| VOL.2, NO.4 - NOVEMBER 2003
ISSN: 1540 - 1499 |
| |
| State
Restructuring : Implementation Issues and
Strategies
|
| By Richard D. Young |
In
an earlier work entitled
State Reorganization in South Carolina: Theories,
Practices, and Further Implications
(Young, 2002), the topic of restructuring state
government was given relatively thorough coverage,
particularly as it related to the comprehensive 1991
study commission (the South Carolina Commission on
Government Restructuring) and the consequent 1993
restructuring act (Act # 181 of 1993). Additionally, and
beyond speaking only to the South Carolina experience,
one section of the book dealt expressly with the
criteria normally associated with “successful”
reorganization among the states.1 In this article, and
related to this notion of criteria for successful
reorganization, the author will focus more generally on
implementation issues as they apply to state
reorganizations.
To
begin, the subject areas pertaining to reorganization
are important ones.2 As the literature indicates quite
clearly, restructuring theory—at least in the
abstract—is logical, orderly, and primarily systemic.
Implementation issues related to restructuring, however,
are entirely another matter. This is mainly because
implementation is often extraordinarily complex or, in
other cases, poorly executed. Why indeed is this so?
Many
reasons present themselves, and several stand out,
especially those related to “poor execution.” One
such reason for poor implementation is the lack of
attention given to “tactical” planning measures.
Once legislation has passed authorizing a state
reorganization, the details of the consolidation
(involving resources, infrastructure, and the like) have
typically not been thought out or given serious
consideration. This is obviously problematic. Another
reason extends often to insufficient “preparatory
steps” taken by the governor. Governors often are not
prepared to implement reorganization legislation due to
scarce monies or funding, marginal planning, or lack of
directional expertise. Still another reason for poor
implementation is sometimes the scarcity of so-called
“promotional steps” undertaken to endorse and
advance a reorganization plan. According to the
literature, continuous and well-planned or executed
“marketing” strategies and publicity are imperative
to the success of reorganization.3
In
the following discussion, several significant components
of state restructuring implementation, stratagems or
strategies if one prefers, will be touched upon. These
include: 1) the question of timing,
i.e., “Is this the most beneficial or gainful
opportunity or time to execute a reorganization
effort?” 2) the issue of tactics,
i.e., “Should restructuring be done massively or on a
large scale, that is all at once, or rather, is it more
appropriate to proceed more slowly or incrementally?”
3) the question of adoption
mechanism,
i.e., “Does the restructuring effort require a
constitutional and statutory change, or a statutory
change alone, or can restructuring be effected by
executive order?” 4) the
role of the governor,
i.e., “Does the governor’s role affect the enactment
or passage of reorganization legislation?” and
finally, 5) the issue of promotional
campaign,
i.e., “What methods or forums should be utilized to
promote and lobby for state restructuring?”
Timing
The literature identifies two separate and distinct
timing issues. The first is called the “cycle-oriented
timing.” The other is referred to as the
“circumstance-oriented timing.” The cycle-oriented
timing will be discussed initially.
The
cycle-oriented timing typology is a familiar and oft
used one. This involves the recurrent time periods
generally associated with, for example, the legislative
session or the governor’s term of office. Of course,
since the governor is usually the initiator of
reorganization, it is logical to place emphasis here.
The most fundamental question is: At what point is it
most advantageous to initiate a restructuring effort?
From here several questions present themselves. Is it
most advantageous to start the restructuring theme or
issue during the campaign for the governorship itself?
Should it begin or intensify early into the new
administration? Or on the other hand, is it better to
proceed slowly and undertake restructuring and its
consequent implementation well into the gubernatorial
term? The answers to these questions, according to
expert opinion, are all-important.
Some
experts advocate that jump-starting the restructuring
effort as soon as possible is the best strategy. Why?
Quite simply a quick restructuring initiative will cause
little or no loss of “political credits” that accrue
during a campaign or early in an administration. Also,
the proverbial “honeymoon” of a new chief executive
is normally intact and legislators, interest groups, and
others are likely to be more receptive to state
reorganization at this time. Experts also assert that
there is a natural tendency to maintain the status
quo—in all respects, for instance, in terms of
structure, process, and procedures. Experts of this
school of thought believe that these tendencies to
preserve the status quo are additionally cumulative in
effect; therefore, the longer the governor takes to put
his restructuring ideas into concrete actions, the
greater the likelihood of significant opposition
(Garnett, 1980, p. 52).
In
this regard, it is further logical to assume that an
early start of state restructuring will allow for plenty
of lead-time. This would include the examination of
alternatives, the drafting of legislation, and perhaps
most importantly, the enlistment of political support
among competing factions.
One
problem that stands out here has to do with qualified
personnel, especially at the beginning of a new
administration. It is reasonable to assume that a
governor cannot wait until restructuring has fully
materialized to bring in talented personnel that have
specialized proficiencies, for example, in criminal
justice, health and human services, transportation, law
enforcement, etc. What is suggested is that, if
possible, the governor tap specialist or professional
personnel in the “pre-reorganization” stages so that
policy-driven structural changes and processes can be
addressed and support for the overall restructuring
effort can be enhanced to the greatest extent possible.
This strategy is optimal, so say many experts, because
it gives the governor immediate access to the
specialized knowledge needed in a particular functional
area. Further, this will empower the governor not only
to make his case for consolidations and so forth, but
will strengthen his ability to carry out actual
implementation measures or strategies with finesse.
On
the contrary, or the other spectrum, some experts
believe that reorganization and its implementation
should proceed slowly or in what is commonly referred to
as the taking of “well-calculated paces.” These
experts reason that any or all restructuring plans take
ample time, rather great or small, to be conceptualized
and prepared for. They argue that it is more
advantageous to put the restructuring effort together
meticulously with plentiful documentation, and to spell
out in exhaustive detail the steps that will be required
for implementation purposes. Garnett (1980, p. 53)
points out one such illustration of this “sage”
advice that comes from the experience of the Governor
Sam H. Jones administration and its promotion of the
Louisiana reorganization act of 1940. Governor Jones was
so enthralled at passing comprehensive reorganization
legislation, at the earliest possible date, that he and
his staff overlooked a number of important
constitutionality issues involved. The result has been
frequently been described as “disastrous” and is
consistently held by one school of thought to be an
example of a legal quagmire that can on occasion befall
reorganization attempts.
As
stated earlier, the “circumstance-oriented timing”
is the other distinct time issue connected with
reorganization strategies. As the name implies it is
typically set apart from legislative sessions and
gubernatorial terms of office. As circumstance-oriented,
it is clearly associated with certain events,
conditions, and the like that are of such magnitude or
“dramatization” that a logical response is a
reorganization plan. In this vein, restructuring holds
itself out as the appropriate and necessary step to be
taken “to fix” a problem or set of problems faced by
the state. Such examples of circumstance-oriented timing
would include troublesome problems like those sometimes
associated with chronically poor customer service at an
agency or a succession of significant across-the-board
budget cuts when revenues fail to meet expectations.
Another
perspective associated with circumstance-oriented timing
is the actual or perceived “mood” of the public.
Expert opinion here states that legislatures are more
apt to support reorganization if they feel the public is
favorable to the idea of consolidation and
mergers—combinations of either state agencies and/or
programs. This is especially true if the public feels
that the result of restructuring will offer a better
quality of services, save money (bring about
efficiencies), and reduce in general what might be
considered “governmental waste.” This is by and
large considered a conservative
strategy, and in today’s political climate, many
legislators are eager to capitalize on this idea and
approach to reorganization. Thus, legislators are more
apt to take risks and at the same time satisfy the
public’s or their constituencies’ desires.
Hence,
circumstance-oriented timing occurs when conditions
within the state are, for instance, generally in a
downturn or when there exist a number of problematic
situations that seem to warrant restructuring. This
restructuring strategy is, of course, a contingent one.
If circumstances are not present to call for a
restructuring effort, or if they are simply unknown
because of the lack of data or information, or if no
real and present danger is apparent, arguments for
reorganization are difficult to make.
Tactics
Tactics
in restructuring take on one of two approaches. The
“comprehensive tactic” is what experts refer to as
the implementation of a reorganization plan that
encompasses the entirety of state government. This is,
as one might conjecture, a restructuring effort of the
greatest magnitude which carries with it numerous
complexities and requires widespread support. The other
tactic is referred to as the “incremental or
piecemeal” approach. It quite unsurprisingly is
distinguished as implementing a state reorganization
over an extended period of time.
Comprehensive
reorganizations are often accomplished in a single piece
of legislation. This has its advantages and
disadvantages. One advantage is that an omnibus bill
will contain the total reorganization package and
therefore is meritorious in the sense that the whole
picture of state reorganization can be seen as each part
or organizational component fits together. Another
advantage is that one comprehensive piece of legislation
stands a better chance, in some cases, to pass instead
of several separate bills. While the reverse can be said
to be true, nevertheless, typically greater attention is
given to a comprehensive bill where legislators can feel
inclusion through the amendment process. Additionally, a
comprehensive restructuring bill can be attached to
another bill that is surely to pass. The best example
here, of course, is an appropriation bill.
Disadvantages
to comprehensive restructuring legislation are mainly
that some of the portions of the proposed legislation
are so controversial or otherwise unacceptable to the
legislature that the whole restructuring bill atrophies
or dies. In other words, while the overall thrust of a
reorganization plan or piece of legislation might be
acceptable, one provision may be simply too onerous for
legislators to accept. The
“all-the-eggs-in-one-basket” is therefore not
without some risk. Still, an amendment or compromise may
be the remedy.
The
incremental tactic is also believed by many experts as
the way to go and, more often than not, represents a
“more preferable” approach than that of the
comprehensive tactic. Some experts argue that
incremental tactics provide for trial and error and, as
the case may be, adjustments. The incremental approach
allows also for a series of possible “victories” and
perhaps only an occasional “defeat.” This some argue
gives the governor a chance to lose a battle or two, but
still be triumphant in the long haul.
Former
Georgia governor and then later president Jimmy Carter,
however, preferred the comprehensive tactical approach.
He sums up his preference in the following way:
The
most difficult thing is to reorganize incrementally. If
you do it in one little tiny phase at a time, then all
those who see their influence threatened will combine
their efforts in a sort of secretive way. They come out
of the rat holes and they’ll concentrate on undoing
what you’re trying to do. But if you can have a bold
enough, comprehensive enough proposal to rally the
interest and support of the general electorate, then you
can overcome that special-interest type lobbying
pressure. (quoted in Peirce, 1975, April, p. 506.)
Interestingly
enough, President Carter’s initiatives at federal
reorganization were quite the reverse of his own
philosophical or ideological positions. In 1977, for
example, the president made public that no “master
plan” for federal reorganization would be put forth
and that a series of incremental advances in
restructuring would take place “using a bottom up
approach.” President Carter’s success in
implementing meaningful reorganization within the
federal bureaucracy was mixed, but in the main, a
failure by most accounts.
Adoption
Mechanisms
This
discussion pertains to the “adoption mechanisms”
utilized to bring about reorganization. As with the
other implementation strategies discussed, these
adoption mechanisms also break down into two
categories—those requiring constitutional changes and
those requiring statutory ones.4 In the case of
constitutional changes this is more involved since first
a joint resolution must be approved by the legislature
to allow for a referendum. If the referendum is passed
by the electorate, then statutory legislation is needed
to actually bring about the reorganization. If the
referendum fails, statutory legislation pertaining to
reorganization is then null or unneeded.
Constitutionally
established offices are those that fall within the
executive branch. They may, and often do, have statutory
authorization and provisions as well. Constitutionally
established offices are also statewide offices, chosen
by the state’s voters, and extend into what would be
typically the province associated with the duties and
responsibilities of the state’s chief executive, viz.,
the governor. In most states, and varying by degree,
multiple statewide elected offices (termed the “long
ballot” or the “plural executive”) exist. On
average, there are roughly 10 separately elected
executive-level officials per state (Beyle, 1999, p.
209).
Generally
speaking, these plural executives are fairly entrenched
officers, having built up statewide constituencies and
considerable political clout. Many have no term limits
and effectively use their statewide elected position as
a “stepladder” to higher office, especially that of
governor. (Carter and Young, 2003, p. 32).
Currently,
it is interesting to note that only four states have a
governor and lieutenant governor–type arrangement
whereby no other statewide elected officers exist and,
consequently, vie for executive power. About half the
state governors share some power with other separately
elected official(s). (Carter and Young, 2003, p. 32).
Experts
disagree considerably on the potentialities and
possibilities of the removal of constitutionally
established officers and their accompanying departments
or offices—bureaucracies. Many experts argue that the
likelihood of removing a statewide elected office is
slim due to the fact that constituencies that benefit
from a separate constitutional office are generally
opposed to diminishing their real or perceived clout
under the status quo. Contrarily, other experts assert
that the public as a whole believes that a governor
should be accountable for what is clearly an executive
function and that a long ballot simply diffuses
responsibilities.
Statutory
authorization of a reorganization plan is perceived by
experts as being a wholly different matter. First, the
constitutional constraints and hindrances normally
associated with statewide offices are clearly not
factors. Second, reorganization by statute is focused on
the issues at hand, typically more accountability,
greater efficiencies, and more effective service
delivery. Thirdly, consolidation of agencies or programs
by statute can be done more easily as well when debate
is done over (or spans) one legislative session as
opposed to two (i.e., the second being the statutory
follow-up required after a referendum). Oftentimes, once
a referendum passes to allow for a constitutional change
the debate can be precarious. This is of no small matter
and it is particularly precarious when legislators want
“to tinker” with the devolved duties and
responsibilities that a governor gains with the
elimination of a statewide constitutional officer.
In
passing, it should be noted that a third kind of
adoption mechanism is sometimes utilized. This kind of
reorganization is done by executive order. Quite
naturally, time and again, the legislature takes great
umbrage to this mechanism. And, in most cases, the
legislature cannot be ignored since most state
governmental entities are established by law or enabling
legislation.
Role
of the Governor
Here,
as stated earlier, is a rather matter of fact question.
Does the governor’s role influence the enactment of
restructuring legislation? And, perhaps more
importantly, to what extent?
State
governors are clearly in a position to affect
restructuring legislation. But much is of course
dependent on what a governor actually does or doesn’t
do. Herein lies the significance of the governor’s
role and its impact on favorable outcomes associated
with reorganization legislation. State governors are in
a position to advocate and push for re-organizational
change through various strategies, such as those dealing
with timing, tactics, and adoption mechanisms. The
fundamental question here is: Is there evidence that
aggressive gubernatorial intervention is likely to
produce favorable results? The answer to this question,
unfortunately, is that not much literature covers this
important issue, yet enough anecdotal evidence is
available that indicates that a governor’s determined
involvement is instrumental to—in many cases—the
success of restructuring when played out in a careful
strategy of timing, tactical approaches, etc.
One
important evidential finding made by experts about state
restructuring efforts among the states is that the
governor’s role in creating a kind of partnership with
key legislators usually leads to greater success in
restructuring. It is well known in public
administration, leadership and motivational theories,
that if individuals “are made part of the vision,”
in this case restructuring, the likelihood of success
multiplies. Most experts agree that it is additionally
important for the governor to remain in frequent contact
with legislative members to reinforce his commitment and
stance as to reorganization and its benefits. Some
experts point out that not only should the governor’s
role extend to the legislative leadership and those that
favor restructuring, but also to those legislators who
are opposed to any change in the status quo. One failure
of the governor, in some cases, is ignoring those who
stand in opposition to restructuring. While the governor
may feel he has the votes to pass his restructuring
legislation, it is advocated that those with differing
viewpoints get an opportunity to engage the governor in
a “one-on-one.”
It
is interesting to note that early and comprehensive
reorganizations in the states of Illinois, Virginia, and
New York were largely attributable to aggressive tactics
undertaken by the governor. The activist governors, as
the literature seems to indicate, campaigned vigorously
for restructuring. The campaign themes were generalized,
repetitive, and easily understood by all. These are
familiar themes, including, greater accountability, more
efficient use of resources, cost-savings by the reducing
of duplication of effort, and better service to the
citizenry.
Another
significant role of governor appears to be a kind of
aggressiveness in seeing that restructuring is on the
“front burner” at all times. Campaigning for the
governorship and actually becoming governor leads to a
kind of dramatic switching of gears. No longer are the
campaign issues ever-present, but a number of rather
mundane duties and responsibilities compete for the
attention and time of the governor once in office.
Hence, restructuring—for example—could possibly be
relegated to a more minor preoccupation for the
governor. It is therefore important for the governor to
set into permanence some mechanism or strategy that
keeps the restructuring initiative on a high priority
list. This is especially important when reelection
approaches. It is at this time that the governor wants
to demonstrate progress on his former campaign issues
and promises, and argue for a continuation of that
progress.
In this respect, the governor and his advisors are not
only the center-point of a restructuring effort, they
“are additionally the clearinghouse for information on
all respects dealing with restructuring.” Legislators
know that information on the particulars of
restructuring, financial impacts, and other
ramifications can be sought out in the office of the
governor. The governor obviously should be prepared and
willing to respond to legislative requests.
More
pointedly, the role of the governor in restructuring is
one of chief lobbyist. The governor and his staff bear
the brunt of lobbying for restructuring, especially
seeing to the passage of reorganization legislation.
This lobbying takes on several forms, some of which have
already been alluded to. One suggestion by experts is to
publicize, via the media, the needs and benefits of
reorganization, through a series of town meetings. This
is an excellent opportunity for the governor to get his
restructuring message out, reinforce it before the
public, gain supportive media attention, and build
coalitions where needed. In some cases, should the
governor prefer it, he or she could invite legislative
leadership, and private sector leadership to participate
in some type of panel discussion or scenario.
Promotional
Campaign
Promotional
campaign strategy combines, in effect, the stratagems
associated with timing, tactics, adoption mechanisms,
and the role of the governor (Garnett, 1980, pp. 62-70).
One initial thought or remark, however, is necessary at
this juncture. The governor who puts forward a
reorganization plan must be cognizant that alternative
plans may be suggested and/or actually put into bill
form. These alternatives may not be in alignment with
the governor’s own plans. It is therefore important to
be prepared to meet these challenges at the earliest
opportunity. Hence, the burden of proof is on the
governor to demonstrate that his or her plan is better
than an opposing one. To do this, it advisable that the
governor and his or her advisors be prepared early in
the gubernatorial term for such matters.
The
promotional campaign consists of two target groups:
“influentials” and the general public. Influentials
are legislators and special interest lobbyists. Also
included in this category is the bureaucratic
lobby—state agencies, departments, etc.—that urge
and look out for their own interests. Lobbyists, both
private and agency-sponsored, can be formidable foes to
restructuring. Each lobbyist group must be given due
consideration and a promotional strategy should be in
place to meet any potential threat they may pose.
The
promotional campaign for the general public should be
kept simple in terms of the “message,” and
continuous reiteration of the benefits and advantages of
restructuring is all-important. Therefore, the governor
and his aides—but especially the governor—should
strive to keep the restructuring initiative and its
benefits to
them
(the public) alive as often as possible.
Another
important consideration regarding the promotional
campaign is the “synchronization of research and
promotion.” The literature generally suggests that the
governor should not wait until the details of
restructuring, while of immense importance, have been
worked out before gathering and focusing support on his
restructuring plan. Research is of significance but can
be done incrementally or at a pace conducive to
something well-thought out, complete, and rationally
constructed. As regards research, it is advisable that
those responsible in the governor’s office for
implementation of the reorganization plan begin their
work early mainly to achieve a smooth transition as
regards consolidations and mergers. The fewer gaffes or
mistakes in the actual implementation of restructuring
will make the governor’s job as chief architect of the
restructuring easier and more acceptable, particularly
thwarting any opposition.
Conclusion
In
this article, several topics related to the
implementation of a restructuring plan were briefly
discussed. State restructuring in-and-of-itself is a
subject matter that the literature speaks to in great
detail. Implementation issues or strategies are limited
insofar as coverage by the literature and scholarly
work. Nonetheless, this dearth of research on the topic
of implementation does not convey, nor should it, its
importance and magnitude.
The
timing, tactics, roles of the governor, and promotional
campaigns undertaken under the rubric of state
reorganization speak for themselves. Namely, the success
of restructuring is measured by the thought and
consideration given to implementation issues and
strategies (timing, tactics, etc.) as well as the
restructuring plan itself. Thus, a clear determinate for
reorganization is its implementation and those who
acknowledge this fact derive significantly greater
prospects for future change and improvements to state
organizational units and processes.
Appendix
Criteria
for State Governmental Reorganizations
Generally and foremost, state reorganizations should be
planned and implemented in light of each state’s
uniqueness. This includes consideration of a state’s
individual historical and cultural heritages, its
populace, its existing institutional structures, its
social and economic structures, its political makeup,
and even its geographical setting. While one can learn
much from the literature and the experiences of other
states, all of which is entirely valuable and edifying,
still a state’s distinctive aspects must be also taken
into any reorganization examination processes and
consequent deliberations. To do otherwise and strictly
emulate another state’s reorganization, spells
inevitable failure, according to most experts.
Having
said this, on the other hand, the literature on state
reorganization suggests criteria or a checklist of
considerations that one should be attentive to in order
to plan and implement reorganizations. This literature
is plentiful, though much of it is a little dated, and
includes documentation from the experiences of other
state reorganization efforts. The lessons learned from
other states are most instructive and are, therefore, a
utilitarian basis for states considering restructuring
of any kind and to any extent. The discussion that
follows outlines some important considerations for
states that are considering reorganization.
What considerations should be taken into account,
generally speaking, with regard to state restructuring
processes? In other words, what do the literature and
the experiences of other state reorganizations suggest
in order to accomplish a successful restructuring
effort? Based on a review of earlier reorganization
studies, etc., 12 considerations or criteria present
themselves. These are:
1.
Identify the strategic aims or purposes of
restructuring.
2. Distinguish clearly the problems that reorganization
seeks to fix.
3. Consider all vital stakeholders to be affected by
restructuring.
4. Encourage the participation of those directly
affected by restructuring.
5. Inspire, by example, commitment of participants at
all levels of participation in the reorganization
process.
6. Combine restructuring processes and outcomes with
management and administrative improvements.
7. Recognize that reorganization is an ongoing or
continuous process.
8. Prepare for an investment of resources to accomplish
reorganization.
9. Point out and empower those responsible for
restructuring.
10. Be cognizant of the constraints to achieving
restructuring.
11. Grasp the political and organizational cultures of
those affected by reorganization.
12. Establish a schedule for implementation and
evaluation of restructuring. (State Reorganization
Commission, 1991, pp. 40-42).
Reorganizations, as stated in the literature, often fall
short of successful results because of the lack of
strategic planning. Reorganization is a complicated,
lengthy, and ongoing process that must take into
consideration intended long-range goals, a review of
environmental conditions (internal and external) of the
organization’s strengths and weaknesses and any
justifiable institutional opportunities and threats.
Specific objectives and operative plans should
additionally be considered. An evaluation of performance
and implementation resulting from reorganization should
then be well thought-out. Hence, strategic planning, for
reorganization purposes, should normally include the
following steps:
•
An “environmental scan” or a situational analysis of
the strengths and weaknesses of an organization,
including an analysis of external threats and
opportunities;
• The formation of or the “putting into words” of
a vision for the future and an accompanying mission
statement that defines the fundamental purpose of an
organization, its values, and its boundaries;
• The development of general goals, specific targets
or objectives, and performance measurements to gauge
organizational progress;
• A set of strategies to indicate what will be done to
accomplish its goals and objectives;
• The implementation of detailed operational or
tactical plans that provide for staff assignments and
schedules; and finally,
• An evaluation component to monitor and revise the
overall strategic approach as it unfolds. (Young, 1998,
pp. 3-4).
In conjunction with strategic planning, a problem
assessment should be conducted. This will allow those
responsible for any restructuring efforts to distinguish
clearly and comprehend the problems that are caused by
current organizational structures and their related
processes. Questions should be entertained that are
important and fundamental to understanding or getting to
the “root causes” of organizational troubles. Why,
for instance, is the organization failing to fulfill
adequately its mission, its goals, and/or its stated
objectives? Are the problems indeed endemic to present
structural arrangements? If so, then why? Are there
management or administrative problems and, if so, will
restructuring serve to help rectify these problems or
will it do little or perhaps even exacerbate them? How
long have these problems existed and what effect(s) have
they had on agency constituencies, employees, and other
stakeholders?
As
for stakeholders, another critical criterion presents
itself. In question form, “Who are the stakeholders
ultimately and who will lose and who will gain from any
reorganization?” Often stakeholders are identified in
a nebulous way and reorganization, in and by itself,
will nevertheless greatly impact them. In restructuring,
it is always wise to identify everyone that will be
affected by the reshuffling of an organization. If the
area marked for restructuring is public education, for
example, “How will students be affected? Parents?
Teachers? And so on?”
Also,
closely related to the question of stakeholders, the
literature on reorganization typically refers to “the
encouragement of all participants” in a restructuring
effort. This means simply that state employees,
clientele groups, legislators, and other appropriate
government officials should have input into the
reorganization plan. This is cited as being beneficial
in several ways. First, if everyone is encouraged to
participate then, all concerns, views and ideas are on
the table early on in the restructuring process and can
serve as part of the analysis leading to a workable
reorganization. Secondly, the concerns and views of a
wide group of involved individuals will yield inevitably
a better and more thoroughly constructed restructuring
plan. This will in turn allow for fewer foul-ups,
mishaps, and gaps in the implementation of a
reconstituted organization. Finally, the encouragement
of all participants allows for the opportunity of
“early buy-in” by affected groups and the chance to
address, and in many cases, reconcile their varying
concerns and viewpoints. (State Reorganization
Commission, 1991, p. 41).
Furthermore,
an essential criterion is “the preparation to invest
in the costs for carrying out reorganization” (State
Reorganization Commission, 1991, p. 42). Those
individuals involved in reorganization planning should
be aware that restructuring invariably costs money. The
planning effort alone is an expenditure item. Other
costs range widely. They may and often do include costs
associated with new technologies and control systems,
staff training and development, and retrofitting or
establishing new facilities. The cost-savings expected
from reorganization by eliminating duplication of
effort, merging programs, downsizing staff, and the
minimizing of “waste” may or may not result in a net
gain in terms of cost-savings. According to a report of
the former S.C. State Reorganization Commission:
Reorganization
will certainly require the expenditure of funds… No
one knows what the cost will be, but proponents should
not undertake reorganization in order to realize
immediate reductions in the outlays for governmental
services. The evidence thus far is not optimistic
about the opportunity to achieve such cost savings.
There are other sound reasons for undertaking a
reorganization effort, and the merits of a proposed
reorganization should be seriously considered on the
basis of other more practical and obtainable
objectives. (State Reorganization Commission, 1991, p.
42).
Who
is responsible for what? This is another key question
(criterion) to be considered in attaining a smooth and
successful restructuring. Early in the planning stages
of reorganization, and up to and including the
implementation phases, responsibilities for
restructuring should be plainly identified.
Reorganization of state governmental agencies is a
monumental task and highly complicated and all
restructuring players should be apprised what the plan
is and what part they have in that plan and its
implementation. Task assignments should be, when
possible, in the form of written memoranda and
milestones and timelines should be clearly sketched out
and communicated to responsible parties and individuals.
Interaction among all participants in the implementation
phase of reorganization should be at regular intervals
and sustained, and alternate plans should be in place
should problems arise.
Two
final criteria should also be considered carefully when,
or perhaps before, reorganization begins. First, all
participants should recognize there are “customary”
and predictable constraints and limitations in
governmental reorganization undertakings. These are
characterized typically as conceptual, political,
fiscal, and human constraints. Reorganizing state
government, for instance, has its conceptual limitations
in the various and opposing views, approaches, and
experiences of participants. Some individuals are often
predisposed to be cynical about any reform or change to
the status quo. Political aims and concerns are also
usually real and present in restructuring. Secondly,
everyone connected with a state reorganization effort
should understand that it is an on-going process and is
never complete. All organizations are in a constant
state of some form of change. Internal and external
pressures are always exerting themselves in some way on
organizational units and programs. Thus, organizing and
reorganizing to make suitable adjustments to these
environmental influences is a reality that must be
considered and dealt with in an appropriate manner.
Experts in the field of reorganization note that agency
clientele needs and preferences are rarely stagnant for
long. Also, technological changes are occurring at
lightning speed. And agency resources, particularly
employees, are constantly shifting in terms of turnover,
workload, specialties, training needs, and so forth.
Endnotes
1
This discussion is reprinted for consideration in an
appendix to this article.
2 See Garnett, J. L. (1980). Reorganizing
state government: The executive branch.
Boulder, CO: Westview Press.
3 See Garnett, J. L. (1980). Reorganizing
state government: The executive branch.
Boulder, CO: Westview Press.
4 Although these two categories (constitutional and
statutory) are primary, and are the most frequently used
adoption mechanisms, a third ancillary category
infrequently used will also be briefly discussed later
in this section.
References
Beyle, T. L. (1999). State
and local government: 1999-2000.
Washington, DC: CQ Press.
Carter, L. F., and Young, R. D. (2003). The
South Carolina governor: The emergence of an
institution.
Columbia, SC: Institute for Public Service and Policy
Research, University of South Carolina.
Garnett, J. L. (1980). Reorganizing
state government: The executive branch.
Boulder, CO: Westview Press.
Peirce, N. R. (April 1975). “Structural reform of
bureaucracy grows rapidly.” National
Journal 7: 502-8.
South Carolina State Reorganization Commission. (April
1991). On
reorganization: An overview of theory, practice and the
South Carolina experience.
Columbia, SC: South Carolina State Reorganization
Commission.
Young, R. D. (2002). State
reorganization in South Carolina: Theories, practices,
and further implications.
Columbia, SC: Institute for Public Service and Policy
Research.
Young, R. D. (1998). Statewide
strategic planning process: The need for the state’s
leadership of South Carolina to plan ahead.
Columbia, SC: Institute for Public Service and Policy
Research, University of South Carolina.
About
the Author
Richard
D. Young is director of governmental research with the
Institute for Public Service and Policy Research at the
University of South Carolina. He conducts research on a
myriad of public policy and public administration topics
relating to state and local governments. Mr. Young
previously worked with the Senate of South Carolina and
the State Reorganization Commission in various positions
of research. Prior to this, Mr. Young taught at the
University of Louisville, Hanover College, Indiana
University Southeast, and the University of Kentucky
Campus in Louisville, Kentucky. Mr. Young has a B.A.
(1973) and M.A. (1975) from the University of
Louisville. The Institute for Public Service and Policy
Research has published Mr. Young’s A
Brief Guide to State Government in South Carolina
(1999) and A
Guide to the General Assembly of South Carolina
(2000). The Institute has also published Mr. Young’s
book entitled Perspectives
on Public Budgeting: Budgets, Reforms, Performance-based
Systems, Politics and Selected State Experiences
(2001). He and Dr. Luther Carter have recently written a
book entitled, The
South Carolina Governor: The Emergence of an
Institution. Mr.
Young can be reached at young-richard@sc.edu.
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