Raimund E. Germann
Monitoring Administrative Change :
The BADAC Database of Swiss Cantons and Towns
Working paper de l’IDHEAP
1c/1999
Contents
1. A database for the observation of administrative change
1.1 Extreme federalism and extreme democracy
1.2 Accelerated institutional change
1.3 A database for research and practice
2. The creation and
development of the BADAC
2.1 Co-operation with the cantons
2.2 The inclusion of the towns and cities
2.3 Finance
3. The features of the BADAC
3.1 Three levels, six dimensions
3.2 The 1990 and 1997 data surveys
3.3 Data access and technology
4. The theoretical basis
4.1 Population ecology
4.2 Innovation diffusion
5. Detailed studies
5.1 Statistics on public servants
5.2 Civil service reform and merit pay
5.3 The development of the para-governmental
structures
5.4 The NPM Laboratory
5.5 "Government Online": the presence
of the cantons on the Internet
Bibliography
Monitoring Administrative Change: The BADAC Database of
Swiss Cantons and Towns
1.
A
database for the observation of administrative change
1.1 Extreme federalism and extreme democracy
The Swiss federal state
embodies the combination of an extreme form of federalism with an equally
extreme form of direct democracy.
The country, which has
only seven million inhabitants, is divided into 26 member states, i.e. the 20
cantons and six half-cantons. The ratio of the total population to the number
of member states is unique when compared to other federal states in the world,
and even in unitary states such extensive fractionalization of the national
territory is also extremely rare. The cantons differ significantly in size,
ranging from less than 15,000 inhabitants in Appenzell Inner-Rhodes to 1.2
million in Zurich.
With over 420,000 inhabitants, the five biggest cantons (Zurich,
Berne, Vaud, Aargovia, St Gall) accommodate 53
% of the population whereas 2% inhabitants can be found in the five smallest
cantons, each with less than 40'000 population (Garus, Uri, Nidwalden,
Obwalden, Appenzell Inner-Rhodes). Equally large disparities can be found in
the economic power of the cantons. In 1995, the level of cantonal income per
capita was highest in the canton of Zug at 75,349
Sfr and lowest in Wallis at 31,913 Sfr, and it only exceeded the national
average of 45,276 Sfr in seven of the cantons, i.e. Zug, Basle-Town, Zurich, Geneva,
Glarus, Basle-Country, and Vaud. Despite concerted efforts over many years to
achieve "financial equalization", the disparity between the cantons is
increasing.
Of all countries in the
world, Switzerland
has by far the most generously developed form of direct democracy. An average
of six to eight national referenda are held each year on specific issues. More than two thirds of the
national referenda held in the world since the Second World War took place in Switzerland
(Kobach 1994: 98). Direct democracy is even more extensively developed at
cantonal level than at national level; all of the cantons have a form of
financial referendum which does not exist at national level.
Extreme federalism and
extreme democracy give rise to highly complex political and administrative
structures and processes (Germann 1998a, 1998b). The cantons enjoy an almost
complete autonomy in matters of organization and personnel and this has
resulted in considerable diversities in the cantonal administrative structures.
The cantons play a key role in the Swiss administrative system. They are the
key players in the areas of education and health where they still enjoy a high degree
of autonomy. And even in areas in which the central state has extensive
competence, the cantons still dominate administrative activity as they are
responsible for the implementation of most of the state legislation and
programmes.
1.2 Accelerated institutional change
The radical transformation
in the international environment since the fall of the Berlin Wall in 1989 has
increased the pressure for reform in Switzerland. The increasing
isolation of the country in the middle of the European Union, which was able to
achieve important measures towards integration, has resulted in the
polarisation of opinions with respect to the position of Switzerland in Europe
and contributed to a certain sense of impending change. The most important
impetus for change in the area of administration has, however, been the crisis
in public finances which resulted from economic stagnation since the early
1990s.
The above-listed
circumstances led to an accelerated change in cantonal administrative
structures. Many things, hitherto considered as untouchable, have started to
move. The processes of change listed below, which are either planned or already
under way, illustrate this point clearly.
· Several cantons and local
authorities have introduced the methods of New
Public Management on an experimental or definitive basis.
· The "New Financial
Equalization" proposed in 1996 by the federal and cantonal finance
ministers includes plans for a completely new division of tasks between the
central state and the cantons, greater horizontal co-operation between the
cantons and more efficient compensation mechanisms among the cantons. It is
expected that this reform will strengthen the position of the cantons and
introduce savings in the range of three billion francs.
· The project for a complete revision
of the Swiss Federal Constitution, pending for over 30 years, has reached a
stage whereby (modest) results should finally be achieved.
· A significant territorial reform at
local level was achieved for the first time in the canton of Thurgau in the
1990s (46% reduction in number of local authorities by 1997). Similar reforms
are planned in the canton of Lucerne.
Moreover, territorial reform is no longer a taboo subject even at the cantonal
level of the political system. Since 1997, some prominent politicians have been
publicly considering whether Switzerland
does not have too many cantons after all.
1.3 A database for research and practice
In 1990 the Institute for Advanced Studies in Public
Administration (Institut de hautes études en administration publique -
IDHEAP) together with the Conference of
Cantonal Chancellors launched the project to set up a database of cantonal
administrative structures (cf. § 2.1 below). The aim of this project was to
establish greater transparency in the very complex administrative landscape, to
support reform projects by providing easy access to reliable and comparable
information and to stimulate learning processes in the public sector.
The BADAC project has the
following six goals:
· to provide basic data about administrative structures and changes in
administrative bodies at cantonal and local level;
· to update the recorded data on a
regular and long-term basis;
· to extend the data record in response to the needs of interested
administrations and authorities;
· to ensure the comparability of the data between the cantons and, where possible,
with other countries;
· to complement the official information about administrative structures
published by cantons and local authorities;
· to report regularly on administrative change at sub-national level in Switzerland.
The BADAC is an excellent
research instrument and has an important contribution to make to the
improvement of systematic knowledge about administrative structures at cantonal
and local level which remains - at best - precarious. Although extensive work
has been carried out on cantonal administrative law, few sociological studies
and studies in administrative science have been undertaken in this area (c.f.
in particular: Germann et al. 1979; Geser 1981; Urio 1986; Geser et al. 1987;
Berchtold 1989; Germann/Weis 1995). Of particular significance is a study by
Hans Geser (1981), which looks at the cantonal administrative structures in
relation to the sizes of the populations of the cantons. This study provided
valuable pointers for the conception of the BADAC. The first publication based
on BADAC data appeared in 1995 (Germann/Weis 1995). The theoretical approaches,
on which the BADAC concept is based, are presented in section 4 of this study.
In addition to its
usefulness for research purposes, the BADAC is particularly helpful for
administrative practicians who deal with reorganisation and reform in the
political-administrative arena. The database provides information about
approaches and trends in the what are referred to as the "reference
cantons" or in all of the cantons. The database allows the retrieval of
aggregated data in table form as well as "atomised" individual items
of information. The BADAC was one of the first complex databases in Switzerland
which can be consulted directly through the Internet (available on the Internet
since March 1996).
The BADAC contains
indicators about administrative structures and services and thus provides the
prerequisite for benchmarking (Schedler
1995: 199-209). Such indicators enable an administrative unit to compare itself
with others and take inspiration from the best
practices. The indicators contained in the BADAC at present are mainly
structural indicators with output indicators still a rare occurrence. The
processing of output indicators is an expensive and politically sensitive
undertaking.
Finally, the varied
possible uses of the BADAC in the teaching of public administration deserve a
mention. The BADAC has been a constant component of IDHEAP courses for some
time now.
2. The creation and development of the BADAC
2.1 Co-operation with the cantons
From its inception, the
BADAC was conceived as an instrument for use in both research and practice. This meant that the
project could only be implemented in close co-operation with the cantons. The
IDHEAP's partner in the compilation of the BADAC was the Conference of Cantonal Chancellors under Presidents Niedermann (St
Gallen, up to 1992), Nuspliger (Berne, 1992 to 1996) and Aebischer (Fribourg,
since 1996). The chancellors consider themselves as the chiefs of staff of the
cantonal governments and thus have an excellent overview of the cantonal
administration. The Conference of Cantonal
Chancellors elected a committee known as the "BADAC Support Group” and in
May 1995 received a detailed report at its annual conference on the project. It
recommended to its members to co-ordinate the data surveys of 1990 and 1997 in the individual
cantons and agreed to support further surveys. As a result, all of the cantons
actually participated in the surveys despite the considerable effort involved.
Differences only arose between the cantons when it came to the deadlines for
submitting the data and the quality and comprehensiveness of the delivered
data. The second survey of 1997 went far more smoothly than the first survey in
1990 (see § 3.2 below).
The "BADAC Support
Group" is composed of three chancellors and a representative of the Conference of Cantonal Finance
Ministers.
The group commented on the questionnaires for the 1990 and 1997 surveys and on
practical issues involved in the collection of data. It concentrated in
particular on the definitions which are essential if the data to be collected
is standardised and compatible.
Following the first
publication of BADAC data, the cantonal finance ministers began to express
interest in the database. The Finance Ministers' Conference of Western
Switzerland invited the project manager to their meeting of May 9th 1996 to
obtain information about the database and statistics which had given rise to
controversy in the press. The ministers agreed to support the BADAC and
designated a representative for the "BADAC Support Group ".
2.2 The inclusion of the towns and cities
In Switzerland, local government regulations are the sole
responsibility of the cantons. This means that each canton has its own local
authority regime. However, an article on local authorities and urban
agglomerations has been included in the 1998 draft of the complete revision of
the Swiss Federal Constitution.
In its current form, the
BADAC only contains very basic information about the local authorities.
It is, however, desirable that data of the same density be recorded for the
towns and cities as that available on the cantons. This would involve the
extension of the BADAC and a direct survey of the town and city authorities.
In July 1996, the board of
the League of Swiss Towns
(Schweizerischer Städteverband) approved the extension of the BADAC to include
the towns and cities and agreed to lend its support in the relevant data
survey. One year later, the League also recommended its members to make a
financial contribution to the extended database, which will include a new
element called "BADAC-Villes". To this end, in November 1997, it
initiated a subscription to the project, recommending an annual fee of between
500 and 4,000 Sfr, depending on the size of the local authority. The
subscription initiative was successful: 30 towns ensured their participation
and other local authorities have declared their intentions to reach a decision
about participation following clarification of technical details.
It is planned to hold the
first data survey of the towns and cities in 1999. The survey instrument to be
used will be similar to the original BADAC questionnaire with suitable adjustments
and simplifications. The project will be carried out in agreement with a
"BADAC-Villes Support Group" to be appointed, whose members will
include the director of the League of SwissTowns and experts from individual
towns and cities.
2.3 Finance
At the end of 1997, the
total investment in the BADAC from 1989 was approximately 1.5 million Sfr: this
does not include the costs to the cantons of the two data surveys of 1990 and
1997.
The financial resources
for the development of the BADAC was provided for the most part by the IDHEAP.
The salary costs of the BADAC team and the information technology costs were
mainly covered by the institute. Other resources were obtained from fees for
expert services based on the BADAC. Third-party funding was also obtained from
various other sources. Initial funding was provided by the IDHEAP Fonds de garantie à la recherche
and this made the actual launch of the project possible. The Federal Office for Justice also
contributed to the financing of the BADAC.
The ad hoc financing of
the BADAC, which is based on intensive fund-raising, enabled the development of
the database but does not cover its institutionalisation and ongoing
maintenance. For this reason, efforts have been under way for some time now to
guarantee the long-term financing of the basic operating requirements of the
database. Due to the growing scarcity of public resources, efforts to raise
this money have encountered difficulties and given rise to considerable toing
and froing - quite typical of Swiss federalism - with respect to who should pay
for the BADAC which is, however, considered as a thoroughly useful and
necessary undertaking.
The monitoring of
administrative change at subnational level is undoubtedly in the interest of
both the central state and the cantons. The central state relies on the cantons
for the administration of most of its legalisation and programmes as the main
work involved in their implementation falls, for the most part, to the cantons.
A more detailed knowledge of the cantonal administrative structures is also
essential for the development of intercantonal co-operation which it is hoped
would ease the burden on central state finances. Given the advantages to be
gained by both the central state and the cantons from the availability of
reliable data about administrative structures, joint financing of the BADAC
would, therefore, appear to be a reasonable proposition. However, in response
to a request in this regard by the Federal
Office for Statistics in 1995, the Federal Chancellery stated that a
database about cantonal administrative structures is the exclusive business of
the cantons and that the BADAC data "would only be of very limited
use" for the central state administration.
The Federal Office for Justice, which - as already mentioned - contributed to
the establishment of the BADAC, took a different stance. The database is
relevant to this office particularly with respect to the reform of federalism
and the complete revision of the Federal Constitution.
The financing of the BADAC
by the cantons would face difficulties when each of the 26 cantons has to be
asked for a contribution. The administrative work involved would not be worth
the modest sum that could be raised in this way. Thus, financing through an
intercantonal conference of ministers was suggested as an alternative. The
Conference of Cantonal Chancellors, which had already been involved in the
collection of data for the BADAC, could not, however, be considered as a
possible solution here as it does not have its own budget. A solution was
finally found through the Conference of
Cantonal Finance Ministers. On request
of one of its members, Peter Schönenberger from St-Gall, this conference
decided in November 1998 to assume the operating costs of the BADAC. This
includes the costs of managing and updating of the data, the information
technology equipment and data analysis on a modest scale. It is intended to
obtain financing from third-parties for in-depth analyses and larger research
projects.
The solution adopted in November
1998 by the finance ministers means that two thirds of the BADAC costs are paid
by the cantons and one third by the towns and cities. Two inter-cantonal
conferences are involved on the cantonal side: the one of the chancellors,
which is concerned with data collection, and the other of the finance ministers
which will provide the basic finance. Both conferences are represented in the
"BADAC Support Group" (see § 2.1 above).
3. The features of the BADAC
3.1 Three levels, six dimensions
The data recorded in the
BADAC is classified under three levels. The top level consists of the canton in its entirety. Below this is
the level of the ministries (or departments) and finally at the bottom are the
divisions which are assigned directly to the ministries. The questionnaire used
for the survey is divided into three corresponding parts: the first and most
important part concerns the canton as a whole and the two other parts deal with
the ministries and their divisions. This procedure, which is based on the theoretical
approach of population ecology (see § 4.1 below), enables the documentation of
three "populations" of organisations, i.e. the 26 cantons, the
approximately 200 cantonal ministries and their approximately 1,000 divisions.
In addition to the three main
populations ‑"cantons, ministries and divisions"‑ other
organisational categories are also recorded and assigned to a main population
but with summary documentation only. These organisations include inter alia the local authorities,
districts, regions, commissions and para-government organizations. In addition,
official statistics concerning political institutions and the socio-economic
context published by the central state and cantons are assigned to the
"canton" level. The "ministries" level contains information
about the vertical and horizontal external relationships of the canton in
question.
The data recorded for the
three levels covers the following six dimensions of the cantonal administrative
apparatus:
1. the organisation of the
administration;
2. the public servants;
3. the functions carried out by the
different units;
4. the finances managed by the
different units;
5. the legal regulations which
determine the structure and procedures;
6. reforms and rationalisation
processes.
Following
the initial data surveys of 1990, the BADAC was mainly able to accommodate
comparative and synchronic analyses.
Most of the stored information reflected the situation as it stood in the early
1990s. The first date record does, however, show a certain historical depth as the development of certain aspects is traced
from 1980. Data was also recorded on the age of the administrative units and
the important changes they had been subject to.
With the second survey of
1997, it became possible to carry out diachronic
analyses of the structural change in addition to the synchronic analyses. It is
now intended to update the BADAC at regular three-year intervals with data
obtained from new surveys. Thus, the next BADAC survey is planned for the year
2000. With time, therefore, generations of data will be accumulated enabling
the observation of administrative change from a long-term perspective.
The BADAC is not rigidly
based on the data record defined in the early 1990s. It is, of course, intended
to query the basic information in the same way for each survey. However,
aspects which become less relevant with time will be omitted from the new
surveys. It is possible to include new topics or add more detailed data to the
database, in particular in response to requests from offices or researchers
requiring additional information.
An initial extension of
the BADAC involves the towns and cities (see § 2.2 above) and another has been
proposed for the courts. At present, the BADAC only contains information about
the administrative courts and does not include the entire cantonal justice
system.
The BADAC is conceived as
being complementary to other databases. For example, it only contains very
basic information about the formal design of direct democracy at cantonal
level. Requests for information about the relevant legal texts and about the
voting are referred to the database on direct democracy at Geneva University's
Centre for the Study and Documentation of
Direct Democracy.
3.2 The 1990 and 1997 data surveys
The BADAC is updated on
the basis of two different cycles. Official statistics about the cantons which
feature in the database are updated on an annual basis. Most of the information
in the database originates, however, from the surveys of the cantons which will
be carried out every three years.
The first BADAC survey was
launched in July 1990. Nine cantons had completed the questionnaire by November
1990 and six others by March 1991. One year later, a total of 23 replies had
been received and in August 1994 the final questionnaires were completed. All
of the cantons participated in the survey.
In the case of Zurich, Berne and Ticino a second survey was carried out because
significant reform measures had been introduced in these cantons in the
meantime. In most cases, the questionnaire was completed in full and gaps and
inaccuracies were found only in a few cases. The questionnaires were in German
and French only and Ticino, whose official
language is Italian, agreed to complete the French form. This was not the only
linguistic hurdle to be overcome. It was also necessary to deal with the fact
that the material in the database involved the use of a number of
"official languages". Each canton has its own administrative
nomenclature which can give rise to considerable comprehension problems. To
avoid this, therefore, standard definitions were used in the questionnaire.
The experience gained with
the first survey provided a useful basis for improvements to the second survey
of 1997. Questions involving too much work were eliminated, the definitions
were formulated more precisely and the surveying techniques simplified. Current
issues, such as the reform of public sector service law, new public management
and the use of the Internet for administrative purposes were also covered by
the questionnaire (see section 5 below). A section in which the surveyed bodies
are requested to suggest improvements to the survey was also added to the 1997
questionnaire.
The 1997 survey started in
April of that year. Again all of the cantons participated and the questionnaires
were returned more quickly this time. More than half of the answers had been
received by the end of 1997 and only two cantons still had to submit their
entries on its first anniversary; these were finally received in autumn 1998. In general, there
was an improvement in the quality of the data and there were almost no
complaints about the method used in the survey.
3.3 Data access and technology
The BADAC can be consulted
on the Internet since March 1996 (address: http://idheap-badac.unil.ch:8000).
The data can be accessed in three ways:
1. Open access: the
official statistics about the cantons and their administrations are available
in the BADAC and updated each year. They can be consulted free of charge on the
Internet.
2. Controlled access: an access code is required to consult data about the cantons via the
Internet which was surveyed specifically for the BADAC. These codes are made
available to the cantonal chancelleries, other official instances and
researchers.
3. Access via the BADAC team: the BADAC team will provided help with complex data requests and the
bonding of data for the purpose of statistical analysis.
The BADAC is a relational
database with a client/server
configuration. It is based on the INGRES database system under the UNIX
operating system. Most of the stored data is classified in categories or
quantified and can be bonded for the purpose of statistical analysis.
Explicative texts are also stored with the data.
The BADAC contains the
addresses of the Web sites of the central state, cantonal administrations and
local authorities. These sites can be clicked on directly if information is
required which is not stored in the BADAC.
4. The theoretical basis
The conception of the
BADAC was influenced by two complementary theoretical approaches which are
briefly described below.
4.1 Population ecology
The population ecology
approach emerged in the 1970s within American organization sociology as a
counter movement to contingency theory. This approach requires that research
does not restrict itself to the observation of individual organisations or
groups of organisations over more or less extensive phases in their life cycles
but that it focus on entire populations of
organisations. This alone will enable researchers to make reliable statements
about the relationships between internal organisational processes and the
environment of organisations. Hannan and Freeman (1977; 1989) are among the
pioneers of this approach.
One of the postulates of this approach is the creation of databases which
provide homogenous comparable data for entire populations of organisations (see
in particular Freeman 1986).
In the USA, the population approach was
also used for the analysis of public administrations. Herbert Kaufman (1976;
1985) caused controversy with his theory that once created, administrative
bodies never disappear but survive on a permanent basis. Guy Peters of the University of Pittsburgh
reacted to this by creating a database of organisational units of the US
federal administration from 1933 to 1984. His findings did not corroborate
Kaufman's theory and he was able to document explicit change in administrations
which did not only involve the creation and dissolution but also the mutation
of organisations (Peters 1988: 78-106; Peters /Hogwood 1988 and 1991).
The BADAC reflects a
central aspect of the population ecology approach in that it includes all of
the cantons, cantonal ministries and their divisions. In addition to these
"main populations", it also covers other categories of organisations
(see. § 3.1 above). Thus, the database provides an excellent instrument for
observing administrative change at cantonal level.
4.2 Innovation diffusion
A diffusion analysis
consists in describing and explaining the propagation of an innovation in a
"population". A "population" is understood as all of the
entities which basically come into question for the introduction of the
innovation. Leaving aside epidemiological research in medicine, diffusion
analysis were initially carried out by economists and later also by
sociologists and political scientists. The latter mainly concentrated on
diffusion processes in the member states and local governments in the USA
(Bingham 1975, Crain 1966, Gray 1973, Walker 1969, Warner 1974). It is possible
to understand federalism as a laboratory in which some pioneer member states
first test innovations. If an innovation is successful it will be adopted by
other member states. From this point of view, diffusion analyses are a
promising tool for research into federalism.
Management research has
also recently become interested in diffusion analyses. For example, O'Neill and
colleagues (1998) work on the question as to why diffusion processes continue
between organisations despite the fact that in the majority of cases the innovations
introduced do not result in the expected outcome.
The “population” also
provides the reference dimension for diffusion analyses. It is not sufficient
to merely observe the entities which adopt an innovation. The entities which
have not (yet) introduced the innovation or oppose it are also relevant.
With its population
structure, the BADAC is excellently suited for use in diffusion analyses. Not
only does it facilitate the examination of
horizontal diffusion
processes, for example between cantons or ministries in the same policy area,
but also enables the study of vertical
processes within a hierarchically structured cantonal administration, i.e. the
"top-down" mode of diffusion controlled from above or the
decentralised "bottom-up" mode.
5. Detailed studies
It is easy to retrieve
elementary data about cantonal administrative structures from the BADAC (see §
3.3). If, however, the correlations between factors are to be demonstrated and
the differences between the cantons explained, in-depth-analyses involving
intensive work are required. The five detailed studies outlined below are
particularly topical in political terms and will be carried out if the
necessary resources can be provided.
5.1 Statistics on public servants
Due to the extremely
diverse nature of the cantonal administrative structures, it is difficult to
produce reliable statistics on the development of personnel resources in the
public services. Kleinewefers (1978) and Müller (1983) carried out research on
this topic in the 1970s and this was followed by work carried out by Du
Pasquier (1986) in the 1980s.
The BADAC survey of 1990
should have brought about definitive progress in this area but instead revealed
that the cantons themselves had difficulty in estimating their own numbers of employees.
Only 24 cantons provided information about their numbers of employees and only
two cantons were able to estimate the numbers employed by their local
authorities. A total of 143,3154 employees is obtained from the 24 cantons
which provided information about their personnel resources. The corresponding
operations census carried out by the Federal Statistics Office in 1991 gives a
total of 154,618. The aggregate difference of 8 percent is sizeable and would
indicate that different definitions were used by the central state and the
cantons in their calculations.
In the BADAC survey of
1997, significant improvements were achieved with respect to the
comprehensiveness and quality of the data. However, the new figures require
careful processing and detailed explanation. The significant differences in the
"density of officials" (number of public servants per 1000 persons in
the workforce) in the cantons need to be explained. The in some cases
significant fluctuations in the numbers of employees in certain cantons between
1990 and 1997 must also be explained. Various cantons have, for example,
shifted organisational units into the para-governmental sector. It should also
be noted that the distribution of tasks between canton and local authorities
differ significantly depending on the region and is the object of reform
efforts in several cantons.
Due to the financial
crisis in Switzerland,
there is greater interest in the availability of reliable statistics about the
public servants. The publication about the first BADAC survey (Germann /Weis
1995) prompted a remarkable response and the controversies centred on these
employee statistics: questions were raised in various cantonal parliaments on
this topic.
The research for the
processing of the employee data and explanation of the different developments
in the area of cantonal personnel is to be carried out in co-operation with the
Federal Office for Statistics and
interested cantonal offices. Attention will also be paid to the international
comparability of the data. Similar projects are also being carried out abroad,
for example in the European Institute of
Public Administration in Maastricht (Auer et
al. 1996) and the Public Management
Service (PUMA) of the OECD in Paris
where a database of public sector workers in OECD countries is currently being
compiled. The International
Political Science Association's "Structure
and Organization of Government" research committee is also working on this
issue (Derlien /Peters 1998).
5.2 Civil service reform and merit pay
The central state, cantons
and local authorities each have their own civil service laws and this has given
rise to a wide diversity in public sector working conditions. Only two cantons ‑
Geneva and Vaud ‑ have civil servants with
life-time appointments like our neighbouring countries such as France, Germany
and Austria.
In the federal administration, the other cantons and numerous local authorities
until recently civil service laws prescribed the appointment of public servants
for a period of four years which was then usually extended for further periods
of the same duration. The canton of Grisons was the first to abolish the
four-year term of office in 1990 and introduce a public employment statute
which includes symmetrical possibilities for termination of employment. Several
cantons and local authorities followed the example of Grisons and the four-year
term of office is now also to be abolished at federal level.
Different cantons and
local authorities introduced various types of performance-linked pay along with
- or independent of - the abolition of the four-year term of office (Emery
1994). In some instances, these measures met with difficulties as they
coincided with the compression of the salary mass.
The 1997 BADAC survey
obtained relatively detailed information about civil service reform and merit
pay in the cantons. Combined with other information still to be gathered, this
data would provide a suitable basis for a comparative evaluation of the
measures involved. It could also be used for a diffusion analysis.
5.3 The development of the para-governmental structures
Around the hard core of
the state administration there is a further group of organisations which form
the para-governmental sector (Sharkansky 1979; Germann 1987; Hood/Schuppert
1988; Anheier 1997). The BADAC survey of 1990 revealed that at cantonal level
there are at least 272 public agencies, 284 public or semi-public enterprises
and 762 private or semi-private organisms which implement public tasks. Thanks
to the survey of 1997, new and more comprehensive data is now available on this
topic.
For the first time there
is comparable data available on the para-governmental sector at cantonal level
for two periods i.e. the years 1990 and 1997. This makes it possible to
identify developmental trends. It would be particularly important to examine
the theory as to whether the new management doctrines which promote more
autonomous administrative units and the hiving off of administrative functions
have enlarged the para-governmental sector in some cantons. It is conceivable
that the para-governmental periphery is expanding mainly at federal level
(partial privatisation of Swisscom) and to a lesser extent at cantonal level.
Another hypothesis which should be tested holds that closer intercantonal
co-operation ("horizontal federalism") promotes the creation of
para-governmental organisations. Difficulties could arise in this analysis,
however, as the data available for 1990 is less comprehensive than that
available for 1997.
5.4 The NPM Laboratory
The central state, several
cantons and numerous local authorities have initiated pilot projects for New Public Management (NPM) (Germann
1995; Hablützel 1995). Zurich,
the biggest canton, has even decided to introduce NPM for its administration on
a definitive and comprehensive basis. NPM reforms are being considered or are
planned for other local governments. This means that a country-wide laboratory
for administrative reform is in the course of development. It is essential that
evaluations based on systematic observations be carried out so that reliable
conclusions can be drawn from the numerous pilot projects (Bussmann 1997).
The 1997 BADAC survey
provided basic data about NPM in the cantonal administrations, which
constitutes a solid starting block for evaluations and benchmarking in the area
of NPM. This data is also suitable for diffusion analyses. Particular attention
should be paid to the question as to why NPM practices are spreading at such an
unrestrained speed despite the fact that almost no pilot projects have been
evaluated (O'Neill 1998).
5.5 "Government Online": the presence of the cantons on the
Internet
It can be assumed that the
major new communication medium, the Internet, will have a considerable
influence on the cantonal and local administrations, on the relationship
between the state apparatus and the general public and on the territorial
organization of the federal state in general (see: Casey 1996; Milward/ Snyder
1996). Thus, basic information concerning the presence of the cantons and their
ministries and divisions on the Internet was collected in the 1997 BADAC
survey. This information indicates the moment of introduction (1) of purely
"radial" Web sites, (2) of sites providing the possibility of basic
interaction and (3) of sites which enable the conclusion of legally relevant
administrative transactions ("cyber-administration").
It would be easy to add
more detailed information to the basic data already obtained, particularly by
polling the cantonal and local-authority Web sites (whose addresses can be
found in the BADAC and which can be directly accessed from it). This data is
particularly well suited to diffusion analysis.
With the help of diffusion
analyses, it should be possible to gain better insight regarding the following
questions: What are the
organizational requirements for "Government Online"? How is this
politically controlled? Which administrative structures and activities are
resistant to the Internet?
Moreover, it would be
possible to formulate disciplined speculation about the formation of dual
administrative structures (for citizens with and without access to the
Internet) and about the effects of "cyber-administration " on the
territorial organization of the state apparatus. Since large volumes of standardised
information can be spread via the Internet and administrative structures can be
easily compared, new benchmarking
possibilities are emerging. This can in turn change what citizens expect from
the actual federalist arrangement which has only slowly evolved during decades.
Bibliography
Anheier,
Helmut K., et al., 1997: Der Dritte Sektor in Deutschland. Organisationen
zwischen Staat und Markt im gesellschaftlichen Wandel. Sigma, Berlin
Auer,
Astrid /Demmke, Christoph /Polet, Robert, 1996: Civil Services in the Europe of
Fifteen: Current Situation and Prospects. EIPA, Maastricht
Berchtold,
Dorothee, 1989: Management in der öffentlichen Verwaltung der Schweiz. Haupt, Bern
Bingham,
Richard D., 1975: The Adoption of Innovation by Local Government. Office of
Urban Research, Marquette University, Milwaukee
Bussmann, Werner, 1997: "Evaluation von NPM-Pilotprojekten".
In: Gesetzgebung heute, 97/3: 137-151
Casey,
Chris, 1996: The Hill on the Net. Congress Enters the Information Age. AP
Professional, Boston
Crain,
Robert L., 1966: "Fluoridation: The Diffusion of an Innovation Among
Cities". Social Forces, vol. 44, p. 467-476
Derlien,
Hans-Ulrich /Peters, B. Guy, 1998: Who Works for Government and What Do They
Do? Common Trends and Structural Differences of Public Employment in the United States and Germany. Verwaltungswissenschaftliche Beiträge 32,
Universität Bamberg
Du
Pasquier, Jean-Noël, 1986: L'Etat englobé. L'insertion de l'Etat dans
l'économie suisse 195O-198O. Réalités sociales, Lausanne
Emery, Yves, Hrsg., 1994: Leistungslohn im öffentlichen
Dienst/ Salaire à la performance dans le secteur public. Publication de la SSSA, vol. 27, Berne
Freemann,
John H., 1986: "Data Quality and the Developement of Organizational Social
Science. An Editorial Essay". Administrative Science Quarterly,
vol. 31, p. 298-303
Germann, Raimund E., 1987:
"L'amalgame public-privé: l'administration para-étatique en Suisse". Revue Politique et
Mangement Public, 5/2: 91-1O5
Germann,
Raimund E., 1995: "Verwaltungsmodernisierung in der Schweiz". In: P.
Hablützel et al., 1995, pp. 81-95. Ebenfalls erschienen in: C. Reichard/
H.Wollmann, Hrsg., 1996,.Kommunalverwaltung im Modernisierungsschub. Birkhäuser
Verlag, Basel/Berlin
Germann, Raimund E., 1998: Öffentliche Verwaltung in der Schweiz. Band
1: Der Staatsapparat und die Regierung. Aus dem Französischen übertragen und
nachgeführt. Haupt, Bern
Germann,
Raimund E./Weis, Katja, 1995: Die Kantonsverwaltungen im Vergleich. Haupt,
Bern. Ebenfalls auf Französisch erschienen: Les administrations cantonales: une
vue comparative. Haupt,
Bern
Gray
Virginia, 1973: "Innovation in the States: A Diffusion Study".
American Political Science Review, vol. 67, p. 1173-1185
Guye-Vuillème,
Anthony, 1995: "BADAC on WWW". Faire communiquer une base de
données relationnelle et un serveur WorldWide Web: analyse et conception dans
le cas d'une base de données administrative sur le SGBD Ingres. Rapport final
du projet. Cours postgrade "Génie logiciel: principes, méthodes et
techniques" de l'EPFL. EPFL,
Lausanne
Hablützel,
Peter, et al., Hrsg., 1995: Umbruch in Politik und Verwaltung. Ansichten und
Erfahrungen zum New Public Management in der Schweiz. Haupt, Bern
Hannan,
Michael T. /Freeman, John, 1977: "The Population Ecology of
Organizations". American Journal of Sociology, vol. 82: 929-964
Hannan,
Michael T. /Freeman, John, 1989: Organizational Ecology. Harvard
University Press, Cambridge, Mass.
Hood, Christopher/ Schuppert, Gunnar F., Hrsg., 1988: Delivering Public
Services in Western Europe. Sharing Western
European Experience of Para-government Organization. Sage, London
Kaufman,
Herbert, 1976: Are Government Organzations Immortal? Brookings, Washington
D.C.
Kaufman,
Herbert, 1985: Time, Chance and Organizations: Natural Selection in a Perilous
Environment. Chatham
House, Chatham, N.J.
Kleinewefers,
Henner, 1978: "Die Personalbestände im öffentlichen Dienst der
Schweiz". Schweiz. Zeitschrfit für Volkswirtschaft und Statistik, 1978/3:
421-446
Kobach,
Kris W., 1994: "Switzerland". In: Butler D. /Ranney A., eds.: Referendums around
the World. The Growing Use of Direct Democracy. Macmillan, London
Milward,
H. Brinton/ Snyder, Louise Ogilvie, 1996: "Electronic Government: Linking
Citizens to Public Organizations Through Technology". Journal of Public Administration
Research and Theory, vol. 6/2: 261-275
Müller,
Stefan, 1983: Die Struktur des öffentlichen Personals in der Schweiz. Rüegger, Diessenhofen
O'Neill,
Hugh /Pouder, Richard W. /Buchholtz, Ann K., 1998: "Patterns in the
Diffusion of Strategies Across Organizations: Insights from the Innovation
Diffusion Literature". The Academy
of Management Review,
Vol. 23/1: 98-114
Peters,
B. Guy /Hogwood, Brian W., 1988: "The Death of Immortality: Births, Deaths
and Metamorphoses in the U.S.
Federal Bureaucracy, 1933-82". American Review of Public Administration,
18: 119-134
Peters,
B. Guy /Hogwood, Brian W., 1991: "Applying Population Ecology Models to
Public Organizations". In: Research in Public Administration, Vol. 1:
79-108
Peters,
B. Guy, 1988: Comparing Public Bureaucracies: Problems of Theory and Method. University of Alabama
Press, Tuscaloosa AL
Schedler,
Kuno, 1995: Ansätze einer wirkungsorientierten Verwaltungsführung. Von der Idee
des New Public Managements zum konkreten Gestaltungsmodell. Haupt, Bern
Scott,
Richard W., 1987: Organizations. Rational, Natural, and Open Systems. 2d
edition. Prentice-Hall, Englewood
Cliffs, N.J.
Sharkansky,
Ira, 1979: Wither the State? Politics and Public Enterprise in Three Countries. Chatham
House, Chatham N.J.
Urio, Paolo, 1986: Les administrations cantonales. In:
Manuel Système politique de la
Suisse, vol. 3. Haupt, Bern,
pp. 107-136
Walker,
Jack L., 1969: "The Diffusion of Innovations Among the American
States". American
Political Science Review, vol. 63: 880-899
Walter-Busch,
Emil, 1996: Organisationstheorien von Weber bis Weick. Verlag Fakultas, Amsterdam
Warner
K.E., 1974: "The Need for Some Innovative Concepts of Innovation: An
Examination of Research on the Diffusion of Innovations". Policy
Sciences, vol. 5: 433-451
Weis, Katja, 1994: Expertise de la Banque de données sur les
structures des administrations cantonales (BADAC) et plan de développement. Mémoire de diplôme postgrade en
administration publique. IDHEAP, Lausanne.