Free and Frank Advice: The political character of the work

I argue that offering and listening to free and frank advice is political work of an astute and professional kind, set out where astuteness ends and politicisation begins, and ask what follows for political neutrality.

This is the eighteenth of twenty posts drawn from my doctoral thesis on free and frank advice in Aotearoa. In it I take up an observation that follows from the agonistic reading in the previous post: that inside the bounded plurality the work of free and frank advice is far more political than the ordinary language of the public service admits.

The previous post explained why free and frank advice remains undefined, and the agonistic reading it ended on carries a further implication about the work itself. The standing contest between the permanent public service and the temporary political executive stays short of open conflict, in my reading, because the two sides share the work of practical statecraft and meet over it as adversaries. I take up three questions that follow: first, whether the work of free and frank advice is in fact political; second, what kind of political work it is; and third, what follows for political neutrality, the principle the public service reaches for whenever political influence on advice is raised.

Political work inside the bounded plurality

The evidence that the work is political sits inside the bounded plurality itself, and the six postures carry the first part of it, since each of them is a way of working with politics. Four work with politics directly: the Moment Chooser reads the political moment to judge when and by what route difficult advice can still reach a decision; the Political Servant works from the mandate and attends to the political consequences of administrative choices; the Institutional Pragmatist turns political purpose into arrangements institutions can implement and sustain; and the Collaborative Sense-Maker works across the people whose knowledge and authority a workable decision needs. The Democratic Constitutionalist and the Westminster Protector engage politics from the other direction, one keeping independent judgement and public reason in view against a minister’s immediate preference and the other keeping to the conventions that limit ministerial authority. In my view resisting a political pull requires reading that pull, weighing it and deciding when to stand against it, and a posture that does so is engaged with politics as surely as a posture that works from the mandate.

Practical statecraft carries the second part, because the boundary the postures share is itself a joint production. Its content is the integration of evidence, expertise and practical knowledge of consequence, and that content is brought together between ministers and officials out of their different knowledge, authority and responsibility, inside the governing relationship and out of a shared responsibility for what follows. Knowledge of how policy will work once it meets the world includes knowledge of what the political authorising environment will carry. On the findings, I read the test for advising in a free and frank manner as both a collaborative test and a political one.

The management of the fault lines carries the third part, because the persistence of their poles is worked by people and not left to theory. Practitioners described moving between the poles as issue, setting and risk change, judging what weight the relationship can bear at each, and setting their own reading against the readings of others, and around that daily management sits a quieter political behaviour, pragmatic in the sense given to Aotearoa’s constitutional culture (M. S. R. Palmer, 2007), in which participants decline to force a definition of free and frank advice on one another. Keeping the concept open is itself political work, done by people who understand what closure would cost, and in my reading the plurality stays bounded because people keep it bounded.

Astuteness and the threshold of politicisation

That the work is political settles little on its own, and the more useful question is what kind of political work it is. The literature names the capacity the findings display as political astuteness, and that capacity exists because politics is endogenous to advisory practice, arising from within the work of advising itself, in the reading of context and the meeting of political and administrative judgement, as well as pressing on advice from outside (Hustedt & Salomonsen, 2014; Shaw & Eichbaum, 2020). The purple zone names the space where politics and administration meet (Alford et al., 2017). I read astuteness as a professional acquisition, the capacity to understand a minister’s objectives, commitments and constraints and the likely consequences of different courses, and to use that understanding to make advice more effective while leaving open what the evidence shows and what conclusions the official reaches.

The distinction between astuteness and politicisation remains vital, and the literature gives two forms of politicisation to set against it. Administrative politicisation is an “intervention that offends against the principles and conventions associated with a professional and impartial civil service”, whether by bearing on officials’ access to the minister or on the content of the advice itself (Eichbaum & Shaw, 2008, p. 343). Functional politicisation is the inward form, in which officials anticipate political expectations and adjust their advice before any direction is given, and survey work in Aotearoa found that 53 per cent of surveyed public servants thought officials less likely to give free and frank advice than they once were, which its authors report as perception and not as cause (Shaw & Eichbaum, 2020). The same work distinguishes a professional functional politicisation, which stays responsive to a government’s legitimate policy aims, from a partisan form that anticipates party-political preference. In my view the threshold that matters for free and frank advice runs inside the official, between professional and partisan anticipation.

Functional politicisation matters for the findings because it can resemble the good professional judgement the bounded plurality maps. An official may soften the emphasis on risk, narrow the alternatives or delay a warning because they anticipate what the minister will accept, and the advice may still look technically competent and formally independent (Mulgan, 2007). Political astuteness may change the timing, sequence, language or route of advice while keeping the evidence and judgement that make the advice necessary, and functional politicisation begins where anticipated preference alters that evidence, judgement or range of options, which is the very material practical statecraft brings together. I read that point of alteration as the threshold, and two postures show it under working conditions.

The Moment Chooser and the Political Servant run closest to the threshold, the first on timing and the second on responsiveness. Choosing when and how advice will be heard is legitimate craft, and the same practice becomes self-editing where delay answers anticipated resistance in place of the requirements of the decision. Responsiveness to the Government of the day belongs in the advisory relationship because ministers have democratic authority to govern, and it crosses the threshold where helping the minister deliver the programme decides which evidence may be presented, which consequences may be named or which options are treated as available; at that outer edge the posture becomes what has been called promiscuous partisanship, the readiness to advance and defend whatever the government prefers in place of independent professional judgement (Aucoin, 2012), while its legitimate pole has been named constrained partisanship, responsiveness kept within the limits that law and public integrity set (Mulgan, 2008). I am careful here, because the findings stop short of showing any posture to be politicised in itself, since orientation and conduct come apart often enough that neither can be read off the other, and what the findings supply is a map of where the threshold sits.

What follows for political neutrality

The map has consequences for political neutrality, which remains an essential institutional and professional constraint, because officials serve successive governments, stand apart from partisan alignment and keep the capacity to give impartial advice. Officials nevertheless advise elected ministers who have political authority and pursue political programmes, and neutrality therefore concerns the terms on which officials engage with politics, which are exactly what the thesis mapped. My reading is that the postures and the fault lines each say something about those terms that the word neutrality cannot say by itself.

The postures suggest that political neutrality and political astuteness coexist in a practitioner, because every one of the six is a way of working with politics, and practitioners can grasp a minister’s programme while staying clear of its partisan commitments, weigh political consequence while letting the evidence decide the advice, and adapt the form of advice while keeping its independent content. The fault lines show where that coexistence is tested, in the daily passage between mandate and independence, public reason and protected counsel, routine practice and failsafe, and timing and the duty to speak, and what keeps that passage on the professional side of the threshold is practical statecraft, which keeps political judgement answerable to evidence, expertise and practical knowledge of consequence. I read the findings as locating the guidance the word neutrality cannot give in the daily working of the four fault lines.

A further proposition follows, though the study was not designed to test it and I record it as a conjecture: that the measure of independent judgement officials keep is set by the public service bargain of the day, and moves with each government, since every cabinet makes its own purple zone through its mix of ministers, advisers and coalition arrangements (Hood & Lodge, 2006). On that reading neutrality is better understood as the other face of responsiveness, naming the point at which the responsiveness asked of the office reaches its limit, and in my view testing that conjecture across Westminster systems is one of the more useful tasks the thesis leaves for others.

The consequence for the statute is the most direct, because free and frank advice and political neutrality sit together in section 12 of the Public Service Act 2020 as companion principles, each expressed as an obligation of manner, and the pairing invites a reader to take them as mutually supporting. Neutrality identifies a constraint whose content is set by the bargain within which the work is done, while astuteness identifies part of the craft needed to work within it, and an account that names only the constraint describes officials prevented from doing something, while an account that names only the craft describes officials unconstrained in doing it. My conclusion is that the two principles sit together less comfortably than their pairing suggests, because the advice the statute asks for is political work, and neutrality, whatever else it secures, cannot tell an official how to do political work well. I offer that claim provisionally, since the study shows that politics is present in the work and that practitioners manage it in different ways, while leaving open how widely these forms of judgement are distributed and where practitioners themselves draw the threshold.

Next, I turn to Te Tiriti o Waitangi, which the study found at the limit of the mapped domain, pressing on the advisory relationship from its edge.

References

Alford, J., Hartley, J., Yates, S., & Hughes, O. (2017). Into the purple zone: Deconstructing the politics/administration distinction. American Review of Public Administration, 47(7), 752–763.

Aucoin, P. (2012). New political governance in Westminster systems: Impartial public administration and management performance at risk. Governance, 25(2), 177–199.

Eichbaum, C., & Shaw, R. (2008). Revisiting politicization: Political advisers and public servants in Westminster systems. Governance, 21(3), 337–363.

Hood, C., & Lodge, M. (2006). The politics of public service bargains: Reward, competency, loyalty—and blame. Oxford University Press.

Hustedt, T., & Salomonsen, H. H. (2014). Ensuring political responsiveness: Politicization mechanisms in ministerial bureaucracies. International Review of Administrative Sciences, 80(4), 746–765.

Mulgan, R. (2007). Truth in government and the politicization of public service advice. Public Administration, 85(3), 569–586.

Mulgan, R. (2008). How much responsiveness is too much or too little? Australian Journal of Public Administration, 67(3), 345–356.

Palmer, M. S. R. (2007). New Zealand constitutional culture. New Zealand Universities Law Review, 22, 565–608.

Public Service Act 2020 (NZ).

Shaw, R., & Eichbaum, C. (2020). Bubbling up or cascading down? Public servants, political advisers and politicization. Public Administration, 98(4), 840–855.