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© OECD
A professional, merit-based,
“Top Public Management”:
conceptual overview
Xavier Sisternas, SIGMA/OECD
Discussing selected dilemmas related to senior civil service in BiH
24-25 June 2021
v5
Contents
1. Top public managers: concept and rationale
2. A merit-based Top Public Management: why?
3. A merit-based Top Public Management : how?
4. Typology of Top Public Management models in
the EU Member States
5. The top managerial positions in the (EU/SIGMA)
Principles of Public Administration
© OECD
1) Top public managers (or
senior civil servants):
concept and rationale
3
[Operational]
Management
is a process
of planning,
organizing, mobilizing
and controlling staff
and other resources
to achieve results
From policy design to management
4
From the dreams and ideas…
The Government
Democratic legitimacy
• Fixes the ministries’ agenda (which
are the problems to solve now?)
• Defines priorities and gives directions
• Develops public policies (supported
by the Administration’s expertise)
The Government designs public policies
to fulfil its electoral programme and to
tackle the (selected) political problems
and the social needs
…to the results
The Administration
Technical legitimacy (expertise)
• Looks for technical solutions to the
problems identified and selected by
the Government
• Implements the public policies,
following political priorities and
orientations
• Delivers public services
The political objectives are fulfilled
through the public management
The 3 spheres of action
of a top public manager*
1. Authorising environment,
political sphere: getting
legitimacy and support from
the minister
2. Public value, strategic
sphere: maximising the value
for the citizens (providing
public services)
3. Operational capabilities,
operational sphere:
mobilizing the
organisation/resources
*Based on Mark Moore
2) A merit-based
Top Public Management (TPM):
why?
Currently, who usually occupies
the top management positions
in our public organisations?
Directors generals, heads of agencies, CEOs of public enterprises…
…all too often unqualified, unexperienced
or lacked of managerial skills
1
“Politicians/
Party officers”
Colleagues
from the minister’s
political party/fraction
2
“Bureaucrats”
Civil servants
from high categories
or elite corps
3
“Politicised bureaucrats”
Civil servants close
to the minister’s party
Obedience and Fidelity
over
Talent and Competence
8
Top staff turnover with a change
of government in OECD countries, 2016
All (> 95%)
or many (> 50%)
9 countries
Some (5-49%)
or none (< 5%)
26 countries
(All) in 3 EU countries:
1. Hungary
2. Slovak Republic
3. Spain
(None) in 10 EU countries:
1. Austria
2. Belgium
3. Denmark
4. Estonia
5. Finland
6. Ireland
7. Luxembourg
8. NL
9. Portugal
10. Sweden
Why to create a TPM?
To improve the performance of the public
organisations:
• Stronger expertise: necessary to deal with complex organisations
• Better management: effectiveness and efficiency
• More dynamism: orientation to results
• More stability/continuity across changes of government, election
periods and political crisis
• Neutrality and objectivity in the public action
• Reinforcing the objectiveness of administrative decisions and reducing
politically-biased actions
• Reinforcing of the pan-governmental vision/weakening of the
ministerial compartmentalisation
Advantages of a TPM system
For the citizens For the ministers
and political authorities
• Better quality of public services
• Public money managed more
efficiently
• Increased effectiveness of public
policies
• Reduction of favouritism:
Regeneration of politics
Increased trust in
Government
Through the (good) managers, the
minister:
• Can better ensure that the
Government’s political decisions
are adequately implemented
• Can gain better control of
complex public bodies
• Can get “frank and fearless”
policy advice
• Can reinforce its influence in
terms of strategic capacities and
political leadership
3) A merit-based
Top Public Management: how?
TPM: definition
A Top Public Management is a
differentiated HRM system
for the higher non-political positions
in the public sector
• Some elements should differentiate from
the regular [career/permanent] civil service
• A specific category or class inside the civil
service; or regulated outside of the regular
civil service 13
Separate HR practices for TPM
14
TPM scope: between political authorities
and regular civil servants
/public employees
15
TPM scope: between political decisions
and operational management
16
Political decisions
(political authorities)
Policies + Objectives [grey areas]
Strategic management
(TPM)
Operational decisions [grey area]
Operational and technical management
(middle managers and supervisors)
TPM: scope
Different situations across countries:
• 1 to 2 (even 3) levels below a minister/political
authority
• Sometimes including all territorial levels
In the BiH institutions of government, could
encompass:
- secretary of a ministry
- assistant ministers
- heads/directors) of authorities (within the ministries
and independent ones) and their deputies.
17
TPM: key elements
Access and selection Development of the
management functions
Evaluation
(More) centralised recruitment
Open competition: equal access
for civil servants and for any other
citizen; absence of discrimination
Attractiveness for senior
professionals
[but… low / non-competitive salaries]
Guided by the competency profile
identified for the TPM and for the
specific position
(Mainly) based on merit
Transparent
Neutral/non-political
selection body
Limited-term mandate (3-7
years); limited renewals; no
permanent tenure
Impartiality and objectivity
(professionalism)
Loyalty to the Government and
receptivity to the political
priorities
Management autonomy: [limited]
discretion on the processes, no
discretion on the priorities
Explicit legal competences and
responsibilities
Performance orientation:
effectiveness and efficiency
Performance agreements:
objectives, resources, action plan
and indicators discussed and fixed
in advance [“Mission charter”]
Regular
performance assessments
Performance incentives:
renewal of mandate and bonuses
[Managerial accountability]
Position-based system - Management by a central body - Reinforced ethics - Mobility
TPM: competency profile
(Estonia, 2017)
19
TPM: competency profile
(Quebec, Canada, 2014)
20
A top public manager
needs a responsibility framework
of (need of…)
Capacity to decide
and certain discretion
…not over priorities
but over processes
Fully accountable
…but controls (only)
at the beginning
and at the end
of the management cycle
Incentives
and evaluation
• Continuity or not
• Performance-related pay?
• Sense of achievement
• Working for the
society/country
• (Weak) recognition
Reference values
• Effectiveness
• Efficiency
• Ethical values
A TPM: challenges for the ministers
“Manager’s
right to manage”
A TMS cannot fully work
without political
authorities exerting
their role and behaving
in a respectful way
regarding the
managerial roles
So, the minister
is to manage differently
Focusing on policy
objectives and strategies,
with no operational
command:
• Not interfering in daily
management
• Delegating the
administrative decisions
• Listening the managers’
advice: obstacles, risks,
consequences…
A TPM: challenges for the managers
The manager
• Should understand, accept and be able
to manage in a semipolitical territory
• Should work faithfully to achieve the
minister’s policy objectives
To work loyally with the minister,
but not to work for the minister
23
4) Typology of Top Public Management
models in the EU Member States
24
5) The top managerial positions
in the (EU/SIGMA) Principles
of Public Administration*
Principle 4: Direct or indirect political influence on senior managerial positions
in the public service is prevented.
• The senior managerial positions in the public sector, those at the interface of
politics and administration, are included in the scope of (the professional)
public service
• The criteria for recruiting to senior managerial positions are clearly
established and disclosed
• The recruitment and selection process for senior managerial positions, either
external or internal, is based on merit, equal opportunities and competition
• The termination of employment of senior managerial positions is admissible
only in cases explicitly provided for in the law…
*Set of 48 principles for a well-functioning public administration (in 6 areas: Strategic Framework of
Public Administration Reform, Policy Development and Co-ordination, Public Service and Human
Resource Management, Accountability, Service Delivery, Public Financial Management)
25
Recommended readings
SIGMA/OECD, Analysis of the Professionalisation of the Senior Civil Service and the Way Forward for the
Western Balkans. SIGMA PAPER No. 55, 2018
http://www.sigmaweb.org/publications/Analysis-of-the-professionalisation-of-the-senior-civil-service-
and-the-way-forward-for-the-Western-Balkans-SIGMA-Paper-55-May-2018.pdf
EUPAN, Top Public Managers in Europe. Management and Employment in Central Public Administrations,
2016
http://www.eupan.eu/files/repository/20170206083832_TopPublicManagersinEurope2016Management
summary.pdf
OECD, Government at a Glance 2017
http://www.oecd.org/gov/government-at-a-glance-22214399.htm
SIGMA/OECD, Principles of Public Administration (Public Service and Human Resource Management,
principle 4)
http://www.sigmaweb.org/publications/principles-public-administration-eu-candidate-countries-and-
potential-candidates.htm
Competency framework of Estonian Top Civil Service
https://riigikantselei.ee/en/supporting-government/top-executives-civil-service/competency-framework
Québec, Profil de compétences: titulaire d’un emploi supérieur en situation de gestion
https://www.mce.gouv.qc.ca/documents/profil-competences-tes.pdf
26
Thank you
xavier.sisternas@oecd.org
27

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Xavier Sisternas, dilemmas senior civil service BiH, SIGMA, 24 and 25 June 2021

  • 1. © OECD A professional, merit-based, “Top Public Management”: conceptual overview Xavier Sisternas, SIGMA/OECD Discussing selected dilemmas related to senior civil service in BiH 24-25 June 2021 v5
  • 2. Contents 1. Top public managers: concept and rationale 2. A merit-based Top Public Management: why? 3. A merit-based Top Public Management : how? 4. Typology of Top Public Management models in the EU Member States 5. The top managerial positions in the (EU/SIGMA) Principles of Public Administration
  • 3. © OECD 1) Top public managers (or senior civil servants): concept and rationale
  • 4. 3 [Operational] Management is a process of planning, organizing, mobilizing and controlling staff and other resources to achieve results
  • 5. From policy design to management 4 From the dreams and ideas… The Government Democratic legitimacy • Fixes the ministries’ agenda (which are the problems to solve now?) • Defines priorities and gives directions • Develops public policies (supported by the Administration’s expertise) The Government designs public policies to fulfil its electoral programme and to tackle the (selected) political problems and the social needs …to the results The Administration Technical legitimacy (expertise) • Looks for technical solutions to the problems identified and selected by the Government • Implements the public policies, following political priorities and orientations • Delivers public services The political objectives are fulfilled through the public management
  • 6. The 3 spheres of action of a top public manager* 1. Authorising environment, political sphere: getting legitimacy and support from the minister 2. Public value, strategic sphere: maximising the value for the citizens (providing public services) 3. Operational capabilities, operational sphere: mobilizing the organisation/resources *Based on Mark Moore
  • 7. 2) A merit-based Top Public Management (TPM): why?
  • 8. Currently, who usually occupies the top management positions in our public organisations? Directors generals, heads of agencies, CEOs of public enterprises… …all too often unqualified, unexperienced or lacked of managerial skills 1 “Politicians/ Party officers” Colleagues from the minister’s political party/fraction 2 “Bureaucrats” Civil servants from high categories or elite corps 3 “Politicised bureaucrats” Civil servants close to the minister’s party
  • 10. Top staff turnover with a change of government in OECD countries, 2016 All (> 95%) or many (> 50%) 9 countries Some (5-49%) or none (< 5%) 26 countries (All) in 3 EU countries: 1. Hungary 2. Slovak Republic 3. Spain (None) in 10 EU countries: 1. Austria 2. Belgium 3. Denmark 4. Estonia 5. Finland 6. Ireland 7. Luxembourg 8. NL 9. Portugal 10. Sweden
  • 11. Why to create a TPM? To improve the performance of the public organisations: • Stronger expertise: necessary to deal with complex organisations • Better management: effectiveness and efficiency • More dynamism: orientation to results • More stability/continuity across changes of government, election periods and political crisis • Neutrality and objectivity in the public action • Reinforcing the objectiveness of administrative decisions and reducing politically-biased actions • Reinforcing of the pan-governmental vision/weakening of the ministerial compartmentalisation
  • 12. Advantages of a TPM system For the citizens For the ministers and political authorities • Better quality of public services • Public money managed more efficiently • Increased effectiveness of public policies • Reduction of favouritism: Regeneration of politics Increased trust in Government Through the (good) managers, the minister: • Can better ensure that the Government’s political decisions are adequately implemented • Can gain better control of complex public bodies • Can get “frank and fearless” policy advice • Can reinforce its influence in terms of strategic capacities and political leadership
  • 13. 3) A merit-based Top Public Management: how?
  • 14. TPM: definition A Top Public Management is a differentiated HRM system for the higher non-political positions in the public sector • Some elements should differentiate from the regular [career/permanent] civil service • A specific category or class inside the civil service; or regulated outside of the regular civil service 13
  • 15. Separate HR practices for TPM 14
  • 16. TPM scope: between political authorities and regular civil servants /public employees 15
  • 17. TPM scope: between political decisions and operational management 16 Political decisions (political authorities) Policies + Objectives [grey areas] Strategic management (TPM) Operational decisions [grey area] Operational and technical management (middle managers and supervisors)
  • 18. TPM: scope Different situations across countries: • 1 to 2 (even 3) levels below a minister/political authority • Sometimes including all territorial levels In the BiH institutions of government, could encompass: - secretary of a ministry - assistant ministers - heads/directors) of authorities (within the ministries and independent ones) and their deputies. 17
  • 19. TPM: key elements Access and selection Development of the management functions Evaluation (More) centralised recruitment Open competition: equal access for civil servants and for any other citizen; absence of discrimination Attractiveness for senior professionals [but… low / non-competitive salaries] Guided by the competency profile identified for the TPM and for the specific position (Mainly) based on merit Transparent Neutral/non-political selection body Limited-term mandate (3-7 years); limited renewals; no permanent tenure Impartiality and objectivity (professionalism) Loyalty to the Government and receptivity to the political priorities Management autonomy: [limited] discretion on the processes, no discretion on the priorities Explicit legal competences and responsibilities Performance orientation: effectiveness and efficiency Performance agreements: objectives, resources, action plan and indicators discussed and fixed in advance [“Mission charter”] Regular performance assessments Performance incentives: renewal of mandate and bonuses [Managerial accountability] Position-based system - Management by a central body - Reinforced ethics - Mobility
  • 22. A top public manager needs a responsibility framework of (need of…) Capacity to decide and certain discretion …not over priorities but over processes Fully accountable …but controls (only) at the beginning and at the end of the management cycle Incentives and evaluation • Continuity or not • Performance-related pay? • Sense of achievement • Working for the society/country • (Weak) recognition Reference values • Effectiveness • Efficiency • Ethical values
  • 23. A TPM: challenges for the ministers “Manager’s right to manage” A TMS cannot fully work without political authorities exerting their role and behaving in a respectful way regarding the managerial roles So, the minister is to manage differently Focusing on policy objectives and strategies, with no operational command: • Not interfering in daily management • Delegating the administrative decisions • Listening the managers’ advice: obstacles, risks, consequences…
  • 24. A TPM: challenges for the managers The manager • Should understand, accept and be able to manage in a semipolitical territory • Should work faithfully to achieve the minister’s policy objectives To work loyally with the minister, but not to work for the minister 23
  • 25. 4) Typology of Top Public Management models in the EU Member States 24
  • 26. 5) The top managerial positions in the (EU/SIGMA) Principles of Public Administration* Principle 4: Direct or indirect political influence on senior managerial positions in the public service is prevented. • The senior managerial positions in the public sector, those at the interface of politics and administration, are included in the scope of (the professional) public service • The criteria for recruiting to senior managerial positions are clearly established and disclosed • The recruitment and selection process for senior managerial positions, either external or internal, is based on merit, equal opportunities and competition • The termination of employment of senior managerial positions is admissible only in cases explicitly provided for in the law… *Set of 48 principles for a well-functioning public administration (in 6 areas: Strategic Framework of Public Administration Reform, Policy Development and Co-ordination, Public Service and Human Resource Management, Accountability, Service Delivery, Public Financial Management) 25
  • 27. Recommended readings SIGMA/OECD, Analysis of the Professionalisation of the Senior Civil Service and the Way Forward for the Western Balkans. SIGMA PAPER No. 55, 2018 http://www.sigmaweb.org/publications/Analysis-of-the-professionalisation-of-the-senior-civil-service- and-the-way-forward-for-the-Western-Balkans-SIGMA-Paper-55-May-2018.pdf EUPAN, Top Public Managers in Europe. Management and Employment in Central Public Administrations, 2016 http://www.eupan.eu/files/repository/20170206083832_TopPublicManagersinEurope2016Management summary.pdf OECD, Government at a Glance 2017 http://www.oecd.org/gov/government-at-a-glance-22214399.htm SIGMA/OECD, Principles of Public Administration (Public Service and Human Resource Management, principle 4) http://www.sigmaweb.org/publications/principles-public-administration-eu-candidate-countries-and- potential-candidates.htm Competency framework of Estonian Top Civil Service https://riigikantselei.ee/en/supporting-government/top-executives-civil-service/competency-framework Québec, Profil de compétences: titulaire d’un emploi supérieur en situation de gestion https://www.mce.gouv.qc.ca/documents/profil-competences-tes.pdf 26

Notas do Editor

  1. Le management au sens strict désigne l'activité d'un dirigeant, à quelque niveau qu'il se situe, chargé d'encadrer et de diriger plusieurs salariés. Encadrer consiste à faire travailler les autres, à « cadrer » leur travail de manière à ce qu’il reste à l’intérieur de certaines limites, réalise les objectifs fixés, respecte une certaine discipline Les principales attributions de ce manager sont d'organiser, de coordonner et de contrôler le travail de ses collaborateurs, d'animer l'équipe et d'en assurer les relations avec la hiérarchie, les autres entités de l'organisation et les interlocuteurs extérieurs : fournisseurs, clients, sous-traitants, etc. Il a aussi une responsabilité dans le maintien et le développement des compétences des femmes et des hommes qu'il encadre. On utilise aussi le mot management dans un sens plus large, pour désigner le pilotage et la gestion le manager doit tirer le meilleur de ses collaborateurs,
  2. Distinction (difficile) entre la sphère politique et la sphère administrative
  3. …pas seulement gestion opérationnel Bateau, navire: Ministre= propriétaire HFP/manager=capitaine Ces sphères d’action son a tenir en considération pour identifier les compétences nécessaires pour le manager public
  4. Sélection basée sur les compétences et no sur les titres academiques et connaissances formelles: bouleverser les processus de sélection!
  5. Efficience: value for money
  6. …avoiding the paralysis of the Administration
  7. Réduction du népotisme (copinage ou favoritisme): Opportunité pour la régénération de la politique Opportunité pour l’amélioration de la confiance des citoyens envers le Gouvernement Les autorités politiques ont souvent des difficultés pour contrôler les institutions publiques particulières et complexes Avec de bons managers, la politique peut gagner en capacité d'influence, de stratégie et de leadership: Les ministres gagnent capacité de commandement pour mettre les organisations au service des priorités du gouvernement
  8. a specific and separated group of positions separated from the career/permanent civil service more emphasis on performance management schemes; more centralised recruitment; fixed term contracts; special CoI solutions and encouragement for mobility. Performance management schemes for senior positions often encompasses tools like: performance related pay; possibility of dismissals as a result of low performance; and performance contracts with ministers. 
  9. The number of TPM positions on levels 1+, 1 and 2 in the national administrations of EU member states ranks from approximately 50 to over 900. Around 20% of them are on level 1+ and 1 and the other 80% on level 2. Related to the total number of civil servants in the core central administration, the TPM (level 1+, 1 and 2) group covers on average 0,5 – 1 % of the total positions. If level 3 is included, the percentage can reach 1 or 2 % of the total number of public officials9.
  10. [to achieve objectives] Strategic management provides overall direction by developing plans and then allocating resources to implement the plans. MOTORWAYS Minister of Transportation/Government:_political decisions: which motorway? TPM: DG for Roads_strategic management (how?-managerial) Deputy DG for construction (engineer) (how-technical) Deputy DG for maintenance (engineer) (how-technical) Objectives: reducing road deaths (political AND managerial AND technical issues)
  11. According to the 2016 EUPAN report, in 27 EU member states the TPM group includes the Directors General (level 1); often, in 23 EUMS, also the Secretaries General (level 1+) and in 22 countries the Directors (level 2). Only in a minority of countries (10 EUMS) positions below the directors, such as heads of units, are also considered part of the TPM group.11 Not all senior officials are public managers: Top public managers are senior officials, but not all senior officials are to be considered top managers. Some examples of senior officials who are not occupying management positions and are not to be considered TPM positions (even if sometimes they can be taking or influencing managerial decisions): • Elected or appointed political authorities (i.e. ministers, deputy ministers, territorial governors or mayors) • Heads of minister’s cabinets and any other position providing political advice; these are often called ‘position of trust’ or ‘positions that require full political confidence’; their number should be very limited.2 • Diplomats, judges or any other public servant with specialised functions • Medical directors of hospitals. • Deans of university faculties. • Any senior official occupying a professional/technical position, without relevant managerial functions, i.e. senior lawyer • Any senior official occupying an advisor position, without formal decision-making capacities
  12. Sélection basée sur les compétences et no sur les titres academiques et connaissances formelles: bouleverser les processus de sélection! A recent pay comparison report (Hay, 2005) shows that, among eight European countries, when the most senior civil servants jobs are evaluated and compared to national pay markets, remuneration levels are between 30% and 50% of the private levels. In Germany they are substantially lower (around 20%) and in Belgium higher (around 60%). In UK, the percentage is only around 20-40% for cabinet secretary, permanent secretaries and director generals. Since governments do not offer comparable pay (extrinsic rewards) to SCSers and still want to recruit and retain competent senior civil servants, they have to offer intrinsic reward and/or internal motivation scheme
  13. The 2017 competence model for TCS describes a leader who is bold designer of the future, an achiever, an inspiring driver of innovation, a genuine value builder for target groups and an effective self leader. The competency framework is used for recruitment, selection, assessment and development of top civil servants and future leaders.
  14. Efficience: value for money
  15. L’expression anglophone -Let managers manage / Right to manage …laisser la gestion aux gestionnaires