Why Manage PMPA 809 Introducing the Public Administration

Why Manage? PMPA 809: Introducing the Public Administration and Management Context

Roundtable Coming Up Who you are and your expectations – coming in 5 minutes… Andrew. Graham@queensu. ca 2

First – me…. . E-mail is best, any day and time. You have my co- ordinates: use my cellular number as I move around. I am here PMPA days and happy to set up a meeting, but set it up in advance. Andrew. Graham@queensu. ca 3

Now… You • Who you are…. • What you do…. • What you are looking for…. Andrew. Graham@queensu. ca 4

Over-riding Themes Understanding the basis of public administration Public sector values in management A framework for understanding management The realities of managerial life Trends of change and reform and underlying elements of continuity No Magic Bullets, ready clichés to offer or nice sounding bromides – this is a messy business. Andrew. Graham@queensu. ca 5

How we are going to do this • Lectures with discussion • Class group exercises – a word on getting started • Case studies – my overall approach • Stories – yours and mine • Guests: • David Szwarc, CEO, Peel • Margaret Biggs, federal Deputy Minister Andrew. Graham@queensu. ca 6

The Course Work – Readings, Assignments and Assessment All readings are posted on Moodle All assignments are expected to be on time. Any delays require a notification to me – it pays to communicate. Andrew. Graham@queensu. ca 7

Assignments and Marking PARTICIPATIO N – 10 MARKS 3 – 1000 WORD MINI-CASES – 15 MARKS EACH 1 – 2500 WORD 20 PAGE PPT MAJOR CASE – 45 MARKS Andrew. Graham@queensu. ca 8

Leave your guns at the door – or put them on vibrate Andrew. Graham@queensu. ca 9

My assumptions about you: present and future leaders in the public sector – this course is designed to signal to you the fundamental underpinnings of management to be successful at that. Andrew. Graham@queensu. ca 10

Your experience counts and we want to draw on it as we look at issues of management. Put yourself into the manager’s position as you look at this material – you are in the play, not outside it. But, in the end, this is not a group therapy session so keep your examples relevant and useful to everyone. Listen up and respect each other’s views. Andrew. Graham@queensu. ca 11

What I Look For in Marking Communication: clear, to the point Link to action: here is what needs to be done Link to Ideas: what we have here Andrew. Graham@queensu. ca Link to user: can I do something with this? Live Briefing Note Professional, written in context 12

Assignments as Live Briefing Notes Walk with me Andrew. Graham@queensu. ca To the point Focused on action Pulls it together quickly 13

An Effective Case Study……. Fosters solution thinking Leaves important issues unresolved Multiple levels of analysis Generates questions Creates tensions among options Andrew. Graham@queensu. ca 14

Why Management and Why Core? • Great policy poorly executed is poor policy • How things are done (managed) in the public sector often as important as what is done. • In government, management is how we execute or implement, i. e. , bring to realization, public policy. • No amount of good policy will change anything without good execution. • This requires more than management, but in the end, the people, regulations, capital and resources must be managed Andrew. Graham@queensu. ca 15

“Implementation is worth studying precisely because it is a struggle over the realization of ideas. It is the analytical equivalent of original sin. There is no escape from implementation and its attendant responsibilities. ” Pressman and Wildavsky, Implementation: How Great Expectations in Washington are Dashed in Oakland”: or, Why It’s Amazing that Federal Programs Work at all , 3 rd edition. 1980 Andrew. Graham@queensu. ca 16

Three Principal Modules • Public administration and the application of management theory to it, • “Whole of Government” management and administration issues • Delivery and Implementation at the program level But it is about the craft of management. Andrew. Graham@queensu. ca This course is not about techniques of management, but rather how management fits into the over-riding concept of public administration. 17

Management Framework Andrew. Graham@queensu. ca Whole of Government View of Management Delivering Public Goods The Pillars of Public Management 18

The heart of public administration is the nexus between political will to achieve certain things – policies, goods, benefits, outcomes, you name it and the means to achieve them. Andrew. Graham@queensu. ca 19

Andrew. Graham@queensu. ca 20

Some Common Themes in Managerial Thinking: Tradeoffs, Balancing and Tensions Accountability (following the rules) versus flexibility (getting the job done) Public sector management is different from private sector – how and where is an important factor New versus old public management – changes, fads, challenges Systems versus people 21

Some Common Themes in Managerial Thinking: Tradeoffs, Balancing and Tensions Organizations, how they work and what they do Management theories versus the life of the manager Vertical and horizontal management Managing up and managing down Knowing what is happening, understanding it and speaking to performance The search for better cheaper faster processes. 22

Where it all began: a quick history of management Andrew. Graham@queensu. ca

King Hammurab i, ruler of the Old Babylonia n Kingdom 1792 -1750 BCE) An early model of efficient public administration

Hammurabi receives the Code of Laws from Sun God “To cause justice to prevail in the country, To destroy the wicked and the evil, That the strong may not oppress the weak”

337 BCE: Chinese philosopher Shen Buhai wrote a treatise on the same topic. Main points: Seniority Merit rating Official statistics Written reports about government activities From 165 BCE, Chinese officials were selected by examination

Managing with Moses: the First Consultant’s Report We don’t know, but we have traced the first management consultant – Jethro, father-inlaw of Moses As Moses took on all tasks of governing the Israelites in the desert – classic A type, theory X kind of guy, Jethro came along offered plenty of advice Which came first? Check out Exodus 18 – think of it as a standard consultants’ report 27

“And Moses’ father said unto him, the thing that thou doest is not good. Thou wilt surely wear away, both thou, and this people that is with thee; for this thing is too heavy for thee; thou are not able to perform it thyself alone. Risk Analysis Workload Analysis Time to Delegate 28

Thou shalt provide out of all the people able men, such as fear god, men of truth, hating covetousness; and place such over them, to be rulers of thousands, and rulers of hundreds, rulers of fifties, and rules of tens. Competency. Based Staffing Chain of Command And let them judge the people at all seasons: and it shall be, that every great matter they shall bring unto thee, but every small mater they shall judge; so shall it be easier for thyself, and they shall bear their burden with thee and Delegation The Pay Off Moses harkened to the voice of his father in law, and did all that he had said. ” Implement 29

Never Underestimate the Impact of Machiavelli “Stability exists only in the grave; not in this life. ” “If you are going to be a leader, you have a simple choice: either dominate or be dominated. ” Keys to leading: See the world as it is, good, bad or ugly Act with humility: recognize there are forces over which you have no control. Be ready to react Aggressively exploit the chances granted to you by Fate. Create, hope for, and use luck. Never whine. Recognize the uniqueness of the moment and circumstance (fallacy of best practice). 30

Management Perspectives Over Time 31

Max Weber (1864 -1920): The Origins of Modern Bureaucratic Theory Created an ideal type for this new idea of bureaucracy designed to: Eliminate entrenched patronage End capricious decision-making by frivolous nobility Provide a system for managing and performing repetitive tasks that involved little or not discretion Impose order and efficiency Create a clear understanding of the service provided and reduce arbitrariness – common goods for all Ensure clear accountability and limit discretion 32

Characteristics of Weberian Bureaucracy Concept of permanent employment Division of labor with Clear definitions of authority and responsibility Personnel are selected and promoted based on technical qualifications Positions organized in a hierarchy of authority Managers subject to rules and procedures that will ensure reliable predictable behavior Administrative acts and decisions recorded in writing Management separate from the ownership of the organization 33

Frederick W. Taylor (1856 -1915) and Scientific Management His most famous technique was the Time and Motion Study to create what he called scientific standards for performing specific tasks These are not just production targets but measurements of the very action, i. e. body movements that achieved maximum efficiency. This would provide the basis of production planning and the means to measure a worker’s performance against an ideal standard. On the management side, there was the need to scientifically analyze and design work flow in the most efficient manner. Taylor's contribution affects both the notion of individual labour and the idea that ideal management regimes can be designed as well. 34

Frederick W. Taylor (1856 -1915) and Scientific Management Taylor would feel warm and fuzzy with the notion that all Mac. Donald's Restaurants can and should run alike using the same manual regardless of the number of under-aged, under- The ‘Science’ paid people that are running them: he might in Scientific – site Mac. Donald's as proof of the scientific fakery, lies and school manipulation. The Scientific School is built on the conceptual separation of strong backs (workers) from strong minds (managers) Taylor, Frederick W. , The Principles of Scientific Management, New York: W. W. Norton, 1967 35

Scientific Management Contributions Argued but did not prove the importance of compensation for performance. Separation of brain and brawn. Initiated the careful (or not) study of tasks and jobs. Demonstrated the importance of personnel and their training. Focus on the worker’s performance. Criticisms Did not appreciate social context of work and higher needs of workers. Did not acknowledge variance among individuals. Tended to regard workers as uninformed and ignored their Focus on the work not the person. ideas Fundamentally exploitative. 36

Henri Fayol 1841 -1925 Examples of General Principles of Management Division of work Unity of command Unity of direction Scalar chain – unbroken chain of command 37

Mary Parker Follett 18681933 Importance of common super-ordinate goals for reducing conflict in organizations Popular with businesspeople of her day Overlooked by management scholars Contrast to scientific management Reemerging as applicable in dealing with rapid change in global environment Leadership – importance of people vs. engineering techniques Concepts such as ethics, power and empowerment 38

Mary Parker Follett (1868 -1933) She introduced the idea of Circular Response: people interact in ways that influence both parties: an early articulation of modern communications theory without all the boxes, connectors and arrows Follett argued that intelligent, trained individuals are capable of taking their cues from the situation and respond accordingly rather than requiring careful structure to guide their actions – the Giving of Orders, 1926 She advocated Integration: the need to bring together diverse elements into a whole 39

Chester Barnard 1886 -1961 Informal Organization Cliques Naturally occurring social groupings Acceptance Theory of Authority Free will Can choose to follow management orders 40

Gulick and Urwick (1930): The Scientific Theory of Organization Gulik, Luther and Urwick. Lyndall, editors, Papers on the Science of Administration, New York: Augustus M. Kelly, 1969 Gulick and Urwick moved away for the work being performed They tried to apply Taylor’s commitment to ‘scientific inquiry’ to create ideal organizations and organizational models In that sense, they reflected both Taylor and Weber. 41

Gulick and Urwick (1930): The Scientific Theory of Organization They also introduced a set of language and issues that continue in our organizational culture Span of Control: the number of subordinates who report to one supervisor Repetitive versus highly varied work – determines span of control and required level of supervision Level of skill of subordinates as a determinant of hierarchy Extent of geographical decentralization Overall stability of the organization 42

Gulick and Urwick (1930): The Scientific Theory of Organization Provided an honest recognition of the complexity of ideal organizational design, leaving in the end the impression that all such designs are a compromise based on some principles that they put forward: What is the purpose of the specific function What is the process being used and can various workers applying the same process be put together into one unit Is there a client and who is it. 43

The Origins of PODSCORB Gulick and Urwick gave us that enduring description of the activities of an executive: POSDCORB: Planning Organizing Staffing Directing Coordinating Reporting Budgeting It is also here that we see the first discussion of Line and Staff Functions. These roles continue to play important roles in organizational design 44

From Organization Design and the Application of Science to Organizational Development and the Humanistic Approach Apparent opposition between the scientific structural approach and the humanistic one Most of early scientific thinking treated workers as units to be redesigned as best you can with imperfect entities like these 45

From Organization Design and the Application of Science to Organizational Development and the Humanistic Approach Important Elements in the humanistic approach: The role of informal culture in the organization The interplay between formal and informal culture and rules The role of power in organizations Leadership as a task separate from formally ascribed power The role of communications and the emergence of communications theory Change and change management The focus of later work is on workers as people involved in a series of dynamic processes in the work 46

Recent Historical Trends ● Systems Theory ● Total Quality Management (TQM) ● Learning Organizations ● Lean 47

Systems View of Organizations 48

Contingency View of Management Exhibit 2. 6 49

TQM Focuses on managing the total organization to deliver quality to customers. Four significant elements are Employee involvement Focus on the customer Benchmarking Continuous improvement 50

Elements of a Learning Organization Team-Based Structure Learning Organization Empowered Employees Open Information Exhibit 2. 7 51

The philosophy of W. Edwards Deming and the Origins of Lean "Dr. W. Edwards Deming taught that by adopting appropriate principles of management, organizations can increase quality and simultaneously reduce costs (by reducing waste, rework, staff attrition and litigation while increasing customer loyalty). The key is to practice continual improvement and think of manufacturing as a system, not as bits and pieces. "

The Deming System of Profound Knowledge Deming advocated that all managers need to have what he called a System of Profound Knowledge, consisting of four parts: 1. Appreciation of a system: understanding the overall processes involving suppliers, producers, and customers (or recipients) of goods and services 2. Knowledge of variation: the range and causes of variation in quality, and use of statistical sampling in measurements 3. Theory of knowledge: the concepts explaining knowledge and the limits of what can be known 4. Knowledge of psychology: concepts of human nature.

Snapshot of Lean The purpose of lean is to remove all forms of waste from the value stream. Waste includes cycle time, labor, materials, and energy. The chief obstacle is the fact that waste often hides in plain sight, or is built into activities. Andrew. Graham@queensu. ca 54

Peter Drucker: Where Do You Start? Drucker is prolific and hard to characterize Squarely in the humanistic school Behind much of the early advocacy for the participative school of management Advocated breaking down of barriers created by specialization and focusing all parts of the organization on its overall goals We see here an early focus on mission, horizontality, integration and teamwork He also supported the generic view that management itself had similar function no matter where it took place: setting objectives, organizing, motivating and communicating, measuring, developing people 55

Knowledge Worker Non-profit management Planned Abandonment Theory of the business Key Concept s of Drucker MBO Social role of manager Decentralization Outputs vs. Inputs Management SMART 56

Henry Mintzberg and the Empirical School of Management Mintzberg actually looked at what manager did in real life and worked towards his general conclusions from there His seminal work, The Nature of Managerial Work was published in 1973 His most recent book, Managing Publicly Argued that what managers did, when successfully carrying out their responsibilities, was substantially different from much business theory More to follow next month. 57

Karl Weick and Organizational Resilience Role of complexity theory Concepts that organizations have fissures and fragilities that require new ways of understanding them – role of managers in sensemaking Has had and will have a major impact on managing security issues Concepts of adaptability and resilience in operations and emergencies 58

Karl Weick and Organizational Resilience Preoccupation with developing high-reliability organization. These are organizations that can carry out extraordinarily complex tasks quickly with few errors and almost no catastrophic failures. Highly mindful organizations characteristically exhibit: a) Preoccupation with failure, b) Reluctance to simplify c) Sensitivity to operations, d) Commitment to Resilience, and e) Deference to Expertise. Risk Management is Key to Resilience 59

Karl Weick and Organizational Fragility Increasing focus on learning from failure and not simply on successes – tricky political dimension of accepting failure. Concept of mindfulness. “By mindfulness we mean the combination of ongoing scrutiny of existing expectations, continuous refinement and differentiation of expectations based on newer experiences, willingness and capability to invent new expectations that make sense of unprecedented events, a more nuanced appreciation of context and ways to deal with it, and identification of new dimensions of context that improve foresight and current functioning. ” – Weick and Sutcliffe, Managing the Unexpected 60

Management gurus: purveyors of useful theory or sellers of 'snake-oil'? Populizer of ideas and charger of high fees Great attraction to the slogans, slick acronyms and anthemic solutions (the Cold Play of management) Often strike a cord, offer a useful insight, get people excited Seldom based in research or proven. Management gurus try not to concern themselves with the vagaries of organisations. Success is possible if you listen to their formula. Real life is messier. 61

Concluding Thoughts and Linkages Tension between what managers actually do on a daily basis and what they do theoretically: “Social scientists build elegant, logically consistent models; public managers deal with mess, real-world problems. ” – Fred Thompson, Atkinson Graduate School of Management, Willamette University Recent changes in public administration and management thinking are shifting traditional thinking – New Public Management More Tom orro w 62

Concluding Thoughts and Linkages Theme of tension between structure and people – the human management school versus the systems/structural view Theme of tension between accounting and controlling and acting and delivering Change versus continuity – change and continuity 63

Concluding Thoughts and Linkages Emerging theme, especially post 9/11, of organizational reliability, capacity to detect and correct errors, especially in a highly political and transparent environment: Karl Weick Principles of action (managing for flexibility) versus principles of structure (managing for accountability) 64

Concluding Thoughts and Linkages Public sector overlay more than just politics – accountabilities, transparencies qualitatively different In the 21 st century we have moved into a postbureaucratic world. The implementation of public policy is no longer directed by government in a topdown fashion. Instead, policies take shape through bottom-up processes and networks that are loosely managed by government incentives rather than dictated by government fiat in rigid bureaucratic structures. 65

Signs for a spouse that your partner has gone overboard on management… He/she…. • Gives Valentine’s Day card that have bullet points. • Develops an agenda for the long week-end at the cottage. • Refers to parental guidance as ‘achieving downstream impact’. • Refers to your kids as ‘major files’. • Refers to those ‘intimate moments’ as ‘win-win situations’. • Refers to the bathroom as a ‘robust system where the situation is fluid’. • Prepares ‘key messages’ for dinner conversation. • Designates mother-in-law as ‘stakeholder relationship’. • Refers to first-born as the ‘template’. 66