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The Politics of Bureaucratic Mobility: Historical Changes Across Public Service Bargains in Canada’S Provincial Governments

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The Politics of Bureaucratic Mobility: Historical Changes Across Public Service Bargains in Canada’S Provincial Governments Université de Montréal The politics of bureaucratic mobility: Historical changes across Public Service Bargains in Canada’s provincial governments Science Politique, Université de Montréal Faculté des arts et science par Christopher A. Cooper Thèse présentée en vue de l’obtention du grade de Philosophiae Doctor (PhD) en science politique août, 2016 © Christopher A. Cooper, 2016 Résumé Cette thèse présente l’évolution temporelle du lien entre les variables politiques et la mobilité des élites administratives dans la fonction publique provinciale au Canada. Considérant la relation entre le gouvernement et l’administration comme une relation mandant-mandataire (principal-agent), la littérature en administration publique décrit l'influence de diverses dynamiques politiques – par exemple un changement de parti au pouvoir – sur le degré d’intervention des gouvernements dans la dotation du personnel administratif. S’appuyant sur la notion de marché bureaucratique (Public Service Bargain) de Hood et Lodge (2006), la présente thèse estime que la relation entre les dynamiques politiques et la mobilité des fonctionnaires s’inscrit dans un contexte sociohistorique. Plutôt que de percevoir l’ensemble des relations politico-administratives comme présentant les caractéristiques de la théorie mandant-mandataire, avec de nombreux conflits pour l’atteinte des objectifs et une grande asymétrie des informations, cette thèse suggère que la mesure dans laquelle diverses dynamiques politiques poussent les gouvernements à procéder à des mises à pied ou à des nominations stratégiques varie avec le temps, en suivant les changements dans ce qui entoure les relations politico-administratives. Les statistiques descriptives et la régression logistique sont principalement utilisées pour analyser l’association entre les variables politiques et la mobilité, à l’aide d’une base de données originale repostant des changements de sous-ministres dans la fonction publique provinciale au Canada de 1920 à 2013. Les résultats empiriques permettent de conclure que l’influence des dynamiques politiques sur la mobilité des fonctionnaires varie en fonction des différents marchés bureaucratiques. i Avant la mise en place d’une fonction publique professionnelle, où les relations politico- administratives s’inscrivaient dans un spoils bargain, les changements de gouvernement entraînaient une importante rotation des fonctionnaires. Cette pratique est conforme à un marché bureaucratique où les critères de compétences des fonctionnaires sont indéfinis, et où les fonctionnaires sont loyaux au parti au pouvoir. Dès la fin de la Deuxième Guerre mondiale, jusqu’aux années 1980, l’association entre les dynamiques politiques et la mobilité diminue grandement. Cette pratique correspond au marché bureaucratique de Schaffer (Schafferian bargain), où les gouvernements favorisent la connaissance technique des politiques et la bonne volonté des fonctionnaires à donner des conseils avisés aux membres du gouvernement, peu importe le parti au pouvoir. Dès les années 1980, les dynamiques politiques sont de nouveau associées à la mobilité. Or, non seulement les changements de parti, mais également l’élection de nouveaux chefs à la tête de ceux-ci entraînent une plus grande mobilité. Cette pratique va dans le sens du managerial bargain, où les nominations sont utilisées pour encourager l’allégeance à l’agenda gouvernemental et la compétence est comprise comme étant la bonne gestion du personnel et des ressources dans le but de répondre aux directives du gouvernement. Étudiant les actions stratégiques des gouvernements dans leur contexte sociohistorique, cette étude contribue de manière originale à l’administration publique et à la politique canadienne, en démontrant que les dynamiques politiques jouent un rôle quant à la mobilité des fonctionnaires, bien que la nature de ces dynamiques et l’étendue de leurs effets varient selon les époques, qui présentent des marchés bureaucratiques distincts. Mots-clés : Bureaucratie, Politique exécutive, Contrôle, Nomination, Mobilité du personnel, Marché bureaucratique, mandant-mandataires, Patronage, Politisation, Westminster, Canada, Provinces. ii Abstract This dissertation studies temporal variances in the relationship between political variables and the mobility of administrative elites in Canada’s provincial bureaucracies. Conceptualizing the association between the government and the bureaucracy as a principal-agent relationship, research in public administration has identified how various political dynamics – such as a transition in the governing party – affects the extent to which governments interfere in the staffing of bureaucratic personnel; removing incumbents and replacing them with persons who are believed to be loyal to government’s policy agenda. This dissertation contributes to this literature by identifying the historical contingencies with which political dynamics effect mobility. Drawing upon Hood and Lodge’s (2006) concept of a Public Service Bargain (PSB), the relationship between political dynamics and mobility is situated within a more precise social- historical context. Rather than approaching political-administrative relationships as universally reflecting the specifications of principal-agent theory – exhibiting a high incidence of goal conflict and information asymmetry – this work claims that the extent to which political dynamics prod governments to strategically dismiss and appoint personnel has varied over time, in tandem with shifts in the contours of political-administrative relationships; specifically, the nature of the bureaucracy’s competency and its loyalty. Primarily using descriptive statistics and logistic regression the association between political variables and mobility is tested with an original dataset of deputy minister turnover in Canada’s provincial bureaucracies between 1920 and 2013. Overall, the empirical evidence supports the conclusion that the effect that political dynamics have on bureaucratic mobility has varied over time across distinct PSBs. ii Prior to the development of the modern professional bureaucracy, where political- administrative relationships reflected a spoils bargain, transitions in the governing party resulted in increased mobility. Such actions are congruent with a PSB where the nature of governance is of a minimal character; there are no specifications concerning the bureaucracy’s competency; and the bureaucracy’s loyalty is of a partisan nature towards the governing party. Starting in the postwar period and lasting until the 1980s, the association between political dynamics and mobility is significantly reduced. Such is congruent with a Schafferian bargain where governments encourage technical knowledge of policies and a willingness amongst bureaucrats to provide frank counsel to government office holders, regardless of the party in power. Starting in the 1980s however, political dynamics are once again positively associated with mobility. Yet now, not only transitions in party, but all newly elected heads of government lead to increased mobility. This is consistent with a managerial bargain where appointments are used to encourage loyalty to the government’s policy agenda and competency is understood as the ability to manage personnel and resources to realizing the directives dictated by the government. Situating the strategic actions of governments within their social-historical context, this work makes original contributions to the fields of public administration and Canadian politics by showing that when it comes to bureaucratic mobility, political dynamics matter; but which dynamics, and the extent of their effects, vary over time across distinct PSBs. Keywords: Bureaucracy, Executive politics, Control, Appointment, Mobility, Public Service Bargain, Principal-agent theory, Patronage, Politicization, Westminster, Canada, Provinces. iii Contents List of Figures ......................................................................................................................................... vii Abbreviations ........................................................................................................................................... ix Acknowledgements ................................................................................................................................... 1 Chapter 1. Introduction ............................................................................................................................. 2 Chapter one summary. .......................................................................................................................... 2 Introduction ........................................................................................................................................... 2 The Politics of Mobility: Practical Implications and Normative Debate .............................................. 4 Practical implications: Elite mobility and organizational performance. ......................................... 4 Normative debate: The proper relationship between politics and administration. .......................... 6 The Politics of Administrative Mobility: The State of the Discipline .................................................. 9 From methodological limitations to theoretically puzzling results. ................................................. 9 Advancing research: A proposed solution to the puzzling results. ................................................. 12 Beyond Agency Theory: Situating Strategic
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