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STAATSSCHREIBERSTATE CHANCELLOR
The Swiss innovation of the public sector
Kyiv
April 22, 2015
STATE CHANCELLOR
Dr. Peter Grünenfelder
STAATSSCHREIBERSTATE CHANCELLOR 2STATE CHANCELLOR
General developments increase pressure on modernization:main reasons for the Swiss public sector reforms
Strategy & long-term planning
transparency andaffordable public services
new governance for state owned enterprises
(public corporate governance)
New public management instruments
measurable public services(performance indicators)
Strategic crisis (f.e. demography)
Insufficientpublic servicedelivery
Financial crisis (economic situation and increasing competitionbetween regions) Media coverage
Linking tasks and financial objectives
Modernization atmosphere
Lack of motivation of public employees
in analogy to: A. Ritz (2015)
Dissatisfied citizens and public demand "value for money"
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 3
Swiss cantons are mainly responsible for: education, organization, tax regimes, police, health affairs, political rights etc.
Advantage for public sector innovation: Federal Switzerland with 26 cantons (states)
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 5
Using the potential of federalismCompetition effectcompetition (and constant comparisons) between local and regional entities is an advantage for the overall Swiss competitiveness
Laboratory effect of federalism possibility for comparisons supports innovation of the overall public sector system
Bottom-up reform of the Swiss public sectorpossibility of 'trial and error' by 'pilot projects' on cantonal and local government level
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 6
Public sector innovation, Swiss direct democracy and citizen orientation Referendum
mandatory for constitutional amendments and accession to important international organizations
optional for amendments of laws and important international treaties (condition: 50‘000 signatures)
Initiative
for constitutional amendments
100‘000 signatures
important indirect effects (agenda setting)
Swiss cantons as experimental laboratories
optional referendum and initiative were first implemented
in cantons and then on federal level
cantons still grant a larger range of direct democratic participation
cantons have extensive own policy responsibilities due to Swiss federalism
e-voting projects
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 7
Citizen orientation in Swiss cantons: Supplementary instruments
financial referendum mandatory law referendum
- decision power of the (cantonal) people about public expenditures and taxes
- leads to lower taxes and lower expenditures- most effective mean to control political authorities
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 8
Financial referendum leads to lower taxes a
vera
ge o
f can
tona
l tax
cha
rge
extent of financial referendum right
OEC
D F
isca
l dec
entr
aliz
atio
n
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 9
Focus of public sector reforms in Switzerland Efficient use of resources and greater financial transparency - strengthening output and
outcome orientation and implementing private sector steering tools
Debt break (increasing financial discipline) and national fiscal equalization
Implementation of strategic and long-term management instruments - strengthening strategic leadership and control
Implementation of mid-term planning tools (integrated tasks and finance plan)
Focus on work results through performance targets and indicators – reporting
Improvement of service quality and customer orientation
Flexibilization of personnel management (abandonment of the status of a public official (tenured career), performance-based salary system)
Requirements for public managers and leadership programs in the public sector
start of reforms 1996 (local government level and cantonal level –> federal government level)
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 10
Reform: debt break
gross federal debt 1980 - 2011
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 11
Reform: Comprehensive reform of the public steering system
reference: K. Schedler / I. Proeller
Legalframework objectives
Financial means
General steering
Annual input steering
Outcome objective
WHAT DO THE CITIZIENS WANT?
Outputobjective
WHAT SERVICES DO WEDELIVER?
Production processof publicservices
Resourceobjective
HOW MUCH DOES IT COST?
Actual resource
Actual output
Actual outcome
Legal framework (constitution, laws)
Outc
om
e e
valu
ati
on
and c
ontr
olli
ng
Outp
ut
contr
olli
ng
Financi
al
contr
olli
ng
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 12
Strategic hierarchy as a basis for long and medium term planning
Integrated tasks and finance plan
ca. 50 – 80 main tasks
(outcome, output and financial objectives)
ca. 100 – 150 output groupsmore than 500 outputs
individual objectives for public servants
DevelopmentPlan
ca. 12 policy areas(outcome objectives)
Responsibility outlook
Control instrument for:
Government Parliamentfor information
GovernmentState chancelleryand ministries
Parliamentfor approval
Divisions and units
outlook / up-date:
10 years / 4 years
4 years / annually
4Jahre /
annually
Politi
cal Level
Ad
min
istr
ati
ve
Level
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 13
Midterm planning in Swiss cantons
Figure: Cantons with an integrated tasks and finance plan
Reference: University of St. Gallen
STAATSSCHREIBERSTATE CHANCELLOR 14STATE CHANCELLOR
Integrated tasks and finance plan – content
General development
Financial objectives(one-line budgets)
Development priorities
Objectives(Outcomes and Outputs)
Indicators
tas
ks
Integrated Tasks and Finance Plan
4 years (budget year and 3 planning years)
Update (annually and adding one more planning year)
Context long-term – mid-term planning: mid-term plan as
control tool for successive implementation of the priority
program of the government
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 15
Citizen Orientation, public sector reforms and Swiss direct democracy: „Security initiative“ by the people
subject of the initiative: at least one policeman per 700 inhabitants
consequences: immediate modification of governmental planning and shift of resources to security
appropriate density of police
(1 policeman per 700 inhabitants)
inhabitant per policeman
inhabitant per policeman (incl. municipal police)
number
number
Strategic plan of the state government 2010-2013
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 16
Integrated tasks and finance plan: objectives and indicators and controllability by the parliament
Controllability
Indicators
Objective
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 17
Annual reporting: transparent information about achievement of objectives
Status
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 18
Improved parliamentary supervision
improved financial controlling (regular reports by the government; parliamentary MIS) (financial) audit reports of the audit office directly submitted to the parliamentstrong supervision of government and administration activitiesnot an isolated financial view but a direct link between public services tasks and financial funding new output and outcome control (controlling reports; evaluation reports)approval of government's mid-term strategies based on the integrated tasks and finance planparliamentary committees focusing on main content of administration activities (not automatically adjusted to the governmental organization)
STAATSSCHREIBERSTATE CHANCELLOR 19STATE CHANCELLOR
Strategy reviewStrategy reports (periodically)Parliamentarian intervention
Long-term strategy(horizon: 10 years, Up-date: 4 years)
Mid-term planningIntegrated tasks and finance plan / budget(horizon: 4 yearsUp-date: annually)
ReportingAnnual report withfinancial statement(annually)
operative
strategic
operative implementationShort term planning and implementation controlling (ongoing)
New Management Cycle
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 20
New Government Cycle
Strategic monitoringDeveloping long-term
strategic options
Governmental decision makingon long-term strategies
Developing mid-term strategiesIntegrated tasks and finance plan
Implementing governmentalprograms
Controlling and evaluation
operative planning governmental items
Communication ofgovernmental decisions
Government meetings
Annual reporting
Performance process at the interface of the
politico-administrativesystem
STAATSSCHREIBERSTATE CHANCELLOR 21STATE CHANCELLOR
‘Open’ civil service
The profile and career path of Swiss public officials are very diverse
Selected not on the basis of a specific course of study, but on the basis of specific skills
No lifetime appointments
Swiss civil service is not a career civil service, but an open system in which every citizen is entitled to seek public office
Heterogeneous profiles, also from the private sector at all levels of the hierarchy
STAATSSCHREIBERSTATE CHANCELLOR 22STATE CHANCELLOR
Leadership development through performance appraisal
Motivation
STAATSSCHREIBERSTATE CHANCELLOR 23STATE CHANCELLOR
Example: top and middle management in a Swiss Canton Leadership of the top and middle management is based on annual
outcome and output objectives that are derived from the integrated tasks and finance plan of the government.
achievement of objectives, task fulfillment and measures are assessed in the fourth quarter of the year
assessment: base for performance salary and premium (in a defined financial range) for the management
STAATSSCHREIBERSTATE CHANCELLORSTATE CHANCELLOR 24
increased (cost) efficiency of the public administrationtransparent public services increased controllability for parliamentpermanent controlling cycles (measurement of achievements of outcome, output and financial objectives); (financial) plausibility checks based on performance information new management system strongly supported by top and senior public managementobjectification of relationship between political and administrative level more realistic planningimproved citizen orientation of civil servantsstrengthening long-term orientation (measurable 10 yrs. / 4 yrs. planning); political reliabilitysetting priorities by the governmentcredibility of the public sector ("value for money")
Results
STAATSSCHREIBERSTATE CHANCELLOR 25STATE CHANCELLOR
do things that you have never done before
achieve objectives that have never been achieved before
start to implement methods that have never been used before
improve results that have been satisfying so far
exceed impediments that you built up yourself
leave the status quo behind you even if it causes insecurity
reference: E. Buschor
Swiss public sector: culture of change
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