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SMI: Ten years on Presentation to the Policy Institute Trinity College Dublin 22 February 2005

SMI: Ten years on Presentation to the Policy Institute Trinity College Dublin 22 February 2005. B rendan Tuohy Secretary General Department of Communications, Marine & Natural Resources www. dcmnr.gov.ie Brendan.Tuohy@dcmnr.gov.ie. Outline of presentation. Introduction

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SMI: Ten years on Presentation to the Policy Institute Trinity College Dublin 22 February 2005

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  1. SMI: Ten years onPresentation to the Policy InstituteTrinity College Dublin22 February 2005 Brendan Tuohy Secretary General Department of Communications, Marine & Natural Resources www.dcmnr.gov.ieBrendan.Tuohy@dcmnr.gov.ie

  2. Outline of presentation • Introduction • Report of the MSc Class 1993/’94 • Review of the Irish Civil Service • Theoretical Underpinnings of Reform • Evaluation and Findings • Systems architecture, Policy processes, Dynamics of change management • Developments over the past ten years • Current and future challenges • Conclusions

  3. Strategic Management in the Irish Civil Service 1994 In 1994, the class of Trinity College MSc (Strategic Management – Public Sector) presented a dissertation with suggestions about strategic management in the Irish civil service. The report covered the following areas: -

  4. Strategic Management in the Irish Civil Service 1994 Legislation Government accounting & resource allocation Accountability Relationship between Ministers & Departments Roles of central and line departments and agencies Human resources Industrial relations Strategy setting process Political commitment to change

  5. Theoretical underpinnings of public sector reforms: Public Choice Theory • …..that all human behaviour is driven by self-interest…. • Minimal role for the State; contraints on politicians, civil servants and agencies; contestable policy advice, separated from implementation; privatisation and use of private contracts whenever possible • Group did not accept a comprehensive market model

  6. Theoretical underpinnings of public sector reforms:Agency Theory • …based on one party, the principal, entering into a contract with another, the agent, for the performance of certain tasks • All politics is seen as a chain of principal/agent relationships (citizen to politician to bureaucrat to service deliverer) – dual role of each, assymetry in information, difficult to measure marginal product of each worker • Degree of sophistication for handling social and constitutional relationships? • Group recognised the role this could play

  7. Theoretical underpinnings of public sector reforms:Transaction Cost Analysis • …maximisation of value is achieved by the reduction of transaction costs… • Organisations aim to reduce their transaction costs by substituting hierarchies (control of suppliers/customers) for markets in order to reduce uncertainty & vulnerability to opportunism • Useful for evaluating whether to provide the service directly or outsource • Group saw it as partially correct

  8. Theoretical underpinnings of public sector reforms:Managerialism & New Public Management • …. One generic set of theories that can be applied to the public and private sector • From input to output control, devolution, new accountability measures, reduced bureaucratic structures, private sector practices (contracts, incentives, mission statements) • NPM and public service culture? • Task and context of managing in the public service incl. inter-dependence • Group suggested a theoretical pluralism and pragmatism with traditional values

  9. Evaluation & Findings: System Architecture • Focus on outputs and outcomes, devolution and accountability • Change should take place from detailed input control to appropriations based on outputs and outcomes, substantial devolution (resources, staff, finance) to line managers with greater accountability • Corporate plans, annual reports linked to strategic framework, performance appraisal

  10. Evaluation & Findings: System Architecture • Government accounting • Move to accruals-based accounting (in 5 years) • Role of central departments • Reduced control over inputs, public expenditure and human resource management by DoF, with greater devolution to, and expertise within, departments • Assignment of HRM and public sector reform to a specific body – resourced, authority, structures and processes to deliver • New relationship needed between DoT and DoF and clarity of responsibilities for driving collective strategising and change agenda

  11. Evaluation & Findings: System Architecture- HRM • Attitudes towards human resource management • Strategic issue, devolution, flexibility, professionalism, performance appraisal • Generic principles • Need for political commitment • Need for legislative change • Devolution • Structures reflecting tasks • Framework for HRM • Central agency to drive the change

  12. Evaluation & Findings: System Architecture- HRM • Professional approach to HRM • Recruitment and selection • unified vs. uniform • Induction training & development • % spend on training, linked to overall strategic objectives • Appraisal, motivation & rewards

  13. Evaluation & Findings: System Architecture- HRM • Employment contracts • Mobility • Underperformance • Leadership • Equal opportunities

  14. Evaluation & Findings: System Architecture-Policy Processes • Longer term vision for the country to 2010 • With five year strategies • Integrated Government strategy for medium term • Strategic plans, Strategic Results Areas, collective strategising • Reflecting Government’s vision and SRA’s in Departmental objectives and Key Results Areas for Secretaries General

  15. Evaluation & Findings: System Architecture-Policy Processes • Collective agreement on Departmental objectives incl. budget • Need for system for on-going policy coherence • More than one year policy/budget perspective – incl. ABA, programme expenditure • Policy quality and contestability • To avoid capture, need for diverse sources of policy advice – NESC, ERSI, C&AG, others • Interdependence of policy/executive functions • Transparency in processes • Programme evaluation

  16. Evaluation & Findings:Dynamics of Change Management • Change processes of critical importance • Strategic plans with objectives • Strategies to achieve the objectives • Organisational structures & processes • On-going review • Theoretical vs. pragmatic approach • Public sector reform linked to wider reform • Cross-party political commitment is essential including at implementation stage

  17. Evaluation & Findings:Dynamics of Change Management • Role of legislation but also learning by experience • Commitment of senior officials • Senior Executive Service • Institutional focus and support for change • Specific body to drive the change with authority, resources and ability to deliver • Joint body with external input to oversee change • Communication with public servants

  18. Progress since 1994…. Since 1994, there has been quite an amount of progress across a range of areas. The following summarises some of the key developments: -

  19. SMI: some key developments • Launch of SMI (1994) • First Statements of Strategy (1995) • Delivering Better Government (1996) • Coordinating Group of Secretaries • Working Groups established (6) • Quality Customer Service (1997) • SMI Implementation Group (1997) • Review of Public Expenditure (1997)

  20. SMI: some key developments • Public Service Management Act, 1997 • assignment of responsibilities (1998) • first Statements of Strategy under PSMA (1998) • business plans produced by Departments (1998) • Freedom of Information Act, 1997 • Privilege and Compellability of Witnesses Act, 1997 • Reports of SMI Implementation Group • Partnership structures agreed • Proposals for multi-annual budgets and administrative budgets approved

  21. SMI: some key developments • Delivering Quality Public Service (1999) • Enlarged Implementation Group • Regulatory reform measures • Change management fund • Annual reports on implementation of modernisation programme published • PMDS launched (2000) • REACH • CS Code of Standards & Behaviour

  22. SMI: some key developments • New Statements of Strategy (2001) • Customer Action Plans, 2001-2004 • Regulatory reform group formed • Independent evaluation of SMI • eStrategy Statements by Departments • Benchmarking Report (2002) and CSPVG • CS Quality Assurance Group Report • PSM Recruitment & Appointments Act, 2004 • CS Regulation Bill, 2004

  23. Elements of SMI • Programmes and initiatives • SMI, DBG, QCSI, PER, RIA • Processes • SoS, business planning, Annual Reports, PMDS, Partnership, ABA, MAB, Change Management Fund, eStrategy, Benchmarking, Quality Assurance • Legal and regulatory environment • PSMA, FOIA, P&CWA, PSR&AB, • Institutional arrangements • Coordinating Group, Implementation Group, A/Secs’ Groups, Cabinet Committees, REACH, (SES), New agencies and regulators

  24. Today’s environment • But the external environment has moved on since 1994. Today’s environment is now different in many aspects. • Issues such as: Benchmarking, decentralisation, migration, public expectations, social challenges, non-traded sector performance…. • Increased pace of change, international challenges and competition, alignment of strategies, developing capacity…..

  25. Future external environment • New world order – UN, WTO, EU • Macroeconomic developments and context • Domestic and international • Demographic trends & labour market • Globalisation • Central & eastern Europe and Asia

  26. Future external environment • Competitiveness, competitive advantage, productivity • Moving up the value chain - Knowledge Society • Importance of human and social capital • Lifelong learning & citizen participation • Research and development • Innovation – including institutional innovation • Social inclusion and cohesion • Spatial and environmental developments

  27. Future changes needed While we have done fairly well economically over the past decade, how well have we, as a society, addressed the social issues? Are we properly structured to do so? How prepared is the civil and public service for the future? What further changes are needed and what opportunities are there for change?

  28. Suggested changes in HRM • Recruitment • Open recruitment at all levels • 4 AP’s ? • Greater movement between business, academia and public service • Equality and family-friendly work practices • Benchmarking of pay and conditions • Full flexibilities • PMDS – linked to performance reward, promotion, resource planning, available to MC

  29. Suggested changes in HRM • Training, development & lifelong learning • developing organisational capability • multi-skilled staff – research, synthesise • to 10% salary costs for training/education • experts – HR,IT, policy analysis, research • Remedial, readiness and transformational • Maximum devolution of HR function • Support for the ‘reformers’ and risk takers • Embedding PMDS linked to business plans and Statements of Strategy with quarterly reports

  30. No of Applics Intern Success Extern Success 1995 459 13 6 1996 124 4 2 1997 481 16 5 1998 232 10 5 1999 123 8 2 2000 305 18 4 2001 217 11 4 2002 249 19 2 2003 111 6 1 2004 107 10 0 TLAC successful candidates

  31. TLAC successful candidates Ratio: Avg. no. of applicants per post

  32. Changes in organisational structures & processes • Establishing a Senior Executive Service to develop the leaders of the future particularly in a decentralised context • Broaden the base to include the public service • Ensure an agreed vision of the future and focus on developing leadership and organisational capacity

  33. Changes in organisational structures & processes • Importance of information • for the business functions • measurement of performance outputs and outcomes at organisational level • for openness, transparency and the operation of democracy • for meaningful robust policy evaluation and foresight • Chief Information Officers • Leveraging information systems business processes • eGovernment – knowledge networks & structure, collaboration, sharing, eCabinet, services delivery

  34. Changes in organisational structures & processes • Financial Management • multi annual budgets and financial envelopes • focus on outputs and outcomes in budgets and annual reports • full costs of activities • management information framework • environmental and sustainability auditing • Budgets linked to SoS, Business Plans • Devolution to line departments and managers • with commensurate responsibility and accountability • Balanced scorecard – updated report annually

  35. Whole of Government balanced scorecard • National Economic Performance • GDP/GNP • Employment level • National debt • Quality of Life • Standard of living (vs. poverty) • Quality of social capital • Quality of family life • Multi-cultural harmony • Equality and fairness • Care of children • Quality of housing • Participation in democracy • Participation in leisure, cultural life • Physical and mental health • Literacy and education • Access to information • Integrity in public life • Business Buoyancy • Profitability • Productivity • Rate of innovation • Industry structure etc. • Quality of Infrastructure • Roads • Education facilities • Health care • Environemnt, water and waste treatment • Zoned land • Theatres, leisure centres, urban parks etc. From Eddie Molloy (CORI, 2000)

  36. Changes in organisational structures & processes • Greater alignment to work of Oireachtas • Estimates, strategy committees and PAC • resources and accountability (parliamentary, EU and wider public) • Re-clarifying the relationship between Ministers and senior civil servants

  37. Approach to change management • Incremental or radical? • Pace and degree of change • Local or whole of Government? • Top down vs. bottom up? • Uniform or unified? • Specific budgets and resources or within existing resources? • New Public Management vs. Active moderniser?

  38. Conclusions • Public service is more effective today • SMI has been instrumental in effecting change • Need to urgently deliver major changes in • financial management • information systems • organisational change • human resource management incl. SES

  39. Conclusions • More concentration needed on • leadership including role of the centre • strategic thinking • policy coherence – economic and social interface • structural reform • delivering effective devolved Government in a decentralised context • the future role of the State • interaction with the political process • parallel reform of the parliamentary system

  40. Conclusions • NESC strategy (autumn 2005) will provide an opportunity for agreement on the key issues • National partnership process will provide an opportunity for major changes in delivering a public service for the future which: • is much more flexible, proactive, strategic and focussed on delivery across agencies & departments • places greater emphasis on the role of the economic actors in delivering the social agenda and • the social actors in delivering the economic agenda • Whole of Government scorecard will track progress annually

  41. Contact details Department of Communications, Marine and Natural Resources Main website - www.dcmnr.gov.ie Brendan Tuohy Brendan.Tuohy@dcmnr.gov.ie

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