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Wiley American Society For Public Administration
Wiley American Society For Public Administration
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Lawrence
M. Mead,Republican
NationalCommittee
JANUARY/FEBRUARY 1979
inbothsubjects coveredandapproach.9
Theapproachdiscussed herehasbeendeveloped at The Third,theanalysisis prescriptive to someextent.The
UrbanInstitute since1975.To date,it has beenusedfor goalis notsimply to understand program processes butto
studiesof foursocialprograms witha federal-state struc- improve performance. Thispurposeis, perhaps,essential
ture-Medicaid,the EmploymentService,the Work in anyformof analysismeantto servepolicy.makers. It
Incentive program (WIN),andtheSpecialCrisisInterven- setsthisapproachapartfromother,moreacademicones
tionProgram (SCIP), an energy assistance program runby whichtreatimplementation problemsas inevitableand
theCommunity ServicesAdministration.'0 Thisapproach playdownthepossibility ofsignificant reforms. I5
defineswhatis tobe studied as administrative andpolitical is
Prescriptionimplicit in theanalytic approachjustde-
influences on theimplementation ofindividual socialpro- scribed.Thefactthatprogram institutionsarediscussed in
grams.The goal is to findassociations between program termsof theirinfluence on performance directsanalysis
performance, on theonehand,andtheadministrative and towardidentifying improvements. Theuseoforganization
politicalstructure of programs, on theother.The meth- theory thatspeaksofconstraints on organizational behav-
odologyis based on (1) an operationaldefinition of iorimplicitlysuggests thattheyshouldbe overcome. Dis-
programperformance and (2) an analysisof structural cussionsofinterest groupinfluence inevitablyaskwhether
factorsaffecting performance. Thereis also (3) thepre- it shouldbe minimized.Institutional analysismay be
intention
scriptive toimprove programs and(4) thegoalof approached fromtheperspective thatprograms shouldbe
operationalizing and quantifying the analysisso far as carriedout accordingto law and changesdue to admin-
possible.Thesefoursubjectsare takenup briefly below. istrative orpolitical
influencesareundesirable. I6
The discussion is general;detailsvarywiththeindividual Thedegreeofprescription, however, willvarywithhow
study. severeimplementation problems are feltto be. At oneex-
First,theeffort is madeto defineprogram performance treme, witha successfulprogram, thestudymightsimply
in termsof variablesover whichthe institutions have describe the program'sadministrative and political
control.In thestudiesto date,program performance has processesto findout howtheywork,and notto suggest
JANUARY/FEBRUARY
1979
JANUARY/FEBRUARY
1979
Notes
As longas improvedgovernment wassought
throughhigherspending,the initiativein
1. The workreported in thepaperis thecollective productof
domesticpolicy necessarilylay withthefed- Analysisprojectat The UrbanInstitute. I
theInstitutional
eral government,whoseeconomicresources wantto acknowledge thevitalcontribution to everything I
were dominant. Now that improvement say of MarkLincolnChadwinand JohnJ. Mitchell,my
mustappeal moretoinstitutionalstrategies, presentcolleagues atTheUrbanInstitute, andErwinC. Har-
grove,a former colleague.
the initiativepasses to statesand localities, 2. Harold Seidman,Politics,Position, and Power: The
which control most administrative re- Dynamicsof FederalOrganization, 2nd Ed. (New York:
sources. Oxford University Press,1975),pp. 140-2.
3. Jerome T. Murphy, StateEducationAgenciesand Discre-
tionaryFunds: Grease the Squeaky Wheel(Lexington,
Second, institutionalanalysisfocuseson improvingim- Mass.:D.C. HeathandCo., 1974),pp. 12-13,113-18.
4. HerbertA. Simon,Administrative Behavior:A Studyof
plementation,and implementationis more a state and Organization,
Decision-Making ProcessesinAdministrative
thana federalone. The basic formatof
local responsibility 2ndEd. (NewYork:TheFreePress,1957),ch.2.
Americansocial administrationis the federal-stategrant 5. WalterWilliams,"Implementation Analysisand Assess-
program.The federalgovernmentdeliversfewservicesto ment,"WalterWilliams andRichardF. Elmore(eds.)Social
citizensdirectly.Instead, it fundsstateand local agencies ProgramImplementation (New York: AcademicPress,
to provide services, subject to regulatoryconditions. 1976),pp. 286-8,290-1.SeealsoGrahamT. Allison,Essence
Federal officials may worryabout implementation,but of Decision:Explaining theCubanMissileCrisis(Boston:
theyhave much less controlover it than state and local Little,Brown,1971),p. 267-one of theseminalstatements
officials. oftheimplementation problem inpolicyanalysis.
emphases 6. ErwinC. Hargrove, TheMissingLink: TheStudyof theIm-
The grantrelationshiphelps explaindiffering
plementation of Social Policy (Washington, D.C.: The
in federal and state policy analysis. Federal analysts
UrbanInstitute, 1975).
concentrateon basic policyand budgeting,in part,because 7. RichardR. Nelson,TheMoon and theGhetto(NewYork:
these are the aspects of programsover which theyhave W.W.Norton andCo., 1977),pp. 39-47.
greatestinfluence.State and local analysts concentrate 8. Forthedifferent analyticalperspectivesthatmaybe applied
much more on operational and administrative concerns, tothesameorganizational behavior,seeAllison,op. cit.;and
including cost control. Hence, institutionalanalysis JamesG. MarchandHerbert A. Simon,Organizations (New
actuallyfitsthetraditionalstateand local perspectivemost York:JohnWileyandSons,1958).
closely,althoughit has somethingto offerat all levels of 9. Someofthisliterature is discussedinnotesbelow.Forother
references,seeHargrove, op. cit.
government.
10. SeeLawrence M. Mead,Institutional Analysis:AnApproach
Institutionalanalysis could help states and localities Problemsin Medicaid (Washington,
to Implementation
survive the current fiscal emergency and seize the D.C.: The UrbanInstitute, 1977),a methodological study
opportunityit implies. As long as improvedgovernment confined to secondary sourcesabouttheprogram; andMark
was sought through higher spending, the initiativein LincolnChadwin, JohnJ.Mitchell, ErwinC. Hargrove, and
domestic policy necessarily lay with the federal LawrenceM. Mead, TheEmployment Service:An Institu-
government,whose economic resourceswere dominant. tionalAnalysis(Washington, D.C.: Departmept of Labor,
Now thatimprovement mustappeal more to institutional 1977),a studybasedon fieldresearch. The studyof WIN,
passes to statesand localities,
the initiative
strategies, also forthe Department of Labor, is in processat this
1979
JANUARY/FEBRUARY
* PRAFOER
thePoor: TheMedicaidExperience (Lexington, Mass.:D.C.
HeathandCo., 1975);andMiltonI. RoemerandJayFried-
man,DoctorsinHospitals:MedicalStaffOrganization and
HospitalPerformance (Baltimore: TheJohns HopkinsPress,
SPEGAL
STUDES
1971).
12. See Marchand Simon,op. cit.,;Herbert A. Simon,op. cit.;
and Anthony Downs,InsideBureaucracy (Boston:Little,
Brown,1967).
13. MancurOlson, The Logic of CollectiveAction:Public
Goods and the Theoryof Groups(Cambridge,Mass.:
HarvardUniversity Press,1971),andTheodoreR. Marmor, REDISTRIBUTION THROUGH
ThePoliticsof Medicare(Chicago:AldinePublishing Co., THE FINANCIALSYSTEM
1973),chs.5-6. ofMoneyandCredit
The GrantsEconomics
14. Thedescriptive approachis bestseeninwhatmight be called Edited
byKENNETH E. BOULDINGand
THOMASFREDERICK WILSON
the"Berkeley"or "Wildavsky"schoolof implementation 336pp. 1978 LC 78-18017ISBN0-03-045341-0
$21.00
studies.See Jeffrey L. Pressmanand Aaron Wildavsky,
Implementation (Berkeley, Calif.:University of California
Press, 1973); and EugeneBardach,The Implementation
Game: What Happens Aftera Bill Becomes a Law STATEPOLICIES AND FEDERAL
(Cambridge, Mass.:TheMIT Press,1977).Thesecondwork PROGRAMS
is moreanalyticthanthefirst, buttheemphasisis stillon Priorities
andConstraints
"tellingthestory"ofimplementation problems. A Twentieth
CenturyFundReport
PETERPASSELL andLEONA ROSS
15. Pressman andWildavsky, op. cit.,andBardach,op. cit.,are 192pp. 1978 LC 77-27498ISBN0-03-042591-3
$16.95
conservativein thissense.To a lesserextent, thesamecould
besaidofMarthaDerthick, TheInfluence ofFederalGrants:
Public Assistancein Massachusetts (Cambridge,Mass.:
HarvardUniversity Press,1970),andNew Townsin Town: PROPERTY,POWER, AND
Whya FederalProgramFailed (Washington, D.C.: The PUBLIC CHOICE
UrbanInstitute, 1972). An Inquiry
intoLawandEconomics
A. ALLANSCHMID
16. See especiallytheworkof TheodoreJ. Lowi, TheEnd of 334pp. 1978 LC 78-5930ISBN0-0302956-0 $19.50
Liberalism:Ideology,Policy, and the Crisis of Public
Authority (NewYork:W.W.NortonandCo., 1%9)andThe
PoliticsofDisorder (NewYork:BasicBooks,1971).
17. Mead, op. cit., is an explicitly reformist study,while EMPLOYMENT
Chadwin,et al., op. cit.,aimsat theimprovement of per- DISCRIMINATION
formance. The ImpactofLegaland
18. DonaldS. Van Meterand CarlE. Van Horn,"The Policy Administrative
Remedies
Process: A ConceptualFramework,"
RAYMARSHALL,CHARLESB. KNAPP,
Implementation MALCOLMH. LIGGETTand
Administration andSociety, Vol. VI, No. 4 (February 1975); ROBERTW.GLOVER
MartinReinand FrancineRabinovitz, "Implementation: A 176pp. 1978 LC 78-17333ISBN0-03-045356-9
$20.00
TheoreticalPerspective," unpublished paper,May1974;and
SandraJ.Frawley, "Bureaucratic Implementation: Process,
Problems, Prospects forChange,"Unpublished paper,April OPEN HOUSING
1975. ofa SocialMovement
Dynamics
19. One method is Organizational Assessment, a method foras- JULIETSALTMAN
sociatingtheproductivity of administrative workunitswith 447pp. 1978 LC 78-19464ISBN0-03-022376-8
$22.95
theirinternalorganizationand management style.See
AndrewVan de Ven, "A Framework for Organization
Assessment," Academyof Management Review,Vol. I DECISIONS FOR SALE
(1976), and otherwritings. Anothermethodis Nominal andReform
Corruption in Land-Useand
GroupProcess,a structured discussion technique thatcanbe Regulation
Building
usedtoelicittheconsensus ofan organizational groupabout JOHNA. GARDINER and
theworkings andproblems oftheorganization. SeeAndreL. THEODORER. LYMAN
Delbecq,Andrew H. Vande Ven,andDavidH. Gustafson, 234pp. 1978 LC 78-19758ISBN0-0344691-0 $18.95
Group Techniques for ProgramPlanning:A Guide to
NominalGroupandDelphiProcesses(Glenview, Ill.: Scott,
Foresman andCo., 1975).Organization Assessment is being PRAEGERPUBLISHERS
usedexperimentally in our WIN study,and bothOA and Praeger SpecialStudies* A Divisionof
Hok,Rinehart andWinston/CBS
Nominal GroupProcessmaybeusedinfuture work. 383MadisonAvenue,N.Y.,N.Y.10017
20. SeeChadwin, et.al., op. cit.,ch.2. Pricesaresubjectto changewithoutnotice.
21. GeorgeE. Peterson,"Finance," WilliamGorhamand
NathanGlazer(eds.),TheUrbanPredicament (Washington,
D.C.: TheUrbanInstitute, 1976),pp. 35-71.
JANUARY/FEBRUARY
1979