregulation (p. 110) – the process of removing some or all government regulations that apply to an industry or sector of the economy so that it may operate in a fashion that is more responsive to the demands of private market structures. contracting out (p. 110) – the practice of contracting with private sector firms to deliver services that are part of the mandate of a public agency. downsizing (p. 111) – the practice of reducing the scope and roles of state agencies by altering their mandates and reducing budgetary and related staffing allocations. user fees (p. 111) – the practice of charging fees to citizens for public services previously provided free of charge or for a nominal charge.

Three E’s (p.112) – efficiency, effectiveness and economy are the set of values underlying reforms to improve the functioning of organizations. Private sector practices pertaining to these values have increasingly been adopted in public sector organizations producing conflicts with traditional values such as democracy, justice and accountability.

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CHAPTER 5 Public Administration and Institutions

CHAPTER OUTLINE This chapter asks students to consider a range of factors that influence the goals of public policy, relationships between politicians and bureaucrats, the roles of line departments and central agencies and the delivery of public goods and services through departments, regulatory agencies and crown corporations.

Section 1. Factors Influencing Organizational Structure (pages 120-128) 1. The context for institutions and the machinery of government in Canada has been influenced by three sets of factors; capitalist democracy, federalism and the framework of cabinet-parliamentary government.

2. Capitalist- democracy combines the notions of drawing income from property rights with the democratic right for each citizen to be represented in government.

3. Political democracy in Canada is determined by federalism or the structured relations between the federal and provincial governments.

4. Cabinet-parliamentary government arises from the structure of government and conventions of power and responsibility.

5. Three branches of government are the executive, the legislature and the judiciary.

6. The executive branch of the government consists of the Crown, the Cabinet, and the public service, all of whom take part in the formulating and implementing of policy.

The legislative branch of government debates policy and plays a significant role in the doctrine of responsible government by holding the executive branch to account.

The judicial branch of government is called upon to arbitrate disputes whenever the legality of policy is challenged.This section explores how concepts of capitalistdemocracy, federalism, and cabinet-parliamentary government determine the organization and current practices of the Canadian administrative state.

Discussion questions may be: • If capitalism is fundamentally non-democratic, how can these two concepts be combined?

• Is Canada is a confederation of provinces or a nation?

• Our current conventions make the leader of the governing party the Prime Minister of Canada. What if Canadians elected a government from parties but elected a leader from a slate of candidates?

Section 2. Political-Administrative Relationships (pages 128-130) 1. The division of labour and responsibility between politicians and bureaucrats is called the politics-administration dichotomy, which places full responsibility for decisions upon elected officials and the responsibility to carry out decisions upon public servants.

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accomplish political goals.

3. The fear of “rule by officials” has often been cited regarding fears of a powerful public service that needs to be towed into line.

This section uncovers the questions that plague the public bureaucracy in its perceived capacity to carry out its responsibilities. To what degree can public servants employ their discretion in executing the wishes of their political masters? In addition, when are public servants, who are not elected, held accountable to the Canadian public?

A discussion question may be: • As a Canadian citizen, how do you perceive the line of accountability for policy from the intentions of Parliament to its delivery on the ground?

Section 3. Departmental Organizations (pages 130-147) 1. Government departments (also referred to as ministries) are statutory bodies under the direct management and control of a minister who is appointed to the Cabinet by the Prime Minister.

2. Selection of the Cabinet is based on a convention that directs the Prime Minister to select ministers from Parliament 3. Government departments can be divided into three broad types of organizations; horizontal policy coordinative, horizontal administrative coordinative and vertical constituency.

4. Four central agencies at the federal level of government are the Dept. of Finance, the Treasury Board Secretariat, the Privy Council Office and the Prime Minister’s Office.

These support the activities of Cabinet by providing its members with decisionmaking information and advice and ensuring horizontal coordination of the policies and practices of line departments.

5. Alternative service delivery (ASD) involves new organizational forms and arrangements intended to enhance the efficiency and effectiveness of services delivery.

6. The doctrine of ministerial responsibility directs cabinet ministers to be individually responsible for all official acts of the public servants within the minister’s portfolio.

7. The deputy minister of a department is the senior-most public servant and is central in a department’s administration. Like a cabinet minister, the DM is appointed by the Prime Minister and is guided by four conventions of neutrality, anonymity, the politics-administration dichotomy, and loyalty.

This section covers organizational practices important to the functioning of the executive branch. The first involves the selection of ministers and the categorization and organization of line departments. This is followed by a discussion of central agencies and their power of horizontal policy coordination through line departments (vertical constituency). The concepts of ministerial responsibility and the role of deputy ministers is revisited in the discussion of public service accountability in Chapter 11 A discussion question may be: • What are the general responsibilities of central agencies and how do they differ from those of vertical constituency departments?

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Section 4. Political Staff (page 147) 1. Political staff is made up of partisan supporters who are called “exempt staff” because they are not subject to the same regulatory regime as the public service.

2. Partisan advisors associated with the governing party are brought in to ministries to supply politically strategic advice.

This subject has been introduced as a growing trend in Canadian politics. The power of the Prime Minister’s Office has grown over two decades, a situation that was etched in the mind of the Canadians during the APEC Summit in Vancouver in 1997 when demonstrators were pepper-sprayed on orders from the PMO. As a central agency, the PMO is able to direct or constrict policy with regard to party-held values before other concerns. The nature of our representative government and political party system requires that we give attention to this growing trend.

A discussion question might be: Who is it that we elect - a political party, a political leader, or representatives of constituencies? Is it a function of the Prime Minister’s Office to promote democracy?

Section 5. Regulatory Agencies (pages 148-152) 1. To enforce public policy decisions governments may impose constraints on the behaviour of private sector actors in the form of regulations.

2. In Canada regulatory agencies attempt to maintain a balance of economic power in the face of market failure and can restrict the harmful behaviour of private actors in social circumstances.

3. The traditional rationales for using regulation have been challenged over the last four decades by the proponents and critics of deregulation 4. Since 2005 the federal government has developed initiatives for “smart regulation” and the streamlining of existing regulatory frameworks.

The role of regulatory agencies raises controversy amongst all Canadians because one person’s “red tape” is another person’s “consumer protection”.

Discussion questions may include: • What are therationales for regulatory policy?

• Name an aspect of your life that is directly influenced by a regulatory agency at the federal, provincial/territorial, local/band level of government. Is this agency an economic or a social regulator?

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Section 6. Crown Corporations (pages 152-159) 1. Crown corporations are government organizations that take a corporate form and follow business practices consistent with those in the private sector.

2. The literature contains a variety of reasons for the creation of crown corporations in Canada.

3. The traditional rationales for creating crown corporations have been challenged over the last four decades by the proponents of privatization.

4. Some observers of the privatization movement suggest that there may be limits to the process due to structural barriers embedded in Canada’s political economy.

The role of crown corporations, like that of regulatory agencies, frequently generates discussion due to the varied assumptions held about the legitimacyand purpose of these agencies. Inwood suggests that the rationales for creating Crown corporations fall into three categories; economic rationales (nation building, defensive expansionism, regional economic development, supply/demand stability, and natural monopoly), ideological rationales (to protect Canadian political culture), and administrative rationales (pertaining to the efficient delivery of public goods). He concludes this section with a discussion of the privatization movement in Canada.

Discussion questions may include: • Would you consider “nation-building” a strong rationale today for the creation of Crown corporations as it was historically?

• If a Crown corporation is not profitable, is this a reason to sell the assets to a private sector corporation?

Key Words and Concepts spending power (p.122) – the power of the federal government to spend money on programs even if they are within provincial jurisdiction. executive branch of government (p.123) – composed of the Crown (Governor General) at the formal (or symbolic) level, and the Prime Minister, cabinet and bureaucracy at the political level, the executive is the organizational centre of power in our political system. legislative branch of government (p.123) – that branch of government charged with making and amending laws. At the federal level it is the Parliament, which is made up of the elected House of Commons and the appointed Senate. judicial branch of government (125) – the Supreme Court and justices and all the other courts and justices below it. The judiciary in Canada is appointed rather than elected, and is separate from and independent of the other two branches of government (the executive and legislative branches).

Privy Council (p.125 ) – a largely ceremonial body composed of current and former ministers of the crown and other persons appointed by the Governor General.

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Cabinet (p.125) – headed by the Prime Minister this body is responsible for policy decision-making in the executive branch of government. It is usually made up of elected members of the legislative branch who are also members of the caucus of the governing party. constitutional convention (p.125) – unwritten practices derived from habit, tradition and past practices that constitute the unwritten part of our constitution. responsible government (p.125) – a system of government in which the executive branch requires the support and confidence of the legislative branch (and through it, the people) in order to govern. departments (132) – an organizational unit of government created by statute under the direct management and control of a minister of the crown.

Ministries (p.130) – an alternative term used to describe a government department.

Minister (p.130) – the political head of a department or ministry of government appointed by the Prime Minister or a provincial premier. central agencies (p.136) – support activities of Cabinet by providing its members with decision-making information and advice and ensuring horizontal coordination of the policies and practices of line departments.

Agents of Parliament (p.139) – a unique group of independent statutory officers who scrutinize the activity of the government and report directly to the people’s elected representatives in Parliament. alternative service delivery (p.140) – the development of new organizational forms and arrangements intended to enhance the efficiency and effectiveness of the delivery of public goods and services delivery. ministerial responsibility (p.141) – the doctrine of ministerial responsibility directs cabinet ministers to be individually responsible for all official acts of the public servants within the minister’s portfolio. collective ministerial responsibility (p,142) – the convention of collective ministerial responsibility directs cabinet ministers to show solidarity with their Cabinet colleagues regarding all decisions of the Cabinet.

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deputy minister (p.142) – the administrative head of a government department appointed by the Prime Minister or a provincial premier. regulatory agencies (p.148) – a government body which administers economic, environmental, social or other activities in the public interest according to guidelines and regulations established by government.

Crown corporation (p.152) – a corporation which the state owns all or some part of but which operates at arm’s-length from direct government control.

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CHAPTER 6 Public Administration, the Constitution, and Law

CHAPTER OUTLINE This chapter examines the role of the Constitution and the judicial branch in structuring Canada’s approach to the rule of law, federalism, intergovernmental relations and administrative law. The ordering of four sections serves to emphasize the links between the administration of justice and our Constitution. The chapter also offers a history of the Canadian constitution from its beginnings in the BNA Act to its current iteration, the Constitution Act, 1982, which includes our Charter of Rights and Freedoms. The laws, the courts, and the administration of justice exist only within the framework of the Constitution. The chapter continues with a discussion of constitutional and administrative law followed by developments in federal - provincial bargaining. Most importantly, Inwood delves into the complex questions arising from the long standing issue of aboriginal self government.

Section 1. The Law, the Courts, and the Administration of Justice (pages 168 to 173) 1. The rule of law ensures the independence of the court by holding rulers and ruled to the law.

2. The function of law is to regulate human behaviour but to be effective the law must be knowable.

3. Canadian law is a combination of statutes passed by federal and provincial legislatures, Quebec civil law, and the body of English common law.

4. Our legal traditions are rooted in English common law, the French Napoleonic Code and the contributions of aboriginal customs and practices.

5. Our system of courts at the provincial and federal levels reflects the division of powers defined by federalism.

6. Like our court system, the public administration of justice is divided between the federal Department of Justice and provincial departments performing similar functions.

This section reviews a number of concepts that inform our legal system. First, it defines the rule of law and explains how this rule ensures the independence of the courts. Second, it emphasizes the foundations of our unique legal tradition in English common law, the Napoleonic Code and interactions with Canada’s aboriginal peoples. Finally, it reviews the organization of our court system and the role of the federal Department of Justice.

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Section 2. What is a Constitution? (pages 173-182) 1. Constitutions define the relationship between citizens and the state, between different branches of the state and between different levels of government in a federal system.

2. Canada’s Constitution is composed of written documents, the common law, and constitutional conventions.

3. The BNA Act, 1867, gave effect to Confederation and defined our constitutional order until 1982.

4. The Constitution Act, 1982, added an amending formula, terminated the authority of British Parliament over Canada, and created the Charter of Rights and Freedoms.

5. Since 1982, attempts to include Quebec in our Constitution failed at the Meech Lake and Charlottetown Accords.

6. The Charter of Rights and Freedoms reaffirms the established rights, freedoms and land claim agreements of Canada’s aboriginal peoples.

7. The Charter defines a range of formal rights enjoyed by Canadians.

8. Our history of federal-provincial relations has been informed by ongoing debates about the division of powers between the federal and provincial governments and the legitimacy of federal spending power to influence provincial policy choices.

This section begins with an explanation of how the constitution defines relationships between citizens and the state. Canada’s constitution and the constitutional foundation of federalism have been contentious through from the BNA Act, 1867, to the Constitution Act, 1982, through attempts to bring in Quebec with the Meech Lake and Charlottetown Accords. Beyond the rights and responsibilities of the federal and provincial governments, the Constitution Act specifies those of individuals contained within the Charter of Rights and Freedoms.

A discussion question might be: • What kinds of rights does the Charter define? Do you think the Charter has made Canadians more “judicially conscious”? Has it made them more conscious of the rights and responsibilities of citizenship?

Section 3. Constitutional Law (pages 182-194) 1. Over Canada’s history interpretation of federal and provincial constitutional powers has fuelled conflict between the federal and provincial levels of government.

2. At first, the statement that Parliament should act for Peace, Order and Good Government was intended to establish federal authority over any issue deemed of “national dimensions”.

3. Several incidents of judicial review have diminished the scope of powers for POGG to periods of national emergency.

4. Since the 1970s , in recognition of the political costs of constitutional battles, the federal and provincial governments have created new structures for intergovernmental relations, referred to as “executive federalism”.

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5. While the courts have not yet clarified the scope of aboriginal self-government, the Supreme Court of Canada and international courts recognize that Canada’s aboriginal peoples’ right to self-govern has never been extinguished.

6. Section 35 of the Charter recognizes and affirms “existing Aboriginal and treaty rights of the Aboriginal peoples of Canada”.

7. Section 25 of the Charter protects “Aboriginal, treaty, or other rights or freedoms that pertain to the aboriginal peoples” further defined as “the Indian, Inuit and Metis peoples of Canada”.

The first part of this section reviews the evolution of assumptions about the national dimensions of federal power in the context of its responsibility for “Peace, Order and Good Government” (POGG). Secondly, we turn to the history of federal-provincial relations in the context of province-building and executive federalism. Thirdly, Inwood examines the intricate and complex dialogue concerning aboriginal self-government.

Discussion questions may include: • What could the statement of POGG construe if not restricted?

• If the rights of people were established before the existence of Canada, how can they be answerable to Canadian law?

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•

Would Canada’s history have been different if the constitution had been brought home to Canada earlier than 1982?

Section 4. Administrative Law (pages 194-201) 1. Within the departmental structures of government are an array of decision-making bodies with lesser powers and narrower functions.

2. Administrative law guides how public servants exercise the discretionary powers delegated to them by legislature 3. Administrative law deals with the legal limitations on the actions of government officials in accordance with constitutional law.

4. Administrative law is based on the principles of natural justice and interpretations of Charter rights.

5. Judicial review determines whether a government decision or piece of legislation is strictly within statutorily delegated powers; if beyond its powers (ultra vires) the legislation or decision must be reversed.

6. Remedies are available to citizens if a court finds that an illegal administrative action caused them harm.

This section shows the link between constitutional law and public administration.

Inwood explains that administrative law is concerned with how elected officials in varying departments and agencies delegate power to unelected public servants as well as the way that these public servants interpret and exercise the powers they have been granted. He goes on to describe the roles of the courts in reviewing and adjudicating administrative decisions. He concludes with a discussion of the remedies that can be granted by the courts.

Discussion questions may include: • Can you think of a particular decision or action by a municipal or FN council that has been found ultra vires and quashed (overturned) by provincial or federal law?

• Who runs the government? To what extent do you believe that bureaucrats are in charge of a department rather than the minister?

Key Words and Concepts rule of law(p.) – The principle that both the ruled and the rulers are answerable to the law. common law (p. 169) – The rules developed by the courts based on the principle of stare decists (established legal precedents guide current judgments). civil law (p. 169) – law based on the French Napoleonic Code and Roman Law is codified unlike English-based common law. Civil law is the basis of the legal sysstem in Quebec.

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amending formula (p. 178) – a procedure introduced in the Constitution Act, 1982 used to formally change the constitution. Generally, the amending formula requires the agreement of Ottawa, and seven out of ten provinces representing at least 50% of the population. Some constitutional amendments, however, require the unanimous agreement of all eleven governments.

Charter of Rights and Freedoms (p. 179) – added to the Constitution in 1982, the Charter protects Canadians’ fundamental freedoms, democratic rights, mobility rights, legal rights, equality rights, language rights and Aboriginal rights. reservation (p. 181) – Section 57 of the Constitution Act, 1867 (formerly the BNA Act, 1867) which permits the Lieutenant Governor of a province to withhold assent for a piece of provincial legislation pending review by the federal cabinet. disallowance (p. 181) – Section 56 of the Constitution Act, 1867 (formerly the BNA Act, 1867) which permits the federal government to disallow provincial legislation. spending power (p. 182) – the power of the federal government to spend money on programs even if they are within provincial jurisdiction. This power is nowhere written in the Constitution, but is nonetheless a powerful federal tool in intergovernmental relations.

Constitutional law (p. 176) – hat part of the Constitution composed of written documents and the common law which are enforceable through the courts. division of powers (p. 180) – the jurisdictional responsibilities of each level of government as set out in the Constitution . In general, federal powers are spelled out in Section 91 and provincial powers in Section 92 of the constitution. province building (p. 187) – the pursuit by provincial governments of enhanced provincial powers and responsibilities through diminishment of the national dimensions of federal power. administrative law (p/ 194) – that part of the law which is concerned with the legal limitations on the actions of government officials and the remedies available to anyone affected by a transgression of these limits. discretion (p. 196) – the degree of freedom of judgement and action that bureaucrats have in implementing and administering policy decisions. ultra vires (p. 185) – a legal phrase which describes a federal or provincial statute as beyond the constitutional jurisdiction of that level of government as determined through judicial review of the Constitution Act. judicial review (p. 199) – the power of the court to determine if the actions of other branches of the government are constitutional or not.

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CHAPTER 7 Public Administration and Public Policy

CHAPTER OUTLINE This chapter explores the art (or science) of public administration as it plays out in real life. Inwood walks the reader through the process of government from the inception of policy and its formulation by Cabinet, through its implementation by the public service, to the evaluation of outcomes. Public policy is described through various definitions drawn from several academic disciplines and a wide base of public policy research. The four stages of the policy cycle – problem definition, policy formulation, policy implementation, and policy evaluation - are defined and described in detail. The subject of policy evaluation, in particular, is investigated through its historical conventions to recent developments from within the Office of the Auditor General.

Section 1. Defining Public Policy (pages 211-213) 1. Public policy is the government choice of action on any issue in the public domain.

Policy choices are limited by the proper scope of state activity linked to assessments of the means and resources available to a government.

2. The scope of state activity in Canada has continually expanded since Confederation.

While a range of definitions are available in the literature, Inwood utilizes two of the most frequently cited to emphasize that public policy involves conscious choices by a government that lead to action or inaction in the selection and implementation of policy.

In addition, he explains how the policy process is dictated by the legal scope, means, and resources available. Public policymaking is a democratic process in which the will of the people is articulated by elected officials and translated into policy.

A discussion question may be: • Given any current issue, what action, decision or policy would you expect from the government? What questions or suggestions would you pose for the minister in charge of the department?

Section 2. Models and Theories of Public Policy (pages 213-222) 1. Theoretically, government policy decisions are determined by the electorate’s choice of a governing party and that government’s subsequent choices.

2. Policy decisions are situated within complex social systems. Therefore, several policy frameworks have been proposed for public policy research in Canada. Approaches grounded on the role of choices made by individuals include rational-comprehensive theory, public or rational choice theory, the incremental model, the mixed scanning model, the garbage can model, and the interpretive framework.

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3. Approaches grounded on the role of collective structures include the pluralist model, structural analysis, the neo-institutional framework, and the postmodern approach.

This section offers a review of the literature on policy theory, frameworks and models.

The first set of models frames policy implementation in terms of choices and actions undertaken by individual officials, given the constraints, pressures, and discretionary powers surrounding their decision. A more macro view must consider various analyses from cultural, ideational and post-positivist perspectives.

A discussion question may be: • If you currently are/could be employed in an entry-level position in government, how would you see your position in relation to the authority structure?

Section 3.The Policy Cycle (pages 222-250)) 1. Policy making is a cyclical exercise using four stages: problem definition, formulation, implementation, and evaluation.

2. Problem definition (also called agenda-setting) is a broad-based exercise that involves many stakeholders inside and outside the government.

3. Problems are perceived and defined in the general public and call for attention from government in the political arena.

4. Policy formulation is conducted by Cabinet, with advice from the public service.

5. Cabinet reviews the “policy stream” of available options, consults with the policy community and the public service to determine what course of action is plausible.

6. A particular action plan or “governing instrument” is chosen and its implementation is the responsibility of the public service.

7. Each governing party will exercise judgement and administer resources according to its bias; this becomes evident to the people as “mobilization of bias” 8. Evaluation of policy formulation, implementation and outcomes is conducted formally by the public service, the opposition members of the legislature, and the judiciary where necessary. Policy is also evaluated for its effectiveness by the citizens and voiced through stakeholders’ groups and the media.

9. Institutions such as the Office of the Comptroller General, the Office of the Auditor General and the Treasury Board establish criteria and guidelines to ensure evaluation is objective.

10. The Federal Accountability Act was passed in 2006 calling for improved measures.

11. Processes of evaluation are in turn evaluated: what measures are meaningful? Who measure what for what purposes? Can everything be measured?

12. A recent approach, called “Value-for-money” auditing, questions 1) the relevance and 2) the performance of any government action.

This section contains extensive descriptions of the four stages of the policy cycle and offers a vivid picture of the complexity of government processes. The reader gains a better understanding of the challenges faced by elected officials and the public service in meeting expectations of the Canadian public.

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• •

agenda for your representatives in government?

On which recent occasion has the government handled an issue that you would have handled differently? How? What is your favourite story of government waste? How could this have been avoided?

Key Words and Concepts public policy (p. 210) – involves conscious choices by governments that lead to action or inaction regarding a matter considered to be a public policy problem. problem definition and agenda setting (p. 222) –the consultative stage preceding policy formulation that involves input from many actors outside and within government. policy cycle (p.222) – a theoretical construction that suggests public policy can best be understood as a process of formulation, implementation and evaluation. policy formulation (p. 222) – the stage in the policy cycle where policy problems and potential responses to them undergo a process of discourse involving members of a policy community in an effort to define policy goals. policy implementation (p. 222) – the stage in the policy cycle where formulated policy goals are transformed into legislative/administrative programs and practices designed to realize features (stated and unstated) of a policy goal. policy evaluation (p. 222) – the stage in the policy cycle where implemented policy decisions are evaluated to assess their impacts and make determinations about the need for further policy /administrative changes. pluralist model (p. 218) – an approach to the policy process that assumes power in society is widely dispersed among a plurality of policy actors and institutions who compete to influence policy decisions in ways favourable to their interests. rational–comprehensive model (p. 214) – an approach to policy decision-making that assumes public policy decision-making should be based on a rational and thorough consideration of all policy options available to a decision-maker. public choice or rational choice model (p. 215) – an approach to policy decision-making that assumes policy choices are the product of competition between groups of policy actors containing persons acting on their self interest in accumulating power. incremental model (p. 216) – an approach to policy decision-making that assumes policy actors will favour incremental changes to the status quo rather than wholesale reform of an existing policy framework. mixed-scanning model (p. 216) – an approach to decision-making that argues while policy actors will generally favour incremental changes, at certain times in the life of a Copyright © 2012 Pearson Canada Inc.

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policy they must be more rational-comprehensive in their approach. garbage can model (p. 217) – an approach to decision-making that assumes the policy process produces outputs through a process in which streams of problems, solutions and interests are compacted together in a structure that, at times, opens windows through which policy outputs flow. interpretive framework (p. 217) – an approach to policy research that assumes no actor can be truly rational-comprehensive in their choices because the decision-making tools we use are socially constructed and therefore subject to the dynamic of social processes. cultural analysis (p. 218) – a structural approach to policy research that argues the preferences of decision-makers are a product of power relations already structured into our system of cultural assumptions. ideational analysis (p. 218) – an approach to neo-institutional analysis that gives particular attention to the role of ideas in the mix of ideas, interests and institutions thought to be central to the process of policy formulation. post-positivist analysis (p. 218) – a postmodern n approach to research that rejects all forms of rationalist explanation of policy outcomes preferring instead a more situational form of research. pluralist model (p. 218) – assumes that individuals join together to pursue common goals through pressure groups that attempt to influence the decisions of policy decision-makers. structural analysis (p. 220) – assumes that power relations are embedded in social structures such as class, gender, culture, and the economy and that these power relations play a significant role in decisions taken at all stages of the policy cycle. institutionalism (p. 221) – assumes that institutional structures in a political system are the single most significant factor in understanding policy outcomes. neo-institutionalism (p. 221) – is a newer variant of institutionalism that assumes interlinked sets of ideas, interests and institutions play a significant role in decisions taken at all stages of the policy cycle.

Postmodernist approach (p.221) – is an approach that rejects all forms of rationalism. It assumes that policy events are random in nature. policy community (p. 229) – a group of actors (public sector, pressure group and members of an “attentive public”) that participate on a regular basis in a particular policy field and have collectively acquired a dominant voice in influencing policy choices. policy network (p. 229) – a sub-set of actors in a policy community that maintain close relations due to a shared understanding of the rules and relationships required to enable the policy community to function.

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governing instruments (p. 235) – the array of tools available to a government to realize its policy goals, ranging from the privatization of conflict, to direct government intervention. mobilization of bias (p. 236) – a term derived from pluralist theory used to describe policy formulation as a result of interest groups’ influence upon government decisionmakers. administrative evaluation (p. 243) – examination of the efficient delivery of government services to determine if the best value for money is being realized within the framework of democracy and justice using methodologies involving the compilation and analysis of data on program costs and benefits. audits (p. 243) – a process of examining government accounts to determine if they are correct. judicial evaluation (p. 243) – concerned with the legal issues arising out of administrative actions, judicial evaluation is a facet of administrative and constitutional law that involves the courts passing judgement on the behaviour and practices of the public service. political evaluation (p. 243) – an ongoing process in which the electorate determines the worth of government policy by supporting or opposing the governing party in elections or through the expression of its views to royal commissions, task forces and parliamentary committees or to cabinet, central agencies or line departments.

Auditor General (p. 247) – responsible directly to Parliament, the Auditor General is the financial “watchdog” who performs an annual audit of the Public Accounts and prepares a variety of reports on the financial management of the government.

Office of the Comptroller General (p. 247) – created in 1978, this body was given authority for administrative practices and controls in the areas of financial management and procedures for program evaluation. The Office was dissolved in 2002, the Secretary of the Treasury Board was named the Comptroller General of Canada and a Comptrollership Branch was created in Treasury Board.

Program Review (p. 248) – a wide-ranging initiative introduced by the federal government in 1994 to review all government programs with the goal of identifying costsavings. It was implemented due to the government’s desire to eliminate the deficit.

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CHAPTER 8 Public Administration and the Management of Human Resources

CHAPTER OUTLINE Two central elements of public administration permit a government to act on public policy decisions- personnel and money. This chapter reviews issues pertaining to human resources management at the federal level.

Section 1. A Brief History of The Public Service: Who Works There, Anyway? (pages 259-269) 1. Professionalization of the federal public service began with the formal introduction of the merit principle through the Civil Service Acts of 1908 and 1918.

2. The 1908 and 1918 reforms were informed by the linkage of British practices, based on Weber’s theory, with scientific management theory developed in the United States.

3. Events such as the Great Depression, , WWII, the emergence of post-war welfare state policies and the rise of executive federalism continuously expanded the scope of the state and the resultant size and policy/administrative roles of the public service.

4. Between 1965 and 1975 the public service doubled in size and saw further changes in human resources polices and practices including the introduction of collective bargaining in 1967.

5. In the 1980s human resource management in the public sector was influenced by many factors such as technological change, the rise of new social movements , management of the deficit/national debt, the shift from Keynesian to monetarist macroeconomic policy, neo-conservatism and the rise of NPM. 6. By the 1990s it was recognized that a “quiet crisis” was emerging in the public service and exercises such as PS2000 were initiated as a response.

7. By the mid - 1990s a general rethinking of human resources policy was underway that emphasized issues such as merit, representativeness and access to employment opportunities.

This section provides an overview of events and issues important to the theory and practice of human resources management at the federal level. Over the last four decades a range of important issues and events have forced debate and reforms to facilitate development of effective human resource management policies and practices.

Discussion questions might include: • In the 1990s Jocelyne Bougon argued there was a “quiet crisis” in the federal public service. What was the nature of this crisis? Did human resource planners responded effectively to this crisis?

• Political scientist, Graham Allison, stated that, compared to private sector managers, public servants hold their positions for short terms. This requires constant change of focus and priorities throughout one’s career. How might this affect the productivity of a career public servant?

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Section 2. The Public Service Today: An Overview (pages 269-294) 1. About one in four Canadians is employed in the public sector when accounting for federal, provincial and local governments.

2. The Public Service Modernization Act of 2003 initiated a variety of reforms including creation of the Management Accountability Framework (MAF) and the Canada Public Service Agency.

3. Since the 1970s the goal of representativeness has influenced human resources management planning pertaining to the regional distribution of public servants, linguistic skills and the need for improved employment equity.

4. Hiring practices based on employment equity have focused on enforcing human rights codes/precedents in the context of gender representation, First Nations representation, ethnic diversity and physical capacity as well as the development of pay equity programs.

5. The unionization of public servants in the late 1960s and 1970s altered human resources management planning given the role collective bargaining plays in defining key features of the formal relationship between an employer and employees.

The doctrine of political neutrality has evolved to reflect a growing acceptance of the political rights and advice of public servants. This section begins with a discussion of issues confronting federal human resource managers such the adoption of performance measures, employee retention and recruitment, practices pertaining to new organizational forms, employment classification systems and interest-based bargaining. Important points to note include recent changes in the occupational mix at the federal level, the goal of representativeness, employment equity, and public sector unions. In particular, Inwood opens the debate over the political rights of public servants – the rights to hold and advise on political opinions in light of the doctrine of political neutrality.

Discussion questions might include: • • Do you believe the federal public service has attained representativeness?

• Should public sector unions have the right to strike? Why or why not?

Section 3. Human Resources Management (pages 296 - 298) 1. Human resources management in the public service is complex administratively and requires managers to be aware of a broad range of decision-making demands.

2. Managers in today’s pubic service are increasingly consumed with the issues of recruitment and retention as part of a broader process of human resources modernization.

This section attempts to summarize the realities of human resources management today.

It illustrates that day-to-day processes of hiring, firing and disciplining public servants are subject to a range of demands. Further, it emphasizes that proactive human resources planning has become a central concern for the federal government as recruitment and retention become increasingly important issues.

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A discussion questions might be: • What compelling reasons exist to enter the public service and become a career public servant? What compelling reasons exist against this course of action?

Key Words and Concepts Civil Service Act 1908 (p. 261) – the first statute passed by the federal government to formally introduce the merit principle as the foundation for a professionalized public service. This Act established a Civil Service Commission responsible for management of members of the “inside” public service located in Ottawa.

Civil Service Act 1918 (p. 261) – this statute extended the authority of the Civil Service Commission to a broader range of federal public servants, in particular those located outside of Ottawa. This Act was substantively revised in 1961 to better define the Commission’s relationship with the Treasury Board.

Civil Service Commission (p. 261) – established in 1908 and given an expanded mandate in 1918 this Commission was responsible for reforming the human resources management practices of the federal public service in a fashion consistent with Weberian and scientific management theory as well as the doctrine of political neutrality.

Public Service Commission (p. 162) – called the Civil Service Commission until 1967, this independent agency is responsible to parliament for the recruitment of federal public servants as well as staffing and promotion practices based on the merit principle and policies pertaining to representativeness. representatives (p. 266) – the assumption that if the public service reflects the citizens it serves it will make decisions in the best interests of the society as a whole. employment equity (p. 280) – an employment policy intended to ensure that the regular staffing process is free of attitudinal and systemic barriers in order that the Public Service reflects all groups present in the Canadian labour force, and designed to ensure that corrective measures are applied to erase an historical disadvantage experienced by certain designated groups. affirmative action (p.280) – an employment equity program designed to improve the position of persons belonging to groups considered subject to systemic discrimination in society and the economy. pay equity (p. 289) – a shorthand term for equal pay for work of equal value. It is based on the systematic comparison of different jobs performed by persons working in similar employment settings. collective bargaining (p. 290) – a method of negotiating wages and working conditions between an employer and a union.

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Financial Administration Act (294) – the statute that governs financial accountability for federal departments, agencies and Crown corporations. It also defines the responsibilities of the Treasury board and the Department of Finance in the area of financial management.

Planning, Programming, Budgeting System (PPBS) (p. 264) – a broad-based budgeting system introduced in Canada in the 1960s and 1970s in an effort to impose greater rationality in government organizational and financial planning. It was premised on the view that expenditure requests should be based on program objectives.

PS2000 (p. 113) – a review of the public service meant to address the low morale of public servants and communications problems between senior and lower levels of the public service. Launched in late 1989, it was organized around ten task forces headed by deputy ministers charged with finding ways to simplify personnel policies, loosen central agency controls, and increase the managerial freedom of department managers and increase program efficiency Public Service Employment Act (p. 265) – passed in 1967, this Acts granted the Public Service Commission exclusive authority to appoint persons to and within the public service according to the merit principle and to administer appeals, layoffs, and dismissals.

Public Service Staff Relations Act (p. 265) – passed in 1967 this Act sets out the responsibilities of the quasi-judicial Public Service Staff Relations Board and provides for the structure and operation of the collective bargaining process in the public service.

Political neutrality (p. 292) – a convention that assumes public servants must consistently act in ways that assure their political impartiality. This involves serving the government of the day, not the political party that happens to hold power.

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CHAPTER 9 Public Administration, Management Reform, and Financial Management

CHAPTER OUTLINE Since the 1980s a range of issues have forced new challenges on governments trying to improve the efficiency and effectiveness of the public service. Successive federal administrations have undertaken reform initiatives based on the assumption that government can be made to run in a more businesslike fashion. This chapter turns to the last three decades of federal organizational and financial management reforms. It contains two sections.

Section 1. Restructuring the Public Service: The Management View (pages 303314) 1. Since the 1980s issues such as the deficit/debt problem, technological change, the demands of new social movements and interest groups, the emergence of budgetary surpluses and a more assertive electorate have created new challenges for public sector managers.

2. Effective responses to these issues have been hampered by internal organizational factors and external criticism that the public sector is, by its nature, inefficient.

3. Despite these challenges, successive federal governments have undertaken reform initiatives based on the assumption that government can be made to run in a more effective fashion.

4. In 1984 the Trudeau administration initiated the Productivity Improvement Program.

5. Later in 1984 the Mulroney administration initiated The Ministerial Task Force on Program Review followed, in 1986, by the Increased Ministerial Authority and Accountability exercise and PS2000 in 1989.

6. In 1994 the Chrétien administration initiated the Program Review exercise followed

by La Relève in 1997 and the initiation of The Public Service Modernization Act in 2003.

7. The Gomery Commission’s reports in 2005 and 2006 set the stage for the Harper administration’s focus on reform of accountability frameworks.

This section focuses on the more recent initiatives beginning with the Mulroney administration’s PS2000 exercise. It concludes by noting that while the impacts of the various reform initiatives continue to be a matter of debate among researchers, the success of any reform process depends on linking sound goals with adequate resources to achieve them.

A discussion question could be: • How do governments decide who gets what, when and how?

• In your experience, can you recall a situation when government tried to address an issue without adequate resources?

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1. The expanding scope of federal financial management intensified debates between “spender” and “saver” departments regarding the distribution and management of financial resources.

2. In the early 1960s the Glassco Commission recommended financial management reforms to increase the authority, responsibility and accountability of federal managers.

3. During the 1960s two major reforms involved the creation of an independent Treasury Board and the introduction of the Programming, Planning, Budgeting System (PPBS).

4. During the 1970s the Lambert Commission suggested the need for further reforms to improve financial accountability and the Office of the Comptroller General was created.

5. In 1979 the Clark administration introduced the Policy and Expenditure Management System (PEMS) 6. In 1995 the PEMS was replaced by the Expenditure Management System (EMS) which introduced reforms to departmental business planning, the reporting of annual estimates to Parliament, and the management of the budgetary cycle.

7. Following the introduction of EMS, risk management procedures were introduced to enhance confidence in departmental consideration of financial management innovations.

8. Financial management reforms over the last three decades have been integrated with the budgetary cycle to produce an increasingly complex planning and reporting process.

Inwood notes that a central issue in management of federal financial resources since the 1960s has been “who gets what, when, and how?” Given that demands for financial resources by “spender” departments always exceed the supply determined by “saver” departments and central agencies, conflict is inevitable. In an effort to better manage this conflict, successive administrations have initiated increasingly complex and elaborate systems for the planning, reporting and evaluating financial management practices. This section chronicles the evolution of federal financial management policy beginning in the 1960s and concludes with a detailed review of the EMS. Discussion questions might include: • Based on your review of the last three decades of financial reform initiatives, how have successive administrations attempted to manage conflict over the allocation of resources?

• How has the taxpaying public responded to such conflict?

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Key Words and Concepts Productivity Improvement Program (p. 306) – a set of reforms introduced in the dying days of the Trudeau administration intended to cut “red tape” and other practices hampering the efficient provision of government services.

Ministerial Task Force on Program Review (p. 306) – a task force set up in 1984 by the Mulroney administration to conduct a government-wide review of programs with the goal of cutting waste and reducing inefficiencies.

Increased Ministerial Authority and Accountability (p. 306) – this 1986 initiative by the Mulroney government attempted to enhance the management roles and functions of ministers relative to the demands placed on them by central agencies.

PS2000 (p. 306) – a wide ranging review of the public service meant to address low morale and the relationship between senior and lower levels of the public service.

Launched in late 1989 by the Mulroney administration, it was organized around ten task forces mandated to find ways to simply personnel policies, loosen central agency controls, increase managerial freedom and enhance program efficiency.

Program Review (p. 307) – an exercise initiated by the Chrétien administration in 1994 mandated to identify potential cost-savings in all government programs.

La Relève (p. 309) – the internal review of the public service initiated by the Clerk of the Privy Council in 1997 to deal with the “quiet crisis” within the federal bureaucracy.

Planning, Programming, Budgeting System (PPBS) (p. 322) – a broad-based budgeting system introduced in the 1960s. It was premised on the view that departmental expenditure requests should be presented in terms of the objective of spending rather than stating only the input costs.

Line-item budgeting (p. 322) – a traditional system of budgeting emphasizing the cost of an expenditure rather than the purpose of the expenditure.

Program budgeting (p. 323 – a system of budgeting that places annual line-item costs in the context of longer range program goals and impacts.

Policy and Expenditure Management System (PEMS) (p. 323 – a system involving the use of cabinet committees to coordinate, plan and integrate government budgeting and policy-making. It was introduced in 1979 by the Clark administration to improve ministerial control over financial management in the areas of priority-setting and to allow ministers a longer-range view of government policy development and financial activities.

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Expenditure Management System (EMS) (p. 324) – a reform initiative introduced by the Chrétien government to improve departmental business planning, the reporting of annual estimates to parliament and the management of the budgetary cycle.

Business plans (p. 324) – a private sector management technique increasingly adopted by the public sector as part of the New Public Management movement. It involves the development of detailed multi-year plans intended to realize the best possible service delivery at the least possible cost.

Risk management (p. 327) – the probabilistic calculation of the risk associated with a decision which allows managers to make planning choices based on expert assessments of the possibilities interventions regarding that choice will be required in the future.

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CHAPTER 10 Public Administration and Ethics

CHAPTER OUTLINE A distinguishing feature of public administration is that public servants are subject to a more rigorous regime of ethical guidelines than workers in private sector organizations.

This chapter reviews the theory and practice of ethics in the federal public service. It contains two sections.

Section 1. Ethical Dilemmas in the Public Service (pages 339-352) 1. Because opportunities for the self-interested use of positional power and discretion are often present in the public sector, strictures on the ethical behaviour of public servants have traditionally been more extensive than those in the private sector.

2. The findings of the 1996 Tait Report contributed to new federal initiatives regarding public sector ethics including establishment of the Office of Values and Ethics in 1999.

3. Ethical behaviour in a modern public service is particularly important because it contributes to the public’s perception of the trust it can place in the efficacy of state institutions.

4. The concept of the public interest is an important factor in shaping the ethical dimensions of administrative behaviour in the public service.

5. A responsible public service must somehow strike a balance between the imposition of pure value neutrality on its practices and the realities of needing to respond to current social values and perceptions regarding the legitimate use of discretionary powers.

6. The review of concepts like discretion, partisanship, public comment, conflict of interest, lying for the pubic good, and differences in public and private sector ethics emphasizes the difficulty in striking an effective balance.

One goal of this section is to emphasize that ethical conduct is central to the public’s perception of the legitimacy of state organizations. As a result, it is an important aspect of the study of public administration. A second goal is to highlight the complexity of ethical issues and the resultant challenges that public sector organizations face in defining ethical behaviour and keeping the public interest at the forefront.

Discussion questions may include: • What is the “public interest” and does it drive government decision-making?

• Do average citizens have influence in public decisions? When and how?

• Which has more influence – big business or big media?

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Section 2. Codes of Conduct (pages352-358) 1. The federal ethics program of the last three decades has produced an array of frameworks in the form of codes of conduct, ethical guidelines and conflict of interest regulations.

2. The effectiveness of these frameworks depends on ongoing scrutiny of behaviours and practices by others within the public service, by the media, and by an attentive public.

The federal government seeks to improve ethical standards and support ethical behaviour through codes of conduct, training and education, and the leadership of senior public servants as role models Inwood cites seven “commandments” for responsible public servants: “act in the public interest; be politically neutral; do not disclose confidential information; protect the privacy of citizens and employees; provide efficient, effective and fair service to the public; avoid conflicts of interest; and be accountable” (K. Kernaghan and J. Langford) In the 1970s and 1980s governments in Canada began to develop formal ethics frameworks in the form of codes of conduct, ethical guidelines, and conflict of interest regulations. This section explores the impacts of these frameworks on the federal public service. It indicates that while written codes are one part of an effective ethics framework, training and the use of role models are also used. This section also notes the role of public expectations regarding ethical conduct as a contributor to an ethics regime and links this role with the concepts of openness and accountability.

Discussion questions may include: • What types of factors within and outside the public service contribute to the public’s expectations?

• Is the ethical behaviour of public servants more heavily scrutinized than that of private sector managers?

Key Words and Concepts ethics (p. 339) – rules and codes of morality used to guide human behaviour. discretion (p. 340) – the degree of legitimate freedom of judgement and action that bureaucrats assume they have been delegated to implement and administer public policy decisions. ethics commissioners (p. 346) – officials appointed by a government to administer ethics codes governing the behaviour of public servants. public interest (p.343– the evaluation of a political position or policy decision based on the assumption that members of a civil society hold a common interest in the cohesion and sustainability of legitimate civil order. partisanship (p. 347) – the loyalty supporters of a political party feel towards one another.

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public comment (p. 348)– an aspect of the doctrine of political neutrality through which public servants are expected not to express publicly their personal views on government policy or management practices. conflict of interest (p. 348) – a circumstance in which a politician or public servant holds a personal interest in a policy or program such that his or her professional position and role is compromised. lying for the public good (p. 349)– a controversial assumption that, under certain circumstances, withholding the truth from the public can be considered in the public interest.

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CHAPTER 11 Public Administration and Accountability

CHAPTER OUTLINE The concept of public accountability has an interesting history of conceptual developments. Prior to the rise of democracy, the right to rule was a matter of tradition, coercion, charisma, or divine intervention. Only since the historical development of “rule by representation” in legislative assemblies has public accountability been realized.

Government decisions and actions can be held up to public scrutiny; thus elected representatives are held accountable to the will of the people.

Section 1. Accountability and Democracy (pages 364-369) 1. Central to any modern democracy is the ability of citizens to hold elected officials accountable for their actions.

2. Responsible government in Canada is derived from British traditions and was achieved as early as the 1840’s.

3. Responsible government is substantiated by two arguments: 1) democratic will from the general population and 2) authority to rule on behalf of the general population..

4. The law can reduce the level of discretion exercised by officials by prescribing precise arrangements.

5. Enforcement of the concepts of responsible and accountable government in Canada involve a variety of actors and institutions guided by an established system of rewards and punishments.

This section examines the concept of political accountability and its evolution in the context of the principle of responsible government. Inwood notes that two different perspectives inform the debate over this principle: 1) those who would call government to be responsible to the general will of the people and 2) those who believe that government can be left to those who understand complex issues and can act responsibly for the betterment of society. Both arguments result in the expectation of a public service that exists to satisfy the needs of the community. To meet this expectation, the public service works within a complex system of rewards and punishments which ensures compliance and promotes accountability.

Discussion questions may include: • •

Given the voter turnout in the past few federal elections, which view of responsible government ( democrats and conservatives)do you think prevails in Canada?

What impact has the principle of responsible government had on our modern understanding of the role of democracy in Canada?

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Section 2. Ministerial Responsibility (pages 369-375) 1. The “pure” theory of individual ministerial responsibility argues that a minister is ultimately responsible for the actions of her department and must answer for them when mistakes are made.

2. The doctrine of answerability is regarded as a somewhat watered-down version of the theory of individual ministerial responsibility.

3. Another aspect of ministerial responsibility is the convention that ministers must take collective responsibility for cabinet decisions.

4. The complex realities of modern public sector management have contributed to a view that ministerial answerability fulfills modern demands for responsible and, therefore, accountable government.

In this section Inwood begins by contrasting the theory of ministerial responsibility with the doctrine of answerability and suggests that the demands of modern governance favour the latter over the former. This suggestion raises important questions about the future path of government accountability in Canada.

A discussion questions may be: • Do you believe that ministerial answerability fulfills modern demands for responsible and, therefore, accountable government?

• Is the practice of answering to Parliament enough recourse when a) a government action fails and a minister is called to resign or b) a government action is discovered to be unethical or contain illegal activity?

Section 3. Accountability and Public Servants (pages 375-378) 1. The accountability of public servants is obliged to 1) a superior, 2) elected officials, 3) under the law, 4) professional norms and institutions, and 3) the public.

2. The erosion of the pure doctrine of ministerial responsibility and reform of the doctrine of answerability have increasingly brought traditional bureaucratic values into conflict with current assumptions and practices.

3. More frequently, public servants are required to appear before parliamentary committees and interact more with interest groups, private firms and the media; therefore they must be more cautious and sensitive to the political implications of their actions.

This section concentrates on two issues pertaining to the accountability of public servants. First, it reviews five overlapping contexts within which accountability has traditionally been applied to public servants. Second, it discusses trends in the doctrine of answerability and the impacts of these trends on traditional values in the public service.

A discussion question may be: • In your view has a “great irony” been created by governments in their pursuit of public sector reforms?

Section 4. Accountability in Action: The Role of the Office of the Auditor General (pages379-382) Copyright © 2012 Pearson Canada Inc.

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1. The Office of the Auditor General (OAG) was established in 1878 as an “armslength” body that reports directly to Parliament regarding the use of public money.

2. Since 1878 the scope of this Office has expanded but its original intent, to offer all members of Parliament an independent assessment of the government’s financial performance, has remained largely unchanged.

3. In 1995 the Commissioner of the Environment and Sustainable Development was established in the OAG to report on the activities of departments in this area.

4. The performance of the OAG is independently assessed by an external auditor appointed by the Treasury Board.

This section emphasizes that an important actor among the multiple and reinforcing sources of accountability is the Office of the Auditor General. Here Inwood describes the historical evolution of the OAG and the types of auditing it performs on an annual basis.

In addition, he explores the fallout from the Sponsorship Program and the report from Auditor General Sheila Fraser (2004) that stated public servants “broke every rule in the book” in their handling of advertising campaigns. A discussion question may be: • Had the Office of the Auditor General appeared more powerful because of the appointment of Sheila Fraser? How much would personality and personal ethics play into this role?

Section 5. Contemporary Issues of Accountability and Control (pages p.382-388 ) 1. The advent of New Public Management (NPM) has changed the traditional precepts of accountability, ministerial responsibility and the role of public servants.

2. The general impacts of NPM include reduced bureaucratic anonymity, growing use of private sector management techniques, growth of a shadow bureaucracy, decentralized managerial control, new organizational forms, and an increased emphasis on results rather than process.

3. These impacts have produced conflicts with traditional public sector process values such as equity as well as the unique demands constitutional law places on public sector organizations.

4. The Federal Accountability Act of 2006 represents an attempt to move from a culture of entitlement to a culture of accountability.

This reviews the debate about the impact of New Public Management on the theory and practice of accountability. Inwood notes that a range of reforms challenge traditional approaches to accountability and raise new questions that, as yet, do not have clear answers.

• Discussion questions may include: What kinds of impacts has the NPM movement had on traditional approaches to public sector accountability? What implications do these changes hold for the principle of responsible government in Canada?

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How do senior administrators in public agencies propose to serve all citizens fairly and equitably with diminishing resources?

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Should the measures of accountability within the public service extend to those supplying or sub-contracting to it?

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Is public administration a high calling? Why or why not?

Key Words and Concepts accountable (p. 364) – a fundamental principle of democratic government which states that those who hold governmental power must be answerable and responsive to the people for the way in which that power is exercised. responsible government (p. 365) – a system of government in which the executive branch requires the support and confidence of the legislative branch (and through it the people) in order to govern. ministerial responsibility (p. 369) – the assumption that individual cabinet ministers are ultimately responsible for all the actions of their departments, and must answer for them when they make a mistake. doctrine of answerability (p. 369) – a watered-down version of the principle of ministerial responsibility in which the minister of a department is required simply to explain the errors of subordinates, but not actually resign as a result of those errors. collective ministerial responsibility (p. 370) – the convention that members of the cabinet are collectively responsible for every government decision, and therefore must accept collective responsibility for any errors. accounting officer (p. 372) – a designation assigned to deputy ministers in 2007 giving them legal obligation to appear before parliamentary committees to answer questions on their management responsibilities within the framework of ministerial responsibility and accountability.

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