i HORIZONTALITY AND CANADA’S OFFICE OF CRITICAL INFRASTRUCTURE PROTECTION AND EMERGENCY PREPAREDNESS: A CASE STUDY BY Marina Rountree A Thesis submitted to the Faculty of Graduate Studies In Partial Fulfillment of the Requirements for the Degree of MASTER OF ARTS Department of Political Studies University of Manitoba Winnipeg, Manitoba © Marina Rountree, August 23 2005 i Abstract This thesis provides a case study of the Government of Canada’s former Office of Critical Infrastructure Protection and Emergency Preparedness (OCIPEP) through the lens of horizontal management (part of New Public Management theory). This study demonstrates that the effective use of horizontal management (horizontality) may reduce fragmentation occurring when the goal of critical infrastructure protection requires organizations to work cross-jurisdictionally and in partnerships. This need to collaborate is due to the ownership problem: over 85 per cent of Canada’s critical infrastructure is owned by organizations other than the federal government. Research methods include a background survey of literature on critical infrastructure protection, horizontal management and horizontality, and new public management; and interviews using a snowball sample of eight subjects who held various positions within OCIPEP to better understand what the organizational structure appeared to be from within the organization. The research concludes that OCIPEP was not given the resources necessary to successfully fulfil its mandate. Results indicate the need for administrative and managerial support for horizontal endeavours, to encourage a “cultural context” of horizontality, as there are many organizational barriers to successfully using horizontality and collaborative methods. There were areas of success for OCIPEP, but more areas of weakness. Recommendations include additional study of the organization, a shift into a better-supported organization (which was accomplished with OCIPEP’s inclusion into Public Safety and Emergency Preparedness Canada), and clear delineation of roles between the Government of Canada and the owners of the critical infrastructure. - ii - Acknowledgements: The author would like to thank Dr. Brenda O’Neill and Dr. Paul Thomas for their exceptional help throughout this thesis in reading and re-reading sections, providing feedback and suggestions, and their endless encouragement. Thanks are also extended to Fischer James, Iris and Brian Rountree, and Sarah Thiele for their support proofreading throughout this process. This degree has been financially supported by the Duff Roblin Political Studies Graduate Fellowship, which has been greatly appreciated. - iii - Table of Contents: Abstract................................................................................................................................ i Acknowledgements:............................................................................................................ ii Chapter One: Introduction .................................................................................................. 1 The Research Question ....................................................................................................... 1 The Context.....................................................................................................................1 Challenges and Opportunities......................................................................................... 3 Theoretical Background.................................................................................................. 6 Horizontal Management.......................................................................................... 7 OCIPEP and Horizontality.................................................................................... 10 Case Study Format........................................................................................................ 12 Research Methods......................................................................................................... 16 Methodology......................................................................................................... 16 Elite and Specialized Interviewing ............................................................................... 16 Subjects and Interviews ........................................................................................ 18 Interview Questions .............................................................................................. 20 Ethical Considerations .................................................................................................. 21 Study Risks ........................................................................................................... 21 Research Outcomes....................................................................................................... 22 Chapter Two: Horizontal Management ............................................................................ 24 New Public Management.............................................................................................. 24 Horizontal Management................................................................................................ 27 Benefits of Horizontal Management..................................................................... 31 Difficulties of Horizontal Management................................................................ 33 Leadership..................................................................................................................... 34 Tools and Resources ..................................................................................................... 36 Accountability............................................................................................................... 38 Summary....................................................................................................................... 42 Chapter Three: Canada’s OCIPEP.................................................................................... 44 History........................................................................................................................... 46 Beginnings ............................................................................................................ 48 The Mandate ................................................................................................................. 49 A Unique Position................................................................................................. 53 Legislation..................................................................................................................... 55 What Constitutes Critical Infrastructure? ..................................................................... 57 Canada’s Ten Sectors.................................................................................................... 59 Energy and Utilities .............................................................................................. 59 Communications and Information Technology .................................................... 60 Health Care ........................................................................................................... 60 Finance.................................................................................................................. 61 Food ...................................................................................................................... 62 Water..................................................................................................................... 62 Transportation....................................................................................................... 63 Safety .................................................................................................................... 64 - iv - Government........................................................................................................... 64 Manufacturing....................................................................................................... 65 Additional Vulnerabilities............................................................................................. 66 During an Emergency ................................................................................................... 68 Regional OCIPEP ................................................................................................. 69 Key Events.................................................................................................................... 70 OCIPEP and Jurisdiction .............................................................................................. 70 Summing Up: Criteria to Evaluate OCIPEP’s Performance......................................... 71 Accomplishments.......................................................................................................... 73 Costs and Benefits......................................................................................................... 75 Benefits: Factors Contributing to Success ............................................................ 76 Factors Impeding Success..................................................................................... 78 August 2003 Blackout................................................................................................... 84 Leadership....................................................................................................................