CONTEXTS OF STATE GOVERNMENT ADMINISTRATION AND MANAGEMENT
The Handbook of State Government Administration is designed to provide academics, students and practitioners with overviews of these practices. Within a state government or state agency, different administrators may adhere to one or another of the cultural types.
ESSENTIAL AND EMERGENT MANAGEMENT PRACTICES
With this foundation and a number of examples, Flentje demonstrates the usefulness of the cultural approach to understanding state administration. An important counter to the well-known argument for consolidating the office of the governor and reducing the fragmentation of the executive branch is made by Julia Robinson (Chapter 6).
ADMINISTRATION OF SPECIFIC PROGRAMS AND POLICIES
10 Gargan, The “get tough on crime” assumptions guiding corrections policy in the United States have had profound implications for state government leaders. The most important causal factor in the results achieved may have been the set of ideas that reformers in the states had about how to modernize state government.
MODERNIZATION AND A SCIENCE OF ADMINISTRATION
Perhaps the most important consequence was the expansion of the chief executives' authority and capacity to manage the executive branch. Comprehensive reform initiatives aimed at streamlining the structure of the executive and expanding gubernatorial power were the main means by which this result was achieved.
MODERNIZATION AND ADMINISTRATIVE MANAGEMENT
The committee recommended that the 100 agencies and departments of the executive branch be grouped by function into 12 large departments, with the head of each department appointed by the president. In addition, the committee recommended that the president's personal staff be increased, executive agencies expanded, and the government's financial and accounting processes modernized. Finally, the committee recommended that public administration be expanded throughout the government. The committee argued that the purpose of the changes was to "establish democracy". work'' by making the national government "a modern, effective and efficient instrument for carrying out the will of the nation" 3. In making its recommendations, the committee not only used "administrative science" but also presented a normative argument about what the framers of the Constitution intended . At the time the committee wrote, the legislative branch (Congress) was the dominant institution in both policymaking and governance. But the committee had serious concerns about the ability of legislatively controlled governments to get things done. To successfully and effectively implement the laws that the American people want, the committee argued, the chief executive had to be "the center of energy, direction, and administrative management."4 Administrative management, the committee said, "deals with the executive power and its duties in a democracy, with managerial and personnel assistance, with organization, with personnel and with fiscal systems, because these are indispensable means for realizing the will of the people in the people's government "5.
ADMINISTRATIVE MANAGEMENT IN THE STATES
As can be seen from the information in Table 1, the traditional model is called or less dramatic structural and legal changes than those prescribed in the cabinet model. Considered Desirable But eliminating all elected constitutional officers, boards, and commissions is not considered necessary—or even desirable. Consequences of "modernization" 19 the reason is that some—perhaps even many—of the members of the Reorganization Commission themselves were not prepared to support the substantial expansion of executive power required by the ideal of reform (the cabinet model). In short, the degree of change. called for in the reorganization seems to have been a central problem.
STATE EXECUTIVE BRANCH REORGANIZATION
In states where the traditional model was the structural goal, the number of department heads the governor could appoint after reorganization ranged from about 25% to 60%. In addition to structural consolidation and expansion of the powers to appoint governors, most reorganization initiatives have produced significant results in other areas as well.
EXECUTIVE BRANCH MODERNIZATION IN THE 1980s
These factors, as well as other factors and conditions specific to each state, contributed to the initiation and to the success of the reorganization efforts. Among the most important features of the New Jersey initiative was that it applied the ' 'princi- ples" of administration in a new and interesting way.
GOVERNOR'S MANAGEMENT IMPROVEMENT PROGRAM IN NEW JERSEY
Undoubtedly, the fact that the opposition party controlled both houses of the legislature played an important role in the development of this strategy. Among the target numbers used in organizational analysis, "span norms" were the most important assessment tool.
Adoption and Implementation
Developed during the data collection stage through a process of negotiation between the public managers, private sector managers and representatives of the consulting firm, the team norms were the number of employees each manager or supervisor was supposed to supervise. Each commissioner was asked to submit a copy of the department's reorganization plan to the governor.
Findings and Recommendations
The initiators of the reorganization clearly understood that the successful implementation of the reorganization plan required the cooperation of public administrators. Furthermore, this "ownership" of the planned changes was reinforced by public commitments in press conferences.
Results
Indeed, most of the 130 public managers interviewed for this study said that the reorganization had a positive effect on the performance of their divisions and departments.
Evaluating the New Model
Due to the rationalized structure, they expected clearer lines of communication and responsibility and more effective decision-making. Thus, both the extent and depth of potential structural changes were significantly limited by this single factor.
Application in Other States
CONCLUSION
Buck, A. A. (1938) Reorganization of State Government in the United States, New York Municipal League, Columbia University Press, New York. Any attempt to understand the functioning of state government and governance in the American political system must consider the concepts of federalism (FED), intergovernmental relations (IGR), and intergovernmental management (IGM).
FLUIDITY AND INTERDEPENDENCY: THE POLICY CONTEXT OF STATE ADMINISTRATION
Before this exposition, however, it is important to demonstrate the fluid or dynamic dimensions of administrative operations at the state level. This can be accomplished by first assessing the extent of changes in the agency's program priorities.
Agency Program Fluidity
At the other end of the change continuum, 30-40% of agency heads cited "major" program shifts in the past four years. Furthermore, the consistency of findings on fluency across the four ASAP surveys lends additional credibility to the substantive results and interpretations.
Initiators of Change
FEDERAL AID
Additionally, the dynamic nature of state programs and policies has been described, accompanied by an exploration of actors who have contributed to the program/policy shifts. 40 Wright and Cho In the latter analysis we devoted special attention to the role of national officials in initiating program shifts within state agencies.
Studying Grants-in-Aid
Three Decades of Federal Aid
FUNCTIONALISM. FEDERAL AID, AND FLUIDITY
The row headings in Table 3 show one group of the many different types of government agencies whose administrative heads responded to ASAP questionnaires between the 1970s and 1990s. There we assess the relationship between functionality and fluidity – the extent of policy change by agencies.
Functionalism and Federal Aid
The third-order set of agencies is a relatively peripheral set of participants in the federal aid arena. Most of these agencies are clearly on the outer orbit of the federal aid "solar" (monetary) system.
Functionalism and Fluidity
In some ways, federal aid could be said to divide government into three parts or arenas of interdependence. The second segment, or arena, consists of intermediate players in the "game" of federal aid. Although they may be "gaming" in a widespread way, they have not become heavily dependent on aid for much of their budgets.
Federal Aid and Fluidity
NATIONAL REGULATORY IMPACTS
Now there seems to be a shift towards a new relationship in the area of government regulation.” Elazar's statement captured a visible and widely discussed change in the character of nation-state relations in the 1980s.
Generic and State-Level Impacts
For this purpose, the following questions were asked regarding the extent and direction (positive/negative) of the impacts. For both reserved powers and policy change issues, nearly 60% of respondents rated national regulatory impacts as high or very high.
Agency-Specific Impacts
Intergovernmental Interdependencies 59 highest and priority shares lowest These small positive percentages for own agency effects can be compared to those for state policies and reserved powers (Table 6). They are generally lower and indicate that managers' opinions move away from positive valence as regulatory federalism becomes more agency-specific. Further analysis of these data and the collection of comparative trend data are needed to develop stronger and broader interpretations.
Regulatory Impacts and Program Fluidity
SUMMARY OBSERVATIONS
Our test of the hypothesis linking federal aid to state agency policy fluidity broadly parallels the isolation interpretation. ACIR (1993) Federal Regulation of State and Local Government The Mixed Record of the 1980s, Government Pnnting Office, Washington, DC.
Edward Flentje
POLITICAL CULTURES
In Elazar's view, the roots of political cultures can be traced to differences between ethnic and religious groups beginning with their arrival in the Americas or even earlier times and continuing with their westward movement across the continent. Elazar concludes that these three waves of political culture have spread across the United States, intermingled to some extent, and left unique mixes of political culture in each of the 50 states.
POLITICAL CULTURES A LA WILDAVSKY AND ASSOCIATES
From the typology of network groups, Douglas identifies four essential cultures and derminnmg social relations individualism (weak network-weak group), hierarchy (strong network-strong group), egalitarianism (weak network-strong group) and fatalism (strong network-weak Wildavsky et al. draw on and extend these constructs to develop a theoretical basis for political cultures. They argue that culture helps to understand a wide range of political phenomena, most importantly, political preferences that are formed in social relations. Wildavsky and colleagues then explain political cultures of individualism, hierarchy, egalitarianism and fatalism in terms of core values, a world view of man and nature, an assessment of blame when things go wrong, and the main prescriptions for society that underlie these cultures (see Thompson et al, 1990).
Hierarchy
Individualism
Egalitarianism
Egalitarians prefer social relationships based on equal status and are therefore distrustful of any structure that gives one person more authority than another. They are looking for ways to reduce differences in established authority and equalize power relations. As a result, they promote cooperation through direct participation and consensus among participants of equal status, which often makes conflict resolution difficult. For egalitarians, the natural world is a terrifying, unforgiving place, and the slightest jolt can trigger its total collapse. Therefore, the environment must be managed with "great care" and shyness. Furthermore, egalitarians believe that people are born good but are corrupted by evil institutions.''Thus, while human nature may be good, it is also "highly willful" and.
Fatalism
34; susceptible to institutional influences “Bad institutions, external forces, “the system,” the establishment, or some alliance between government and business are most likely to be blamed when things go wrong (Thompson et al.
Cultural Alliances
The origins of the current Republican Party can be traced back to at least the Whigs of the Jacksonian era (see Ellis and Wildavsky. This focus on mutually reinforcing values and social relations can be applied to any social organization—to state administration as well as to political parties, tribes or individuals.
Wildavsky and Associates Compared to Elazar
POLITICAL CULTURES AND ORGANIZATION
Organization in Hierarchy
Cooperation between the elements of the organization is ensured by the rule of law, written rules and regulations that prescribe behavior and routine decision-making throughout the structure of the organization. Hierarchical culture supports organizational leadership and ensures continuity in leadership, but the scope of leadership is limited by the rule.
Organization in Individualism
Organization in Egalitarianism
POLITICAL CULTURE AND STATE ADMINISTRATION
In other words, cultural theory can offer insight into public administration, that is, into the key cultural values that underpin public administration and related structures of power, decision-making and leadership. However, the state of empirical knowledge relevant to political cultures and state administration is primitive.
State Administration in Hierarchy
Public administration in a cultural context 81 no research has been carried out that specifically applies a cultural framework to public administration6. The values and administrative practices associated with state administration in hierarchy probably permeate, or at least have in the past permeated, a number of substantive areas that fall within the jurisdiction of state government.
State Administration in Individualism
Another way to distribute authority in service delivery is competition through privatization of services. Privatization takes many forms, some of which are readily known in the administration of state government.
State Administration in Egalitarianism
GOOD STATE ADMINISTRATION AS CULTURAL ALLIANCE
To illustrate, state governance as an alliance of the cultures of hierarchy and individualism would be an organizational entity that values both freedom and order, and that could take many forms depending on the strength of its cultural elements. the benefits of a market orientation by expanding customer choice. The state administration as an alliance of hierarchy and eghtarianism would be an organizational whole that values both order and equality. Such an organization could have 'loose tight' qualities, for example tight in serving the public interest under the rule of law and loose in allowing public interests to be served. employees must mutually determine how they can best serve those goals. Many government agencies have promoted both order and equality by professionalizing work and the workforce and then relying on the authority and decisions of professionals to achieve public purposes.
Ted Hebert
THE DEVELOPING GOVERNORSHIP
Initially weak, the governors were weakened further in some respects in the early 19th century. Jeftersoman and Jacksoman democracy introduced widespread popular elections and established the long ballot tradition of separate elections to fill various state administrative positions for the benefit of the chief executive. With the Progressive movement at the turn of the century, however, the number of administrative agencies in state government multiplied, and many states placed some of these new agencies under boards or commissions over which governors had limited or no authority.
Development of Governors as Administrative Managers
This less extensive type of reform has been labeled a "traditional" reorganization (Bell, 1974), but it also accomplishes some of the goals set forth by the reformers. Thus, while there is some form of a cabinet system, individual agencies (within larger departments) more easily escape central direction and control (Conant, 1992).
The Governor's Cabinet
GOVERNORS AS POLICY ADMINISTRATORS
The Governor's Roles and Responsibilities
She noted that the governor had only limited control over the development of relations with the agencies. Cox (1991:66) suggests that the governor can carry out this policy responsibility by taking "an expanded view of management as a tool for policy making".
The Governor's Policy Management Tools
ADMINISTRATORS' REACTIONS TO THE GOVERNOR'S INFLUENCE
Several investigations of the governor's influence over administrative agencies are explicitly comparative, and examine the influence of both the governor-. By comparing the governor's and the legislature's influence over budget matters, and examining changes in responses since 1974 (the first year these questions were asked), we see that the two institutions show more nearly equal influence with respect to who has more detailed review of agency budget requests exercised. , 32 6%.
A Complex Environment: The Governor Is Only One Player
Administrators report that the legislature's influence only slightly exceeds that of the governor on both the overall budget and the program budget. The influence of the governor slightly exceeds that of the legislature, and these two actors clearly exceed the influence of all others.
Explaining the Governor's Influence
CONCLUSION
Beyle, T (1996) Governors the middle men and women in our political system, Politics in the American States A Comparative Analysis, 6th edition (V Gray and H Jacob, eds), CQ Press, Washington, DC. Sabato, L (1983) Goodbye to Good time Charlie The American Governorship Transformed, 2d ed , CQ Press, Washington, DC.
DISPERSED AUTHORITY IN THE STATES
This chapter addresses the question, "What is the role of the independent state executive in the process of state governance9?" Five themes emerge from examining this question. This theme contrasts with the arguments of the middle school that the governor's power should be strengthened. by reducing or eliminating state political officers who operate independently of the governor (Thompson, 1993a,b; Winter, 1993).
WHO ARE THE INDEPENDENT POLITICAL EXECUTIVES IN STATE GOVERNANCE?
These individuals are politically independent of the governor but do not qualify because they are not heads of state agencies. When independent political leaders are identified as distinct actors in state government, it becomes clear that governing responsibilities are dispersed among a number of officials who are generally independent of the governor.
THE NUMBER OF INDEPENDENT POLITICAL EXECUTIVES
Once appointed, many of the individuals who perform the many functions of state government become for all intents and purposes independent of the governor due to removal restrictions. Overall, Beyle estimates that governors appoint an average of 18 or 19 state administration officials, or about 45% of the total offices involved.
THE NORMATIVE DIMENSIONS OF THE INDEPENDENT POLITICAL EXECUTIVES
The Council of State Governments has identified 163 separate functions of state government that are sometimes performed by elected or appointed officials. When we think of national government as a web, points on the web are demarcated by institutional boundaries and public authority. The public authority associated with political roles gives the persons who exercise those roles (political executives) unique and extremely valuable property rights by virtue of having a public.
INDEPENDENT STATE POLITICAL EXECUTIVES ARE DIFFERENT FROM POLITICAL EXECUTIVES IN THE
Wilson describes federal political leaders as being in a constant state of siege, both internally and externally. This power gives the independent political executive a prominent role in the process of governing the country.
THE INDEPENDENT POLITICAL STATE EXECUTIVE'S ROLE IN CREATING A STATE'S "PLACE VALUE"
Independent Political Executive 143 civil institutions, individual and property rights, and ultimately the place value of the state. In fact, the contributions of independent political state leaders to the governance process are usually left out of centrists' discussions.
CONCLUSIONS AND FUTURE IMPLICATIONS
Brownlow, L, Gulick, L, and Memam, C (1937) Report of the President's Committee on Administrative Management in the United States Government, United States Government Pnntmg Office, Washington, DC Dahl, R (1947) Science of public administration, Public Administration Review 7. Ellmg, R (1994) Line in winter an academic evaluation of the first report of the National Commission on State and Local Public Service, Public Administration Review.
PUBLIC BUDGET
This chapter first identifies several functions of public budgets and describes the evolution of the executive budget in state governments. In this century, state legislatures have chosen to exercise fiscal control over the executive branch of government by concentrating responsibility for budget preparation and implementation in the office of the governor.
PROGRAM AND PERFORMANCE BUDGETING IN THE 20TH CENTURY
Also, loading program and performance data into the budget process where they are linked to fiscal data can overwhelm the budget process and produce neither good budgeting nor good management. The budget is where the policy action is, and agencies seeking resources will evaluate program outcomes if required to do so as a condition of receiving resources.
CONTROL, MANAGEMENT, AND PLANNING
Although line item budgets and incremental decision making are not the same, they are often linked as elements of traditional budgeting. The “incremental” category in the NASBO survey can be considered a proxy for the line item budget format.
STATE EXPERIENCES WITH PROGRAM AND PERFORMANCE BUDGETING
In fact, three-quarters of respondents link the strategic planning process and the agency's budget process. Sixteen of the states with statutory requirements tie performance measures to strategic planning in law.
SURVEY OF STATE BUDGET OFFICES
Most governance strengthening activities are carried out by budget offices in about half of the countries. However, budget offices in less than one-third of countries perform other tasks.
CONCLUSION
Budget offices are involved in the development of agency performance indicators (83%), but only 52% of the offices oversee the agency's performance indicators. The discussion that follows provides an overview of the current status and recent developments in the field of personnel/human resource management in state government.
STRUCTURAL ARRANGEMENTS IN STATE PERSONNEL ADMINISTRATION
Organization of the State Personnel Office
Personnel/Human Resources Management 179 with the state public service commission (PSC) and the office of employee relations in the governor's administration office. The PSC recruits applicants, develops and administers employment and promotion tests, conducts investigations into possible violations of the Public Service Act. , and oversees numerous other aspects of Pennsylvania's civil service system The office of employee relations and three of its four bureaus are responsible for job classification, maintenance of the compensation plan, labor relations and collective bargaining, equal employment opportunity, and oversight of operating agency personnel offices A fourth bureau, civil service, has responsibility for developing and maintaining procedures related to recruitment, selection, promotion and termination of personnel in non-classified positions in agencies under the governor's jurisdiction (PA Legislative Budget & Finance Committee, Apnl.
Functions of the Central Personnel Agency
