A Method to Study the Organizational Dimension of Regional Programs

Espejo, R.

IIASA Working Paper

WP-76-014

1976

Espejo, R. (1976) A Method to Study the Organizational Dimension of Regional Programs. IIASA Working Paper. IIASA,

Laxenburg, Austria, WP-76-014 Copyright © 1976 by the author(s). http://pure.iiasa.ac.at/566/

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A METHOD TO STUDY THE ORGANIZATIONAL

DIMENSION OF REGIONAL PROGRAMS

Raul Espejo

March 1976 WP-76-l4

Working papersare internalpublicationsintendedforcirculation within the Institute only. Opinions orviews containedhereinaresolely thoseof the author.

2361 ILaxenburg International Institute for Applied Systems AnalysisAustria

A METHOD TO STUDY THE ORGANIZATIONAL DIMENSION

OF REGIONAL ｐｒｏｇｒａｾＱｓ

1. Introduction

Our current researchactivities at IIASA provide theopportunity to study five caseson the organizationof regionaldevelopment. These casesare TVA, Bratsk-Ilimsk TerritorialProductionComplex, Scotland, Vistula-Lublin and Guayana inVenezuela. The aim of this paper is to presenta researchmethodfor this purpose independentof the particular characteristicsthat each casemight have. This method is supportedlbya modelof the organizationalstructureof any viable system. In thiscase the 'regional system' is postulatedto be a viable system.If the program is going to be successfulit should be viable.This suggeststhe need to define the 'regional system' withprecision. The elucidation of the componentsof this system isseenas a fundamental researchstep in this method. A secondstep focuses on the organizationalfunctions that these partsfulfil, and on the linkages among them. A third step relates tothe consistencyof the regional organizationand its effectiveness.The secondstep seeks to provide the basic structure to supportthe search for information. A set of questions, supportedbythis structure, will be presentedfor explanatorypurposes. This'questionnaire'is by no means comprehensiveand it is hoped thatimprovementswill be made on it along this researchprocess.

2. The Model of the OrganizationalStructureof any ViableSystem

A very short summary of the organizationalmodel of anyviable system is presentedin what follows. I have pres2ntedin a previous paper the scientific support to this model . Theaim now is to provide the readerwith the conceptualtools usedin the applied sectionsof the paper.

If a system is to be viable it needs to develop five basicfunctions, namely

- Policy function

- Development function of the system, e.g. planning andresearch

- Operationalmanagementof the system'soperations

- Coordinationof the operations,and

- Operations (subsystems).

lStafford Beer: Brain of the Firm, Allen Lane 1972

2Raul Espejo: "A Cybernetic Paradigmfor OrganizationalAssessment"LOP Working Paper 1975

- 2 -

The operationsrepresentthe 'implementing' capacity of thesystem, and they themselvesneed to be viable in order to besuccessfulin the very complex environmentaround them. In otherwords, the function of 'doing' needs to be autonomous, just becausewe cannot expect that the managementabove is going to controlevery single action of these operations. This means, that the'operations' themselveshave the five mentioned functions i.e.policy, development,operationalmanagement,coordinationandoperationsat a lower level. This is the concept of 'recursion'(Fig. 1). This means that the whole is encapsulatedin the parts.Of course, the first systemunder our attention is also encapsulatedat a higher level viable organizationi.e. the metasystem.

The linkages (communicationchannelsand information transfer)among these functions are the basic elementsthat support thesystem'seffective operation (e.g. a case in which the developmentfunction has little influence on the policy processis clearlyaffecting the long term survival of the system). Figure 2 presentsthe organizationalmodel of any viable system and we can see on itthe type of linkages we postulateare necessaryfor an effectiveinteraction of the functions.

Of course the model has nothing to do with an organizationalchart. It is quite feasible to have many institutional parts,institutions or existing mechanismsfulfilling the same function.If we want to apply this model to the regional systemit isimportant to understandthis point. In this context it is equallyrelevant to have good integratingmechanismsof the differentinstitutional parts fulfilling the same function as to have wellstructuredrelationshipsamong different functions.

The basic structural linkages are:

Command linkages (the central lines of Fig. 2), theyconnect the different functions on a hierarchicalbasis.The policy function is above all others. The developmentfunction is on the line of command, though not necessarilyabove the operationalmanagement(that is the meaning ofthe dotted lines). The operationalmanagementis abovethe operations. (Of course there are no hierarchical linesamong the operationsthough they might be more or lessinterconnectedon their operations, this is representedby the quivered lines.)

Linkages with the environment; the 'developmentfunctions'at the different recursion levels are providing the inter-action with the relevant environmentand therefore support-ing the ｾ ｹ ｳ ｴ ･ ｭ Ｇ ｳ adaptivity to changes.

- Coordinative linkages (the right side lines below theOperationalmanagement); theseare the main structuralmechanismsto reduce oscillations in the simultaneousactivity of the operations. At the same time they arefiltering information for the operationalmanagement(managementby exception). No doubt, within the different

- 3 -

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- 4 -System

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·- 5 -

functions there are many coordinative problems, but theydo not have the saIDE systemic implication as the one thatis pointed out here.

- Auditing linkages (the left hand lines below the Operationalmanagement);they representthe managementprerogativetoget information on the 'operations'by-passingtheircorporatemanagmentfunctions i.e. the top three functionsof this lower recursion level.

- Linkages supporting the top decision process (the non-command linkages among the top three functions). Theyrepresenta continuous transmissionof information betweenthe Developmentand OperationalManagementfunctions, whichare monitored by the policy function. Developmentisconcernedwith the long term viability of the system.Operationalmanagementwith its presentviability. Theyare competing for the allocation of limited resourcesintheir own sphereof action, and eventually they are inconflict. One of the main functions of 'policy' is toallocate the scarceresourcesamong these two functions.

Summing up, the concept of recursion as developedabove andits implication in terms of the organizationalfunctions andlinkages, should help us to define what we mean by 'regionalsystem.'

3. The Regional System

For the purposeof the case studies we have used a definitionof regional developmentwhich is consistentwith the aims of theorganizationalanalysis. Basically, we are consideringregionalprograms.wherethere is an explicit political decision to developa region, i.e. there are explicit goals, and these decisions implychangesin the regional activities and organizations.The wholesystem is tuned to make the programs implied by these goals viable.

One of the characteristicsof this system is that it embracesa set of organizations. The inter-organizationaldimension hasto be understoodin order to understandthe 'organization' of theregional program. The normal situation is that a set of insti-tutions are relevant to explain the regional developmentandnot just one. Even many of them will not be regional organizations,although in this respectwe can find a large range of possibilities.The basic point is that the 'regional system' does not necessarilymap the geographicalboundariesof the region. On the contrary,we can expect that it will often include trans-regionalinstitutions.But of course, this is something that changesfrom country tocountry, and is in itself a basic issue of research. The modelwhich has already been presentedprovides us with a usefulparadigm for these purposes.

A first step is to postulatethe 'regional system' as aviable system. This has two immediate consequences:

1. That a Regional System has the five mentioned functions;

- 6 -

policy, development,operationalmanagement,coordinationand operations.

2. That it is embeddedin the national system and of course it is･ ｾ ｢ ･ ､ ､ ｩ ｮ ｧ subsystems(the operations) that are viable too.

In order to find out the relevant institutions and mechanismssupporting the regional development,we trace the 'goals' up to thelevel where the unfolding of goals into subgoalsstill representsonly a ｴｲ｡､･ｾｯｦｦ internal to the region. Above this level is thenational system. Once we have delimited the regional system, ourtask is to study the institutions supporting the regional program,in particular their managerialand structural characteristics.Of course in caseswhere multi-organizationsare supportingeachfunction of the regional system, their level of integration isof significant importance to understandthe consistencyandeffectivenessof the whole program. The 'questionnaire'presentedlater in this paper will take into account these conceptualpoints.

In addition to the 'regional system' we are interestedinits links with its relevant national system. If the regionalprogram is a national policy probably its embeddingis going tobe different from if it were the result of a regional policy.The intelligence capacity and the operationalmechanismsavail-able at the national level are related to the precision and elabo-ration of the set of goals that the regional institutions aregoing to receive. The control mechanismsmore or less definethe regional discretion in unfolding goals.

As for the subsystemsof the regional system, i.e. theoperations, in generalwe will not consider them in detail. Weare mainly interestedin the multi-organizationsand this impliesa constraint in developing in-depth organizationalstudies. Butthis might change according to the characteristicsof the differentnational settings and the concreteresearchapproaches. TheTennesseeValley and Guayanasettings suggestin-depth studiesof TVA and GuayanaCorporation. The field trip to Bratsk permitsan in-depth study of Bratskgesstroi, one of the many organizationsinfluencing the regional program. The Soviet, as well as theBritish and Polish settings, are clear casesin which the regionaldevelopmentcannot be explainedunless we develop a methodologyto study the multi-organizationaldimension.

The previously mentionedconceptsof 'viable system' and'recursion' provide us with the tools to develop a common metho-dology to study within the 'Regional System' any particularorganization. It just dependson the level of resolution wewant to achieve.

4. ConsistencyAnalysis

The conceptof consistencyis one of the basic elaborationswe can develop from the definition of a 'regional system'. Thisrepresentsa second area for our researchactivities.

- 7 -

Consistencyanalysis is aimed at elucidating the organizationalmechanismscreatedto support the regional program and at examiningwhether thesemechanismscan be used effectively by the 'regionaloperations' (subsystems),consideringtheir linkages with theirmetasystems(the policy, development, and operationalmanagementfunctions of the regional system). Therefore we are talking aboutthe influence of the behaviour of the Regional System on thebehaviourof its subsystems. We are postulating that if theorganizationalmechanismscreatedto implement an integratedregional program are going to be effective, they should be supportedbehaviorally by the other organizationalfunctions i.e. policy,planning, operationalmanagement. For example, if CorporateManagementof the regional program is the newly createdorgani-zational mechanismand at the same time the metasystemkeeps adepartmentalizedbehaviour, it will not be possible to make thecorporateapproacheffective. Thus we are interestedin under-standing the consistencyof organizationalmechanismsused at twodifferent levels of recursion. If the metasystemdoes not supportwith its behaviour the level of integration that it wants or thatthe systems think is necessary,the result is that the behaviourof systems,de facto, is going to be that which is induced by themetasystem,even if this is inconsistentwith the createdmechanisms.

This problem of consistencyis particularly interestingwhenwe are studying multi-organizationsas opposedto the situationof different divisions in the same institution. In the firstcase this problem is less obvious. From the multi-organizationaldimension this consistencyanalysis implies a basic understandingof the integratingmechanismsin use internal to the differentsystemic functions, i.e. the internal integration of the fivefunctions.

5. The Problem of OrganizationalEffectiveness

This step aims at the elucidation of the actual behaviourof the 'Regional System'. This aspect is related to the natureof the linkages among the structural parts that define the system.This analysis adds to the previous one the dynamic assessmentofthe regional function. Mapping the actual inter-organizationalrelationshipson the organizationalmodel of a viable systemshould provide criteria for finding out the strengthsand weak-nessesof the 'Regional System'.

Although we are interestedin the assessmentof the 'RegionalSystem' effectiveness,our priorities at this stage, are concernedwith defining the system and studying its consistency. I considerthis latter step, i.e. consistency,the most general test ofeffectiveness,ｾ ｵ ｴ of course it does not cover an in-depth studyof the structural effectiveness.

6. The Use of the Model

Up to this stage, we have:

a definition of IntegratedRegional Development;

a conceptualmodel to study organizations;

- 8 -

- a definition of 'Regional System';

- a definition of organizationalconsistency,and

- a tool to study organizationaleffectiveness.

Now, we want to operationalizethese conceptsand definitions.In practice we want to suggesta thread that can support our datacollection efforts. Basically, any organizationis the result ofthe explicit or implicit efforts to cope with the complexity ofits environment. For that purpose, it developsmechanismstoreduce the environmentalcomplexity and to increasethe managementcomplexity. The elucidation of the organizationalmechanismsandmanagementpracticesthat support these filtering and amplifyingprocessesis the main thread for our own data collection efforts.

We can think of structural, planning and operationalmechanismsto reduce the environmentalcomplexity. On the other hand, amongothers there are structural, augmentationand informationalmechanismsto amplify the managementcomplexity (see Fig. 3). Thisis a common problem to all caseswe are studying and it seemsimportant to find out the practical solution to it in the differentregional settings. In practice our data collection efforts arestructuredaround this problem. An outcome of our studies on thisdata collection stage should be a table for each casewith theamplifiers and filters of complexity in use in each setting. Tohelp this activity we shall presentthe structure of a 'question-naire'. No doubt the questionsthemselvesare context-boundandthereforeany extendedlist would be just an instance, for ex-planatory purposes. The structureof the 'questionnaire'suggeststhe 'boxes' that need to be sorted out, normally in a non-sequentialprocess,until we are satisfiedwith our understandingof them.A secondcharacteristicof this structure is that it is recursive.If we want to develop in-depth analysisof particular organizations,e.g. Bratskgesstroi,we can apply the same structure, now at thislower level of recursion. This recursivenessis supportedby thenature of our organizationalmodel. In fact the structureof the'questionnaire'is a mapping of that model in the particularspaceof the mechanismsthat support the organizationalbehaviouri.e. filters and amplifiers.

7. The Structureof the Questionnaire

We conceive the questionnaireas a basic tool to elucidate:

1. The Organizationof the Regional System,

2. The structureand fundamentalcharacteristicsof theregional metasystem,and

3. The internal consistencyof the Regional System.

There is no way to have a linear developmentof these threeaspects. Basically, our interactionswith different operationsshould lead us in a heuristic process,of which the questionnaireis just a tool, to a reasonableunderstandingof the overallorganizationalaspectsof the Regional System.

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- 9 -

The structure that we propose is focused on the aim ofdefining the Regional System. Although we might not know inadvance the nature of the regional system, we will hypothesizethat it is a viable system and thereforewe want to inquire aboutthe following functions:

a) The Policy Function (of the Regional System)

1. Goals that define the operationof the policy units.

2. Internal structureof the Policy function; Integrationof the policy units. The multi-organizationaldimension.Decision mechanisms.

3. Nature of the linkages with the national system (Thislatter is defined by the set of organizationsconcernedwith the particular IRDF for which this program is justone among other alternative decisions).

4. Nature of the linkages with the developmentand operationalfunctions of the Regional System. Monitoring of theseinstitutions.

b) The DevelopmentFunction

1. Internal structureof the function. Analysis of thedifferent relevant units and their level of integration,e.g. multi-organizationor single organization.

2. Tools to filter the environmentalcomplexity e.g. planningmethods, longterm, shorttermplans, use of mathematicaland other models.

3. Influence of the developmentfunction on the policy function.Elucidation of linkages, e.g. advisory role, on the lineof command ....

c) OperationalManagementof the Regional System

1. Internal structureof the function and mechanismsofintegration, e.g. if there are many organizationsfeedingthe regional operationswith cormnands, do they havecoordinatingmechanisms?

2. Linkages with the developmentfunction. Mechanismstoreceive and transmit information to the developmentunits.

3. Linkages with the regional operations. Are there manychannels feeding the regional operationsor just one?What sort of mechanismsdo they use to transmit commands?Level of delegation. Mechanismsreducing the complexityof the information generatedby the operations.

4. Mechanismssupporting the operationalmanagement,e.g.legal units, financial operations,auditing units, specialunits.

- 10 -

d) Coordinative Function

1. Structural characteristicsof coordinativemechanisms.Set of regional operationscovered by different coordinativemechanisms.

2. Nature of the coordinativemechanisms,e.g. informationsystems, coordinativebodies.

3. Role of the coordinative function in supporting thereduction of the operationscomplexity and thereforein helping the operationalmanagement.

e) Regional Operations

1. Goals and subgoalsof the Regional Operations. Level ofautonomy ln structuring these goals.

2. Structure of the Regional Operation 'doing' the IRDP.structural linkages.

3. Managementpractices; the policy, developmentandoperationalmanagementcharacteristics.(If the aim isan in-depth study of the Regional operations, the abovefour points should be developedin detail for each case).Basically this point seeks an overall assessmentof themechanismsthey use to reduce environmentalcomplexityand to amplify their managementcapacity.

4. Linkages with the operationalmanagement. Perceptionsof the regional operationson their linkages with theregional operationalmanagement.

8. One Example of Unfolding the 'QuestionnaireStructure'

With the aim of relating the above structurewith the sortof information we can normally gather on a field trip, we presentone example of the type of 'questionnaire'that can be generated.

a) The Policy Function

1. Goals that define the operationof the policy units.

- What are the goals of the Regional Program? (At present).- Which are the programs and projects related to the goals?- Which are the main decisions under considerationthat

are related to the above defined goals for the regionaldevelopment?

2. Internal structureof the Policy Function

- Which are the organizationsrelevant to the policyprocess?

- If many organizationsare related to the developmentprogram, what is the level of integration of the policyunits? Are these policy units operatingat different

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structural levels in the overall administrativesystem? What is the influence of the politicalsystem?Are there Regional ManagementBoards/Councils?Are there different structural mechanismsto supportthe policy processof the many policy units?Which are the mechanismssupporting the policyprocess?Think Tanks?Which are the norms of operationof the differentpolicy units? Are there big differences in timescales?

3. Nature of the Linkages with the National System

Which are the relevant institutions defining _regional policy? Where are the above mentionedpolicy units embedded? Is there any particularinstancerelated to 'regional policy' at the nationallevel? Is the particular IRDP under development theresult of national or regional goals?Which are the mechanismsused in the national systemto decide on regional development? Which are themechanismsused for this particular IRDP? Do theyuse think tanks? Do they use lAd hoc ' Commissions?Are. there I permanentI Commissions? What is theinfluence of regional bodies in this process? Whatis the relevanceof planning and researchorganizations?Which are the mechanismsto transmit goals and sub-goals to the regional system? Are they extensivelydevelopedat the center? Are they transmittedto,theregion in broad terms? What is the level of autonomyof the regional system?Which are the permanentmechanismsat the center tomonitor the policy development? How do they allocateresources? What sort of controls do they have overthe IRDP? In which time scale do they operate?Relevant to the IRDP, is there a similar level ofintegration at the national and regional policyprocesses?

4. Nature of the Linkages with the DevelopmentandOperationalManagementFunctions of the Regional System.

What is the influence of researchand planning in thepolicy processof the different units? Are researchand planning functions structurally independentofpolicy making? Do they have an advisory role? Whatare the interfacesbetween researchand planningand the policy functions?Is the policy processmainly related to operationalissues? Does it have a more strategic function?What is the nature of the interactionsof policymakers and operationalmanagers?Is there a clear mapping between the issuesdecidedby the policy function and the issueswhich are naturalto the regional operations?What about innovations inthat case?

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b} The DevelopmentFunction

1. Internal Structureof the Function.

Which are the planning and researchorganizationssupporting the regional policy process? What istheir internal structure? What are the availablemechanismsto integrate their activities? Can werecognize a synergistic operationof them, or ofany subsetof them? In which institutional settingare they embedded.

2. Influence of the DevelopmentFunctionon the PolicyFunction.

Do the planning and researchunits have directinfluence over the policy function? Do they operateby influencing the metasystemicrelationshipsof theregional system? What is the nature of their rela-tionship with the planning and researchinstitutionsat the metasystemiclevel? Is planning indicativeor compulsory?

3. Influence of the DevelopmentFunction over the Operational11anagement.

Is there any structural linkage between developmentunits and operationalmanagement? Are they undertheir control? Are the developmentunits tuned tothe operationalproblems or are they defining newventures? Is there a permanenttransfer of informationbetween these two types of units?

4. Tools to Filter Environmental Complexity.

What type of specializationdoes researchhave on theregion? What sort of models do they use? Is planningshort-, medium- or long-term oriented? Which are thecriteria for delegationof developmentproblems?Whatare the planning instruments? Is planning very detailed?

c} OperationalManagementof the Regional System

1. Internal Structureof the Function.

Which are the organizationsin charge of transmittinginstructions and commands to the regional operations?Are all of them at similar hierarchical levels? Arethere mechanismsto integrate the different unitsrelated to operationalmanagement? Which are these -managementboards, information links, conferences...?

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2. Linkages with the DevelopmentFunction.

Which are the informational mechanismslinking thesetwo organizationalfunctions? Are they designedtooperateon a permanentbasis or are they ad hoc?Do the operationalmanagementbodies have internalresourcesto operationalizethe results transmittedby the developmentfunction?

3. Linkages with the 'Regional Operations'

Are there many channelsfeeding the regional operationswith instructionsor commands? If so, is one dominant?What sort of mechanismsdo they use for these purposes?Budget mechanisms? Detailed instructions? Operationalindices? Are there broad definitions of goals thatneed to be amplified in the region? What level ofspecificity has the setting of targets?Which are the control mechanisms? Are there wellstructuredinformation systems?Is there a well devel-oped monitoring system? What are the practicalexpressionsof the auditing activity? Are thereenough control mechanismsas comparedto the level ofdetail in instructions? Managementby exception?Are there well developedcommunicationchannelstoreach the operationalmanagement?

4. Mechanisms Supporting the OperationalManagement

How do the operationalmanagersamplify their manage-ment capacity? Do they use consultants,experts?What is the criterion used to develop the controlcapacity? By function? By type of operation?

d) Coordinative Function

1. Structural characteristicsof coordination

How extensiveare the communicationnetworks? Arethere many different communicationnetworks? Whatis their institutional coverage? What is the structureof these networks? Are they supportingmore verticalinteractions than horizontal interactions? What arethe capabilities of the communicationnetwork? Towhat extent are these communicationnetworks supportedby the cultural characteristicsof the regional setting?e.g.Meetings.Whatare the main differences betweenｩ ｮ ｴ ｲ ｡ ｾ ｯ ｲ ｧ ｡ ｮ ｩ ｺ ｡ ｴ ｩ ｯ ｮ ｡ ｬ coordination and inter-organizationalcoordination?

2. Nature of the coordinativemechanisms.

What sort of information do the networks convey?Are there well structuredinformation systems?Arethey particularly related to a specific function?

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Are they mainly related to strategicoperations?What sort of mechanismsare used to filter data?What are the normal time lags in transmitting data?What sort of criteria are used to aggregatedata?If coordination is supportedby meetings, what sortof information is normally exchangedthere?

3. Role of the Coordinative Function in Supporting theOperationalManagement

Are the mechanismsfor coordination feeding theOperationalManagementwith well structuredinformation?Do they representan effective reduction of the opera-tions complexity? Are the interfaces information-managerswell designed? To what extent have decisionrules been made automatic? What are the supportmechanismsif the automatedsystem fails?

e) Regional Operations

1. Goals and subgoalsof Regional Operations

In what level of detail do goals arrive at the regionaloperations? Do they structure programs and projectsfrom scratch? What are the goals and subgoalsof thedifferent Regional Operations? What are the practicalexpressionsof these goals? Which are the institutionsinvolved in the implementationof the programs andprojects?

2. Structureof the Regional Operations

Which are the regional operations? Are all of themat the same hierarchical level? What are the linkagesamong them? Are these linkages well structured? Whichtype of institutions are involved - private companies,state agencies,local authorities, nationalizedindustries..

3. 1. ManagementPractlces

What are the policy mechanismsof the Regional Operations?What can we say about the interactionsof the operationswith the regional environment? What are the mechanismsthey use to reduce the environmentalcomplexity? Whichare the mechanismsthey used to increasethe managementcapacity? What sort of models and planning techniquesdo they use? Do they use direct or indirect operationalmechanisms? What are the internal coordinativemechanisms?

lIf the intention is to develop an in-depth analysisof anyparticular 'operation' then the whole questionnaireas developedabove should be used.

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4. Linkages with the Regional OperationalManagement

What is the perceptionof the operationsas regardstheir relationshipswith the OperationalManagement?Is the information they transmit to the upper leveluseful to them? Are the communicationsmainly on thecommand, coordinativeor auditing lines? Is there anyway to assesstheir effective level of autonomy? Whatare the types of regulationsand controls affectingthe operationsof these institutions? Do they perceiveconflicting objectives?