A- OQZSJ d i s c u s s i o n paper s e r i e s

I n t e r n a t i o n a l I n s t i t u t e o f Management - W i s s e n s c h a f t s z e n t r u m B e r l i n

G r i e g s t r a B e 5-7, D-1000 B e r l i n 33

dp/77 - 90

I n t e r g o v e r n m e n t a l P o l i c y S t u d i e s : I s s u e s , Concepts and P e r s p e c t i v e s

by

F r i t z W. S c h a r o f

O c t o b e r 1977

T h i s paper i s c i r c u l a t e d t o s t i m u l a t e d i s c u s s i o n and c r i t i c a l comment. I t s c o n t e n t s a r e p r e l i m i n a r y and s h o u l d , t h e r e f o r e , n o t be q u o t e d w i t h o u t p e r m i s s i o n .

A b s t r a c t

The a r t i c l e ( w h i c h i s i n t e n d e d as t h e c o n c l u d i n g c h a p t e r i n : K.Hanf and F.W.Scharpf, eds., I n t e r g o v e r n m e n t a l P o l i c y Making, London: Sage 19 78, f o r t h c o m i n g ) a t t e m p t s t o d e v e l o p a frame o f r e f e r e n c e f o r i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s . I t proceeds f r o m t h e p r e m i s e t h a t p r e s c r i p t i v e and e m p i r i c a l p e r s p e c t i v e s a r e e q u a l l y r e l e v a n t t o t h e s t u d y o f p u b l i c p o l i c y , and t h a t t h e s p e c i f i c c o n t r i b u t i o n o f i n t e r ­o r g a n i z a t i o n a l s t u d i e s w i l l be t h e p r e s c r i p t i v e a n a l y s i s o f n e c e s s a r y p a t t e r n s o f i n t e r g o v e r n m e n t a l c o l l a b o r a t i o n and c o o r d i n a t i o n , and t h e e m p i r i c a l a n a l y s i s o f s t r u c t u r a l f a c t o r s f a c i l i t a t i n g o r i m p e d i n g such c o o r d i n a t i o n . The c r u c i a l element i n such a n a l y s e s w i l l be t h e i d e n t i f i c a t i o n o f p a t t e r n s o f u n i l a t e r a l o r m u t u a l dependence among a c t o r s i n i n t e r o r g a n i z a t i o n a l n e t w o r k s o f exchange r e l a t i o n s h i p s .

Zusammenfassung

Der A u f s a t z (vorgesehen a l s S c h l u B k a p i t e l i n : K.Hanf and F.W. S c h a r p f , eds., I n t e r g o v e r n m e n t a l P o l i c y iMaking, London: Sage 1978, im E r s c h e i n e n ) v e r s u c h t , e i n e n t h e o r e t i s c h e n Bezugsrahmen f u r d i e U n tersuchung von P o l i t x k f o r m u l i e r u n g und P o l i t i k i m p l e m e n t i e r u n g im I n t e r o r g a n i s a t i o n s - Z u s a m m e n h a n g zu e n t w i c k e l n . Er b a s i e r t auf d e r Annahme, daS p r a s k r i p t i v e und e m p i r i s c h e F r a g e s t e l l u n g e n g l e i c h e r m a f i e n n o t wendige P e r s p e k t i v e n d e r P o l i t i k f o r s c h u n g d a r s t e l l e n , und daB d e r s p e z i f i s c h e B e i t r a g i n t e r o r g a n i s a t o r i s c h e r Untersuchungen i n der p r a s k r i p t i v e n A n a l y s e n o t w e n d i g e r K o o r d i n a t i o n s b e -z iehungen und d e r e m p i r i s c h e n A n a l y s e d e r s t r u k t u r e l l e n Bedingungen und H i n d e r n i s s e s o l c h e r K o o r d i n a t i o n s b e z l e h u n g e n bes-ceht. W e s e n t l i c h e r B e s r a n d t e i l s o l c h e r A n a l y s e n i s t d i e E r m i t t l u n g e i n s e i t i g e r oder w e c h s e l s e i t i g e r Abhangigkei-cen zwischen A k t o r e n i n i n t e r o r g a n i s a t o r i s c h e n Austausch.be-z i e h u n g e n .

I n t e r g o v e r n m e n t a l P o l i c y S t u d i e s :

I s s u e s , Concepts and P e r s p e c t i v e s

F r i t z W. S c h a r p f

I n t r o d u c t i o n

C o n t r i b u t i o n s t o t h i s volume have approached t h e theme o f " i n t e r g o v e r n m e n t a l p o l i c y making" t h r o u g h a v a r i e t y o f c o n c e p t u a l , t h e o r e t i c a l and m e t h o d o l o g i c a l avenues o f w h i c h i t i s n o t o b v i o u s t h a t t h e y w i l l l e a d t o t h e same d e s t i n a t i o n . I n t h i s r e s p e c t , t h e y share t h e c h a r a c t e r i s t i c s o f most work i n t h e emergent f i e l d o f " i n t e r - o r g a n i z a t i o n a l " o r " i n t e r - c o r p o r a t e " o r " i n t e r g o v e r n m e n t a l " o r " t r a n s n a t i o n a l " p o l i c y making ( T u i t e e t a i . , 1972; F r i e n d e t a l . , 1974; Negandhi, 1975; Wa l l a c e e t a l . , 1 977) . The a p p a r e n t h e t e r o g e n e i t y o f i n d i v i d u a l approaches w h i c h so f a r has p r e v e n t e d t h e e v o l u t i o n o f a common p a r a d i g m and t h e c u m u l a t i v e d e v e l o p ­ment o f t h e o r y , methodology and e m p i r i c a l knowledge ( S j o b l o m , 1 9 77) , w h i l e n o t u n u s u a l i n t h e s o c i a l s c i e n c e s , i s s t i l l s u r p r i s i n g i n v i e w o f t h e q u a n t i t y o f r e s e a r c h e f f o r t s i n v e s t e d i n t h e f i e l d i n t h e U n i t e d S t a t e s as w e l l as i n Europe.

The a p p a r e n t l a c k o f convergence i n i n t e r g o v e r n m e n t a l p o l i c y s t u d i e s i s , a t b e s t , p a r t l y e x p l a i n e d by a d i s ­i n t e r e s t i n , o r a d i s t r u s t o f , g e n e r a l t h e o r y on t h e p a r t o f many r e s e a r c h e r s who a r e h e s i t a n t t o move beyond t h e a s p i r a t i o n l e v e l o f h i s t o r i c a l case s t u d i e s (Heidenheimer e t a l , , 1975). I n s t e a d , i t i s su g g e s t e d t h a t t h e p r e v a l e n c o f t h e case method i n t h e f i e l d o f p o l i c y s t u d i e s c o u l d i t s e l f be e x p l a i n e d by t h e d i s c r e p a n c y o f two t h e o r e t i c a l

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p e r s p e c t i v e s which, a r e b o t h r e l e v a n t and y e t i n c o n g r u e n t : Under t h e f i r s t ( " p r e s c r i p t i v e " ) p e r s p e c t i v e , p o l i c y making appears as a p u r p o s i v e a c t i v i t y w h i c h c a l l s f o r e v a l u a t i o n i n t h e l i g h t o f i t s g o a l s ; and t h e second ( " p o s i t i v e " ) p e r s p e c t i v e , p o l i c y making i s an e m p i r i c a l p r ocess w h i c h c a l l s f o r e x p l a n a t i o n i n terms o f i t s causes and c o n d i t i o n s . I t i s t h e u n r e s o l v e d t e n s i o n between b o t h p e r s p e c t i v e s w h i c h , i t i s s u g g e s t e d , e x p l a i n s t h e l a c k o f t h e o r e t i c a l convergence i n c u r r e n t p o l i c y s t u d i e s .

2. Two P e r s p e c t i v e s

The d i s c r e p a n c y o f r e s e a r c h p e r s p e c t i v e s seems p a r t i c u l a r l y a c u t e i n t h e f i e l d o f i n t e r g o v e r n m e n t a l p o l i c y s t u d i e s , where t h e e s s e n t i a l l y m o n i s t i c p e r s p e c t i v e o f p r e s c r i p t i v e p o l i c y a n a l y s i s and p ' o l i c y e v a l u a t i o n c o n f l i c t s w i t h t h e i n h e r e n t l y p l u r a l i s t i c frame o f r e f e r e n c e o f e m p i r i c a l s t u d i e s o f i n t e r - g o v e r n m e n t a l and i n t e r - o r g a n i z a t i o n a l d e c i s i o n making.

P r e s c r i p t i v e o r e v a l u a t i v e p o l i c y s t u d i e s depend upon t h e concept o f a " g o a l " f o r w h i c h "means" can be d e s i g n e d , and i n r e l a t i o n t o w h i c h "performance" can be e v a l u a t e d . As one p o l i c y a n a l y s t p u t i t s u c c i n c t l y : " I f ycu d o n ' t c a r e where you g e t t o , t h e n i t d o e s n ' t m a t t e r w h i c h way you go." (Wholey e t a l . , 1975). T h i s g o a l o r i e n t a t i o n i s a l s o c h a r a c t e r i s t i c o f e m p i r i c a l s t u d i e s o f p o l i c y i m p l e m e n t a t i o n t o t h e e x t e n t t h a t t h e y need t o r e l y upon some a u t h o r i t a t i v e s p e c i f i c a t i o n o f " p o l i c y " o r "program" i n o r d e r t o d e f i n e t h e o b j e c t a r e a o f i m p l e m e n t a t i o n r e s e a r c h (Pressman and W i l d a v s k y , 1973; Mayntz, 1 977; B l a n k e n b u r g , 1977).

But t h e i n s t r u m e n t a l l o g i c o f g o a l s and means w h i c h u n d e r l i e s a l l p o l i c y a n a l y s i s i s , o f c o u r s e , t h e l o g i c o f

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i n d i v i d u a l r a t i o n a l i t y . I t presupposes t h e e x i s t e n c e o f a u n i t a r y mind w h i c h i s c a p a b l e o f o r d e r i n g i t s p r e f e r e n c e s , o f f o r m u l a t i n g n o n - c o n t r a d i c t o r y g o a l s , and o f e v a l u a t i n g , a l t e r n a t i v e means and a c t u a l p e r f o r m a n c e i n t h e l i g h t o f i t s i n t e g r a t e d g o a l system. These c o n d i t i o n s are assumed t o e x i s t ( r e g a r d l e s s o f what we know about p s y c h o l o g i c a l p r o c e s s e s ) w i t h i n i n d i v i d u a l human b e i n g s , and t h e y a r e sometimes a t t r i b u t e d t o c o l l e c t i v e s o f i n d i v i d u a l s w i t h a u n i t a r y d e c i s i o n - m a k i n g s t r u c t u r e and (even more t e n u o u s l y ) t o t h e "dominant c o a l i t i o n " w i t h i n o r g a n i z a t i o n s whose i n t e r n a l p l u r a l i s m i s o t h e r w i s e r e c o g n i z e d (Thompson, 1961) . Such u n i t a r y n o t i o n s , however, whose u s e f u l n e s s i s d o u b t ­f u l even f o r t h e e x p l a n a t i o n o f i n t r a - o r g a n i z a t i o n a l d e c i s i o n making ( C y e r t and March ,1 9 7 3 ) , appear t o be t o t a l l y a t odds w i t h t h e i n h e r e n t p l u r a l i s m o f i n t e r ­g o v e r n m e n t a l d e c i s i o n making.

I n i n t e r g o v e r n m e n t a l d e c i s i o n s , d e f i n e d as d e c i s i o n s a r i s i n g f r o m t h e i n t e r a c t i o n s between t h e governments o f n a t i o n s t a t e s o r between n a t i o n a l , r e g i o n a l and l o c a l governments w i t h i n one n a t i o n s t a t e , t h e p l u r a l i t y o f s e p a r a t e a c t o r s i s most o b v i o u s . But even i n i n t r a -g o v e r n m e n t a l p o l i c y p r o c e s s e s ,we know t h a t s e p a r a t e c o a l i t i o n p a r t i e s and s e p a r a t e government d e p a r t m e n t s and a g e n c i e s and, o f t e n , , s e p a r a t e p a r l i a m e n t a r y committees w i l l pursue t h e i r s e p a r a t e and o f t e n c o n f l i c t i n g g o a l s i n s p i t e o f t h e e x i s t e n c e o f f o r m a l i n s t i t u t i o n s f o r a u t h o r i t a t i v e c o n f l i c t r e s o l u t i o n , such as t h e p r e s i d e n c y , o r t h e c a b i n e t o r t h e p l e n a r y p a r l i a m e n t . Thus, i n t r a -g o v e r n m e n t a l d e c i s i o n p r o c e s s e s seem t o d i f f e r , i f a t a l l , o n l y i n degree f r o m t h e p l u r a l i s m o f i n t e r ­g o v e r n m e n t a l d e c i s i o n making. And whenever we l o o k more c l o s e l y a t i n t r a - o r g a n i z a t i o n a l d e c i s i o n p r o c e s s e s , we a g a i n f i n d o r g a n i z a t i o n a l s u b - u n i t s w i t h s e p a r a t e

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i d e n t i t i e s and s e p a r a t e i n t e r e s t s p u r s u i n g s e p a r a t e g o a l s w h i c h a r e n o t n e c e s s a r i l y i n t e g r a t e d i n t o a non-c o n t r a d i c t o r y system o f o r g a n i z a t i o n a l g o a l s . T h i s i s t r u e o f government d e p a r t m e n t s , and i t i s even t r u e o f b u s i n e s s f i r m s w h i c h have been e m p i r i c a l l y d e s c r i b e d as v a r i a b l e c o a l i t i o n s o f a c t o r s p u r s u i n g s e p a r a t e g o a l s ( C y e r t and March, 1973), even t h o u g h t h e i r i n s t r u m e n t s f o r a u t h o r i t a t i v e g o a l i n t e g r a t i o n appear t o be so much more p o w e r f u l t h a n a n y t h i n g t h a t i s a v a i l a b l e i n government (Gawthrop, 1969). I n f a c t , i t seems t h a t o n l y a t t h e l e v e l o f i n t e ­g r a t e d p r i m a r y groups c o u l d t h e n o t i o n o f a u n i f i e d a c t o r p l a u s i b l y r e p l a c e t h e s t u d y o f i n t e r - u r . i t i n t e r a c t i o n s i n p l u r a l i s t i c d e c i s i o n p r o c e s s e s ( K r o n e n b e r g , 1977 . 1 3 ) .

The f o r e g o i n g d i s c u s s i o n l e a d s t o one c o n c l u s i o n o f c r u c i a l i m p o r t a n c e : I t i s u n l i k e l y , i f n o t i m p o s s i b l e , t h a t p u b l i c p o l i c y o f any s i g n i f i c a n c e c o u l d r e s u l t f r o m t h e c h o i c e p r o c e s s e s o f any s i n g l e u n i f i e d a c t o r . P o l i c y f o r m a t i o n and p o l i c y i m p l e m e n t a t i o n are i n e v i t a b l y t h e r e s u l t o f i n t e r ­a c t i o n s among a p l u r a l i t y o f s e p a r a t e a c t o r s w i t h s e p a r a t e i n t e r e s t s , g o a l s , and s t r a t e g i e s . For p o l i c y s t u d i e s w h i c h a t t e m p t t o be e m p i r i c a l and e v a l u a t i v e a t t h e same t i m e , however, t h i s c o n c l u s i o n seems t o l e a d i n t o a dilemma:

Researchers may s t a y w i t h t h e u n i t a r y l o g i c o f g o a l s and means i n w h i c h case t h e y w i l l have t o adopt t h e p e r ­s p e c t i v e o f a s i n g l e , u n i t a r y a c t o r . A c c e p t i n g h i s g o a l s and c o n s t r a i n t s , t h e y w i l l have a p r e s c r i p t i v e framework f o r t h e e v a l u a t i o n o f a l t e r n a t i v e s t r a t e g i e s and o f a c t u a l p e r f o r m a n c e . I t s e m p i r i c a l e q u i v a l e n t w o u l d be the' 1 great-man" approach t o h i s t o r i o g r a p h y w h i c h a t t e m p t s t o e x p l a i n p o l i c y outcomes i n terms o f t h e g o a l s and a c t i o n s o f c h a r i s m a t i c l e a d e r s .

A t l e a s t under o r d i n a r y c i r c u m s t a n c e s , however,"metho­d o l o g i c a l i n d i v i d u a l i s m " t e n d s t o miss t h e " p u b l i c " s i g n i f i c a n c e o f p u b l i c p o l i c y p r o c e s s e s i n t h e p r e s c r i p t i v e as w e l l as i n t h e e m p i r i c a l sense. The g o a l s and s t r a t e g i e s o f any s i n g l e i n d i v i d u a l ( o r c o h e s i v e group) a r e l i k e l y t o

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e x p l a i n o n l y a c o m p a r a t i v e l y m i n u t e p o r t i o n o f t h e v a r i a n c e i n p o l i c y outcomes i n e m p i r i c a l r e s e a r c h ; and even i n t h e p r e s c r i p t i v e d i m e n s i o n t h e p l u r a l i t y o f g o a l s and a s p i r a t i o n s o f t h e m u l t i t u d e o f a c t o r s a c t u a l l y i n v o l v e d w i l l p r o v i d e a f a r g r e a t e r r i c h n e s s and v a r i e t y o f r e l e v a n t d e c i s i o n c r i t e r i a . Compared t o t h e s e more i n c l u s i v e c r i t e r i a , t h e g o a l s e t o f any s i n g l e a c t o r i s l i k e l y t o appear s e v e r e l y l i m i t e d , o r even i r r e l e v a n t , f o r t h e e v a l u a t i o n o f p u b l i c p o l i c y ,

A t t h e same t i m e , however, t h e p l u r a l i t y o f i n d i v i d u a l g o a l s and s t r a t e g i e s a c t u a l l y i n v o l v e d i n p u b l i c p o l i c y p r o c e s s e s , w h i l e s u f f i c i e n t , f o r t h e e m p i r i c a l e x p l a n a t i o n o f p o l i c y o u t ­comes, c a n n o t s e r v e as a p r e s c r i p t i v e frame o f r e f e r e n c e f o r p o l i c y e v a l u a t i o n . The a g g r e g a t e o f p a r t i s a n g o a l s w i l l n o t be h i e r a r c h i c a l l y i n t e g r a t e d , and t h e y a r e l i k e l y t o be c o n t r a d i c t o r y . Hence, no s t r a t e g y c o u l d be d e s i g n e d t h a t w o u l d f u l l y r e a l i z e t h e a g g r e g a t e o f i n d i v i d u a l g o a l s , o r whose a c t u a l p e r f o r m a n c e c o u l d be e v a l u a t e d i n terms o f such a g o a l s e t . Thus, e m p i r i c a l l y i d e n t i f i a b l e g o a l s , w h e t h e r t h o s e o f one i n d i v i d u a l o r t h o s e o f a l l p a r t i c i p a n t s , appear t o be e q u a l l y i r r e l e v a n t f o r t h e p u r p o s e o f p r e s c r i p t i v e p o l i c y a n a l y s i s and o f p o l i c y e v a l u a t i o n .

Of c o u r s e , t h e argument i s somewhat o v e r d r a w n - I n t h e r e a l w o r l d , t h e r e w i l l o f t e n be p o l i c y p r o c e s s e s d o m i n a t e d by a f a i r l y c o h e s i v e c o a l i t i o n o f i n f l u e n t i a l a c t o r s , o r g u i d e d by a b r o a d consensus o v e r t h e most r e l e v a n t g o a l s and t h e most p r e m i s i n g s t r a t e g i e s f o r t h e i r r e a l i z a t i o n . 3 u t t h e r e a r e a l s o f r e q u e n t examples o f p o l i c i e s w h i c h no s i n g l e a c t o r e v e r i n t e n d e d and w h i c h c o u l d o n l y be e x p l a i n e d as t h e b l i n d r e s u l t a n t o f t h e s e e m i n g l y e r r a t i c i n t e r a c t i o n among c o m p e t i n g p u r p o s e s and s t r a t e g i e s . Such examples seem t o be more f r e q u e n t i n i n t e r g o v e r n m e n t a l p o l i c y making.

One p o s s i b l e escape f r o m t h e d i s c r e p a n c y o f i n d i v i d u a l g o a l s and p u b l i c p o l i c y i s t h e s e l f - c o n s c i o u s a v o i d a n c e o f t h e e v a l u a t i v e p e r s p e c t i v e i n s t r i c t l y e m p i r i c a l r e s e a r c h

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f o c u s i n g upon p r o c e s s e s o f i n t e r a c t i o n among p a r t i c i p a n t s i n i n t e r o r g a n i z a t i o n a l case s t u d i e s , o r upon t h e s t r u c t u r a l a n a l y s i s o f i n t e r o r g a n i z a t i o n a l " n etworks o f i n t e r a c t i o n " and t h e problems o f t h e i r measurement w i t h o u t any r e f e r e n c e t o p r e s c r i p t i v e s t a n d a r d s o f "good" p o l i c y . These e m p i r i c a l approaches have l e d t o many i n t e r e s t i n g s t u d i e s . N e v e r t h e ­l e s s , by e l i m i n a t i n g e v a l u a t i v e c oncerns f r o m t h e i r r e ­s e a r c h agenda t h e y t e n d t o l o s e s i g h t o f t h e s o c i e t a l f u n c t i o n o f p o l i c y making. Above a l l t h e sound and f u r y o f i n t e r o r g a n i z a t i o n a l p o l i t i c s , p u b l i c p o l i c y making i s s t i l l t h e o n l y v e h i c l e a v a i l a b l e t o modern s o c i e t i e s f o r t h e c o n s c i o u s , p u r p o s i v e s o l u t i o n o f t h e i r p r o b l e m s . To s t u d y p u b l i c p o l i c y making as i f "purpose" d i d n o t m a t t e r w o u l d e l i m i n a t e a l l c r i t e r i a f o r s e l e c t i n g r e l e v a n t a s p e c t s f r o m t h e u n i v e r s e o f c o n f u s i n g e m p i r i c a l d a t a . T h i s , even i f e m p i r i c a l a c t o r g o a l s a r e i n s u f f i c i e n t as a r e f e r e n c e system, i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s s t i l l c a n n o t a v o i d t h e e v a l u a t i v e p e r s p e c t i v e . The d i f f i c u l t y can o n l y be a v o i d e d t h r o u g h t h e s y s t e m a t i c c o m b i n a t i o n o f ex­p l i c i t l y p r e s c r i p t i v e and e x p l i c i t l y e m p i r i c a l approaches t o t h e s t u d y o f p u b l i c p o l i c y making.

I n t h e " ( p r e s c r i p t i v e ) " d i m e n s i o n , i n t e r g o v e r n m e n t a l and i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s need t o i d e n t i f y t h e " o b j e c t i v e " p r o b l e m s i t u a t i o n t o w h i c h t h e p o l i c y p r o c e s s e s under s t u d y seem t o r e s p o n d . Given t h e "garbage-can" n a t u r e o f p o l i c y p r o c e s s e s w h i c h may become t h e v e h i c l e f o r d i v e r ­g e n t p r o b l e m p e r c e p t i o n s and a s p i r a t i o n s (March and O l s e n , 1976), t h i s i n i t s e l f may be a d i f f i c u l t and ambiguous t a s k i n w h i c h n o r m a t i v e judgements o f t h e r e s e a r c h e r w i l l o f t e n be u n a v o i d a b l e . They need t o be e x p l i c i t l y f a c e d i n t h e u n d e r s t a n d i n g t h a t t h e " h e r m e n e u t i c " r e c o n s t r u c t i o n o f s o c i a l problems cannot be a c h i e v e d t h r o u g h p u r e l y e m p i r i c a l r e s e a r c h o p e r a t i o n s i n any case (Gadamer, 19 60; Habemas, 1968; Kaufmann, 1977). F o r t u n a t e l y , however, m t h e m a j o r i t y o f p o l i c y p r o c e s s e s t h e r e seems t o be f a i r l y w i d e ­s p r e a d , even i f i m p r e c i s e , agreement about t h e i d e n t i t y o f t h e u n d e r l y i n g problems t h a t s h o u l d have been s o l v e d . On

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t h i s b a s i s , p o l i c y s t u d i e s s h o u l d i d e n t i f y and e v a l u a t e t h e p o l i c y a l t e r n a t i v e s a v a i l a b l e , n o t t o i n d i v i d u a l p a r t i c i p a n t s w i t h t h e i r s e l e c t i v e p e r c e p t i o n and l i m i t e d me an s, b u t t o t h e i n t e r - o r g a n i z a t i o n a l p o l i c y system as a whole.

The end p r o d u c t o f p r o b l e m a n a l y s i s s h o u l d be t h e f o r m u ­l a t i o n o f one o r more p r e s c r i p t i v e models o f "good" p o l i c y -good, i n t h e sense t h a t t h e y w o u l d be f e a s i b l e w i t h i n g i v e n c o n s t r a i n t s o f t h e p o l i c y system and t h a t t h e y w o u l d be e f f e c t i v e i n s o l v i n g , o r a t l e a s t r e d u c i n g , t h e under­l y i n g p r o b l e m . O b v i o u s l y , t h e c o n s t r u c t i o n o f such p r e ­s c r i p t i v e models o f e f f e c t i v e and f e a s i b l e p o l i c y a l t e r ­n a t i v e s must appear p r o b l e m a t i c a l t o p o l i t i c a l s c i e n t i s t s r e a r e d i n t h e i n t e l l e c t u a l t r a d i t i o n s o f v a l u e f r e e e m p i r i c a l r e s e a r c h . O t h e r d i s c i p l i n e s , however, such as economics, m e d i c i n e and p u b l i c h e a l t h , e c o l o g y o r j u r i s ­p r u d e n c e , have been much l e s s h e s i t a n t i n moving f r o m a p p l i e d r e s e a r c h t o p o l i c y p r e s c r i p t i o n , and i n s u b s t a n t i v e p o l i c y s t u d i e s p o l i t i c a l s c i e n t i s t s c o u l d l a r g e l y draw upon t h e i r work.

T a k i n g such p r e s c r i p t i v e models o f good p o l i c y as t h e i r p o i n t o f r e f e r e n c e , p o l i t i c a l s c i e n t i s t s can move on t o e m p i r i c a l p o l i c y s t u d i e s w i t h o u t e n g a g i n g i n t h e haphazard s e a r c h f o r p o s s i b l y i n t e r e s t i n g q u e s t i o n s w i t h i n a u n i v e r s e o f p o t e n t i a l l y r e l e v a n t d a t a . O b v i o u s l y , p r e s c r i p t i v e models w i l l p r o v i d e a s t a n d a r d o f e v a l u a t i o n a g a i n s t w h i c h a c t u a l p o l i c y p e r f o r m a n c e can be measured. But t h a t i s o n l y t h e b e g i n n i n g o f e m p i r i c a l p o l i c y r e s e a r c h . Once p e r ­formance d e f i c i t s have been i d e n t i f i e d , e m p i r i c a l r e s e a r c h w i l l be a b l e t o c o n c e n t r a t e i t s s e a r c h on t h o s e s t r u c t u r a l and p r o c e d u r a l a s p e c t s o f p o l i c y f o r m a t i o n and p o l i c y im­p l e m e n t a t i o n w h i c h can e x p l a i n such " p o l i c y f a i l u r e s " ( S c h a r p f , 1976a).

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The s p e c i f i c c o n t r i b u t i o n o f i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s t o t h e e x p l a n a t i o n o f p o l i c y f a i l u r e s i s d e f i n e d by t h e o b j e c t i v e i n t e r d e p e n d e n c e among p o l i c y c o n t r i b u t i o n s and, t h u s , by t h e i m p o r t a n c e o f c o l l a b o r a t i o n o r c o o r d i n a t i o n among s e p a r a t e i n s t i t u t i o n a l a c t o r s f o r t h e p o t e n t i a l success o f most p o l i c y p r o c e s s e s . T h u s , i t i s t h e t a s k o f i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s t o i d e n t i f y

- t h e " o b j e c t i v e " need f o r s p e c i f i c t y p e s o f i n t e r ­o r g a n i z a t i o n a l c o o r d i n a t i o n w i t h r e f e r e n c e t o t h e r e q u i r e m e n t s o f a p a r t i c u l a r t y p e o f p o l i c y w i t h i n t h e c o n s t r a i n t s o f a p a r t i c u l a r d e c i s i o n s t r u c t u r e ; as w e l l as

- t h e e m p i r i c a l f a c t o r s f a c i l i t a t i n g o r i m p e d i n g n e c e s s a r y i n t e r o r g a n i z a t i o n a l c o o r d i n a t i o n i n a c t u a l p o l i c y p r o c e s s e s .

The r e m a i n i n g s e c t i o n s o f t h i s paper w i l l p r e s e n t and e l a b o r a t e a number o f c o n c e p t s , t y p o l o g i e s and d i s t i n c t ­i o n s w h i c h s h o u l d f a c i l i t a t e t h e p e r f o r m a n c e o f b o t h t a s k s i n i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s .

3. The Need f o r C o o r d i n a t i o n

The need f o r p o l i c y c o o r d i n a t i o n , d e f i n e d i n terms o f t h e i n t e r d e p e n d e n c e among t h e p o l i c y c o n t r i b u t i o n s o f s e p a r a t e a c t o r s , may be s a t i s f i e d t h r o u g h d i f f e r e n t m o d a l i t i e s o f c o o r d i n a t i o n w h i c h w i l l n o t n e c e s s a r i l y i m p l y a need f o r i n t e r a c t i o n . P o l i c y s t u d i e s s h o u l d be aware o f t h e d i s t i n c t ­i o n between, and t h e p o t e n t i a l f u n c t i o n a l e q u i v a l e n c e o f , i n t e r a c t i v e and n o n - i n t e r a c t i v e m o d a l i t i e s o f c o o r d i n a t i o n (Dahl and L i n d b l o m , 1 9 53 ; Londblom, 1 965: chs. 3,4,and 5 ) .

( a ) U n i l a t e r a l a d j u s t m e n t i s a n o n - i n t e r a c t i v e m o d a l i t y o f c o o r d i n a t i o n t h a t c o u l d a p p l y t o a l l t y p e s o f p o l i c y i n t e r d e p e n d e n c e . I n t h e case o f j o i n t dependence upon i n p u t s f r o m a common, e x h a u s t i b l e s o u r c e , t h e s e v e r a l consumers m i g h t s e p a r a t e l y a d j u s t t h e i r shares i n such

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a way t h a t o v e r e x p l o i t a t i o n i s a v o i d e d . S i m i l a r l y , i n o u t p u t - i n p u t r e l a t i o n s h i p among p o l i c y u n i t s , " s u p p l i e r s " m i g h t a d j u s t t h e i r o u t p u t t o p e r c e i v e d i n c r e a s e s i n demand, w h i l e "consumers" m i g h t a d j u s t t h e i r i n p u t s t o p e r c e i v e d changes i n s u p p l y w i t h o u t e x p l i c i t c o m m u n i c a t i o n between them. And i n t h e case o f j o i n t i m p a c t s o f p o l i c y o u t p u t s upon a common t a r g e t , a l l u n i t s m i g h t e v e n t u a l l y m o d i f y t h e i r o u t ­p u t s i n such a way as t o m i n i m i z e c o n t r a d i c t o r y and t o maximize complementary e f f e c t s .

These a r e t h e mechanisms w h i c h N o r t o n Long (1962) d i s c u s s e d i n h i s most i m p o r t a n t essay on "The L o c a l Community as an E c o l o g y o f Games". The c o o r d i n a t i n g power o f u n i l a t e r a l " e c o l o g i c a l " l e a r n i n g m e r i t s more a t t e n t i o n t h a n i t has r e c e i v e d so f a r i n t h e s t u d y o f i n t e r o r g a n i z a t i o n a l p o l i c y making. From game t h e o r y we know, however, t h a t t h i s c o o r d i n a t i n g c a p a c i t y t e n d s t o f a i l under t h e s t r e s s e s o f zero-sum c o n f l i c t s and o f game c o n s t e l l a t i o n s o f t h e p r i s o n e r s ' dilemma v a r i e t y ( B u c k l e y e t a l . , 1974; Rapoport, 1974; O l s o n , 1 9 68) . And even i n t h e absence, o f m a n i f e s t c o n f l i c t s o f i n t e r e s t , e c o l o g i c a l l e a r n i n g i s l i k e l y t o .lead t o e q u i l i b r i u m s i t u a t i o n s o n l y i f e i t h e r r a t e s o f change are low and t h e p e r m i s s i b l e a d j u s t m e n t t i m e s l o n g , o r i f a c c u r a t e and r a p i d feedback i n f o r m a t i o n i s a v a i l a b l e about t h e p o l i c i e s o f a l l i n t e r a c t i n g p a r t i c i p a n t s and t h e i r m u t u a l e f f e c t s ( M e t c a l f e , 1 974) . Thus, t h e p r o d u c t and p r i c i n g p o l i c i e s o f f i r m s i n o l i g o p o l i s t i c m a r k e t s may be s u r p r i s i n g l y w e l l c o o r d i n a t e d even i n t h e ab­sence o f e x p l i c i t agreements t h a t c o u l d be c h a l l e n g e d i n a n t i - c a r t e l p r o c e e d i n g s . But under c o n d i t i o n s o f mere r a p i d change o r l e s s adequate feedback i n f o r m a t i o n , e c o l o g i c a l a d j u s t m e n t i s l e s s l i k e l y t o l e a d t o t h e e q u i l i b r i u m o f s u c c e s s f u l p o l i c y c o o r d i n a t i o n . The more t h e s e c o n d i t i o n s p r e v a i l , t h e more i n t e r o r g a n i z a t i o n a l c o o r d i n a t i o n w i l l depend upon v a r i o u s forms o f e x p l i c i t i n t e r a c t i o n .

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< b) C o o r d i n a t i o n t h r o u g h i n t e r a c t i o n i s u s u a l l y a h i g h l y complex p r o c e s s . For some p u r p o s e s , however, i t may be u s e f u l t o i d e n t i f y l e s s complex e l e m e n t s o f such i n t e r a c t i o n . Among t h e s e , one may d i s t i n g u i s h between v o l i t i v e c o mmunications and r e s o u r c e t r a n s f e r s . V o l i t i v e communications i n c l u d e o f f e r s , demands and commands and, c o n v e r s e l y , t h e a c c e p t a n c e o f o f f e r s , demands and commands, w h i l e r e s o u r c e t r a n s f e r s p o t e n t i a l l y i n c l u d e t h e t r a n s m i s s i o n ( o r s h a r i n g ) o f a l l e i g h t L a s s w e l l i a n v a l u e s (Lass-well and K a p l a n , 1950 ) . I n i n t e r o r g a n i z a t i o n a l i n t e r a c t i o n s , however, t r a n s f e r s o f m a t e r i a l r e s o u r c e s , o f i n f o r m a t i o n and o f l e g i t i m a c y a r e l i k e l y t o be o f p a r t i c u l a r i m p o r t a n c e .

A n o t h e r i m p o r t a n t d i s t i n c t i o n i s between i n t e r a c t i o n s w h i c h a r e i n t r i n s i c a l l y o f m u t u a l b e n e f i t t o b o t h i n t e r a c t i n g u n i t s , a n d t h o s e w h i c h a r e n o t . W h i l e m u t u a l l y b e n e f i c i a l i n t e r a c t i o n s (even t h o u g h t h e y may have t o compete f o r a t t e n t i o n w i t h i n g i v e n c a p a c i t y c o n s t r a i n t s ) a r e more l i k e l y t o be r e a l i z e d s p o n t a n e o u s l y when t h e o p p o r t u n i t y p r e s e n t s i t s e l f ( Schmidt and Kochan, 1 9 7 7 ) , i n t e r a c t i o n s w h i c h appear d i s a d v a n t a g e o u s o r i n d i f f e r e n t t o a t l e a s t one n e c e s s a r y p a r t i c i p a n t a r e u n l i k e l y t o o c c u r s p o n t a n e o u s l y . C o o r d i n a t i n g i n t e r a c t i o n s w h i c h w o u l d n o t o c c u r s p o n t a n e o u s l y among i n d e p e n d e n t p a r t i c i p a n t s p u r s u i n g t h e i r own ( o r g a n i z a t i o n a l ) s e l f - i n t e r e s t s h o u l d , i t i s s u g g e s t e d , become t h e m a j o r s u b j e c t o f s y s t e m a t i c r e s e a r c h i n i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s .

4. I n f l u e n c e and t h e S t r u c t u r e o f Exchange R e l a t i o n s h i p s

A t t h e most g e n e r a l l e v e l i t may be p o s t u l a t e d t h a t i n t e r ­a c t i o n s w h i c h a r e n o t i n t r i n s i c a l l y o f m u t u a l b e n e f i t w i l l depend upon t h e i n f l u e n c e e x e r c i z e d by p a r t i e s w h i c h a r e i n t e r e s t e d i n a c h i e v i n g p o l i c y c o o r d i n a t i o n and d i r e c t e d a g a i n s t t h o s e w h i c h a r e n o t . Elsewhere we have used t h e c o n v e n t i o n a l d i s t i n c t i o n among i n f l u e n c e s t r a t e g i e s r e l y i n g on "problem s o l v i n g " , " p e r s u a s i o n " , " b a r g a i n i n g " and

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" c o e r c i o n " ( S c h a r p f / R e i s s e r t / S c h n a b e l , i n t h i s v o l u m e ) . The e f f e c t i v e n e s s o f such s t r a t e g i e s upon " t a r g e t " i n d i v i d u a l s o r groups i s a s u b j e c t o f much p r o m i s i n g r e s e a r c h i n e x p e r i m e n t a l s o c i a l p s y c h o l o g y ( D e u t s c h , 19 73; Rubin and Brown, 1975). At t h e same t i m e , i t s h o u l d be r e c o g n i z e d t h a t i n " r e a l " s i t u a t i o n s , t h e more o r l e s s s u c c e s s f u l employment o f i n f l u e n c e s t r a t e g i e s w i l l depend v e r y much upon t h e s t r a t e g i c and t a c t i c a l s k i l l s o f i n d i v i d u a l s , t h e i r p e r c e p t i o n and p e r s o n a l i t i e s , and upon t h e a c c i d e n t s o f h i s t o r i c a l c o n s t e l l a t i o n s - f a c t o r s , t h a t i s , whose combined e f f e c t s seem t o be more a c c e s s i b l e t o t h e ex p o s t " u n d e r s t a n d i n g " o f h i s t o r i c a l e x p l a n a t i o n s (Liibbe, 1 9 73) t h a n t o t h e a p p l i c a t i o n o f g e n e r a l i z a b l e s o c i a l s c i e n c e t h e o r y .

A t t h i s t i m e , i t i s s t i l l an open q u e s t i o n w hether t h e a t t e m p t s by M i c h e l C r o z i e r and h i s g r o u p , d r a w i n g upon a n a l o g i e s t o t r a n s a c t i o n a l p s y c h o l o g y (Berne, 1961; Berne, 1 9 66 , L a i n g , 1961) , t o d e v e l o p a t h e o r y o f i n t r a -and i n t e r o r g a n i z a t i o n a l "games" ( C r o z i e r and F r i e d b e r g , 19 77; see a l s o T h o e n i g i n t h i s volume) w i l l e v e n t u a l l y succeed i n i d e n t i f y i n g a l i m i t e d number o f r e l a t i v e l y s t a b l e , r e c u r r i n g game p a t t e r n s w h i c h w o u l d h e l p t o reduce (and t h u s e x p l a i n ) t h e b e w i l d e r i n g v a r i e t y o f o b s e r v a b l e i n t e r a c t i o n s .

As l o n g as t h e e m p i r i c a l - t h e o r e t i c a l b r e a k t h r o u g h o f a " t r a n s a c t i o n a l " s o c i o l o g y o f o r g a n i z a t i o n s i s s t i l l u n c e r t a i n , however, i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s m i g h t do w e l l t o f o l l o w a " s t r u c t u r a l i s t " approach t h a t f o c u s e s upon t h e more s t a b l e ( " s t r u c t u r a l " ) f a c t o r s f a c i l i t a t i n g o r i m p e d i n g t h e employment o f s p e c i f i c i n f l u e n c e s t r a t e g i e s . A d m i t t e d l y , such s t r u c t u r a l f a c t o r s w i l l n o t f u l l y d e t e r m i n e a c t u a l i n t e r a c t i o n s ( w h i c h may be i n f l u e n c e d by g e n e r a l i z e d game p a t t e r n s and by t h e c o n t i n g e n t b e h a v i o r o f i n d i v i d u a l a c t o r s ) . But " s t r u c t u r e " does d e t e r m i n e t h e f e a s i b i l i t y o f p a r t i c u l a r

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i n f l u e n c e s t r a t e g i e s and, t h u s , w i l l e x p l a i n t h e i m p o s s i b i l i t y ( o r , a t l e a s t , i m p r o b a b i l i t y ) o f c e r t a i n i n t e r a c t i o n s ( w h i c h may be e s s e n t i a l f o r s u c c e s s f u l p o l i c y c o o r d i n a t i o n ) . These s t r u c t u r a l f a c t o r s s h o u l d be c o n c e p t u a l i z e d as t h e more s t a b l e c h a r a c t e r i s t i c s o f t h e u n d e r l y i n g r e l a t i o n s h i p s o f exchange among i n t e r a c t i n g p a r t i c i p a n t s .

I n f a c t we a r e s u g g e s t i n g t h a t t h e s t u d y o f i n t e r ­o r g a n i z a t i o n a l i n t e r a c t i o n s s h o u l d p r o c e e d on two l e v e l s : The l e v e l o f s p e c i f i c i n t e r a c t i o n s and t h e l e v e l o f t h e more s t a b l e ( s t r u c t u r a l ) r e l a t i o n s h i p s among p a r t i c i p a n t s . I f s p e c i f i c i n t e r a c t i o n s s t a n d by -chemselves, t h e y a r e un­l i k e l y t o o c c u r i f t h e y a r e n o t m u t u a l l y advantageous. Many i n t e r a c t i o n s , however, a r e n o t o f a o n e - s h o t n a t u r e . They o c c u r i n t h e c o n t e x t o f more s t a b l e r e l a t i o n s h i p s w i t h t h e i r p a s t h i s t o r i e s and w i t h t h e i r e x p e c t a t i o n s o f f u t u r e t r a n s a c t i o n s . W i t h i n t h i s b r o a d e r c o n t e x t , i n d i v i d u a l i n t e r a c t i o n s w h i c h , t a k e n by t h e m s e l v e s , w o u l d be d i s a d v a n t a g e o u s t o one p a r t y m i g h t s t i l l be a c c e p t a b l e . The c h a r a c t e r i s t i c s o f t h e s e more s t a b l e r e l a t i o n s h i p s t h u s p r o v i d e a framework t h a t i n f l u e n c e s t h e chances o f success o r f a i l u r e o f s p e c i f i c i n f l u e n c e s t r a t e g i e s .

Not a l l s t a b l e r e l a t i o n s h i p s a r e i n t e r a c t i v e . I n t h e cases o f j o i n t dependence and o f j o i n t i m p a c t s , t h e r e may be q u i t e d u r a b l e c o m p e t i t i v e o r complementary r e l a t i o n s h i p s w h i c h a r e based upon ( m u t u a l o r ) u n i l a t e r a l a d j u s t m e n t and n o t on d i r e c t i n t e r a c t i o n . 3 u t i t may be p o s t u l a t e d t h a t a l l d u r a b l e i n t e r a c t i v e r e l a t i o n s h i p s

( . i n c l u d i n g , o f c o u r s e , r e l a t i o n s h i p s o f h i e r a r c h i c a l a u t h o r ­i t y ) w i l l be based on exchange ( L e v i n e and W h i t e , 1961; 3 i a u , 1964; White e t a l . , 1975). I f one o f t h e p a r t i e s s h o u l d r e c e i v e no b e n e f i t w h a t e v e r f r o m i t , t h e r e l a t i o n ­s h i p w o u l d n o t be m a i n t a i n e d . 3 u t , one s h o u l d h a s t e n t o add, exchange need n o t be s y m m e t r i c a l , t h e b e n e f i t s exchaneed may be q u i t e d i f f e r e n t i n k i n d , and t h e y may a l s o c o n s i s t i n t h e a v o i d a n c e o f an e v i l w h i c h w o u l d o t h e r w i s e be i n f l i c t e d . Thus, t h e p o s t u l a t e o f an exchange r e l a t i o n s h i p does n o t i m p l y e q u a l i t y o f exchange, and i t i s f u l l y

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c o m p a t i b l e w i t h t h e e x i s t e n c e o f power and o f dependency. As a m a t t e r o f f a c t , i t i s j u s t t h i s openness o f t h e exchange c o n c e p t ( w h i c h makes i t p o s s i b l e t o t r e a t "dependency" as an e m p i r i c a l v a r i a b l e ) w h i c h c o n s t i t u t e s i t s h e u r i s t i c s u p e r i o r i t y o v e r power-dependency approaches ( t r e a t i n g "dependency"• as an element o f d e f i n i t i o n ) w h i c h a r e co m p e t i n g a g a i n s t exchange t h e o r i e s i n t h e c u r r e n t s o c i o l o g i c a l d i s c u s s i o n o f i n t e r o r g a n i z a t i o n a l r e l a t i o n s (Guetzkow,, 1 966 ; Schmidt, and Kochan, 1 9 7 7 ) .

Even w i t h i n an "exchange" framework, however, i t seems u s e f u l t o p r o c e e d f r o m a model o f r e s o u r c e dependence (Yuchtman and Seashore,1967; A l d r i c h , 19 76) w h i c h assumes t h a t i n t e r a c t i o n s between o r g a n i z a t i o n s a r e m o t i v a t e d by t h e need t o o b t a i n s c a r c e r e s o u r c e s f r o m an e n v i r o n m e n t w h i c h c o n s i s t s l a r g e l y o f o t h e r o r g a n i z a t i o n s . I f , a g a i n , t h e d e f i n i t i o n o f " r e s o u r c e s " i s e x t e n d e d t o c o v e r t h e range o f a l l L a s s w e i l i a n v a l u e s , i n c l u d i n g such i n t a n g i b l e s as " r e s p e c t " , " a f f e c t i o n " , and " r e c t i t u d e " , t h e p l a u s i b i l i t y o f t h e c o n c e p t u a l model i s i n c r e a s e d ( w i t h a c o r r e s p o n d i n g p r i c e t o be p a i d i n d i f f i c u l t i e s o f o p e r a t i o n a l i z a t i o n and e m p i r i c a l q u a n t i f i c a t i o n ) . A s t a b l e exchange r e l a t i o n s h i p between two u n i t s t h e n i m p l i e s t h a t each w i l l r e c e i v e f r o m t h e o t h e r v a l u e d r e s o u r c e s o r s e r v i c e s . The dependence-c h a r a c t e r i s t i c s o f t h e exchange r e l a t i o n s h i p can t h e n be d e s c r i b e d ( f r o m t h e p e r s p e c t i v e o f t h e r e c i p i e n t ) i n terms o f t h e r e l a t i v e i m p o r t a n c e o f t h e r e s o u r c e r e c e i v e d and i n terms o f t h e n o n - s u b s t i t u t a b i l i t y o f t h e so u r c e . I f b o t h c h a r a c t e r i s t i c s a re s y s t e m a t i c a l l y combined, i t s h o u l d be p o s s i b l e t o i d e n t i f y and compare dependency r e l a t i o n s and, t h u s , t h e r e l a t i v e symmetry o r asymmetry o f exchange r e l a t i o n s .

(a) The i m p o r t a n c e o f t h e r e s o u r c e s h o u l d be d e t e r m i n e d i n r e l a t i o n t o t h e t o t a l r e s o u r c e needs o f e i t h e r p a r t y . I f A r e c e i v e s o n l y a s m a l l share o f h i s t o t a l r e s o u r c e s f r o m B, w h i l e r e s o u r c e s r e c e i v e d f r o m A c o n s t i t u t e t h e major p a r t o f B's t o t a l r e s o u r c e i n p u t ,

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B seems t o be more dependent upon t h e exchange r e l a t i o n s h i p t h a n A. Of c o u r s e , any o p e r a t i o n a l measure o f t h e i m p o r t a n c e o f a r e s o u r c e w o u l d a l s o have t o make a l l o w a n c e s f o r q u a l i t a t i v e d i f f e r e n c e s between d i f f e r e n t k i n d s o f r e s o u r c e s and, i n p a r t i c u l a r , f o r d i f f e r e n c e s i n t h e degree t o w h i c h t h e y a r e e s s e n t i a l f o r t h e " s u r v i v a l " o r t h e " v i a b i l i t y " o f t h e r e c i p i e n t .

(b) B u t h i g h i m p o r t a n c e d e f i n e s o n l y one d i m e n s i o n o f a dependency r e l a t i o n s h i p . I f one s o u r c e o f an i m p o r t a n t r e s o u r c e o r s e r v i c e c o u l d e a s i l y be r e p l a c e d by o t h e r s o u r c e s , the_dependence o f B on A w o u l d seem t o be l o w e r t h a n i f t h e i r r e l a t i o n s h i p were c h a r a c t e r i z e d by n o n - s u b s t i t u t a b i l i t y . Of c o u r s e , s u b s t i t u t a b i l i t y , l i k e i m p o r t a n c e , i s a m a t t e r o f degree.

(c) I f we combine b o t h d i m e n s i o n s , we can d e f i n e

- h i g h dependence as a r e l a t i o n s h i p c h a r a c t e r i z e d by h i g h i m p o r t a n c e o f t h e r e s o u r c e and low s u b s t i t u t a b i l i t y o f t h e s o u r c e ; w h i l e

- low dependence i s c h a r a c t e r i z e d e i t h e r by t h e c o m b i n a t i o n o f low i m p o r t a n c e and low s u b s t i t u t a b i l i t y , o r o f h i g h i m p o r t a n c e and h i g h s u b s t i t u t a b i l i t y ; and-

- independence i s d e f i n e d by t h e c o m b i n a t i o n o f low i m p o r t a n c e and h i g h s u b s t i t u t a b i l i t y .

Diagram 1 a b o u t h e r e

I f we now l o o k a t t h e exchange r e l a t i o n s h i p between A and B as a w h o l e , we can combine t h e c h a r a c t e r i s t i c s o f A's dependence upon 3 and o f B's dependence upon A i n t o

- 1 5 -

a t y p o l o g y o f comprehensive c h a r a c t e r i s t i c s i n c l u d i n g " m u t u a l dependence", " m u t u a l independence", and " u n i l a t e r a l dependence". These"comprehensive c h a r a c t e r i s t i c s o f an exchange r e l a t i o n s h i p c o n s t i t u t e t h e s t r u c t u r a l

Diagram 2 about h e r e

d e t e r m i n a n t s o f t h e f e a s i b i l i t y o f i n f l u e n c e s t r a t e g i e s a t t e m p t e d by A o r B i n s p e c i f i c p o l i c y i n t e r a c t i o n s .

(a) I n t h e case o f u n i l a t e r a l dependence, t h e i n t e r e s t o f t h e more dependent p a r t y i n t h e m aintenance o f t h e o n g o i n g exchange r e l a t i o n s h i p must be g r e a t e r t h a n t h e i n t e r e s t o f t h e l e s s dependent (dominant) p a r t y . T h i s asymmetry o f i n t e r e s t s may be e x p l o i t e d i n i n f l u e n c e s t r a t e g i e s d i r e c t e d by t h e dominant a g a i n s t t h e weaker p a r t y . S p e c i f i c p o l i c y i n t e r a c t i o n s w h i c h may be i n t r i n s i c a l l y u n a t t r a c t i v e t o t h e weaker p a r t y may s t i l l be a c c e p t e d i f a r e f u s a l m i g h t j e o p a r d i z e t h e u n d e r l y i n g exchange r e l a t i o n s h i p . U n i l a t e r a l - d e p e n d e n c e r e l a t i o n s h i p s can t h u s be p o w e r f u l ( b u t u n i ­d i r e c t i o n a l ) f a c i l i t a t o r s o f p o l i c y c o o r d i n a t i o n .

(b) A r e l a t i o n s h i p o f m u t u a l independence i s l e s s l i k e l y t o f a c i l i t a t e p o l i c y c o o r d i n a t i o n . I f t h e exchange r e l a t i o n s h i p i s e i t h e r n o t v e r y i m p o r t a n t t o e i t h e r p a r t y , o r i f a l t e r n a t i v e s o urces o f s u p p l y c o u l d be e a s i l y f o u n d , none o f t h e p a r t i e s i s l i k e l y t o be v e r y r e s p o n s i v e t o i n f l u e n c e s t r a t e g i e s i n t e n d e d t o f a c i l i t a t e i n t r i n s i c a l l y d i s a d v a n t a g e o u s i n t e r a c t i o n s . I n s p i t e o f t h e e x i s t e n c e o f an o n g o i n g exchange r e l a t i o n s h i p , t h e r e l a t i v e autonomy o f b o t h p a r t i e s

- 16 -

i s m a i n t a i n e d and s p e c i f i c i n t e r a c t i o n s a r e l i k e l y t o o c c u r o n l y i f t h e y a r e e i t h e r m u t u a l l y b e n e f i c i a l o r i f t h e r e q u e s t f o r a s i g n i f i c a n t l y d i s a d v a n t a g e o u s response i s accompanied by o f f e r s o f adequate compensation. N e v e r t h e l e s s , i n c o m p a r i s o n t o one-s h o t e n c o u n t e r s , t h e e x i s t e n c e o f an o n g o i n g exchange r e l a t i o n s h i p (and t h e c o s t s o f i t s s u b s t i t u t i o n ) p r o v i d e f o r t h e p o s s i b i l i t y o f " c r e d i t " i n t h e sense t h a t c o mpensation may be d e f e r r e d and t h a t i t may n o t have t o be i n k i n d .

• Diagram 3 a b o u t h e r e

(c) I n t h e case o f m u t u a l dependence, t h e r e s o u r c e s r e c e i v e d a r e i m p o r t a n t f o r b o t h p a r t i e s a n d n e i t h e r p a r t y 'has e a s i l y a v a i l a b l e a l t e r n a t i v e s o u r c e s o f supply.. Under such c o n d i t i o n s , b o t h p a r t i e s s h o u l d have a h i g h i n t e r e s t i n m a i n t a i n i n g t h e o n g o i n g exchange r e l a t i o n s h i p , and b o t h s h o u l d be w i l l i n g t o a c c e p t c o n s i d e r a b l e d i s a d v a n t a g e s i n o r d e r t o a v o i d d i s r u p t i o n s . M u t u a l dependency r e l a t i o n s t h u s seem t o p r e s e n t e x c e l l e n t p r e c o n d i t i o n s f o r t h e a p p l i c a t i o n o f i n f l u e n c e s t r a t e g i e s i n i n t e r o r g a n i z a t i o n a l p o l i c y c o o r d i n a t i o n .

The f e a s i b i l i t y o f i n f l u e n c e s t r a t e g i e s , however, and t h e p r o b a b i l i t y o f t h e i r success i s c o n s t r a i n e d by t h e symmetry o f t h e dependence r e l a t i o n s h i p . W h i l e i t i s t r u e t h a t one p a r t y , i f i t were w i l l i n g t o go t o t h e l i m i t o f d i s r u p t i n g t h e r e l a t i o n s h i p , c o u l d f o r c e t h e o t h e r one t o a c c e p t h i g h l y u n a t t r a c t i v e c h o i c e s , t h e c r e d i b i l i t y o f t h r e a t s t o do so i s s e v e r l y r e d u c e d by i t s own dependence upon t h e c o n t i n u a t i o n o f t h e same r e l a t i o n s h i p . And even i f t h r e a t s were s u c c e s s f u l , t h e m u t u a l i t y o f dependence w o u l d p r o v i d e t h e o t h e r p a r t y w i t h o p p o r t u n i t i e s f o r r e p r i s a l t h a t c o u l d be e q u a l l y o r more u n a t t r a c t i v e t o t h e f i r s t p a r t y . .

Thus, t h e v i a b i l i t y o f more permanent mutual-dependency r e l a t i o n s h i p s seems t o depend upon t h e s e l f - r e s t r a i n t o f b o t h p a r t i e s w h i c h r e s p e c t s t h e i r m u t u a l v u l n e r a b i l i t y . S t a b l e m u t u a l dependence r e l a t i o n s h i p s a r e t h e r e f o r e l i k e l y t o e v o l v e r u l e s o f t h e game l i m i t i n g t h e range o f o b j e c t i v e s o f , and t h e means t h a t may be employed i n , i n f l u e n c e s t r a t e g i e s ( S c h e l l i n g . 1 9 6 0 ) . Under such c o n d i t i o n s , t h e use o f i n f l u e n c e s t r a t e g i e s i s l i k e l y t o be c i r c u m s c r i b e d by n o r m a t i v e e x p e c t a t i o n s d e f i n i n g a "zone o f l e g i t i m a c y " o r a "zone o f a c c e p t a n c e " beyond w h i c h i n f l u e n c e a t t e m p t s w i l l n o t be u n d e r t a k e n o r w i l l be r e s i s t e d i f u n d e r ­t a k e n . I n i n t e r o r g a n i z a t i o n a l r e l a t i o n s , such zones o f l e g i t i m a c y a r e l i k e l y t o be f u n c t i o n a l l y s p e c i f i c and l i m i t e d i n scope, and t h e y a r e a l s o l i k e l y t o r e s p e c t t h e i n s t i t u t i o n a l s e l f - i n t e r e s t o f e i t h e r p a r t y . The more i n t e r o r g a n i z a t i o n a l p o l i c y c o o r d i n a t i o n w o u l d depend upon i n t e r a c t i o n s w h i c h a r e d i s a d v a n t a g e o u s t o one o r more p a r t i e s , t h e l e s s l i k e l y i s i t t o be a c h i e v e d t h r o u g h i n f l u e n c e s t r a t e g i e s i n t h e c o n t e x t o f o n g o i n g r e l a t i o n s h i p s c h a r a c t e r i z e d by m u t u a l dependence.

C o o r d i n a t i o n i n Exchange R e l a t i o n s h i p s

I f i n f l u e n c e i n m u t u a l dependency r e l a t i o n s h i p s i s n a r r o w l y c i r c u m s c r i b e d , i t seems t h a t t h e b e s t p r e c o n d i t i o n s f o r i n t e r o r g a n i z a t i o n a l p o l i c y c o o r d i n a t i o n a r e p r o v i d e d by t h e e x i s t e n c e o f a s y m m e t r i c exchange r e l a t i o n s h i p s . They appear t o f a c i l i t a t e t h e c o o r d i n a t i o n o f p o l i c y c h o i c e s even under c i r c u m s t a n c e s where c o o r d i n a t i o n w o u l d be d i s a d v a n t a g e o u s t o one o f t h e p a r t i e s ( p r o v i d e d , o f c o u r s e , t h a t t h e d i r e c t i o n o f t h e dependency r e l a t i o n s h i p is t h e same as t h e d i r e c t i o n o f n e c e s s a r y i n f l u e n c e . )

I n t h e r e a l w o r l d , however, u n i l a t e r a l dependency r e l a t i o n s h i p s may be l e s s f r e q u e n t t h a n an i n s p e c t i o n o f f o r m a l a u t h o r i t y o r even o f m a t e r i a l r e s o u r c e f l o w s m i g h t i n d i c a t e . I n v i e w o f t h e asymmetry o f i n t e r e s t s ,

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t h e weaker p a r t y w i l l be s t r o n g l y m o t i v a t e d t o m o d i f y t h i s r e l a t i o n s h i p ( B l a u , 1964). Under' c e r t a x n c o n d i t i o n s , i t s most p r o m i s i n g s t r a t e g y w o u l d be t o s e a r c h f o r a l t e r n a t i v e sources o f s u p p l y w h i c h w o u l d t r a n s f o r m t h e r e l a t i o n s h i p i n t o one o f m u t u a l independence. The p r a c t i c e s o f " r e s o u r c e m o b i l i z a t i o n " o r " m u l t i - p o c k e t b u d g e t i n g " p u r s u e d by l o c a l government u n i t s and s i m i l a r i n s t i t u t i o n s i n o r d e r t o reduce t h e i r dependence upon one s i n g l e source o f income,and t o i n c r e a s e t h e i r freedom o f c h o i c e , p r o v i d e some examples f o r t h e s e s t r a t e g i e s ( P o r t e r 1 9 7 3 ; S c h a r p f e t a l . , 1976).

I n s t e a d o f , o r i n ' a d d i t i o n t o , e x p l o r i n g a l t e r n a t i v e sources o f s u p p l y , t h e dependent u n i t may a l s o a t t e m p t t o i n c r e a s e t h e r e c i p r o c a l dependence o f t h e dominant u n i t upon i t s own r e s o u r c e s and s e r v i c e s . I f s u c c e s s f u l , such a s t r a t e g y w i l l t r a n s f o r m u n i l a t e r a l dependency i n t o a r e l a t i o n s h i p o f m u t u a l dependence. I n p a r t i c u l a r , t h e dependent p a r t y may i n c r e a s e t h e i m p o r t a n c e o f i t s own s e r v i c e s t h r o u g h a more p r e c i s e s p e c i a l i z a t i o n upon t h e needs o f t h e dominant p a r t y t o t h e p o i n t where i t s s u b s t i t u t i o n w i l l be d i f f i c u l t o r i m p o s s i b l e . I r o n i c a l l y , such e r o s i o n s o f power a r e most l i k e l y t o o c c u r whenever t h e dominant p a r t y i s te m p t e d t o u t i l i z e i t s i n f l u e n c e i n o r d e r t o o b t a i n p e r m a n e n t l y v a l u a b l e r e s o u r c e s o r s e r v i c e s f r o m t h e dependent p a r t y . A p p a r e n t l y , u n i l a t e r a l power can be f u l l y m a i n t a i n e d o n l y as l o n g as t h e dominant p a r t y m a i n t a i n s i t s i n d i f f e r e n c e t o w a r d t h e o u t p u t o f dependent u n i t s ( w h i c h may e x p l a i n t h e r e l u c t a n c e o f f i n a n c e m i n i s t r i e s t o i n t r o d u c e program b u d g e t i n g ) .

I n a n a l y z i n g t h e c h a r a c t e r i s t i c s o f i n t e r o r g a n i z a t i o n a l r e l a t i o n s h i p s , i t s h o u l d a l s o be remembered t h a t m u t u a l -dependence r e l a t i o n s may o f t e n be o f a complementary n a t u r e . W h i l e t h e s e e m i n g l y dominant p a r t y may e x e r c i s e h i e r a r c h i c a l a u t h o r i t y o r c o n t r o l o v e r monetary r e s o u r c e s , i t may, a t t h e same t i m e , be f u l l y dependent upon t h e s p e c i a l i s t s k i l l s , t h e c l i e n t e l e c o n t a c t s and t h e i n f o r m a t i o n a v a i l a b l e o n l y t o s u b o r d i n a t e u n i t s . Thus, even t h e

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s e e m i n g l y u n r e s t r i c t e d h i e r a r c h i c a l a u t h o r i t y o f t o p e x e c u t i v e s i n p r i v a t e f i r m s may, upon c l o s e r i n s p e c t i o n , d i s s o l v e i n t o a p a t t e r n o f complementary r e l a t i o n s h i p s o f m u t u a l dependence ( H o t t e r , 1977). I n s h o r t , u n i l a t e r a l -dependence - r e l a t i o n s h i p s w h i c h a r e s t a b l e o v e r t i m e may be more r a r e , and m u t u a l dependency more f r e q u e n t , t h a n t h e u b i q u i t o u s n a t u r e o f h i e r a r c h i c a l a u t h o r i t y and u n i d i r e c t i o n a l - f l o w s o f b u d g e t e d r e s o u r c e s i n i n t e r o r g a n i z a t i o n a l r e l a t i o n s m i g h t s u g g e s t .

6. I n d i r e c t L i n k a g e s

Our d i s c u s s i o n has so f a r f o c u s e d upon d y a d i c i n t e r ­a c t i o n s among p a i r s o f o r g a n i z a t i o n a l u n i t s i n w h i c h t h e p a r t i e s o f an i n t e n d e d i n f l u e n c e r e l a t i o n and t h e p a r t i e s o f an u n d e r l y i n g exchange-dependency r e l a t i o n s h i p were i d e n t i c a l - I n i n t e r o r g a n i z a t i o n a l p o l i c y i n t e r a c t i o n s , h o w e v e r , t h i s congruence w i l l o f t e n be l a c k i n g . Under a p o l i c y p e r s p e c t i v e , c o o r d i n a t i n g i n f l u e n c e s t r a t e g i e s may be r e q u i r e d between A and B, b u t permanent exchange r e l a t i o n s h i p s t h a t w o u l d f a c i l i t a t e i n f l u e n c e s t r a t e g i e s may e x i s t o n l y between A and C and between C and B. A c c o r d i n g l y , i t w i l l be n e c e s s a r y t o i n c l u d e t h e c h a r a c t e r i s t i c s o f i n d i r e c t l i n k a g e s i n any a n a l y s i s o f t h e s t r u c t u r a l p r e c o n d i t i o n s f o r i n t e r o r g a n i z a t i o n a l p o l i c y c o o r d i n a t i o n . I n such a n a l y s e s , i t seems u s e f u l t o d i s t i n g u i s h between cases o f " e x t e r n a l c o o r d i n a t i o n " and cases o f " i n d i r e c t c o o r d i n a t i o n " . I n b o t h cases we assume t h a t permanent exchange r e l a t i o n s h i p s t h a t can be u t i l i z e d f o r p o l i c y i n f l u e n c e e x i s t between A and C and between 3 and C, b u t n o t between A and 3.

" E x t e r n a l c o o r d i n a t i o n " i s t h e n d e f i n e d as a p a t t e r n o f i n t e r a c t i o n i n w h i c h C ( f o r i t s own r e a s o n s ) t a k e s t h e i n i t a t i v e t o i n f l u e n c e b o t h A and 3 i n o r d e r t o a c h i e v e p o l i c y c o o r d i n a t i o n between them- By c o n t r a s t , " i n d i r e c t • c o o r d i n a t i o n " w o u l d be d e f i n e d as a s i t u a t i o n i n w h i c h A a t t e m p t s ( f o r h i s own reasons) t o i n f l u e n c e 3 by u s i n g C as an i n t e r m e d i a r y .

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Diagram 4 about h e r e

E x t e r n a l c o o r d i n a t i o n i s o f t e n a c h i e v e d i n t h e f o r m o f h i e r a r c h i c a l c o o r d i n a t i o n i n w h i c h C i s r e s p o n s i b l e f o r t h e j o i n t o u t p u t o f A and B and u t i l i z e s e x i s t i n g h i e r a r c h i c a l a u t h o r i t y r e l a t i o n s h i p s t o a c h i e v e c o o r d i n a t i o n between them. I f , however, n e i t h e r A n o r B s h o u l d t h e m s e l v e s be i n t e r e s t e d i n a c h i e v i n g c o o r d i n a t i o n , t h e l i m i t s o f h i e r a r c h i c a l c o o r d i n a t i o n a r e l i k e l y t o be q u i t e n a r r o w l y c i r c u m s c r i b e d by C's dependence upon s p e c i f i c i n f o r m a t i o n and s p e c i a l i z e d s k i ' l l s a v a i l a b l e o n l y t o A and B.

An a l t e r n a t i v e f o r m o f e x t e r n a l c o o r d i n a t i o n i s p r o v i d e d by f r e q u e n t l y o b s e r v e d p a t t e r n s o f " c o o r d i n a t i o n f r o m below". I n s i t u a t i o n s where one u n i t i s f o r m a l l y sub­o r d i n a t e t o two o r more s u p e r i o r u n i t s , t h e " s e r v a n t o f s e v e r a l m a s t e r s " must be v i t a l l y i n t e r e s t e d i n a c h i e v i n g a degree o f c o o r d i n a t i o n among t h e i r a c t i o n s w h i c h w i l l p r e v e n t c o n f l i c t i n g and p o t e n t i a l l y d e s t r u c t i v e j o i n t i m p a c t s upon him. Even w i t h i n t h e w o r l d o f m o n o c r a t i c m i n i s t e r i a l o r g a n i z a t i o n s , such s i t u a t i o n s a r e more f r e q u e n t t h a n o r d e r l y o r g a n i z a t i o n c h a r t s w o u l d s u g g e s t (Mayntz and S c h a r p f , 1975: c h a p t e r s V and V I ) .

I n t h e r e l a t i o n s h i p between t h e government and p r i v a t e o r g a n i z a t i o n s and between c e n t r a l and l o c a l governments, c o o r d i n a t i o n f r o m below seems even t o be t h e r u l e , r a t h e r t h a n t h e e x c e p t i o n . The h i g h degree o f f u n c t i o n a l d i f f e r e n t i a t i o n and f r a g m e n t a t i o n o f g o v e r n m e n t a l o r g a n i z a t i o n , and t h e dependence o f w e l f a r e c l i e n t s , b u s i n e s s f i r m s , r e s e a r c h i n s t i t u t i o n s o r l o c a l governments upon f a i r l y complex p a t t e r n s o f monetary c o n t r i b u t i o n s , s p e c i a l i z e d s e r v i c e s and p e r m i t s o r a u t h o r i z a t i o n s f r o m a v a r i e t y o f s p e c i a l i z e d and p o o r l y i n t e g r a t e d g o v e r n m e n t a l a g e n c i e s , w o u l d r e s u l t i n u t t e r chaos and f r u s t r a t i o n i f t h e i n i t i a t i v e f o r c o o r d i n a t i o n would n o t u s u a l l y come f r o m below. The

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c l i e n t o r t h e s u b o r d i n a t e u n i t w h i c h w o u l d be d i r e c t l y a f f e c t e d by s e p a r a t e g o v e r n m e n t a l p o l i c i e s u s u a l l y has a monopoly on i n f o r m a t i o n a bout t h e need, and t h e o p p o r t u n i t i e s , f o r c o o p e r a t i o n and c o o r d i n a t i o n , and o f t e n o n l y t h e s u b o r d i n a t e u n i t can u t i l i z e e s t a b l i s h e d exchange r e l a t i o n s h i p s t o each o f t h e s p e c i a l i z e d g o v e r n m e n t a l u n i t s i n v o l v e d i n o r d e r t o a c h i e v e a degree o f c o o r d i n a t i o n among them. Of c o u r s e , t h i s s t a t e o f a f f a i r s p l a c e s heavy (and sometimes e x c e s s i v e ) demands upon t h e competence o f dependent o r g a n i z a t i o n a l u n i t s o r o f i n d i v i d u a l c l i e n t s . I t cannot be assumed, t h e r e f o r e , t h a t c o o r d i n a t i o n f r o m below w i l l be a b l e t o s o l v e a l l o r most problems g e n e r a t e d by t h e o u t p u t - i n t e r d e p e n d e n c e o f a f r a g m e n t e d g o v e r n m e n t a l s t r u c t u r e (Grunow and Hegner,1977),

I n d i r e c t c o o r d i n a t i o n i s l i k e l y t o be a t t e m p t e d when a t l e a s t one u n i t i s i n t e r e s t e d i n p o l i c y c o o r d i n a t i o n w i t h a n o t h e r w h i c h i t c a n n o t r e a c h d i r e c t l y because o f t h e l a c k o f an e s t a b l i s h e d exchange r e l a t i o n s h i p . The p r o b l e m can be s o l v e d i f A can f i n d an i n t e r m e d i a r y u n i t C w h i c h i s c a p a b l e o f i n f l u e n c i n g t h e p o l i c y c h o i c e s o f B, and w h i c h can be m o t i v a t e d t o do so. The l a s t r e q u i r e m e n t i s l i k e l y t o be p a r t i c u l a r l y p r o b l e m a t i c a l i n t h e l i g h t o f t h e f a c t t h a t C i t s e l f i s n o t , by d e f i n i t i o n , i n t e r e s t e d i n a c h i e v i n g c o o r d i n a t i o n between A and 3 f o r i t s own reason s . A may t h u s have t o compete w i t h o t h e r c l a i m a n t s f o r C's a t t e n t i o n , and A may have t o o f f e r c o m p e n s a t i o n t o C f o r t h e c o s t s t h a t w o u l d be i n c u r r e d i n an a t t e m p t t o e x e r c i s e i n f l u e n c e o v e r B. I n d i r e c t c o o r d i n a t i o n i s , t h u s , l i k e l y t o be c o m p a r a t i v e l y " e x p e n s i v e " and dependent: upon t h e e x i s t e n c e o f a f a i r l y s t r o n g dependency r e l a t i o n s h i p between C and A. As a consequence, c h a i n s o f i n d i r e c t i n f l u e n c e o v e r s e v e r a l i n t e r m e d i a r i e s , w h i l e t h e o r e t i c a l l y p o s s i b l e , a r e p r o b a b l y h a r d t o e s t a b l i s h because t h e i n f l u e n c e p o t e n t i a l w h i c h may be a v a i l a b l e i n i t i a l l y i s l i k e l y t o be s u c c e s s i v e l y eroded o r d i s ­c o u n t e d a t each s t e p .

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7. E m p i r i c a l and P r e s c r i p t i v e N e t w o r k s .

The ensemble o f d i r e c t and i n d i r e c t l i n k a g e s d e f i n e d by u n i l a t e r a l o r m u t u a l r e l a t i o n s h i p s o f dependency c o n s t i t u t e s t h e " i n t e r o r g a n i z a t i o n a l n e t w o r k " f o r purposes o f i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s . As we a r e n o t s t u d y i n g i n t e r o r g a n i z a t i o n a l communications o r r e s o u r c e exchanges f o r t h e i r own sake, we a r e n o t i n t e r e s t e d i n f r e q u e n c i e s o f i n t e r a c t i o n p e r se ( w h i c h may v a r y c o n s i d e r a b l y o v e r t i m e ) , b u t i n s t r u c t u r a l r e l a t i o n s h i p s w h i c h c o u l d be e x p l o i t e d i n i n f l u e n c e s t r a t e g i e s f a c i l i t a t i n g p o l i c y c o o r d i n a t i o n . S t i l l , much o f t h e r e c e n t work on i n t e r o r g a n i z a t i o n a l i n t e r ­a c t i o n , w h i l e n o t d i r e c t l y r e l e v a n t t o t h e s t r u c t u r a l a p p r o a ch

. a d v o c a t e d h e r e , c o u l d be e a s i l y a d a p t e d t o o u r purpos e s (Monge and L i n d s e y , 1974; L a P o r t e , 1974; L i n z e l l , 1974; Benson, 1 975 ; Z e i t z , 1 975; K e l l e r and Warns l e y , 1 9 7 7 ) . We have, t h e r e f o r e , e v e r y i n t e r e s t i n t h e development and p e r f e c t i o n o f a n a l y t i c a l methods f o r d e s c r i b i n g and m e a s u r i n g d i f f e r e n t s t r u c t u r a l c h a r a c t e r i s t i c s o f n e t w o r k s as a w h o l e , as w e l l as i n t h e development o f t h e o r i e s e x p l a i n i n g t h e e f f e c t o f t h e a g g r e g a t e c h a r a c t e r i s t i c s o f t h e " i n t e r ­o r g a n i z a t i o n a l f i e l d " (Warren e t a l . , 1975) o r o f t h e " i n t e r o r g a n i z a t i o n a l c o l l e c t i v i t y " (Van de Ven e t a l . , 1975) on s p e c i f i c i n t e r a c t i o n s .

S t i l l , t h e more p r e c i s e d e s c r i p t i o n and measurement o f t h e c h a r a c t e r i s t i c s o f i n t e r o r g a n i z a t i o n a l n e t w o r k s w i l l n o t by i t s e l f p e r m i t t h e e x p l a n a t i o n o r p r e d i c t i o n o f p o l i c y consequences. The r e l a t i o n s h i p between n e t w o r k s t r u c t u r e and p o l i c y i s n o t i n v a r i a n t b u t c o n t i n g e n t . W h i l e some p o l i c i e s may be f a c i l i t a t e d by t i g h t l y c o n n e c t e d o r h i g h l y c e n t r a l i z e d s t r u c t u r e s , o t h e r s may have b e t t e r chances o f success i n l o o s e l y c o u p l e d d e c i s i o n systems. B e f o r e any hypotheses r e g a r d i n g t h e p o l i c y consequences o f d i f f e r e n t t y p e s o f i n t e r ­o r g a n i z a t i o n a l n e t w o r k s can be f o r m u l a t e d , we t h u s need t o i d e n t i f y t h e i n t e r a c t i o n r e q u i r e m e n t s o f d i f f e r i n g p o l i c i e s .

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U n f o r t u n a t e l y , t h e m e t h o d o l o g y f o r t h e i d e n t i f i c a t i o n and measurement o f p r e s c r i p t i v e p a t t e r n s o f needed i n t e r o r g a n i z a t i o n a l i n t e r a c t i o n i n p o l i c y f o r m a t i o n and p o l i c y i m p l e m e n t a t i o n i s n o t y e t w e l l d e v e l o p e d . I n one s t u d y , we -have a t t e m p t e d t o i d e n t i f y t h e "task, s t r u c t u r e " o f o r g a n i z a t i o n a l u n i t s w i t h i n a German m i n i s t r y by a n a l y z i n g i n f o r m a t i o n a b o u t t h e p r o b a b i l i t y o f j o i n t i m p a c t s upon s e c t o r s o f t h e p o l i c y e n v i r o n m e n t f o r each p a i r o f o r g a n i z a t i o n a l u n i t s ( S c h a r p f , 1976b).The r e s u l t a n t c l u s t e r i n g o f o r g a n i z a t i o n a l u n i t s p r o v i d e a c r u d e measure o f t h e " o b j e c t i v e " need f o r c o o r d i n a t i o n between o r g a n i z a t i o n a l u n i t s i n t h e p o l i c y p r o c e s s . I t may th e n ' b e compared t o e m p i r i c a l p a t t e r n s o f exchange and c o l l a b o r a t i o n (and t o t h e e x i s t i n g s t r u c t u r e o f f o r m a l o r g a n i z a t i o n ) .

I n s p i t e o f many u n r e s o l v e d m e t h o d o l o g i c a l p r o b l e m s , t h e b a s i c approach o f t h i s s t u d y seems t o move i n t h e r i g h t d i r e c t i o n . We need t o u t i l i z e t h e t o o l s o f n e t w o r k a n a l y s i s f o r t h e p r e c i s e i d e n t i f i c a t i o n o f e m p i r i c a l n e t w o r k s o f i n t e r o r g a n i z a t i o n a l dependence; and we need t o d e v e l o p s i m i l a r t o o l s f o r t h e e q u a l l y p r e c i s e i d e n t i f i c a t i o n o f p r e ­s c r i p t i v e p a t t e r n s o f r e q u i r e d c o o r d i n a t i o n between o r g a n i z a ­t i o n a l u n i t s i n i n t e r o r g a n i z a t i o n a l p o l i c y f o r m a t i o n and p o l i c y i m p l e m e n t a t i o n . On t h e b a s i s o f b o t h s e t s o f a n a l y z e d i n f o r m a t i o n , we t h e n need t o d e v e l o p and a p p l y methods f o r t h e i d e n t i f i c a t i o n and m e a s u r i n g o f d i f f e r e n c e s i n t h e "goodness o f f i t " , o r c o n g r u e n c e , between p r e s c r i p t i v e p o l i c y n e t w o r k s and e m p i r i c a l n e t w o r k s o f i n t e r ­o r g a n i z a t i o n a l dependence. A c c o r d i n g t o t h e r e s e a r c h approach, p r o p o s e d h e r e , t h e degree o f " m i s f i t " , o r i n ­congruence, between t h e e m p i r i c a l s t r u c t u r e o f i n t e r ­o r g a n i z a t i o n a l n e t w o r k s and t h e p r e s c r i p t i v e t a s k s t r u c t u r e o f r e q u i r e d p o l i c y i n t e r a c t i o n s s h o u l d i n d i c a t e s t r u c t u r a l o b s t a c l e s t o p o l i c y c o o r d i n a t i o n and, t h e r e f o r e , i s l i k e l y t o be a p o w e r f u l p r e d i c t o r o f p o l i c y f a i l u r e s .

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8. S e l e c t i v e A c t i v a t i o n

I f t h e m i s f i t between p r e s c r i p t i v e l y i d e n t i f i e d t a s k s t r u c t u r e s and t h e s t r u c t u r e o f e m p i r i c a l l y i d e n t i f i e d n e t w o r k s o f i n t e r o r g a n i z a t i o n a l dependence s h o u l d i n d e e d e x p l a i n and p r e d i c t p o l i c y f a i l u r e s , i t does n o t n e c e s s a r i l y f o l l o w t h a t t h e r e d e s i g n o f i n t e r o r g a n i z a t i o n a l n e t w o r k s t r u c t u r e s s h o u l d a l s o be t h e most p r o m i s i n g s t r a t e g y f o r t h e improvement o f p o l i c y p e r f o r m a n c e ( S c h a r p f , 19 76a: 2 8 - 3 2 ) . Even i f changes i n t h e n e t w o r k o f more permanent i n t e r o r g a n i z a t i o n a l dependencies can be a c h i e v e d , t h e i r i m p l e m e n t a t i o n w i l l be c o s t l y and i t w i l l t a k e t i m e . Perhaps t h e more s t a b l e w o r l d o f p o l i c y i m p l e m e n t a t i o n w i l l p e r m i t a p o l i c y - o r i e n t e d r e s t r u c t u r i n g o f i n t e r ­o r g a n i z a t i o n a l r e l a t i o n s h i p s t h r o u g h t h e i n t e r v e n t i o n s o f s o p h i s t i c a t e d , p o w e r f u l and d e t e r m i n e d c e n t r a l a g e n c i e s (Hage, 1 9 7 5 ) . A t t h e s t a g e o f p o l i c y f o r m a t i o n , however, c o o r d i n a t i o n and c o l l a b o r a t i o n r e q u i r e m e n t s may be t o o v a r i a b l e and t o o f l u i d t o p e r m i t t h e ad-hoc o p t i m i z a t i o n o f i n s t i t u t i o n a l a rrangements w h i c h need t o be r e l a t i v e l y s t a b l e t o be e f f e c t i v e a t a l l . Thus, t h e r e o r g a n i z a t i o n o f g o v e r n m e n t a l d e p a r t m e n t s can, a t b e s t , p r o v i d e an a p p r o x i m a t i o n t o t h e p e r c e i v e d c o o r d i n a t i o n r e q u i r e m e n t s o f p o l i c y p r i o r i t i e s p r e d i c t e d f o r t h e near f u t u r e (Mayntz and S c h a r p f , 1975; S c h a r p f , 1976b).

F u r t h e r m o r e , i t s h o u l d be r e a l i z e d t h a t m a n y _ p o l i c y -i m p l e m e n t a t i o n n e t w o r k s and most p o l i c y - f o r m a t i o n n e t w o r k s w i l l be m u l t i - p u r p o s e s t r u c t u r e s t h a t w i l l have t o p e r f o r m d i v e r s e f u n c t i o n s i n a v a r i e t y o f p o l i c y a r e a s . W i t h d e c r e a s i n g s p e c i a l i z a t i o n i t i s , t h e r e f o r e , i n c r e a s i n g l y ' u n l i k e l y , t h a t any n e t w o r k c o u l d be o p t i m i z e d w i t h r e g a r d t o o n l y one s e t o f p o l i c y r e q u i r e m e n t s . I n o r d e r t o be v i a b l e , r e a l w o r l d n e t w o r k s w i l l have t o c o n t a i n many more l i n k a g e s t h a n w o u l d be r e q u i r e d by t h e p r e s c r i p t i v e s p e c i f i c a t i o n o f p o l i c y i n t e r a c t i o n s i n a s i n g l e p o l i c y c o n t e x t .

- 25 "

But i f e m p i r i c a l n e t w o r k s a r e l i k e l y t o c o n t a i n more p o t e n t i a l l i n k a g e s t h a n a r e needed i n a s i n g l e p o l i c y c o n t e x t , t h e y s h o u l d n o t a l l be a c t i v a t e d a t t h e same t i m e . P o l i c y c o o r d i n a t i o n i s e x t r e m e l y " e x p e n s i v e " i n terms o f i t s demands upon t h e c a p a c i t y f o r i n f o r m a t i o n p r o c e s s i n g and c o n f l i c t r e s o l u t i o n w i t h i n t h e system ( S c h a r p f , 1973; Mayntz and S c h a r p f , 1975: c h a p t e r V I I I ) . I t s h o u l d , t h e r e f o r e , be employed w i t h as much p a r s i m o n y as p o s s i b l e i f t h e e v e r p r e s e n t danger o f b l o c k a g e i s t o be a v o i d e d i n i n t e r o r g a n i z a t i o n a l p o l i c y making. The c a p a c i t y f o r the-- s e l e c t i v e a c t i v a t i o n o f p o t e n t i a l l i n k a g e s i s t h u s an e s s e n t i a l p r e r e q u i s i t e f o r s u c c e s s f u l i n t e r ­o r g a n i z a t i o n a l p o l i c y f o r m a t i o n and p o l i c y i m p l e m e n t a t i o n -S e l e c t i v e a c t i v a t i o n depends upon t h e c o r r e c t i d e n t i f i c a t i o n o f " n e c e s s a r y p a r t i c i p a n t s " i n p o l i c y - c o n g r u e n t n e t w o r k s , upon t h e i r w i l l i n g n e s s t o i n v e s t t i m e and r e s o u r c e s i n a p a r t i c u l a r i n t e r o r g a n i z a t i o n a l p o l i c y p r o c e s s ( i n c o m p e t i t i o n w i t h o t h e r i n t e r e s t s and demands), and upon t h e r e l a t i v e d i s i n t e r e s t o f o t h e r p a r t i e s w i t h p o t e n t i a l i n f l u e n c e o v e r one o r more o f t h e n e c e s s a r y p a r t i c i p a n t s . -These p r e c o n d i t i o n s a r e u n l i k e l y t o a r i s e f r o m random i n t e r a c t i o n . As F r i e n d , Power and Y e w l e t t ( 1 9 7 4 : c h a p t e r 13) have argued on t h e b a s i s o f t h e i r e x t e n s i v e a n a l y s e s o f p u b l i c p l a n n i n g i n B r i t a i n , s p e c i f i c ( " r e t i c u l i s t " ) s k i l l s and r e s o u r c e s a r e e s s e n t i a l i f s e l e c t i v e p o l i c y n e t w o r k s are t o be c r e a t e d and managed s u c c e s s f u l l y (see a l s o : M e t c a l f e , i n t h i s v o l u m e ) . A t t h e same t i m e , however, t h e s t r u c t u r a l c o n d i t i o n s f a c i l i t a t i n g o r i m p e d i n g s e l e c t i v e n e t ­work a c t i v a t i o n s h o u l d a l s o be s y s t e m a t i c a l l y e x p l o r e d .

The ad-hoc a c t i v a t i o n o f n e t w o r k s i s , o f c o u r s e , f a c i l i t a t e d by t h e e x i s t e n c e o f a t i g h t l y - i n t e g r a t e d permanent s t r u c t u r e w i t h s t r o n g l i n k s o f m u t u a l dependence among a l l n e c e s s a r y p a r t i c i p a n t s . To t h e e x t e n t t h a t " c l o s e n e s s " i n f o r m a l o r g a n i z a t i o n s u p p o r t s d e - f a c t o i n t e g r a t i o n t h r o u g h m u t u a l -dependency r e l a t i o n s h i p s , i t seems a r e a s o n a b l e p o s t u l a t e

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t h a t o r g a n i z a t i o n a l b o u n d a r i e s s h o u l d -be drawn i n such a way t h a t a c t o r s who a r e l i k e l y t o be f r e q u e n t l y i n v o l v e d i n p o l i c y n e t w o r k s s h o u l d be c l o s e l y a s s o c i a t e d i n -i n t e g r a t e d o r g a n i z a t i o n a l u n i t s w h i c h a r e as c o n g r u e n t as p o s s i b l e w i t h t h e p r e v a i l i n g c l u s t e r s o f t a s k i n t e r d e p e n d e n c i e s ( S c h a r p f , 1 9 7 6 8 ) . I f , however, t h e p a t t e r n s o f p o l i c y i n t e r d e p e n d e n c e s h o u l d be too-complex t o be decomposed i n t o t h e o n e - d i m e n s i o n a l s t r u c t u r e o f n o n - o v e r l a p p i n g h i e r a r c h i e s , t h e i n t e g r a t i v e c a p a c i t y o f f o r m a l o r g a n i z a t i o n i s l i k e l y t o impede, r a t h e r t h a n t o f a c i l i t a t e , n e t w o r k f o r m a t i o n . Thus, i f i t i s i n e v i t a b l e t h a t p o l i c y n e t w o r k s w i l l have t o c u t a c r o s s t h e b o u n d a r i e s o f f o r m a l o r g a n i z a t i o n i n any case, " l o o s e l y c o u p l e d " o r g a n i z a t i o n a l s t r u c t u r e s are l i k e l y t o p r o v i d e b e t t e r p r e c o n d i t i o n s f o r n e t w o r k c r e a t i o n

+ ) t h a n t i g h l y i n t e g r a t e d ones. I n any case, however, t h e would-be c r e a t o r s and managers o f p o l i c y n e t w o r k s c u t t i n g a c r o s s t h e b o u n d a r i e s o f f o r m a l o r g a n i z a t i o n s a r e l i k e l y t o be c o n f r o n t e d w i t h s i t u a t i o n s i n w h i c h t h e s t r u c t u r a l p r e c o n d i t i o n s f o r t h e use o f " h a r d " i n f l u e n c e s t r a t e g i e s ( " c o e r c i o n " and " h a r d " b a r g a i n i n g o v e r n e g a t i v e i n c e n t i v e s ) a r e u n a v a i l a b l e . Unless t h e y can r e s o r t t o " s o f t " b a r g a i n i n g ( o f f e r i n g p o s i t i v e i n c e n t i v e s t o o t h e r w i s e r e l u c t a n t p a r t i c i p a n t s )

I t s h o u l d be remembered, however, t h a t we a r e always t a l k i n g about t h e s t r e n g t h o f d e - f a c t o l i n k a g e s and n o t about f o r m a l o r g a n i z a t i o n p e r se. Thus, o r g a n i z a t i o n a l u n i t s w i t h i n a l o o s e l y i n t e g r a t e d government m i n i s t r y may be r a t h e r t i g h t l y c o u p l e d t o s p e c i f i c c l i e n t e l e o r g a n i z a t i o n s and t o l e g i s l a t i v e committees (Freeman, 1965; Seidman, 1970). The e x i s t e n c e o f such t i g h t l y i n t e g r a t e d l e g i s l a t i v e - e x e c u t i v e - c l i e n t e l e " t r i a n g l e s " can p r e s e n t as much o f an o b s t a c l e t o t h e f o r m a t i o n o f i n t e r o r g a n i z a t i o n a l p o l i c y n e t w o r k s as t h e dependency o f n e c e s s a r y p a r t i c i p a n t s upon h i e r a r c h i c a l c o n t r o l i n a t i g h t l y i n t e g r a t e d f o r m a l o r g a n i z a t i o n . "Loose c o u p l i n g " does n o t always f o l l o w f r o m a r e l a x a t i o n o f h i e r a r c h i c a l c o n t r o l s , even th o u g h t h a t may be a n e c e s s a r y c o n d i t i o n .

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t h e y w i l l e i t h e r have t o persuade p a r t i c i p a n t s t h a t i t i s i n t h e i r own i n t e r e s t t o j o i n a p r o p o s e d p o l i c y n e t w o r k ( i n f o r m a t i o n and p r o b l e m - s o l v i n g s t r a t e g i e s ) , o r t h a t i t i s t h e i r d u t y t o do so ( p e r s u a s i o n s t r a t e g i e s ) . Of c o u r s e , t h e l a s t a l t e r n a t i v e i s g r e a t l y f a c i l i t a t e d i f a p p e a l can be made n o t o n l y t o an e s t a b l i s h e d sense o f community among p o t e n t i a l p a r t i c i p a n t s b u t a l s o t o what Warren has t e r m e d t h e " i n s t i t u t i o n a l i z e d t h o u g h t s t r u c t u r e " o r t h e " i d e o l o g i c a l u n d e r p i n n i n g " o f i n t e r ­a c t i o n s i n a g i v e n i n t e r o r g a n i z a t i o n a l f i e l d (Warren e t a l 1975: 1 7 9 ) . S i m i l a r l y , i t may be h y p o t h e s i z e d t h a t t h e i d e o l o g i c a l commitment o f t h e w i d e r community t o a p a r t i c u l a r p o l i c y g o a l , and t h e r e l a t i v e v i s i b i l i t y o f t h e c o o p e r a t i v e o r o b s t r u c t i v e b e h a v i o r o f n e c e s s a r y p a r t i c i p a n t s w i l l make a d i f f e r e n c e f o r t h e p r o b a b i l i t i e s o f success o r f a i l u r e o f a t t e m p t s t o c r e a t e i n t e r ­o r g a n i z a t i o n a l p o l i c y n e t w o r k s (Hanf, H j e r n and P o r t e r , i n t h i s v o l u m e ) .

C o n c l u s i o n

I n summary, p o l i c y s t u d i e s need t o p e r f o r m s e v e r a l r e l a t e d t a s k s i n o r d e r t o d e t e r m i n e t h e i n f l u e n c e o f i n t e r ­o r g a n i z a t i o n a l ( o r i n t e r g o v e r n m e n t a l ) s t r u c t u r a l p a t t e r n s on t h e s u b s t a n c e o f p o l i c y f o r m a t i o n and p o l i c y i m p l e m e n t a t i o n :

- On t h e b a s i s o f s u b s t a n t i v e p o l i c y a n a l y s e s i t i s n e c e s s a r y t o i d e n t i f y t h e " p r e s c r i p t i v e n e t w o r k " o f r e q u i r e d l i n k a g e s o f i n t e r o r g a n i z a t i o n a l c o o r d i n a t i o n and c o o p e r a t i o n f o r t h e d i f f e r e n t phases o f p o l i c y f o r m a t i o n and p o l i c y i m p l e m e n t a t i o n .

- On t h e b a s i s o f e m p i r i c a l a n a l y s e s o f o n g o i n g i n t e r ­o r g a n i z a t i o n a l exchange i t i s n e c e s s a r y t o i d e n t i f y t h e " e m p i r i c a l n e t w o r k " o f semi-permanent ( " s t r u c t u r a l " ) r e l a t i o n s h i p s o f u n i l a t e r a l and m u t u a l dependency w h i c h f a c i l i t a t e o r impede i n f l u e n c e s t r a t e g i e s i n i n t e r ­o r g a n i z a t i o n a l p o l i c y c o o r d i n a t i o n .

- 28 -

The "goodness o f f i t " between i n t e r o r g a n i z a t i o n a l l i n k a g e s s p e c i f i e d i n t h e p r e s c r i p t i v e n e t w o r k and t h e l i n k a g e s p r e s e n t o r absent i n t h e e m p i r i c a l n e t w o r k w i l l d e t e r m i n e t h e s t r u c t u r a l f e a s i b i l i t y o f s p e c i f i e d p o l i c y c o o r d i n a t i o n .

- I f e m p i r i c a l n e t w o r k s a r e more comprehensive t h a n p r e s c r i p t i v e l y s p e c i f i e d p o l i c y n e t w o r k s (as i s l i k e l y t o t h e case) i t i s f u r t h e r n e c e s s a r y t o i d e n t i f y t h e s t r u c t u r a l p r e c o n d i t i o n s f o r t h e s e l e c t i v e a c t i v a t i o n (and, c o r r e s p o n d i n g l y , t h e s e l e c t i v e b l o c k a g e ) o f e x i s t i n g i n t e r o r g a n i z a t i o n a l l i n k a g e s .

I f t h e s e t h r e e e m p i r i c a l and a n a l y t i c a l t a s k s a r e a d e q u a t e l y p e r f o r m e d , i n t e r o r g a n i z a t i o n a l p o l i c y s t u d i e s w i l l be b e t t e r a b l e t o e x p l a i n p a s t f a i l u r e s o f p o l i c y f o r m a t i o n and p o l i c y i m p l e m e n t a t i o n , and t h e y w i l l u l t i ­m a t e l y be a b l e t o c o n t r i b u t e t o t h e b e t t e r d e s i g n o f ' i n t e r o r g a n i z a t i o n a l p o l i c y n e t w o r k s . The q u a l i t y o f i n t e r o r g a n i z a t i o n a l and i n t e r g o v e r n m e n t a l p o l i c y making, w h i c h s t i l l appears l e s s as t h e outcome o f p u r p o s i v e s o c i a l a c t i o n t h a n as t h e u n i n t e n d e d r e s u l t a n t o f haphazard i n t e r a c t i o n s i n many p o l i t i c a l systems, may e v e n t u a l l y p r o f i t f r o m such i n v e s t m e n t s i n t h e s y s t e m a t i c , p o l i c y - o r i e n t e d s t u d y o f i n t e r o r g a n i z a t i o n a l n e t w o r k s .

Diagram 1

i m p o r t a n c e o f t h e r e s o u r c e

low s u b s t i t u t a b i l i t y o f t h e s o u r c e

h i g h

h i g h

h i g h dependence

low dependence

low

low dependence

independence

Diagram 2

A's dependence on B

B's dependence on A

h i g h

low

h i g h low

m u t u a l dependence

u n i l a t e r a l dependence

u n i l a t e r a l dependence

m u t u a l independence

Diagram 3

Diagram 4

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