68-14,620DONAHUE, Harry Joseph, 1925-

THE POLITICS OF ADMINISTRATIVE REORGANIZATION IN THE FEDERAL GOVERNMENT: A STUDY OF THE FORMATION OF THE DEPARTMENT OF TRANSPORTATION.

The American University, Ph.D., 1968 Political Science, public administration

University Microfilms, Inc., Ann Arbor, Michigan

(&■ C o p y rig h t

1968

H arry Jo s e p h Donahue

THE POLITICS OP ADMINISTRATIVE REORGANIZATIONtN THE FEDERAL GOVERNMENT: A STUDY OF THE

FORMATION OF THE DEPARTMENT OF TRANSPORTATION

by

H arry Jo s e p h Donahue

S u b m itte d t o th e

F a c u l ty o f th e G ra d u a te S ch o o l

o f The A m erican U n iv e r s i ty

i n P a r t i a l F u l f i l l m e n t o f

th e R e q u ire m e n ts f o r th e D egree

o f

D o c to r o f P h ilo so p h y

i n

P u b l ic A d m in is t r a t io n

D ean, School of Government and Public Administration

Date: May 9, 1968

S ig n a tu r e s o f C om m ittee:

C hairm an:

1968

The A m erican U n iv e r s i ty

W ash in g to n , D. C.

AMERICAN UNIVERSITY L I B R A R Y

JUN 61968

WASHINGTON. 0 . &

PREFACE

R e o rg a n iz a t io n i n th e f e d e r a l governm ent in v o lv e s

m ost o f th e m a jo r f o r c e s p a r t i c i p a t i n g i n A m erican

p o l i t i c s : th e P r e s i d e n t , t h e b u re a u c r a c y , C o n g re ss ,

and th e i n t e r e s t g ro u p s . By s u b j e c t in g f e d e r a l r e o r g a n i ­

z a t io n t o a n a l y s i s i n d e p th , a u s e f u l c o n t r i b u t i o n can

be made t o th e body o f know ledge on A m erican g o v ern m en t.

The p ro b lem o f r e o r g a n i z a t i o n i n th e f e d e r a l

governm ent and i t s im p l ic a t io n s a r e o f mammoth sc o p e .

As a f i r s t s t e p to w a rd n a rro w in g th e scope w ith o u t

f o r e c l o s i n g w o rth w h ile r e s e a r c h o p t io n s , a d m i n i s t r a t i v e

r e o r g a n i z a t i o n , t h a t i s , r e o r g a n i z a t i o n o f e le m e n ts o f

th e E x e c u tiv e B ra n c h , h a s b een s e l e c t e d a s th e fo c u s o f

r e s e a r c h . R e o rg a n iz a t io n o f C ongress and r e o r g a n i z a t i o n

o f th e f e d e r a l j u d i c i a r y a re n o t o b j e c t s o f th e i n q u i r y .

Y et even e x c lu d in g th e o th e r two b ra n c h e s o f

th e f e d e r a l governm ent d o es n o t n a rro w th e f i e l d s u f f i ­

c i e n t l y ; t h e E x e c u tiv e B ranch i s a l a r g e and d iv e r s e

e n t i t y . W ith in i t , t h e r e a r e many l e v e l s o f o r g a n iz a ­

t i o n . I t seem s u s e f u l t o choose an a d m in i s t r a t iv e

r e o r g a n i z a t i o n o f d e p a r tm e n ta l s c a l e b e c a u se th e d e g re e

o f c o n f l i c t e n g e n d e re d by l a r g e - s c a l e r e o r g a n i z a t i o n

b e s t s u p p o r ts th e d e p th o f a n a l y s i s e n v is io n e d — th e

f u l l l e g i s l a t i v e p ro c e s s i s m andato ry i n an a d m in i s t r a t iv e

iii

r e o r g a n i z a t i o n o f t h i s m a g n itu d e . A p a r t i c u l a r adm in­

i s t r a t i v e r e o r g a n i z a t i o n o f t h i s n a tu r e h a s b een s i n g l e d

o u t i n o rd e r t o re d u c e th e sc o p e s t i l l f u r t h e r and a t

th e same tim e p e rm it c o m p a ra tiv e a n a l y s i s a t a f u t u r e

d a t e .

In O c to b e r 1 9 6 6 , C o n g re ss p a s s e d and th e P r e s i ­

d e n t s ig n e d t h e D epartm en t o f T r a n s p o r t a t io n A ct (now

P .L . 8 9 -670 ) e s t a b l i s h i n g th e t w e l f t h d e p a r tm e n t o f th e

E x e c u tiv e B ra n c h . In . s ig n in g th e b i l l , P r e s id e n t Jo h n so n

b ro u g h t i n t o b e in g an o r g a n iz a t io n w i th c lo s e t o 1 0 0 ,0 0 0

p e r s o n n e l (fro m e x i s t i n g a g e n c ie s ) w hose m is s io n i s t o

d e v e lo p and c o o r d in a te a n a t i o n a l t r a n s p o r t a t i o n p o l i c y . 1

The fo rm a t io n o f th e D epartm en t o f T r a n s p o r t a t i o n h as

b een chosen a s th e c o n c re te e v e n t from w hich to draw

v i r t u a l l y a l l th e d a t a n e c e s s a ry to f u l f i l l th e b a s i c

alm s o f th e s tu d y .

H aving s e l e c t e d an Im p o r ta n t b u t l im i t e d a r e a

f o r r e s e a r c h , an e f f o r t was made to s e e k o u t a d i s c r e t e

p e r s p e c t iv e w hich w ould r e n d e r th e s tu d y u s e f u l and

ev en more m a n a g e a b le . One c o u ld choose t o t r e a t th e

e s t a b l i s h m e n t o f t h e D epartm en t o f T r a n s p o r t a t i o n from

th e v ie w p o in t o f o r g a n i z a t i o n a l th e o ry a p p l ie d t o th e

In a n a rro w s e n s e , th e s tu d y I s a l s o a s tu d y o f th e p o l i t i c s o f f e d e r a l c o o r d in a t io n o f t r a n s p o r t a t i o n . The on g o in g p o l i t i c s s u r ro u n d in g th e d ev e lo p m en t o f a n a t i o n a l t r a n s p o r t a t i o n p o l i c y , h o w e v er, w i l l be o f more d i r e c t and fu n d a m e n ta l s i g n i f i c a n c e t o su ch a s tu d y .

f e d e r a l e n v iro n m en t and d i s c u s s th e p ro s and cons o f th e

v a r io u s sch em a ta a v a i l a b l e t o t h i s s i t u a t i o n . Or one

m igh t s e e i n t h i s e v e n t an o p p o r tu n i ty t o p r e s e n t a

su rv e y o f th e p r o c e d u r a l a s p e c t s o f th e l e g i s l a t i v e

p r o c e s s . I n s t e a d , w i th o u t m a in ta in in g t h a t a s i n g u l a r l y

e f f e c t i v e p e r s p e c t iv e h a s b een a r r i v e d a t , th e m a jo r

em p h asis h e re i s on human i n t e r a c t i o n s . In i t s b r o a d e s t

r e a c h , p o l i t i c s c o n c e rn s p e o p le — t h e i r a c t i v i t i e s and

r e l a t i o n s h i p s . T h ro u g h o u t th e s tu d y , t h e r e i s a c o n c e rn ,

t h e r e f o r e , w ith a d m i n i s t r a t i v e r e o r g a n i z a t i o n a s a

phenomenon o f p o l i t i c a l b e h a v io r r a t h e r th a n a s ap

p r o c e s s . The p r o c e d u r a l fram ew ork i s u se d a s a v e h ic le

f o r d e p ic t i n g b e h a v io r .

The f i n a l m easu re em ployed to p rom ote m anage­

a b i l i t y was t o c o n f in e th e s tu d y t o t h a t p h a se o f th e

a d m i n i s t r a t i v e r e o r g a n i z a t i o n w hich r e s u l t e d i n th e

e s ta b l is h m e n t o f th e d e p a r tm e n t . The dynam ics o f

a p p l i e d o r g a n i z a t i o n a l change i n th e im p le m e n ta tio n

s ta g e a r e n o t t r e a t e d .

2S in c e t h i s i s m eant t o be a s tu d y i n p o l i t i c a l

b e h a v io r , th e m e r i t s o f v a r io u s t h e o r i e s o f o r g a n iz a t io n a r e n o t c e n t r a l t o th e m ain th em e. And, s in c e a p p r a i s a l o f th e f i n a l o r g a n i z a t i o n a l s t r u c t u r e i s n o t s p e c i f i c a l l y in te n d e d , no p e r s o n a l th e o ry o f o r g a n iz a t io n i s ad v an c ed . H ow ever, i n o r d e r t h a t a rg u m en ts made by c e r t a i n p a r t i c i ­p a n ts i n th e c o n f l i c t i n im p l ie d s u p p o r t o f a g iv e n th e o ry can be more c l e a r l y u n d e rs to o d , a su rv e y o f th e many t h e o r i e s o f o r g a n iz a t io n i s p r e s e n te d in A ppendix "A ".

I t i s f e l t t h a t th e end p ro d u c t o f th e s e i n c r e ­

m e n ta l c o n t r a c t i o n s i s a s tu d y o f m anageab le p r o p o r t io n s

and y e t o f s u f f i c i e n t scope t o p e rm it th e e x t r a c t i o n o f

d a ta o f s u b s t a n t i a l v a lu e .

The m a jo r so u rc e o f d a ta i s th e body o f docum ents

b e a r in g on th e fo rm a tio n o f th e D epartm en t o f T r a n s p o r ta ­

t i o n a v a i l a b l e i n th e p u b l ic r e c o r d . The p r i n t e d r e c o r d

o f C o n g re s s io n a l h e a r i n g s , r e p o r t s , and d e b a te s o o m p rises

a p p ro x im a te ly two th o u sa n d p a g e s . In a d d i t i o n , a l l o f

th e e x te n s iv e f i l e s o f th e B ureau o f th e B udget r e l a t i n g

d i r e c t l y and i n d i r e c t l y t o th e s u b j e c t w ere made a v a i l ­

a b le f o r b ack g ro u n d u s e . A l e s s e r amount o f in fo r m a t io n

was d e r iv e d from p e r i o d i c a l s and n e w sp a p e rs .

An e a r l y re v ie w o f t h e p u b l ic r e c o r d was made

i n o r d e r t o d e te rm in e c o n f l i c t i n C o n g re s s io n a l p o l i t i c s

and any e v id e n c e o f c o n f l i c t t h a t may have ta k e n p la c e

i n th e E x e c u tiv e B ra n ch . B ased upon t h i s r e v ie w , a

s e r i e s o f e x p lo r a to r y in te r v ie w s was c o n d u c te d w ith

i n d iv i d u a l s w i th in th e governm ent and o u t s id e t h e g o v e rn ­

m ent who had e i t h e r a fu n d a m e n ta l r e s p o n s i b i l i t y f o r

o r i n t e r e s t i n a d m i n i s t r a t iv e r e o r g a n i z a t i o n o r lo n g

a s s o c i a t i o n w ith n a t i o n a l t r a n s p o r t a t i o n p ro b le m s . The

m a jo r o b j e c t i v e s o f t h e s e r e c o n n a is s a n c e in te r v ie w s

w ere (1 ) t o p i n p o in t a r e a s o f c o n f l i c t and (2 ) t o o b ta in

th e names o f th o s e p a r t i c i p a n t s o r k n o w led g ab le o b s e rv e r s

o f th e e v e n t whose r o l e s w ere n o t e x p l i c i t l y e v id e n t

vifrom a s tu d y o f th e p r i n t e d r e c o r d . A f te r an a n a l y s i s

o f th e d a ta o b ta in e d i n th e e x p lo r a to r y i n t e r v i e w s , an

in te r v ie w g u id e was d ev e lo p ed w h ich s e rv e d as a s t r u c t u r ­

in g d e v ic e f o r t h e d e t a i l e d in te r v ie w s s u b s e q u e n t ly

u n d e r ta k e n .

To g a th e r th e a d d i t i o n a l d a t a n e c e s s a ry f o r

a c c o m p lish in g t h e aims o f th e i n q u i r y , d e t a i l e d i n t e r ­

v iew s w ere c o n d u c te d w i th th o s e i n d i v i d u a l s who h a d

s i g n i f i c a n t in v o lv e m e n t i n th e d e c i s io n s a s s o c i a t e d w ith

th e r e o r g a n i z a t i o n p ro p o s a l c u lm in a t in g i n th e fo rm a t io n

o f th e D ep artm en t o f T r a n s p o r t a t i o n . I n te r v ie w s w ere

c o n d u c te d w ith o f f i c i a l s o f t h e B ureau o f th e B u d g e t,

W hite House O f f i c e , t h e h e a d q u a r te r s o f t h e D ep artm en ts

o f T r a n s p o r t a t i o n and Commerce, PAA, C o a s t G uard , ICC,

and CAB; members o f t h e s t a f f o f th e G overnm ent O pera­

t i o n s C om m ittees b o th o f th e S e n a te and t h e House o f

R e p r e s e n ta t i v e s ; R e p r e s e n ta t iv e H o l i f i e l d , A c tin g C h a ir ­

man o f th e E x e c u tiv e an d L e g i s l a t i v e R e o rg a n iz a t io n

Subcom m ittee on Government O p e ra tio n s o f th e H ouse o f

R e p r e s e n ta t i v e s ; key p a r t i c i p a n t s from i n t e r e s t g ro u p s ;

and in d e p e n d e n t t r a n s p o r t a t i o n e x p e r t s a n d p o l i t i c a l

a n a l y s t s .

The in te r v ie w s w ere p a r t i a l l y s t r u c t u r e d . Open-

ended q u e s t io n s w ere u s e d . To a v o id i n f l e x i b i l i t y , th o s e

a d d i t i o n a l t o p i c s w ere e x p lo re d a s th e t e n o r o f t h e

d i s c u s s io n p e r m i t te d and as seem ed germ ane to t h e

vii3

e x p e r t i s e o f t h e i n te r v ie w e e .

The s tu d y had i t s o r i g i n s i n d i s c u s s io n s w ith

D r. A. Lee F r i t s c h l e r , th e ch a irm an o f my d i s s e r t a t i o n

c o m m itte e . S p a rk in g th e id e a was m e re ly t h e f i r s t o f

many c o n t r i b u t i o n s he made i n f u r th e r a n c e o f th e e f f o r t .

He com bined e x p e r t c r i t i c i s m w ith a l a r g e m easu re o f

p a t i e n c e and u n d e r s ta n d in g . I am d e e p ly g r a t e f u l f o r

h i s h e lp and a d v ic e .

I owe s p e c i a l th a n k s t o D r. L ow ell H. H a t te r y ,

a member o f my c o m m itte e , who, w ith h i s s p e c i a l know ledge

and e x p e r t i s e , was a b le t o p ro v id e h ig h ly p r o f e s s i o n a l

a d v ic e and c r i t i c i s m . E q u a lly im p o r ta n t , he r e n d e re d

much n e ed e d e n co u rag em en t a t c r u c i a l p e r i o d s .

My g r a t i t u d e goes a l s o t o th e o t h e r members o f

my c o m m itte e , D r. C. D ale S to ry and Mr. Jo h n L . r McGruder

f o r t h e i r a d v ic e and s u g g e s t io n s .

I t i s a d i s t i n c t p l e a s u r e to e x p re s s my

g r a t i t u d e t o th e v a r io u s o f f i c i a l s i n t h e f e d e r a l g o v e rn ­

m ent who gave so g e n e ro u s ly o f t h e i r tim e t o p ro v id e th e

v a lu a b le i n s i g h t s and in f o r m a t io n w i th o u t w hich th e s tu d y

c o u ld n o t have b een w r i t t e n . I c a n n o t th a n k them s i n g l y ,

b u t I am n o n e th e le s s a p p r e c i a t i v e o f t h e i r i n d iv i d u a l

c o n t r i b u t i o n s . They g iv e m odern p r o o f t o th e a n c ie n t

^ i t e r a t i o n s o f t h i s p ro c e s s r e s u l t e d i n c o n tin u o u s r e f in e m e n ts o f th e i n te r v ie w g u id e . In t im e , i t became p o s s ib l e t o d e v e lo p s p e c i f i c g u id e s t a i l o r e d t o th e i n t e r v i e w e e ’ s e x p e c te d c o n t r i b u t i o n .

viiiI r i s h a d a g e , " I f you w ant t o s o lv e a p ro b le m , go t o see

a busy m a n ."

F o r in v a lu a b le c l e r i c a l s e r v i c e s p e rfo rm e d o v e r

th e p a s t two y e a r s , I owe a s p e c i a l k in d o f th a n k s to

G ladys S h im a sa k i. She s p a re d me many a w orry b e c a u se

o f h e r a c c u ra c y and d e p e n d a b i l i ty .

F i n a l l y , I am more g r a t e f u l t o my w i f e , L o is ,

th a n I can e x p re s s f o r c a r r y in g f a r more th a n h e r s h a re

o f th e fa m ily b u rd e n s f o r f a r to o many m o n th s . And to

my b o y s , S e a n , M ic h a e l, and C h r is to p h e r , I can o n ly say

t h a t I hope I can be more o f th e no rm al im age o f a f a t h e r

i n th e m onths t o come.

N a t u r a l l y , none o f t h e p e rs o n s named b e a r s any

r e s p o n s i b i l i t y w h a tso e v e r f o r any f a c t u a l e r r o r s o r f o r

o t h e r f la w s i n th e s tu d y .

TABLE OF CONTENTS

CHAPTER PAGE

I . ANTECEDENTS TO THE CONFLICT: AN

HISTORICAL PERSPECTIVE ............................................ 1

The A d m in is t r a t iv e Reform Movement . . . . 4

E a r ly C om prehensive P ro p o s a ls . . . . . . 12

I n te r im M easures f o r O r g a n iz a t io n a l

U n i t y ............................................................................. 17

I I . OPENING OF THE C O N F L IC T ............................................ 22

Form al P la n n in g f o r Change .................................. 22

In te r a g e n c y C o o rd in a t io n .................................. 24

P ro p o s a l P r e s e n te d ..................................................... 35

A n a l y s i s ............................................................................. 36

T im ing o f th e P r o p o s a l ....................................... 36

P a t t e r n o f C o n f l i c t ............................................ 45

S t r a te g y o f A c t i o n ................................................ 52

I I I . THE CONFLICT WIDENS: COMMITTEE

DELIBERATION ............................................................... 55

R e c e p tio n i n th e House . . . . . . . . . 55

T rea tm en t by th e S e n a t e ....................................... 6 l

A n a l y s i s ............................................................................. 70

I n t e r n a l I n f lu e n c e s ............................................ 71

E x tra -C o m m itte e I n f lu e n c e s ............................. 92

CHAPTER PAGE

IV . FINAL RESOLUTION OF THE CONFLICT:

CONGRESS DECIDES .......................................................... 113

F lo o r A c tio n in th e H o u s e .................................. 113

A c tio n on th e S e n a te F l o o r .................................. 129

The B i l l i n C o n f e r e n c e ............................................ 134

F in a l A c t i o n ................................................................... 138

A n a l y s i s ............................................................................. 141

Com m ittee I n f lu e n c e ............................................ 144

I n d iv id u a l I n f lu e n c e s ....................................... 148

The " T h ird H o u s e " ................................................ 154

V. THE SUMMING U P .................................................................... 158

BIBLIOGRAPHY ....................................................................................... 192

APPENDICES ....................................................................................... 208

APPENDIX A. Review o f th e T h e o r ie s o f

O rg a n iz a t io n ................................................ 209

APPENDIX B. Change and Human R esponse ........................ 226

APPENDIX C. S urvey o f D e c is io n M aking

C o n c e p tio n s ................................................ 243

APPENDIX D. In te rv ie w G uide ................................................ 269

CHAPTER I

ANTECEDENTS TO THE CONFLICT:

AN HISTORICAL PERSPECTIVE

A d m in is t r a t iv e r e o r g a n i z a t i o n i n th e f e d e r a l

governm ent i s one o f th e m ost im p o r ta n t l i n k s b e tw een

o r g a n iz a t io n th e o r y and p o l i t i c a l b e h a v io r . I t i s an

e p is o d ic phenom enon o f A m erican p o l i t i c a l l i f e w hich

p r e c i p i t a t e s i n t e n s e m ean s-en d s c o n t r o v e r s i e s .

Why s h o u ld t h e r e be c o n te n t io n o v e r p ro p o s a ls

f o r a d m i n i s t r a t i v e r e o r g a n iz a t i o n ? A lth o u g h th e g e n e r a l

g o a ls o f e f f e c t i v e n e s s , e f f i c i e n c y , and economy can be

s u b s c r ib e d to by a l l th e p a r t i c i p a n t s t o th e d e b a t e s ,

th e y a r e a b s t r a c t and e lu s iv e s t a n d a r d s . C o n se q u e n tly ,

v a ry in g v ie w p o in ts e x i s t f o r a c h ie v in g th e s e en d s by

m eans o f s t r u c t u r a l change i n g o v e rn m e n ta l i n s t i t u t i o n s .

What i s ev en m ore c r u c i a l i s t h a t r e o r g a n i z a t i o n i s o n ly

p a r t i a l l y a t e c h n i c a l p ro b le m .

O r g a n iz a t io n a l s t r u c t u r e can r e f l e c t v a lu e

ju d g m e n ts a s w e l l a s t e c h n i c a l c o n s i d e r a t i o n s . F u r th e r ­

m ore , l a r g e - s c a l e r e o r g a n i z a t i o n o f p u b l ic i n s t i t u t i o n s

a f f e c t s th e p ro c e d u re s by w hich th e c o m p e tin g i n t e r e s t s

p u rs u e t h e i r lo n g - te rm g o a ls . As a r e s u l t , t h e r e em erge

c o n f l i c t i n g o p in io n s a s t o w hat fo rm s a r e o r g a n i z a t i o n

sh o u ld t a k e .

I n a d e m o c ra tic A m erican s o c i e t y , th e n e e d s o f

d i f f e r e n t i n t e r e s t s a r e c o n c i l i a t e d th ro u g h th e

p o l i t i c a l p r o c e s s . C o n f l i c t a d ju s tm e n t and c o n s e n s u s -

b u i ld i n g th ro u g h b a r g a in in g a r e t h e w arp and w oof o f

t h i s p r o c e s s . The p o l i t i c a l p r o c e s s p r o v id e s th e

a r e n a f o r c o n te n t io n among th e r i v a l t h e o r i e s o f o r g a n i ­

z a t io n and v a lu e sy s te m s w hich sh ap e r e o r g a n i z a t i o n . T h u s,

p o l i t i c s e x i s t s i n th e p ro c e d u re s f o r c h a n g in g th e s t r u c ­

t u r e o f th e o r g a n iz a t io n s i n w hich p o l ic y i s m ade. The

p ro b lem o f how c o n f l i c t o v e r a d m i n i s t r a t i v e r e o r g a n i z a t i o n

i n th e f e d e r a l governm ent d e v e lo p s and how i t i s ev en ­

t u a l l y r e s o lv e d i s t h e c e n t r a l them e o f t h i s s tu d y .

The fo rm a tio n o f a new d e p a r tm e n t i n th e f e d e r a l

governm ent i s an u n u s u a l e v e n t . I t I s a d m in i s t r a t iv e

r e o r g a n i z a t i o n on a g ra n d s c a l e . I t i s an e v e n t r i c h

i n im p o rt f o r b o th p e o p le a s i n d i v i d u a l s and a s g ro u p s :

some g a in i n th e p r o c e s s , o th e r s l o s e . When th e r e o r ­

g a n iz a t io n h a s as i t s aim c o o r d in a t io n o f th e b ig g e s t

in d u s t r y i n th e n a t i o n , t h e r e a r e heavy s ta k e s r i d i n g

on i t s ou tcom e. Not u n n a t u r a l l y , s e r i o u s p o l i t i c a l

c o n f l i c t e n v e lo p e d th e e v e n t . 1 T h is i s a s tu d y o f t h a t

Jo s e p h A. C a l i f a n o , J r . , S p e c ia l A s s i s t a n t t o th e P r e s i d e n t , i n a sp e e c h b e fo r e th e N a t io n a l P re s s Club i n May 1967 , s t a t e d t h a t th e D epartm en t o f T r a n s p o r t a t io n Act was one o f two "m ost c o n t r o v e r s i a l b i l l s th e P r e s id e n t p r e s e n te d t o t h e C o n g ress l a s t y e a r . " (The o th e r b i l l was th e Model C i t i e s Program A c t) . F e d e ra l T im es, May 3 9 1967 .

s t r u g g l e .

The s tu d y h as a d u a l a im . The p r im a ry p u rp o se

i s t o p e rfo rm a d e s c r i p t i v e a n a l y s i s o f th e s p e c i f i c

c o n f l i c t s u r ro u n d in g th e fo rm a t io n o f th e D epartm ent o f

T r a n s p o r t a t i o n . In so d o in g , th e o b j e c t i v e i s t o p ro v id e

an a c c u r a te e x p la n a t io n o f how t h a t p a r t i c u l a r c o n f l i c t

d e v e lo p e d and how i t was r e s o lv e d i n E x e c u tiv e B ranch

and C o n g re s s io n a l p o l i t i c s . I t i s in te n d e d t o e x p lo re

and p ro v id e a d e q u a te an sw ers f o r t h e fo l lo w in g q u e s t io n s :

What s t im u la te d th e r e o r g a n iz a t io n ? What was th e n a tu r e

o f th e p r o p o s a l p r e s e n te d f o r a d m i n i s t r a t i v e r e o r g a n iz a ­

t io n ? Who w ere th e m a jo r a c t o r s , i n d i v i d u a l and g ro u p ,

p a r t i c i p a t i n g i n t h i s p o l i t i c a l dram a? Who o p posed th e

p ro p o s a l? Why? What w ere th e p o l ic y d e c i s io n s t h a t l e d

t o th e developm en t o f m a jo r t e n s io n s and t o t h e i r

e v e n tu a l r e s o l u t i o n ?

The seco n d p u rp o se o f th e s tu d y i s t o u se th e

c r e a t i o n o f th e D epartm en t o f T r a n s p o r ta t io n a s an

o c c a s io n f o r d e v e lo p in g t e n t a t i v e g e n e r a l i z a t i o n s a b o u t

p o l i c y d e c i s io n s r e l a t i n g t o f e d e r a l a d m in i s t r a t iv e

r e o r g a n i z a t i o n . The an sw ers o b ta in e d from th e q u e s t io n s

a d d re s s e d t o th e p a r t i c u l a r c o n f l i c t a r e th e b a s i s f o r

t h i s e f f o r t to w a rd s a h ig h e r l e v e l o f g e n e r a l i z a t i o n .

I t seem s p re m a tu re t o b e g in t o d e s c r ib e a

se q u en c e w hich c u lm in a te s i n a new e x e c u t iv e d e p a r tm e n t

w ith o u t f i r s t p r o v id in g a c e r t a i n h i s t o r i c a l re v ie w .

B e fo re p ro c e e d in g w i th a d e s c r i p t i v e a n a l y s i s o f th e

c o n f l i c t s u r ro u n d in g th e c r e a t i o n o f th e D epartm en t o f

T r a n s p o r t a t i o n , t h e r e f o r e , th e t r e a tm e n t o f a s e r i e s

o f h i s t o r i c a l e v e n ts b e a r in g upon i t i s i n o r d e r . Such

a re v ie w le n d s a p e r s p e c t iv e u s e f u l t o an a p p r e c i a t i o n

o f th e c o n f l i c t .

A su rv e y o f th e movement f o r g e n e r a l a d m in i s t r a ­

t i v e re fo rm w hich s p u r r e d r e o r g a n i z a t i o n p r o p o s a ls i n

t h e f e d e r a l governm ent i s g iv e n f i r s t . F o llo w in g t h a t ,

a re v ie w i s made o f i n i t i a l o v e r tu r e s f o r c o m p reh en s iv e

o v e rh a u l o f th e f e d e r a l t r a n s p o r t a t i o n e n t i t i e s . F i n a l l y ,

t h e s u c c e s s io n o f i n t e r im m ea su re s ta k e n t o e f f e c t

te m p o ra ry r e l i e f fro m o r g a n i z a t i o n a l d i s j o in t e d n e s s

i s t r e a t e d . ^

The A d m in is t r a t iv e Reform Movement

A d m in is t r a t iv e re fo rm i s a m a n i f e s t a t io n o f

m a n 's id e a o f p r o g r e s s a p p l i e d t o th e g o v e rn m e n ta l

realm. 3 The m odem movement d i r e c t e d to w a rd a d m in i s t r a ­

t i v e re fo rm i n th e f e d e r a l governm en t r e c e iv e d i t s

i n i t i a l im p e tu s from ta x p a y e r s ' a g i t a t i o n o v e r th e

2The d ilem m as p o se d by change i n th e m odem

e n v iro n m en t and th e a t te m p t made t o come to te rm s w ith them i n th e A m erican p o l i t y have b e en s k e tc h e d i n A ppendix "B" f o r th o s e i n t e r e s t e d i n a more c o m p reh en s iv e b a c k g ro u n d . The p o l i t i c a l p r o c e s s i s s e e n a s an I n s t i t u t i o n a l d e v ic e t o c o n ta in th e c o n f l i c t s a r i s i n g o u t o f c h a n g e .

See A ppendix "B ", p p . 227-232 f o r an a m p l i f i c a t i o n o f t h i s p o i n t .

5

p ro p o se d in a u g u r a t io n o f th e f e d e r a l incom e t a x i n

1 9 1 0 .^ P r e s id e n t T a f t bowed to c i t i z e n p r e s s u r e and

a p p o in te d a Com m ission on Economy and E f f i c ie n c y

(h ead ed by th e h ig h ly r e s p e c te d P . A. Cleveland^) t o

se e k o u t a r e a s f o r r e d u c in g e x p e n d i tu r e s i n th e f e d e r a l

g o v e rn m e n t.^ F o r th e f i r s t t im e , o r g a n i z a t i o n a l

em bodim ent was g iv e n t o th o s e am biguous b u t r e v e r e d

w atchw ords w hich e v e r s in c e have b e en u se d a s c r i t e r i a

o f e x c e l le n c e i n m e a su r in g g o v e rn m e n ta l performance.7

I n t e r e s t i n a d m i n i s t r a t i v e im provem ent had b e e n e v in c e d a s e a r l y a s 1888 when a S e le c t Com m ittee ( r e f e r r e d to a s th e C o c k re l l C om m ittee) was e s t a b l i s h e d . T h is body and a s u b s e q u e n t g roup ( th e D ockery Com m ission) e s t a b l i s h e d by C ongress i n 1903 l e f t no m a jo r r e c o r d o f l a s t i n g a c c o m p lish m e n ts . See S e l e c t Com m ittee on Governm ent O r g a n iz a t io n , Remarks by Members o f th e S e l e c t Com m ittee on Governm ent O rg a n iz a t io n (W a sh in g to n , D. C .: Governm ent P r i n t i n gO f f i c e , S ep tem ber 6 , 1 9 3 7 ) , PP* 1 9 -2 1 .

5W. P . W illo u g h b y , a p io n e e r i n th e f i e l d o f

p u b l ic a d m i n i s t r a t i o n , was a member o f th e C om m ission.

6P r e s i d e n t 's Com m ission on Economy and

E f f i c i e n c y . R e p o rt o f t h e Com m ission (W ash in g to n ,D. C .: U. S . Governm ent P r i n t i n g O f f i c e , 1 9 1 2 ). Out o f t h i s s tu d y e v e n tu a l ly came th e B u d g e tin g and A c co u n tin g A ct o f 1921 by w hich th e P r e s id e n t was d i r e c t e d to su b m it th e p ro p o se d a n n u a l b u d g e t to C ong ress f o r re v ie w . The B ureau o f th e B udget was c r e a t e d p u r s u a n t t o th e p r o v i s io n s o f t h i s a c t .

7Simon h as p r o v id e d an e x c e l l e n t a n a l y s i s o f

t h i s s u b j e c t i n w hich he e m p h a size s th e d i f f i c u l t y i n c o r r e c t l y u s in g th e s e c r i t e r i a t o e v a lu a te a d m in i s t r a ­t i o n . See H e rb e r t A. S im on, P u b l ic A d rr i ln is tra tio n (New Y ork: K nopf, 1 9 5 0 ) , C h a p te r Twenty T h re e .

A f te r some tw e n ty y e a r s o f r e l a t i v e i n a c t i v i t y ,

th e a d m i n i s t r a t i v e re fo rm movement d i s p la y e d renew ed

v ig o r . In 1932 C o n g re s s , a t t h e r e p e a te d u r g in g o f

P r e s id e n t H e rb e r t H oover, e n a c te d th e i n i t i a l l e g i s l a ­

t i o n c o n ta in in g g u id e l in e s and p ro c e d u re s f o r adm in­

i s t r a t i v e r e o r g a n i z a t i o n w i th in th e E x e c u tiv e B ran ch .

The E x e c u tiv e R e o r g a n iz a t io n A ct o f 1 9 32 , i n g e n e r a l ,

p e r m i t t e d th e P r e s id e n t t o r e o r g a n iz e th e E x e c u tiv e

B ranch w i th o u t th e n e c e s s i t y t o a c q u i r e p r i o r l e g i s l a t i v e

a p p ro v a l i n e ach s p e c i f i c i n s t a n c e . The A ct (an d a l l

su b s e q u e n t v e r s io n s ) r e s e r v e d t o C o n g re s s , h o w ev er, th e

pow er t o v e to a l l r e o r g a n i z a t i o n p r o p o s a ls d e v e lo p e do

u n d e r th e p r o v i s io n s o f t h i s A c t.

P r e s id e n t R o o s e v e l t , a t te m p t in g t o s t e a l a m arch

i n 1936 on a C o n g ress b e n t on s i m i l a r a im s , a p p o in te d

a P r e s i d e n t ’s Com m ittee on A d m in is t r a t iv e Management

t o e x p lo re a d m i n i s t r a t iv e problems.9 T h is s tu d y g ro u p ,

OT i t l e IV o f t h e L e g i s l a t i v e A p p r o p r ia t io n A ct

f o r F i s c a l Y ear 1933 , PL 2 1 2 , 72nd C o n g re ss , 47 S t a t . 413 . The o r i g i n a l A ct gave th e P r e s id e n t p e rm an en t a u t h o r i t y . Such l a r g e s s e was s h o r t - l i v e d h o w ev er; a tw.o y e a r l i m i t a t i o n was p la c e d upon th e a u t h o r i t y one y e a r l a t e r (by th e A ct o f M arch 3 , 1933) even a s th e D em o cra tic C o ng ress was g iv in g a som ewhat b r o a d e r pow er o f r e o r g a n i z a t i o n to F r a n k l in D. R o o s e v e lt who was t o be in a u g u r a te d th e fo l lo w in g d ay . 47 S t a t . 1517 .

9The S e n a te p ro c e e d e d t o c o n d u c t an in q u i r y

o f i t s own u n d e r th e c h a irm a n sh ip o f S e n a to r H arry A. B y rd , b u t th e r e s u l t s o f t h e i r e f f o r t n e v e r g a rn e re d th e a t t e n t i o n o r made an im p a c t anyw here n e a r th e m ag n itu d e o f th e r i v a l P r e s i d e n t i a l g ro u p . The s tu d y

l e d by L ou is Brownlow and a s s i s t e d by C h a r le s M erriam

and L u th e r G u l ic k , i n 1937 i s s u e d a s u c c in c t and p ro v o ­

c a t iv e r e p o r t t h a t had f a r - r e a c h i n g r e p e r c u s s io n s on

f u t u r e e v e n ts i n th e m anagem ent f i e l d a t l a r g e . 10

When b i l l s d e s ig n e d t o im p lem en t th e recommenda­

t i o n s o f th e Com m ittee r e a c h e d C o n g re s s , th e y m et w ith

s t r o n g o p p o s i t io n . C o n g ress e v e n tu a l ly r e l e n t e d a n d , i n

a b i l l b e a r in g l i t t l e re se m b la n c e t o th e o r i g i n a l r e q u e s t

gave th e P r e s id e n t a u t h o r i t y t o r e s t r u c t u r e t h e f e d e r a l

a d m i n i s t r a t iv e e s t a b l i s h m e n t . In t h i s v e r s io n o f th e

A c t ,11 some a g e n c ie s ( th e V e te ra n s A d m in is t r a t io n , Corps

o f E n g in e e r s , and th e C i v i l S e rv ic e C om m ission, among

o th e r s ) w ere e x c lu d e d from th e a u to m a tic p r o v i s io n s o f

th e A c t. M o reo v er, th e c r e a t i o n o f a new d e p a r tm e n t by

th e p r o v i s io n s o f t h i s Act was e x p r e s s ly f o r b id d e n . T h is

Act i s th e o r i g i n a l so u rc e f o r a d m i n i s t r a t i v e re fo rm by

was p e rfo rm e d by th e B ro o k in g s I n s t i t u t i o n and p ro v id e d th e d a ta f o r a book by Lew is M erriam and L au rence F . S c h m e c k e b ie r , R e o rg an i z a t io n o f th e N a t io n a l Governm ent (W a sh in g to n , D. C .: B ro o k in g s I n s t i t u t i o n , 1 9 3 9 ) .

" ^ P r e s i d e n t 's Com m ittee on A d m in is t r a t iv e M anagem ent, R e p o rt o f th e Com m ittee w ith S tu d ie s o f A d m in is t r a t iv e Management i n th e F e d e ra l G overnm ent (W ash ing ton ; tf. S . G overnm ent P r i n t i n g O f f i c e , 1 9 3 7 ) . One o f th e s u p p o r t in g s t u d i e s was e n t i t l e d R e o rg a n iz a t io n o f th e E x e c u tiv e D e p a r tm e n ts .

■^The R e o rg a n iz a t io n A ct o f 1939 , 53 S t a t . 561 .

r e o r g a n i z a t i o n p l a n s 12 a s th e y a re known to d a y .

The f i r s t H oover C o m m i s s i o n , e s t a b l i s h e d by

th e C o n g ress i n 1947 , made s t r o n g reco m m en d atio n s f o r

g r a n t in g th e P r e s id e n t a g r e a t e r freedom to e f f e c t

e f f i c i e n c y and economy th ro u g h r e o r g a n i z a t i o n . The

recom m endations m et a f a v o r a b le r e c e p t i o n i n C ong ress

and t h e i r a p p ro v a l fo u n d c o n c r e te e x p re s s io n i n th e

R e o rg a n iz a t io n A ct o f 1 9 4 9 .^ U nder t h i s A c t, th e

r e s t r i c t i v e p r o v i s io n s b a r r i n g th e r e f o r m a t io n o f

c e r t a i n a g e n c ie s and th e e s ta b l i s h m e n t o f new d e p a r t ­

m en ts w ere e l im in a te d . The i n t e n t o f C ong ress i n t h i s

i n s t a n c e was t o e x p e d i te r e o r g a n i z a t i o n i n l i n e w ith

recom m endations o f th e H oover C om m ission.

The Act o f 1949 was s u c c e s s iv e ly renew ed o v e r th e

y e a r s . ^ P r e s id e n t E isen h o w er to o k a d v a n ta g e o f th e

1 PR a th e r th a n by e x e c u t iv e o r d e r . F o r a c l a r i f i ­c a t i o n o f th e r a t i o n a l e , s e e J . D. M i l l e t t and L . R o g e rs , "The L e g i s l a t i v e V eto and th e R e o r g a n iz a t io n A ct o f 1 9 3 9 ," P u b l ic A d m in is t r a t io n R ev iew , V o l. I (W in te r 1 9 4 1 ) , p p . 176^159:

13 O f f i c i a l l y t i t l e d th e U n ite d S t a t e s Com m ission on O rg a n iz a t io n o f th e E x e c u tiv e B ranch o f th e G overn­m en t. I t was c h a i r e d by fo rm e r P r e s id e n t H oover.

i1jPL 1 0 9 , 8 l s t C o n g re ss . The d e t a i l s o f t h e A ct a r e a n a ly z e d i n F e r r e l H eady, "The R e o rg a n iz a t io n Act o f 1 9 4 9 ," P u b l ic A d m in ls t r a t io n R ev iew , V o l. 9 (Summer 1 9 4 9 ) , p p . 162- 1 6 7 . A u th o r iz a t io n to r e o r g a n iz e u n d e r th e R e o rg a n iz a t io n A ct o f 1939 h a d e x p ir e d i n 1941 . T i t l e I o f th e War Pow ers Act o f 1941 (A ct o f Decem ber 1 8 , 1 9 6 1 ) gave P r e s id e n t R o o se v e lt a u t h o r i t y f o r th e d u r a t io n p lu s s i x m onths t o r e o r g a n iz e a s n e c e s s a r y t o p r o s e c u te th e w ar.

3-5 in 1 9 5 3 , 1955 , 1 9 57 , and 1961 .

more f l e x i b l e p r o v i s io n s d u r in g t h i s p e r io d i n th e

h i s t o r y o f th e Act t o form th e D ep artm en t o f H e a l th ,

E d u c a t io n , and W elfa re by r e o r g a n i z a t i o n p la n i n 1953.

I n 1 9 64 , r e a c t i n g u n fa v o ra b ly to w a rd P r e s id e n t

K en n ed y 's p ro p o s a l t o s e t up a D ep artm en t o f U rban

A f f a i r s and H o u s in g , C o n g ress once a g a in c u rb e d th e

a u t h o r i t y c f th e P r e s id e n t t o r e s t r u c t u r e th e E x e c u tiv e

B ranch— th e p r o h i b i t i o n a g a in s t th e c r e a t i o n o f

d e p a r tm e n ts v i a r e o r g a n i z a t i o n p la n was r e i n s e r t e d . ^

The P r e s i d e n t 's m ost r e c e n t a u th o r i z a t i o n to

r e o r g a n iz e th e E x e c u tiv e B ranch i s d e r iv e d from an

e x te n s io n o f th e R e o rg a n iz a t io n A ct o f 1949 a p p ro v e d by

C o n g ress i n 1965 (PL 8 9 -4 3 ) . P r e s id e n t Jo h n so n had

r e q u e s te d perm anen t a u t h o r i t y i n t h i s a r e a , 1® b u t

O p e ra t in g u n d e r t h e r e s t r i c t i v e f e a t u r e s o f th e e a r l i e r v e r s io n o f th e A c t, t h e D epartm en t o f D efen se n e c e s s a r i l y came i n t o b e in g a s a r e s u l t o f s p e c i f i c l e g i s l a t i o n . I t i s d o u b t f u l , h o w ev er, t h a t su ch a h ig h ly c o n t r o v e r s i a l change c o u ld have been a c c o m p lish e d by r e o r g a n i z a t i o n p la n e v en i f i t h ad b e en p e r m ic s ib l e .

17The p o s i t i o n ta k e n was t h a t C ong ress " sh o u ld n o t s u r r e n d e r n o r a b ro g a te i t s l e g i s l a t i v e j u r i s d i c t i o n o v e r m a t t e r s o f su ch s i g n i f i c a n c e on a p e rm an en t b a s i s . " S e n a te R ep o rt No. 1057 (8 8 th C o n g re ss , 2nd S e s s io n ) , E x te n d in g th e R e o rg a n iz a t io n Act o f 1949 (W ash ing ton :U. S . Governm ent P r i n t i n g O f f i c e , 1 9 6 4 ) , p . 2 .

18He s e n t i d e n t i c a l l e t t e r s to t h i s e f f e c t to

th e P r e s id e n t o f t h e S e n a te and t o th e S p e a k e r o f th e H ouse. See S e n a te R e p o rt No. 154 ( 89t h C o n g re ss ,1 s t S e s s io n ) , March 3 , 1965 and House R e p o rt No. 184 ( 89t h C o n g re s s , 1 s t S e s s io n ) , M arch 1 7 , 1965.

10C o ngress d e m u r r e d .^ a l i m i t o f t h r e e and one h a l f

y e a r s was im p o sed , w ith th e e x p i r a t i o n d a te s e t a t

Decem ber 3 1 , 1968.

U nder t h e A c t, a s c u r r e n t ly am ended, r e o r g a n iz a ­

t i o n p la n s a u to m a t i c a l ly become e f f e c t i v e s i x t y day s

a f t e r s u b m is s io n to C o n g re s s , u n le s s e i t h e r body (by

a s im p le m a jo r i ty o f th o s e p r e s e n t and v o t in g ) d i s a p ­

p ro v e s w i th in t h e s p e c i f i e d tim e p e r i o d . 20 Of more

c o n c e rn t o th e p u rp o s e s o f t h i s s tu d y was r e t e n t i o n o f

th e p r o h i b i t i o n a g a in s t c r e a t i n g a new d e p a rtm e n t by

means o f a r e o r g a n i z a t i o n p la n u n d e r th e A c t .21

19The House Com m ittee on G overnm ent O p e ra tio n s a c c e d e d to th e P r e s i d e n t 's r e q u e s t . C o n g re ss , h o w ev er, f i n a l l y h e ld t o i t s o p in io n e x p re s s e d i n th e p r e v io u s y e a r t h a t i t h ad no d e s i r e t o r e l i n q u i s h i t s p r e r o g a t iv e s on a p e rm an en t b a s i s .

9 0 E ig h te e n o u t o f s e v e n ty th r e e p la n s s u b m itte d b e tw een 19^9 and th e c lo s e o f 1965 w ere d is a p p ro v e d by C o n g re ss . A co m p reh en siv e h i s t o r y o f r e o r g a n i z a t i o n a c c o m p lish e d o r a t te m p te d b e tw een 1939 and 1963 u n d e r t h e s e s t a t u t e s i s c o n ta in e d i n S e n a te R e p o rt No. 1057 (8 8 th C o n g re s s , 2nd S e s s io n ) , l o c . c i t .

21An e x c e l l e n t sum m ation o f p r e s e n t g u id e l in e s i s c o n ta in e d i n a s t a f f memorandum d is s e m in a te d by th e Com m ittee on G overnm ent O p e ra t io n s o f t h e S e n a te on F e b ru a ry 1 0 , 1966.

A co m p le te l i s t o f th e s t a t u t e s w hich have g iv e n th e P r e s id e n t r e o r g a n i z a t i o n a u th o r i t y s in c e 1932 ( in c lu d in g d u r a t io n o f a u t h o r i t y and th e m ethods p ro v id e d f o r C o n g re s s io n a l d is a p p r o v a l ) i s p ro v id e d i n t a b u l a r fo rm on page 6 o f S e n a te R e p o rt No. 15 ^ , l o c . c i t . A f in e n a r r a t i v e re v ie w o f a d m i n i s t r a t i v e r e o r g a n i z a t i o n s in c e 1929 (p re p a re d f o r t h e S e n a te Com m ittee by th e L ib r a r y o f C o n g re ss ) i s found in A ppendix B o f S e n a te R e p o rt No. 1057 , l o c . c i t .

11D e s p ite p e r s i s t e n t t a c t i c s upon th e p a r t o f

r e c e n t P r e s id e n t s a im ed a t r e d u c in g C o n g re s s io n a l

o v e r s ig h t o f a d m i n i s t r a t i v e r e o r g a n i z a t i o n , C o n g ress

h a s d e te rm in e d ly c o n tin u e d to d i s p l a y an a c t iv e and

l i v e l y i n t e r e s t i n t h i s a r e a . As a r e s u l t , a d m in i s t r a ­

t i v e r e o r g a n i z a t i o n i s d e e p ly enm eshed i n th e l e g i s ­

l a t i v e p r o c e s s . Not o n ly h a s C o ng ress r e f u s e d to

a b ro g a te i t s f r e q u e n t ly announced p r e r o g a t iv e s i n

c o n n e c tio n w ith a d m i n i s t r a t iv e r e o r g a n i z a t i o n s , i t h a s

ta k e n p a in s to s p e l l o u t th e s ta n d a r d s to be o b se rv e d

i n u n d e r ta k in g them .

The p r e s e n t c r i t e r i a f o r a d m i n i s t r a t iv e

r e o r g a n i z a t i o n w ere f i r s t s e t f o r t h by C ongress i n

t h e R e o rg a n iz a t io n Act o f 19^9 (and renew ed e v e r

s i n c e ) : 22

The P r e s id e n t s h a l l exam ine and from tim e t o tim e reex am in e th e o r g a n iz a t io n o f a l l a g e n c ie s o f th e Governm ent and s h a l l d e te rm in e w hat ch an g es t h e r e i n a r e n e c e s s a r y to a c c o m p lish th e fo l lo w in g p u r p o s e s :

(1 ) t o p rom ote t h e b e t t e r e x e c u t io n o f th e la w s , th e more e f f e c t i v e m anagem ent o f t h e e x e c u t iv e b ra n c h o f th e G overnm ent and o f i t s a g e n c ie s and f u n c t i o n s , and th e e x p e d i t io u s a d m i n i s t r a t io n o f th e p u b l i c b u s in e s s ;

(2 ) t o re d u c e e x p e n d i tu r e s and prom ote economy t o th e f u l l e s t e x te n t c o n s i s t e n t w ith t h e e f f i c i e n t o p e r a t io n o f th e G overnm ent;

(3 ) t o in c r e a s e th e e f f i c i e n c y o f th e o p e r a t io n s o f th e G overnm ent t o th e f u l l e s t e x te n t p r a c t i c a b l e ;

22I n T i t l e I , S e c . 2 ( a ) .

12

(4 ) t o g ro u p , c o o r d in a te , and c o n s o l id a te a g e n c ie s and f u n c t io n s o f th e G overnm ent,a s n e a r ly a s may b e , a c c o rd in g to m a jo r p u rp o s e s ;

(5 ) t o re d u c e th e num ber o f a g e n c ie s by c o n s o l id a t in g th o s e h a v in g s i m i l a r f u n c t io n s u n d e r a s i n g l e h e a d , and t o a b o l i s h su ch a g e n c ie s o r f u n c t io n s t h e r e o f a s may n o t be n e c e s s a ry f o r th e e f f i c i e n t c o n d u c t o f th e G overnm ent;23 and

(6 ) to e l im in a te o v e r la p p in g and d u p l i c a t i o n o f e f f o r t .

The l i s t seem s im p r e s s iv e ly d e t a i l e d . B u t,

su ch c i r c u m s c r ip t io n n o tw i th s ta n d in g , t h e l a t i t u d e

l e f t f o r o r g a n i z a t i o n a l d i s c r e t i o n by p la n n e r s i n th e

E x e c u tiv e B ranch re m a in s w id e ; a n d , a s w i l l be demon­

s t r a t e d i n s u b s e q u e n t c h a p t e r s , d e e p e s t C o n g re s s io n a l

i n t e r e s t c e n t e r s more a ro u n d th e p o l i t i c a l im p a c t o f

r e o r g a n i z a t i o n th a n on t e c h n i c a l d e t a i l s o f o r g a n i z a t i o n .

E a r ly C om prehensive P ro p o s a ls

What a r e th e p r e r e q u i s i t e s f o r a new e x e c u t iv e

d e p a r tm e n t? No one h a s e v e r p r e s c r i b e d p r e c i s e c r i t e r i a

f o r u se i n d e te rm in in g when an e x e c u t iv e d e p a rtm e n t

ough t to be c r e a t e d i n t h e f e d e r a l g o v e rn m en t. T hree

d e p a r tm e n ts ( S t a t e , T r e a s u r y , and War) w ere e s t a b l i s h e d

c o n c o m ita n tly w ith th e c r e a t i o n o f th e R e p u b lic in

1789 . Betw een 1798 and 1913 , se v e n more w ere a d d ed .

23C o n g ress th e r e b y p la c e d i t s e l f on r e c o r d

a s f o s t e r i n g th e t r e n d to w a rd a g r e a t e r a b s o lu te s i z e o f o r g a n iz a t io n s n o te d i n A ppendix "B ", p . 231 .

13r r 2 kOnly th r e e w ere form ed from t h a t d a te u n t i l 1966.

C o n g re s s , i n e v a lu a t in g p r o p o s a l s f o r new d e p a r t ­

m en ts o v e r th e y e a r s , a p p e a rs to have c o n s i s t e n t l y

a p p l ie d c e r t a i n p ra g m a tic c r i t e r i a . F i r s t , t h e o v e r a l l

j u r i s d i c t i o n t o be a d m in is te r e d by th e p ro p o se d d e p a r t ­

m ent m ust be o f p r im a ry im p o rta n c e t o t h e n a t i o n a l

w e l f a r e . T e s ts i n t h i s v e in in c lu d e a d e te r m in a t io n

o f s i z e , s c o p e , and p e rm an en ce . The se co n d p ra g m a tic

t e s t r e l a t e s t o th e d e g re e o f u rg en c y e v id e n t i n th e

n eed f o r c o o r d in a t io n o f d i s p a r a t e p ro g ra m s . The p ro g ram s

and th e p o l i c i e s th e y s u p p o r t m ust r e q u i r e c o n s ta n t

r e p r e s e n t a t i o n a t th e h ig h e s t l e v e l o f governm ent

b e c a u se o f deep p r e s i d e n t i a l i n t e r e s t and d i r e c t and

f r e q u e n t i n t e r v e n t i o n on h i s part.2^T hese t e s t s , a s w ith th o s e a p p l i e d t o a d m in is t r a ­

t i v e r e o r g a n i z a t i o n i n g e n e r a l , a r e b ro a d enough to

2 k D efen se (1 9 ^ 9 ) , H e a l th , E d u c a t io n , and W e lfa re (1 9 5 3 ) , and H ousing and U rban D evelopm ent (1 9 6 5 ) . The l im i t e d amount o f d r a s t i c change e x h ib i t e d by th e Exe­c u t iv e B ranch s u p p o r ts th e t h e s i s o f Caplow (s e e A ppendix B, p . 232 ) t h a t o r g a n i z a t i o n a l s t a b i l i t y in c r e a s e s w ith s i z e . I t i s a l s o i n d i c a t i v e o f th e enorm ous i n e r t i a b u i l t up by p a t t e r n s o f i n d i v i d u a l r e s i s t a n c e to c h an g e .

See te s t im o n y by D i r e c t o r , B ureau o f th e B u d g e t, C h a r le s L. S c h u l tz e , g iv e n d u r in g h i s a p p e a r ­ance on A p r i l 6 , 1966 b e fo r e th e House Com m ittee on Governm ent O p e ra t io n s . C r e a t in g a D ep artm en t o f T r a n s p o r t a t i o n . H e a r in g s on H. R. 13200 (8 9 th C o n g re ss , 2nd S e s s io n ) . (W ash in g to n : U. S . G overnm ent P r i n t i n gO f f i c e , 1 9 6 6 ) , P a r t 1 , p . 55*

14

a llo w f o r l i b e r a l i n t e r p r e t a t i o n . The h i s t o r y o f

p r o p o s a l s r e l a t i n g t o d e p a r tm e n ta l s t a t u s f o r t r a n s ­

p o r t a t i o n a c t i v i t i e s w ould seem to b e a r o u t t h i s

o b s e r v a t io n .

The o r i g i n a l p r o p o s a l f o r a D epartm en t o fpg

T r a n s p o r ta t io n d a te s b ack t o 1890. In t h a t y e a r ,

S e n a to r John J . I n g a l l s o f K ansas in t r o d u c e d a b i l l

(S . 4106) b e f o r e th e 5 1 s t C o n g re s s , 1 s t S e s s io n to

e s t a b l i s h a D epartm en t o f T r a n s p o r t a t i o n . As w ith

a l l su b s e q u e n t m easu re s p r i o r to 1 9 4 7 ,27 i t r e c e iv e d

no f u r t h e r a c t i o n a f t e r com m ittee r e f e r r a l .

In 1947 > S e n a to r Homer C a p eh a rt o f I n d ia n a

p ro p o se d t h a t a D epartm en t o f T r a n s p o r ta t io n (adm in­

i s t e r e d by a S e c r e ta r y o f T r a n s p o r t a t io n h a v in g C a b in e t

ra n k ) be e s t a b l i s h e d . J u s t a s m ost b i l l s b e fo r e and

a f t e r d i d , th e b i l l in c lu d e d th e r e g u l a to r y a s p e c t s o f

t r a n s p o r t a t i o n i n th e p ro p o se d d e p a r tm e n t . The b i l l

(S . 1812 , 8 0 th C o n g re s s , 1 s t S e s s io n ) was r e f e r r e d t o

th e Com m ittee on I n t e r s t a t e and F o re ig n Commerce.

H e a rin g s w ere h e ld b u t n e v e r co m p le ted and no f u r t h e r

a c t io n was ta k e n . The b i l l was r e in t r o d u c e d by C a p e h a rt

i n 1949 w ith s i m i l a r r e s u l t s .

pgA b i l l t o e s t a b l i s h a B ureau o f T r a n s p o r t a t io n

a n te d a te s t h i s m e a su re . Such a b i l l (H. R. 1 0 94 , 4 3 rd C o n g re ss) was in t r o d u c e d by R e p r e s e n ta t iv e Woodworth o f New York i n 1874.

2^T here w ere more th a n f i f t e e n o f them .

15

In th e y e a r s f o l lo w in g , e le v e n b i l l s o f a l i k e

n a tu r e w ere in t r o d u c e d and r e in t r o d u c e d ( f i v e by

R e p r e s e n ta t iv e J . A r th u r Y ounger o f C a l i f o r n i a ) . None

ad v an ced f u r t h e r th a n r e f e r r a l t o c o m m itte e . The l a s t

u n s u c c e s s f u l a t te m p t was a b i l l (S . 1122 , 89t h C o n g re s s ,

1 s t S e s s io n ) sp o n so re d by S e n a to r C l i f f o r d P . Case o f

New J e r s e y i n 1965 .

In th e f i f t e e n y e a r p e r io d fo l lo w in g W orld War

I I , t h r e e s t u d i e s o f m a jo r im p o r ta n c e c e n te r in g on

n a t i o n a l t r a n s p o r t a t i o n p ro b lem s w ere c a r r i e d o u t and

e x p l i c i t p r o p o s a ls f o r e x te n s iv e r e o r g a n i z a t i o n o f th e

f e d e r a l t r a n s p o r t a t i o n e n t i t i e s w ere m ade.

The f i r s t s tu d y was p e rfo rm e d by a t a s k fo r c e

o f th e o r i g i n a l H oover Com m ission h e ad e d by W ilf re d Owen

and C h a r le s L. D e a r in g . In t h e i r r e p o r t t o th e f u l l

C om m ission, th e y recom mended t h a t a D epartm en t o fP ftT r a n s p o r ta t io n be e s t a b l i s h e d . The Com m ission chose

n o t to s u p p o r t t h i s rec o m m e n d a tio n , p ro p o s in g i n s t e a d

i n 19^9 a more m odest p l a n f o r a T r a n s p o r t a t io n S e rv ic e

i n th e Commerce D e p a rtm en t.

In i 9 60 , th e P r e s i d e n t ’ s A d v iso ry Com m ittee

28U. S . Com m ission on O rg a n iz a t io n o f th e

E x e c u tiv e B ranch o f t h e G overnm ent, T ask F o rce R e p o rt on T r a n s p o r t a t io n and th e N a t io n a l G overnm ent, 19 h8 , e s p e c i a l l y V o l. I , C h a p te r 4 , " R e o rg a n iz a t io n o f F e d e ra l T r a n s p o r t a t io n A g e n c ie s ,” p p . 3 3 -6 6 . The r e p o r t form ed th e b a s i s f o r a book by D e a rin g and Owens, N a t io n a l T r a n s p o r t a t i o n P o l ic y (W ash ing ton : B ro o k in g s I n s t i t u t i o n , 1 9 ^ 9 ) .

16

on Governm ent O rg a n iz a t io n 2^ p ro p o se d a D epartm en t

o f T r a n s p o r t a t io n . The C o m m itte e 's p ro p o s a l c a l l e d

f o r i n c l u s i o n o f th e C oast G uard , F e d e ra l A v ia tio n

A gency, M aritim e A d m in is t r a t io n , and s e v e r a l o th e r

a g e n c ie s and f u n c t io n s . As a fo llo w -u p to t h i s s tu d y ,

P r e s id e n t E isen h o w er in c o r p o r a te d a c a l l f o r a D e p a r t ­

m ent o f T r a n s p o r t a t io n i n h i s 1961 B udget M essage;

h o w ev er, he d id n o t su b m it s p e c i f i c l e g i s l a t i o n as a

fo rm a l fo l lo w -u p .

P u rs u a n t to S e n a te resolutions,3° th e S e n a te

Commerce Com m ittee i n 1960-1961 co n d u c ted a s tu d y o f

n a t i o n a l t r a n s p o r t a t i o n p o l i c y . In th e r e p o r t o f i t s

S p e c ia l S tudy G roup, known a s th e D oyle Report,31 sh a rp

c r i t i c i s m was made o f e x i s t i n g f e d e r a l t r a n s p o r t a t i o n

p o l i c y . 32 As one o f i t s recom m endations f o r im p ro v in g

E s ta b l i s h e d by E x e c u tiv e O rd e r 10*132 o f J a n u a ry 2*1, 1953 to a d v is e th e P r e s i d e n t , A s s i s t a n t t o th e P r e s i d e n t , and th e D i r e c t o r , BOB, on changes i n th e o r g a n iz a t io n and a c t i v i t i e s t h a t w ould p rom ote economy and e f f i c i e n c y in th e E x e c u tiv e B ra n ch ; a b o l i s h e d by E x e c u tiv e O rd e r 10917 o f F e b ru a ry 1 0 , 1961.

^ s e n a t e R e s o lu t io n s 2 9 , 151 , and 2*1*1 o f th e 8 6 th C o n g re ss .

3 ^ A fte r th e S t a f f D i r e c to r o f th e S p e c ia l S tudy G roup , M ajor G e n e ra l John P . D o y le , USAF R e t i r e d . P r i o r to h i s r e t i r e m e n t i n 1956 , he had b een D i r e c to r o f T r a n s p o r t a t io n o f th e A ir F o rc e .

32U. S . S e n a te Com m ittee on Commerce, N a t io n a l T r a n s p o r ta t io n P o l i c y . R e p o rt o f th e Com m ittee on Commerce by i t s S p e c ia l S tudy Group (W ash ing ton :U. S . Governm ent P r i n t i n g O f f i c e , 1 9 6 1 ).

17

m a t t e r s , th e Group u rg e d t h a t a D epartm en t o f T ra n s ­

p o r t a t i o n be fo rm ed .

But p ro p o s a ls f o r o r g a n i z a t i o n a l in n o v a t io n

a c q u i r e l a s t i n g s i g n i f i c a n c e o n ly th ro u g h t h e p o l i t i c a l

p r o c e s s . In th e c a se o f e ach o f t h e s e s t u d i e s , th e

incum ben t P r e s id e n t d e c id e d n o t t o s a n c t io n th e f in d in g s

w i th s p e c i f i c l e g i s l a t i o n r e l a t i n g t o th e e s ta b l is h m e n t

o f a D epartm en t o f T r a n s p o r t a t i o n .33 N o n e th e le s s ,

t h e s e s t u d i e s m a t e r i a l l y sh ap ed th e t h in k in g o f th o s e

who s u b s e q u e n t ly d e v e lo p e d th e p r o p o s a l w h ich re a c h e d

f r u i t i o n .

I n te r im M easures f o r O r g a n iz a t io n a l U n ity

W hereas p r o p o s a l s f o r m a jo r ch an g es w ere r e b u f f e d

a g a in and a g a in , a m o sa ic o f in c r e m e n ta l ch an g es was

b e in g f i t t e d t o g e t h e r w i th in th e g o v e rn m e n ta l t r a n s ­

p o r t a t i o n a r e a b e g in n in g i n 1939 . T hese m easu re s w ere

p a r t o f a s t r u g g l e t o a p p ly a d e g re e o f r a t i o n a l i t y i n

a f i e l d r a p i d l y i n c r e a s in g i n c o m p le x ity , w ith o u t

i n c u r r i n g overw helm ing o p p o s i t io n i n th e p r o c e s s .

The aim was made c l e a r by a h ig h o f f i c i a l i n th e

D epartm en t o f T r a n s p o r t a t i o n : "The g e n e r a l d o c t r i n e

■a •aP r i o r to 1966 , no P r e s id e n t o f f i c i a l l y

sp o n s o re d any p ro p o s a l f o r a D epartm en t o f T ra n s ­p o r t a t i o n e m a n a tin g from any s o u r c e .

i n t h e B ureau o f th e Budget from 1939 on down was t h a t

t h e r e o u g h t t o be a D epartm en t o f T r a n s p o r t a t i o n . The

g e n e r a l s t r a t e g y was t o g roup them [ th e f e d e r a l t r a n s ­

p o r t a t i o n e n t i t i e s ] u n d e r C o m m e rc e ." ^

The f i r s t s t e p c a l c u l a t e d t o a s s i s t t h e u l t i m a t e

aim was i n t h e a v i a t i o n f i e l d . I n 1 9 4 0 ,35 t h e c i v i l

A e r o n a u t ic s A u t h o r i t y was s p l i t : t h e C i v i l A e r o n a u t ic s

Board was form ed a s an in d e p e n d e n t r e g u l a t o r y agency

w i th s a f e t y r e s p o n s i b i l i t i e s ; and a C i v i l A e ro n a u t ic s

A d m i n i s t r a t i o n was e s t a b l i s h e d i n t h e D epartm ent o f

Commerce.

When t h e F e d e r a l Works Agency was a b o l i s h e d

by C ong ress i n 1949, th e P u b l i c Roads A d m i n i s t r a t io n

was t r a n s f e r r e d t o t h e G e n e ra l S e r v i c e s A d m i n i s t r a t i o n . 36

^ T h is c o n c e p t was p r e s s e d on t h e f i r s t Hoover Commission an d p r o v id e s a p o s s i b l e e x p l a n a t i o n f o r i t s r e j e c t i o n o f t h e recom m endations o f t h e t a s k f o r c e on t r a n s p o r t a t i o n . I t i s a l s o p o s s i b l e t h a t * i n t h e words o f an o f f i c i a l who was i n t h e B ureau o f t h e Budget a t t h e t i m e , " to s t a r t a n o th e r d e p a r tm e n t was t o o h a r d a h u t f o r th e f i r s t Hoover Commission t o b u y ."

3 ^ u n d e r R e o r g a n iz a t io n P la n s I I I and IV , e f f e c t i v e Ju n e 3 0 , 1940 . The W eather B ureau was t r a n s f e r r e d from th e D epartm en t o f A g r i c u l t u r e t o th e D epartm ent o f Commerce u n d e r P la n IV w i t h th e same p u rp o se i n m ind.The i n c l u s i o n o f t h e W eather B ureau i n t h e f i n a l p r o p o s a l was abandoned f o r r e a s o n s t h a t w i l l be d i s c u s s e d i n a l a t e r c h a p t e r .

By an a c t a p p ro v e d on 30 June 1949 (63 S t a t . 380 5 U .S .C . 6 3 0 b ) . I t s name was changed a t t h a t t im e t o th e B ureau o f P u b l i c R oads.

19W ith in t h r e e m o n th s , t h e B ureau o f P u b l i c Roads was

t r a n s f e r r e d t o t h e D ep artm en t o f Commerce by a

r e o r g a n i z a t i o n p l a n . 3?

I n 1950 , th e in d e p e n d e n t U n i te d S t a t e s M a r i t im e

Commission was a b o l i s h e d . 3® A F e d e r a l M a r i t im e Board

was e s t a b l i s h e d and a M aritim e A d m i n i s t r a t io n p l a c e d

i n th e D ep artm en t o f C o m m e r c e . 39 i n t h a t same y e a r ,

t h e p e n u l t i m a te s t r a t e g i c move was made: th e p o s i t i o n

o f th e U nder S e c r e t a r y o f Commerce f o r T r a n s p o r t a t i o n

was c r e a t e d to c o o r d i n a t e t h e a c t i v i t i e s o f t h e f r a g ­

m ented t r a n s p o r t a t i o n e n t i t i e s w i t h i n t h e D e p a r tm en t .

The d e s i g n a t i o n o f an u n d e r s e c r e t a r y f o r a f u n c t i o n

was an i n n o v a t i o n i n t h e f e d e r a l g o v e rn m e n t.

The d e s ig n f o r a c t i o n e n g in e e r e d by o r g a n i z a ­

t i o n a l p l a n n e r s w i t h i n th e B ureau o f th e Budget was

e s s e n t i a l l y c o m p le te d by 1950 . The lo n g - s o u g h t g o a l

was n o t r e a l i z e d , h o w ev er , u n t i l s i x t e e n y e a r s l a t e r .

I t w i l l be t h e p u rp o s e i n s u b s e q u e n t c h a p t e r s t o d e s c r i b e

0 7R e o r g a n iz a t i o n P la n 7 o f 1949* e f f e c t i v e

August 20 , 1949.

^®By R e o r g a n iz a t io n P la n 2 1 , e f f e c t i v e May 2 4 , 1950.

■^The F e d e r a l M a r i t im e B oard was a b o l i s h e d by R e o r g a n iz a t i o n P la n 7* e f f e c t i v e August 1 2 , 1961. I t s r e g u l a t o r y f u n c t i o n s were p la c e d i n a n e w ly - c r e a t e d in d e p e n d e n t a g e n c y , t h e F e d e r a l M aritim e Com mission; i t s f u n c t i o n s r e l a t i n g t o s u b s i d i z a t i o n o f th e m e rc h a n t m a r in e w ere t r a n s f e r r e d t o t h e M a r i t im e A d m in i s t r a t io n i n th e D epartm ent o f Commerce.

20how t h e f i n a l s c e n e s e v e n t u a l l y u n f o ld e d .

The s u b s e q u e n t c h a p t e r s have been so a r r a n g e d

a s t o c o r r e s p o n d r a t h e r c l o s e l y t o t h e no rm al seq u en ce

f o r m a jo r a d m i n i s t r a t i v e r e o r g a n i z a t i o n p r o p o s a l s i n

r e c e n t y e a r s — from th e B u reau o f th e B u d g e t , th ro u g h

t h e E x e c u t iv e B ra n c h , t h e n th ro u g h t h e l e g i s l a t i v e

p r o c e s s .

C h a p te r I I t r e a t s t h e p l a n n i n g w i t h i n t h e B ureau

o f t h e Budget and t h e c o o r d i n a t i o n w i t h i n t h e E x e c u t iv e

B ranch w hich f i n a l l y p ro d u c e d t h e d r a f t b i l l f o r a new

d e p a r tm e n t . I t i s t h e p u rp o s e i n t h i s c h a p t e r t o

d e s c r i b e how t h e p o l i t i c a l s t r u g g l e was beg u n . The

f a c t o r s t h a t b o th l e d t o d e la y i n l i f t i n g t h e c u r t a i n

on t h e c o n f l i c t and t o e v e n t u a l a c t i o n a r e a l s o e x p l a i n e d .

I n C h a p te r s I I I and IV , t h e Im pac t o f C o n g re s s io n a l

p o l i t i c s on th e p r o p o s a l f o r a d m i n i s t r a t i v e r e o r g a n i z a t i o n

i s d e s c r i b e d . The i n f l u e n c e o f i n t e r e s t g ro u p s d u r in g

t h e l e g i s l a t i v e p h a se i s a n a ly z e d . C h a p te r I I I exam ines

t h e i n t e r p l a y o f t h e s e f a c t o r s i n t h e c o n te x t o f t h e

r e c e p t i o n t h e r e o r g a n i z a t i o n b i l l r e c e i v e d i n t h e

co m m ittee s o f b o t h H ouses ; C h a p te r IV i s c o n c e rn e d w i th

them as th e y r e l a t e t o t h e f l o o r a c t i o n i n t h e two b o d i e s .

The a c t i v i t i e s o f t h e House and S e n a te j o i n a t t h e H ouse-

S e n a te C o n fe re n c e . C h a p te r IV a l s o d e s c r i b e s t h i s c r u c i a l

e v e n t and h i g h l i g h t s i t s e f f e c t upon t h e a d m i n i s t r a t i v e

r e o r g a n i z a t i o n .

The c o n c lu d in g c h a p t e r i s d e v o te d t o a

summation o f t h e f i n d i n g s and c o n c l u s i o n s . An a t t e m p t

i s made a t t h i s p o i n t t o e l e v a t e t h e c a s e u n d e r s tu d y

t o t h e more g e n e r a l i z e d l e v e l and th e r e b y e s t a b l i s h a

f i r m s t a r t i n g p o i n t f o r f u t u r e s t u d i e s .

CHAPTER II

OPENING OP THE CONFLICT

Form al P la n n in g f o r Change

E a r ly i n 1 96 4 , P r e s i d e n t Jo h n so n s e t up two

t a s k f o r c e s . 1 The i n t e r e s t o f one was f o c u s e d on

g e n e r a l governm ent r e o r g a n i z a t i o n , t h e o t h e r on

t r a n s p o r t a t i o n m a t t e r s . Both w ere d i r e c t e d by e x -2

p e r t s i n t h e i r f i e l d s from o u t s i d e t h e g o v e rn m en t.3

Armed w i th t h e i r r e p o r t s — b o th recommended a

D epartm en t o f T r a n s p o r t a t i o n — t h e P r e s i d e n t i n 1965

d i r e c t e d th e f o r m a t io n o f y e t a n o th e r t a s k f o r c e on

t r a n s p o r t a t i o n p o l i c i e s and p ro g ra m s . T h is t a s k f o r c e ,

an i n t e r n a l o n e , was h e ad e d by A lan S. Boyd ( th e n

Under S e c re ta r y - o f Commerce f o r T r a n s p o r t a t i o n ) and

manned l a r g e l y by p e r s o n n e l from h i s s t a f f . Out

" P r e s i d e n t Jo h n so n l i k e s t o u se t a s k f o r c e s , " a s e n i o r o f f i c i a l o f t h e D epartm en t o f T r a n s p o r t a t i o n o b s e r v e d . " T h e i r work i s c o n f i d e n t i a l and he g e t s p l e n t y o f a d v i c e . "

2P r o f e s s o r George H i l t o n o f UCLA c h a i r e d

t h e t r a n s p o r t a t i o n t a s k f o r c e .

3They were n e v e r p u b l i s h e d .

23

o f t h i s t a s k f o r c e came recom m enda tio ns i n O c to b e r 1965

f o r s u b s t a n t i v e and l e g i s l a t i v e r e f o r m s . Among them

was a recom m endation f o r a D epartm en t o f T r a n s p o r t a t i o n . 1*

The r e p o r t was n o t made p u b l i c . ^

I t i s t h e p r a c t i c e o f t h e B ureau o f th e Budget

t o su b m it a n n u a l ly t o t h e P r e s i d e n t f o r c o n s i d e r a t i o n

i n h i s l e g i s l a t i v e p ro g ram a p a ck a g e o f r e o r g a n i z a t i o n

p r o p o s a l s . T h is p ack ag e c o n s i s t s o f a s e r i e s o f

memorandums o f one o r two p a g es p r e p a r e d by t h e O f f i c e

o f Management and O r g a n i z a t i o n .^

I n l a t e December 1965 , t h e B ureau o f t h e Budget

(BOB), buoyed by t h e e x p l i c i t s u p p o r t f o r i t s g o a ls

f u r n i s h e d by t h e Boyd t a s k f o r c e , i n c l u d e d i n i t s

4C u r i o u s l y , Boyd, i n a sp e e c h b e f o r e t h e T ra n s ­

p o r t a t i o n A s s o c i a t i o n o f A m erica i n May 1 9 65 , s t a t e d t h a t he c o u ld se e no j u s t i f i c a t i o n f o r a " t r a n s p o r t a t i o n c z a r . "

5The r e p o r t a l s o i n O c to b e r 1965 o f an I n t e r a g e n c y

M ari tim e T ask F o r c e , d i r e c t e d by Boyd, was r e l e a s e d f o r p u b l i c a t i o n and p ro m p tly r e c e i v e d v o c i f e r o u s c r i t i c i s m from t h e m a r i t im e i n d u s t r y and l a b o r . The r e l e a s e may have b e en made p a r t l y b e c a u s e t h e e s s e n t i a l f e a t u r e s o f t h e r e p o r t , f a r - r e a c h i n g re fo rm s o f t h e s u b s id y sy s te m , had b e e n l e a k e d a b o u t two weeks e a r l i e r . Or t h e l e a k may have been d e l i b e r a t e , a " t r i a l balloon" t o gauge t h e i n t e n s i t y o f t h e o p p o s i t i o n t o p o l i c y r e f o r m a t i o n . F o r a t y p i c a l r e a c t i o n , se e "M arit im e P o l i c y A s s a i l e d , " W ash ing ton P o s t , O c to b e r 8 , 1965.

^The a p p ro a c h i s r a t h e r i n t e r e s t i n g . One House s t a f f member was moved t o re m a rk : "The B ureau has as h e l f o f p r o j e c t s . I f t h e P r e s i d e n t w an ts t o show t h a t he i s e c o n o m ic a l and e f f i c i e n t , t h e y d i g some o f them o u t f o r him from t im e t o t i m e . "

24

r e o r g a n i z a t i o n p ack ag e a memorandum recom m ending t h e

c r e a t i o n o f a D epartm en t o f T r a n s p o r t a t i o n . ? The

P r e s i d e n t d e c id e d t o t r y f o r t h e D epartm en t and made

h i s i n t e n t i o n s known i n h i s S t a t e o f t h e Union m essageQ

on J a n u a ry 1 2 , 1966.

I n t e r a g e n c y C o o rd in a t io n

Once t h e P r e s i d e n t announced h i s a im , BOB

p e r s o n n e l b egan t o work i n e a r n e s t . The D i r e c t o r

im m e d ia te ly a s s i g n e d t o A s s i s t a n t D i r e c t o r C h a r le s J .

Zwick and A s s i s t a n t D i r e c t o r ( f o r Management and

O r g a n iz a t io n ) H a ro ld Seidman t h e r e s p o n s i b i l i t y f o r

p u t t i n g t o g e t h e r t h e l e g i s l a t i v e p r o p o s a l . S h o r t l y

The memorandum was b a s e d p r i m a r i l y upon t h e t r a n s p o r t a t i o n s tu d y c o n d u c te d by t h e f i r s t Hoover Commission r e f e r r e d t o e a r l i e r .

" I recom m end," th e P r e s i d e n t s a i d , " t h a t you h e lp me m o d ern ize and s t r e a m l i n e th e F e d e r a l Government by c r e a t i n g a new C a b in e t l e v e l D epartm en t o f T r a n s p o r t a t i o n and r e o r g a n i z i n g s e v e r a l e x i s t i n g a g e n c i e s . " C o n g r e s s io n a l R e c o rd , V o l . 11 2 , No. 2 ,p . 130 .

The S t a t e o f t h e Union d r a f t was h e l d v e ry c l o s e l y by t h e W hite House O f f i c e . The D i r e c t o r o f t h e B u reau o f t h e Budget knew o f i t s c o n te n t s w e l l i n a d v a n c e ; t h e BOB s t a f f became aw are o f th e i n c l u s i o n o f t h e D epartm ent o f T r a n s p o r t a t i o n p r o p o s a l i n t h e sp e e c h o n ly a few h o u rs i n adv an ce o f i t s d e l i v e r y . As l a t e a s December 2 4 th , t h e BOB s e n t a d r a f t on t r a n s p o r t a t i o n m a t t e r s t o C a l i f a n o f o r u se i n t h e S t a t e o f t h e Union m essage w hich s t r e s s e d highway s a f e t y , b u t made no m en tio n o f t h e D epartm ent o f T r a n s p o r t a t i o n .

25

t h e r e a f t e r , Jo s e p h A. C a l i f a n o , J r . , S p e c i a l A s s i s t a n t

t o t h e P r e s i d e n t , u rg e d th e D i r e c t o r , BOB, t o s e t up a

t a s k f o r c e whose m em bership w ould i n c l u d e a l l p o t e n t i a l l y

a f f e c t e d a g e n c ie s and be t h e p r im e mechanism f o r c o o r d i ­

n a t i n g t h e p r o p o s a l w i t h i n t h e E x e c u t iv e Branch.9 The

i n t e r a g e n c y Task F o rc e was form ed and h e l d i t s f i r s t

m e e t in g on J a n u a ry 2 1 , 1966 w i th Zwick and Seidman as

c o - c h a i r m e n . ^

The T ask F o rc e was composed o f r e p r e s e n t a t i v e s

from th e F e d e r a l A v ia t io n Agency (FAA); C i v i l A e r o n a u t ic s

B oard (CAB); I n t e r s t a t e Commerce Commission (IC C ); Corps

o f E n g in e e r s ; C o as t G uard; D epartm en t o f Commerce; and

t h e B ureau o f t h e B u d g e t . I 1 Each p a r t i c i p a n t was p resu m ed

G e n e ra l W il l ia m F . McKee, USAF, R e t i r e d , Admin­i s t r a t o r o f th e F e d e r a l A v ia t io n Agency, h ad s u g g e s te d t h i s a rra n g em e n t t o C a l i f a n o .

10L a t e r , Seidman removed h i m s e l f from t h e s e d u t i e s i n o r d e r t o a t t e n d t o o t h e r p r e s s i n g m a t t e r s .

FAA was r e p r e s e n t e d by b o th I t s A s s o c ia t e A d m i n i s t r a t o r f o r A d m i n i s t r a t i o n (A lan L. Dean) and i t s G e n e ra l C ounse l ( N a th a n ie l H. G o o d r ic h ) ; t h e CAB by i t s V ice Chairm an (R o b e r t T. Murphy) and I t s G e n e ra l C ounse l ( Jo s e p h B. G oldm an); ICC by I t s A s s i s t a n t M anaging D i r e c t o r ( E r n e s t W e is s ) ; t h e Corps o f E n g in e e r s by t h e G e n e ra l C oun se l o f t h e Army ( A l f r e d B. F i t t ) ; t h e C oast Guard by t h e s p e c i a l a s s i s t a n t t o t h e C h ie f o f S t a f f (R e a r A dm ira l Mark A. W halen) and t h e Aide t o t h e A s s i s t a n t S e c r e t a r y o f t h e T re a s u ry (Commander G. P a t r i c k B u r s l e y ) ; t h e D epartm en t o f Commerce by t h e D i r e c t o r , O f f i c e o f T r a n s p o r t a t i o n P o l i c y Developm ent (M. C e c i l Mackey) and t h e A s s i s t a n t G e n e ra l C o unse l f o r T r a n s p o r t a t i o n (D a n ie l O’K e e f e ) ; and t h e BOB by Zw ick, Seidm an, and a s e n i o r management a n a l y s t from Se id m an ?s O f f i c e (A r th u r K a l l e n ) .

26t o sp e a k a u t h o r i t a t i v e l y f o r h i s o r g a n i z a t i o n . No

w r i t t e n c h a r t e r was g iv e n t o t h e T ask F o r c e . The

g u id a n c e p r o v id e d was g e n e r a l : d r a f t a b i l l t h a t c o u ld

be i n t r o d u c e d i n t o C ongress and b a ck i t up w i th t h e

n e c e s s a r y J u s t i f i c a t i o n p a p e r s . The p a r t i c i p a n t s were

i n s t r u c t e d t o come up w i th so m e th in g t h a t made s e n s e .

The p o l i t i c a l i m p l i c a t i o n s , th e y w ere in f o r m e d , were

t o be l e f t t o th e W hite H ouse.

From t h e o u t s e t , t h e r e was ag reem en t w i t h i n t h e

T ask F o rc e on t h e c e n t r a l p r e m is e s o f t h e r e o r g a n i z a t i o n .

The c o n c e p t o f u n i t a r y power i n t h e S e c r e t a r y o f a

d e p a r tm e n t h a d b een im p la n te d so f i r m l y by th e Brownlow

Committee i n 1937 (and r e i n f o r c e d by t h e Hoover

C om m issions) t h a t i t was s c a r c e l y open t o q u e s t i o n

i n t h e E x e c u t iv e B ranch i n 1966.

The B ureau o f t h e Budget s o u g h t t o a v o id

" i s l a n d s o f a u t h o r i t y " i n t h e new D e p a r tm e n t . I t s

members on t h e T ask F o rc e w ere s u c c e s s f u l i n p ro m o tin g

t h i s o b j e c t i v e . The T ask F o rce c o n c lu d e d t h a t r e l a ­

t i v e l y c o m p le te freedom o u g h t t o be g iv e n t o t h e

S e c r e t a r y o f T r a n s p o r t a t i o n t o o r g a n iz e t h e f u n c t i o n s

a s s i g n e d t o t h e D epartm en t a s he saw f i t . 12 The

S u b je c t o n ly t o t h e c a v e a t t h a t he g iv e f u l l c o n s i d e r a t i o n to th e n e ed f o r o p e r a t i o n a l c o n t i n u i t y o f t h e f u n c t i o n s t r a n s f e r r e d . I t was t h e i n t e n t i o n t o t r a n s f e r o n ly t h e C oast Guard a s a l e g a l e n t i t y .

27

f u n c t i o n s , p o w e rs , and d u t i e s o f t h e A s s i s t a n t S e c re ­

t a r i e s ( l e s s t h e t r a d i t i o n a l A s s i s t a n t S e c r e t a r y f o r

A d m i n i s t r a t i o n ) , th e y f e l t , o u gh t t o be u n d e f in e d and

t h e S e c r e t a r y g iv e n a u t h o r i t y t o p r e s c r i b e them from

t im e t o t im e .

The m ain work o f t h e T ask F o rc e c e n t e r e d a ro u n d

a d e t e r m i n a t i o n o f what w ould be i n th e new D epartm ent

and w hat w ould n o t . U nan im ity was q u i c k ly r e a c h e d i n

many c a s e s . E veryone a g re e d t h a t t h e r e w ere c o g en t

r e a s o n s f o r e x c lu d in g t h e t r a n s p o r t a t i o n a c t i v i t i e s o f

t h e D epartm en t o f D e fe n s e ; so to o was t h e r e r a p i d a g r e e ­

ment on t h e e x c l u s i o n o f t r a n s p o r t a t i o n u n d e r t h e

c o n t r o l o f t h e G e n e ra l S e r v i c e s A d m i n i s t r a t io n (GSA).

I t was d e c id e d t o l e a v e o u t t h e E n v iro n m e n ta l

S c ie n c e S e r v i c e s A d m i n i s t r a t i o n (ESSA). The th e n

S e c r e t a r y o f Commerce Jo h n T. Connor was i n f a v o r o f

t h e f o r m a t io n o f t h e new D e p a r tm e n t , b u t o b j e c t e d t o

t r a n s f e r r i n g ESSA so so on a f t e r i t s c r e a t i o n . ^ The

Commerce p a r t i c i p a n t s conveyed h i s o b j e c t i o n s t o t h e

T ask F o rc e and th e y were h o n o r e d .1^

%:SSA was e s t a b l i s h e d i n J u l y 1965 by conso ­l i d a t i n g th e W ea the r B ureau and t h e C oas t and G e o d e t ic S u rv e y . B oth t h e f i r s t Hoover Commission T ask F o rc e on T r a n s p o r t a t i o n and P r e s i d e n t E is e n h o w e r ’s A d v iso ry Committee on Government O r g a n iz a t io n had recommended i n c l u s i o n o f t h e s e e n t i t i e s i n a D epartm en t o f T r a n s p o r t a t i o n .

■^Mr. C onnor, i n l a t e December 1965 , w h i le

28T here was r e a d y a s s e n t t o p l a c i n g t h e M a r i t im e

A d m i n i s t r a t io n and th e B ureau o f P u b l i c Roads i n th e

new D e p a r tm e n t . I 5 FAA p a r t i c i p a n t s i n t e r p o s e d no

fo rm a l o b j e c t i o n s i n t h e T ask F o rc e d e l i b e r a t i o n s t o

th e i n c o r p o r a t i o n o f t h e i r a g e n c y . U n d e r s ta n d a b ly ,

t h e A g e n cy 's a t t i t u d e was somewhat l e s s t h a n e n th u ­

s i a s t i c ; d o u b ts w ere h e l d a b o u t t h e i n t e g r i t y o f th e

o r g a n i z a t i o n i n t h e new e n v iro n m e n t . But i t was

r e a l i z e d t h a t w i th o u t FAA. t h e r e was no D epartm ent o f

T r a n s p o r t a t i o n . ^

Some i s s u e s were q u i t e c o n t r o v e r s i a l . T here

was no p r e s s u r e e x e r t e d by any p a r t i c i p a n t t o i n v e s t

t h e new D epartm en t w i th a l l t h e n o n - m i l i t a r y f u n c t i o n s

l e n d i n g g e n e r a l s u p p o r t t o t h e i d e a o f a new D e p a r tm e n t , h a d made known h i s o b j e c t i o n s t o t h e t r a n s f e r o f ESSA i n a memorandum t o C a l i f a n o .

I n t h e w ords o f one T ask F o rce member, " th e y w ere o b v io u s i n c l u s i o n s . " Even more o b v io u s was t h e i n c l u s i o n o f t h e com ponents g ro u p ed i n t h e O f f i c e o f t h e Under S e c r e t a r y o f Commerce f o r T r a n s p o r t a t i o n . N e i t h e r was t h e r e any o b j e c t i o n r a i s e d t o t h e c o n s o l i d a ­t i o n o f th e G re a t L akes P i l o t a g e A d m i n i s t r a t i o n , t h e S t . Law rence Seaway Developm ent C o r p o r a t i o n , and t h e A la sk a R a i l r o a d i n t o t h e D e p a r tm e n t . The u se o f an E x e c u t iv e O rd e r was c o n s i d e r e d s u f f i c i e n t t o e f f e c t a l e g a l t r a n s f e r o f t h e s e e n t i t i e s . C o n s e q u e n t ly , no m en t io n was made o f t h e s e e n t i t i e s i n t h e b i l l s u b m i t t e d by th e a d m i n i s t r a t i o n .

^ A t th e t i m e , t h e r e w ere a p p ro x im a te ly 44 ,000 p e o p le i n t h e FAA. About 39 ,00 0 w ere i n th e C oas t G uard ; t h e p e r s o n n e l s t r e n g t h o f a l l t h e o t h e r e le m e n ts t o be i n c o r p o r a t e d amounted t o l e s s t h a n 1 2 ,0 0 0 .

29p e r fo rm e d by t h e Corps o f E n g in e e r s . I n s t e a d , t h e r e

was c o n s i d e r a b l e d i s c u s s i o n o v e r a p r o p o s a l a d v an ced by

t h e BOB t o b r i n g t h e s t a n d a r d s f o r in v e s tm e n t u se d by

t h e Corps i n t o g e n e r a l c o n fo rm i ty w i th t h o s e p io n e e r e d

w i t h i n t h e D e p a r tm en t o f D e fen se and made e f f e c t i v e i n

1965 t h r o u g h o u t t h e e n t i r e E x e c u t iv e B ra n ch . Some p a r ­

t i c i p a n t s e x p r e s s e d th e v iew t h a t i t was n e i t h e r p r u d e n t

n o r l e g a l l y n e c e s s a r y t o i n s e r t su ch p r o v i s i o n s i n t o th e17b i l l . I n t h e e n d , t h e BOB view p r e v a i l e d . The p a s s a g e

1 fl( S e c t i o n 7 ) , p l a c i n g f i n a l a u t h o r i t y f o r t h e p ro m u lg a ­

t i o n o f s t a n d a r d s and c r i t e r i a f o r econom ic e v a l u a t i o n

o f a l l t r a n s p o r t a t i o n p r o j e c t s i n th e S e c r e t a r y o f

T r a n s p o r t a t i o n , was th e o n ly one i n t h e b i l l e s p o u s in g

new p o l i c y .

A l l t h e members o f th e Task F o rc e w ere u n i t e d

i n t h e g e n e r a l v iew t h a t t h e r e was l i t t l e m e r i t i n

i n c l u d i n g t h e t r a n s p o r t a t i o n r e g u l a t o r y a g e n c i e s , CAB

and ICC, i n t o t o . T here was a l s o s u b s t a n t i a l ag reem en t

on th e n e c e s s i t y f o r d i v e s t i n g t h e s e a g e n c ie s o f t h e i r

s a f e t y f u n c t i o n s and c e r t a i n o t h e r r e s p o n s i b i l i t i e s

and p l a c i n g them i n th e p ro p o s e d D e p a r tm e n t . But

17 "The BOB economists pushed.it," a Task Force participant ruefully stated.

X 8It was Section 6 in the earlier drafts.

30t h e CAB and ICC members o f t h e T ask F o rc e v o ic e d

s t r o n g o b j e c t i o n s t o t h e s e i n t e n t i o n s .

The q u e s t i o n o f CAB e x c i s i o n s 1 ^ was h a n d le d

e n t i r e l y w i t h i n th e Task F o r c e . CAB p a r t i c i p a n t s were

c h a ry o f t h e movement o f t h e i r e l i t e g roup o f s a f e t y

i n s p e c t o r s . A lth oug h u n d e r s t a n d in g t h e d e s i r e t o

enh an ce c o o r d i n a t i o n o f s a f e t y w i t h i n th e e n t i r e i n ­

d u s t r y , th e y e x p r e s s e d f e a r t h a t t h e o b j e c t i v i t y and

th e e x p e r t i s e b u i l t up by t h i s g roup o v e r th e y e a r s

m ig h t be weakened by th e t r a n s f e r .

A compromise s e t t l e m e n t was r e a c h e d on t h i s

s u b j e c t . The Task F o r c e ’ s a c c e p t e d s o l u t i o n was th e

e s t a b l i s h m e n t o f a N a t io n a l T r a n s p o r t a t i o n S a f e ty

B o a rd . The B o a rd , composed o f f i v e members a t t a c h e d t o

t h e D epartm en t b u t in d e p e n d e n t o f th e S e c r e t a r y , would

a d j u d i c a t e a l l s i g n i f i c a n t a c c i d e n t s i n v o l v i n g any mode

o f t r a n s p o r t a t i o n , s e a , a i r , o r l a n d ( l e s s a u to m o b i l e s ) ,

and a s s i g n p r o b a b le c a u s e . I n a d d i t i o n , t h e B oard

w ould make reco m m endations c o n c e rn in g t r a n s p o r t a t i o n

s a f e t y . The CAB s a f e t y i n s p e c t o r s ( i n t h e B ureau o f

S a f e t y ) were t o be t r a n s f e r r e d t o t h e new D e p a r tm en t .

The a r ra n g e m e n t t h u s c o n c e iv e d a s s u a g e d ( o r p e rh a p s

U n lik e m a r i t im e s u b s i d i e s , a i r l i n e s u b s i d i e s , deemed t o be i n e x t r i c a b l y bound up w i th r a t e s t r u c t u r e s and r o u t e a w a rd s , w ere l e f t w i th CAB.

31

m uted) th e a p p re h e n s io n s o f th e CAB p a r t i c i p a n t s a n d ,

a t l e a s t o f f i c i a l l y , ended t h e i r o b j e c t i o n s .

The IC C 's o b j e c t i o n s were b a s e d on d i f f e r e n t

g ro und s th a n th o s e o f th e CAB. The ICC d id n o t v eh e ­

m en tly oppose t r a n s f e r o f I t s s a f e t y f u n c t i o n s . I t

d id b a l k , how ever , a t t h e s u g g e s t i o n t h a t i t s ( f r e i g h t )

c a r s e r v i c e f u n c t i o n s be s h i f t e d t o t h e p la n n e d

d e p a r tm e n t .

A f r e i g h t c a r s h o r t a g e h a s p la g u e d t h e r a i l r o a d

i n d u s t r y f o r y e a r s . The e a s t e r n and w e s te r n r a i l r o a d s

have c o n f l i c t i n g p o s i t i o n s and a rgum en ts o v e r each

o t h e r ' s n e e d s . No s o l u t i o n h as b e en r e a c h e d by th e

governm ent f o r e q u i t a b l y r e s o l v i n g t h e s e c o m p e tin g

demands and d e v i s i n g a l o n g - r a n g e s o l u t i o n . The q u e s ­

t i o n o f p la c e m e n t h in g e d upon th e d e g re e o f r e l a t i o n ­

s h ip be tw een t h i s f u n c t i o n and t h e econom ic r e g u l a t o r y

p o w e rs , t h a t I s , th e r a te m a k in g f u n c t i o n s , o f th e

Commission.

The d i s c u s s i o n on t h i s i s s u e r e a c h e d an im passe

w i t h i n th e Task F o r c e . The ICC member ( r e f l e c t i n g t h e

v iew o f th e C o m m iss ioners) h e ld t h e p o s i t i o n t h a t c a r

s e r v i c e f u n c t i o n s were so enm eshed w i th th e f u n c t i o n

o f r a te m a k in g t h a t th e y o u g h t t o rem a in i n t h e ICC.

The i s s u e was p l a c e d b e f o r e th e W hite House O f f i c e .

A d e te r m i n a t i o n was made t h e r e f a v o r i n g th e t r a n s f e r

o f th e f u n c t i o n s .

32

V i r t u a l l y e v e ry o n e was c o n v in c e d t h a t u rb a n

mass t r a n s p o r t a t i o n b e lo n g e d i n t h e new o r g a n i z a t i o n .

No o f f i c i a l p r o t e s t a t i o n was made t o t h e T ask F o rce

by th e D epartm en t o f H ousing and Urban Developm ent

(HUD) a g a i n s t a p o s s i b l e t r a n s f e r . H ere a g a i n , h o w e v er ,

t h e r e was much a p p re h e n s io n on th e p a r t o f some

p a r t i c i p a n t s o v e r t h e p r o s p e c t o f s h i f t i n g an e n t i t y

t h a t had b e en b ro u g h t i n t o b e in g o n ly a y e a r e a r l i e r .

The T ask F o rc e deemed th e i s s u e t o be o f su c h Im p o r ta n c e

a s t o m e r i t r e f e r r a l t o t h e W hite House O f f i c e . 20 T here

a compromise s o l u t i o n was r e a c h e d whereby t h e f i n a l

s t a t u s o f mass t r a n s p o r t a t i o n would be r e s o l v e d a f t e r

t h e r e s u l t s o f a j o i n t s tu d y t o be a c c o m p l ish e d by HUD

and th e D ep artm en t o f T r a n s p o r t a t i o n w ere a n a ly z e d —

th e d e t e r m i n a t i o n t o be made w i t h i n a y e a r a f t e r th e

a c t i v a t i o n o f t h e new d e p a r t m e n t .21

20 N e i t h e r t h e D i r e c t o r o f t h e B ureau o f t h e B udget n o r th e Chairm en o f th e T ask F o rce u n d e r to o k t o make d e c i s i o n s i n t h o s e I n s t a n c e s i n w h ich t h e T ask F o rc e was u n w i l l i n g o r u n a b le t o a r r i v e a t a common p o s i t i o n . They d i d n o rm a l ly p a r t i c i p a t e i n t h e f i n a l d e c i s i o n a t t h e W hite House O f f i c e . C a l i f a n o ( o r one o f h i s a s s i s t a n t s ) g e n e r a l l y was th e key f i g u r e i n c o o r d i n a t i n g th e r e s o l u t i o n o f t h o s e I s s u e s b ro u g h t t o t h e a t t e n t i o n o f th e W hite House O f f i c e .

21The i s s u e o f p la c e m e n t had b e en r a i s e d e a r l i e r d u r in g W hite House d i s c u s s i o n s on th e p r o p o s a l t o c r e a t e a D epartm ent o f U rban A f f a i r s and H o u s in g . T heodore S o re n se n ( a t th e t im e , S p e c i a l C o unse l t o P r e s i d e n t Kennedy) e s t a b l i s h e d a d m i n i s t r a t i o n p o l i c y

33

The q u e s t i o n o f h a n d l i n g th e C o as t Guard

r e p r e s e n t e d a d e l i c a t e i s s u e i n th e T ask F o rc e p r o c e e d ­

i n g s . I t s i n c l u s i o n had b e e n recommended by P r e s i d e n t

E is e n h o w e r ’s A d v iso ry C om m ittee , b u t t h e Doyle Group

had e x c lu d e d i t i n t h e i r l i s t o f e n t i t i e s t o be i n c l u d e d

i n a D epartm ent o f T r a n s p o r t a t i o n . W ith good r e a s o n ,

t h e C oast Guard p a r t i c i p a n t s s c a r c e l y f e l t th e m s e lv e s

empowered t o make t h e d e c i s i o n i n t h e e a r l y m e e t in g s

t o commit t h e i r s e r v i c e t o i n c o r p o r a t i o n i n t h e D e p a r t ­

ment o f T r a n s p o r t a t i o n .

The C o as t G uard , a p ro u d s e r v i c e w i th a lo n g

t r a d i t i o n o f p r o f e s s i o n a l e x c e l l e n c e , was p l a c e d i n

an awkward p o s i t i o n by t h e p r o p o s a l t o remove i t f rom

t h e T r e a s u ry D e p a r tm e n t . When t h e S e c r e t a r y o f t h e

T r e a s u r y (Henry H. F o w le r ) a sk e d th e Commandant o f t h e

C o as t G uard , A dm iral W i l l a r d J . S m ith , ( o v e r th e weekend

o f J a n u a r y 2 8 -2 9 , 1966) w hat h i s p r e f e r e n c e s were on

t h e p r o p o s a l , he im m e d ia te ly a n sw e re d , w i th im p e c c a b le

l o y a l t y , t h a t th e C oas t Guard p r e f e r r e d t o rem a in w here

i t w as . T hat same weekend a p o s i t i o n p a p e r , f o r m a l ly

docum en ting t h i s p r e f e r e n c e , was p r e p a r e d and s e n t t o22t h e BOB. I t was j u s t a s p ro m p tly r e j e c t e d . A

w hich f a v o r e d lo d g in g mass t r a n s i t i n t h e p ro p o s e d o r g a n i z a t i o n r a t h e r t h a n i n Commerce i n o r d e r to p r e v e n t i t s dom inance by t h e B ureau o f P u b l i c Roads and t o p r o v id e (by i n c r e a s e d f u n c t i o n s ) t h e l e v e r a g e n e ed e d t o j u s t i f y d e p a r tm e n ta l s t a t u s f o r t h e e n t i t i e s t o be com bined.

22The BOB r e s p o n s e was s e n t on 1 F e b r u a ry ,

d i s c u s s i o n on t h e m e r i t s o f t h e q u e s t i o n was h e l d

s h o r t l y t h e r e a f t e r be tw een Mr. F o w le r and Mr. C a l i f a n o

and ended w i th t h e l a t t e r r a t i f y i n g t h e BOB d e c i s i o n

f o r t h e P r e s i d e n t .

The C o as t Guard now had t h r e e o p t io n s t o choose

from : (1 ) p a s s i v e r e s i s t a n c e , s e e k in g h e lp from i t s

s u p p o r t e r s i n C o n g re ss ; (2 ) p a s s i v e a c c e p t a n c e ; o r

(3 ) w h o le h e a r te d a c c e p t a n c e . I t o p te d f o r t h e t h i r d

a l t e r n a t i v e . The C o ast Guard h a d h ad an e x c e l l e n t

r e l a t i o n s h i p w i t h T re a s u r y and knew i t s ways w e l l .

E x ce p t f o r t h e B ureau o f t h e C ustom s, ho w ev er , i t had

l i t t l e d e a l i n g s w i th o t h e r e le m e n ts o f T r e a s u r y . T r a n s ­

f e r t o th e D epartm en t o f T r a n s p o r t a t i o n made s e n s e t o

t h e C oast G u a rd ’ s s e n i o r o f f i c e r s i n t h a t t h e C oast

Guard i s t r a n s p o r t a t i o n - o r i e n t e d and i s e s s e n t i a l l y

c o n c e rn e d w i th m a r i t im e s a f e t y . Once th e d e c i s i o n was

made by th e W hite House O f f i c e , t h e C o as t Guard was a

f r e e a g e n t , a b le t o sh ed i n s t i t u t i o n a l l o y a l t y and

e x p r e s s i t s v iew s o p e n ly . I t d e te r m in e d , t h e r e f o r e ,

t o g e t i n t o t h e T ask F o rc e d e l i b e r a t i o n s w i th f u l l

v i g o r i n o r d e r t o e n s u r e t h a t t h e d r a f t b i l l s a f e g u a r d e d

i t s i n t e r e s t s .

23B r i e f i n g s were g iv e n t o C o as t Guard h e a d q u a r t e r s

p e r s o n n e l on 22 and 27 A p r i l 1966 , u r g in g them t o a c c e p t w h o le h e a r t e d ly th e p r o s p e c t s o f a new "home” . See Commandant *s B u l l e t i n , No. 1 9 -6 6 .

One Task F o rc e member commented on t h i s

35

A d m i n i s t r a t io n P r o p o s a l P r e s e n te d

The f i r s t rou gh d r a f t o f t h e r e o r g a n i z a t i o n b i l l

was co m p le te d a p p ro x im a te ly t e n days a f t e r t h e c o n v e n in goh

o f t h e T ask F o r c e . Many d r a f t s w ere made b e f o r e a

c o n se n su s was r e a c h e d . The compromise s o l u t i o n s and

th e command d e c i s i o n s e n d in g t h e i r r e c o n c i l a b l e con­

f l i c t s w ere b u i l t i n t o r e p e a t e d d r a f t s . The f i n a l d r a f t

was c o m p le te d and ru s h e d th ro u g h t h e f i n a l c o o r d i n a t i n g

p r o c e s s d u r in g th e l a s t week i n F e b ru a ry 1 9 6 6 .25

The d r a f t b i l l was t r a n s m i t t e d to C o ngress on

March 2 , 1966 , accom panied by a s p e c i a l m essage frompg

t h e P r e s i d e n t . I n i t , he s t r e s s e d t h e g row th o f th e

U. S . t r a n s p o r t a t i o n s y s te m , c a t a lo g u e d i t s s h o r t ­

co m in g s , and u rg e d sp eed y e n a c tm e n t o f t h e p ro p o se d

b i l l i n o r d e r t h a t th e n a t i o n c o u ld m eet t h e new p ro b lem s

a p p ro a c h : "They c a s t t h e i r b r e a d upon t h e w a t e r s .And t h e i r l o y a l t y [ t o t h e P r e s i d e n t ] p a id o f f — th e y g o t a l o t o f good jo b s i n t h e new D e p a r tm e n t ."

I t was a t t h i s t im e t h a t th e c r y s t a l l i z a t i o n o f c o n t r o v e r s i a l i s s u e s r e a l l y to o k p l a c e . P r i o r t o t h e f i r s t T ask F o rce d r a f t , t h e D epartm en t o f Commerce had drawn up a d r a f t on i t s own.

25A p e r f u n c t o r y p r o c e s s . The m a jo r o b j e c t i o n s w ere made to t h e f i r s t d r a f t c i r c u l a t e d i n e a r l y F e b r u a r y .

26House Document No. 399» 89t h C o n g re s s , 2nd S e s s i o n . In t h i s m e ssa g e , t h e P r e s i d e n t a l s o a sk ed t h a t C o n g ress q u i c k ly e n a c t th e T r a f f i c S a f e ty Act o f 1966.

with a renewed capability. The next step in the27a d m i n i s t r a t i v e r e o r g a n i z a t i o n was up t o C o n g re s s .

A n a ly s i s

T im ing o f t h e P r o p o s a l

A g i t a t i o n f o r a new d e p a r tm e n t t o cope w i th

m ou n ting t r a n s p o r t a t i o n p ro b lem s d a t e s back some n i n e t y

y e a r s . Yet P r e s i d e n t Jo h n so n was t h e f i r s t p r e s i d e n t

t o su b m it a fo rm a l p r o p o s a l f o r c r e a t i n g a D epartm en t

o f T r a n s p o r t a t i o n . F u r th e r m o r e , i t was th e seco n d

r e q u e s t by him i n a s many y e a r s f o r th e fo r m a t io n o f

an e x e c u t i v e d e p a r tm e n t . And th e f o l lo w in g y e a r t h e r e

was s t i l l a t h i r d p r o p o s a l i n v o lv i n g r e a l ig n m e n t o f

d e p a r t m e n t s . 2 ® What a c c o u n ts f o r t h i s r a s h o f m a jo r

p r o p o s a l s f o r a d m i n i s t r a t i v e r e o r g a n i z a t i o n ? 2^ T h ere

The T ask F o rc e re m a in e d i n t a c t u n t i l th e r e o r g a n i z a t i o n b i l l was p a s s e d . T h e i r m ain f u n c t i o n from t h i s t im e on was t o f i e l d i n q u i r i e s g row ing o u t o f t h e com m ittee h e a r i n g s i n C o n g re s s .

28I n 1967 t h e P r e s i d e n t a sk ed t h a t t h e L ab o r

and Commerce D e p a r tm en ts be com bined.

29No o t h e r P r e s i d e n t i n modern t im e s had p ro p o s e d more th a n o n e .

37

a r e c o n c r e t e f a c t o r s w h ic h , t a k e n as a w h o le , may

e x p l a i n t h i s phenomenon.

P r e s s u r e s f o r a d m i n i s t r a t i v e r e o r g a n i z a t i o n i n

g e n e r a l r e c e i v e d a m a jo r b o o s t a s a r e s u l t o f th e two

Hoover C om m issions. H aving a l r e a d y c r e a t e d one d e p a r t ­

m ent (HEW), P r e s i d e n t E isen h o w er may have f e l t con ­

s t r a i n e d t o move more s lo w ly i n t h a t a r e a . F o r ,

b a s i c a l l y , c o n s e r v a t i v e p o l i c i e s w ere what t h e dom inan t

e le m e n ts o f t h e E isen h o w er a d m i n i s t r a t i o n s o u g h t . I n

th e t r a n s p o r t a t i o n a r e a , s p e c i f i c a l l y , P r e s i d e n t

E is e n h o w e r , f o r m ost o f h i s t e n u r e , l e a n e d more t o

re fo rm s o f a p o l i c y n a t u r e . He may h ave b e en i n f l u e n c e d

by a r e p o r t on t r a n s p o r t a t i o n p o l i c y p ro d u ce d by

P r o f e s s o r E r n e s t W il l ia m s o f C olum bia w hich was

p r e p a r e d a t t h e b e h e s t o f th e a d m i n i s t r a t i o n .

A v e ry p r o p i t i o u s t im e f o r t h e e s t a b l i s h m e n t o f

th e D epartm en t o f T r a n s p o r t a t i o n p r e s e n t e d i t s e l f i n

1958 when th e F e d e r a l A v ia t io n Agency was fo rm ed .

And, i n f a c t , t h e B ureau o f th e Budget f o r m a l ly recom ­

mended c r e a t i o n o f a new d e p a r tm e n t on t h a t o c c a s i o n .

S i n c l a i r Weeks ( t h e n S e c r e t a r y o f Commerce) s t r e n u ­

o u s ly op posed th e p r o p o s a l and t h e s e n i o r o f f i c i a l s

i n t h e BOB d e c l i n e d t o f o r c e t h e i s s u e . H aving l e t an

e x c e l l e n t o p p o r t u n i t y s l i p by i n 1 95 8 , i r o n i c a l l y , t h e

a d m i n i s t r a t i o n had a change o f h e a r t l a t e i n i 9 6 0 .

P r e s i d e n t E is e n h o w e r , t i n g upon t h e e a r l i e r BOB

memorandum, spoke o f th e need f o r a D epartm en t o f

T r a n s p o r t a t i o n i n h i s Budget M essage i n J a n u a ry 1961 .

Such an e n d - o f - t e r m c a l l , n a t u r a l l y , came t o n a u g h t .

W hatever P r e s i d e n t K ennedy’ s o r i g i n a l i n t e n t i o n s

to w a rd a D epartm en t o f T r a n s p o r t a t i o n may have b e e n , th e y

w ere cram ped by t h e e l e v e n t h h o u r a c t i o n s o f h i s p r e d e ­

c e s s o r . To have fo l lo w e d up w i th fo rm a l r e o r g a n i z a t i o n

a c t i o n r i g h t on t h e h e e l s o f t h e recom m endation o f Mr.

E isen h o w er seemed t a c t i c a l l y u n w ise . Mr. Kennedy chose

i n s t e a d t o s t r e s s p o l i c y r e f o r m . 3° The d e c i s i o n m ust

have seemed d o u b ly c o r r e c t t o him i n l i g h t o f th e

r e c e p t i o n e n c o u n te r e d by h i s p r o p o s a l t o s e t up a

D ep artm en t o f Urban A f f a i r s and H o u s in g . A lthough

p u r s u i n g e s s e n t i a l l y a c o u rs e o f p o l i c y em p h as is w i th

r e s p e c t t o t r a n s p o r t a t i o n , he d id su c c e e d i n a c c o m p l is h ­

i n g some m a r i t im e re fo rm s w h ic h , p l a c i n g more m a r i t im e

30H is d e c i s i o n u n d o u b te d ly s a t w e l l w i th L u th e r Hodges ( S e c r e t a r y o f Commerce and a s t r o n g member o f t h e e a r l y Kennedy team ) who was much o pp o sed t o th e i d e a o f c r e a t i n g a D epartm en t o f T r a n s p o r t a t i o n . A n o th e r c o n t r i b u t i n g f a c t o r may have b e e n th e p r e f e r ­en ce o f Kennedy t o be an a c t i v i s t i n f o r e i g n p o l i c y . The w o r ld e v e n t s o f h i s r e l a t i v e l y b r i e f incum bency t e n d e d t o s h a r p e n t h i s f o c u s .

39f u n c t i o n s i n t h e D epartm en t o f C o m m e r c e , 31 a b e t t e d th e

lo n g - r a n g e p l a n s o f t h e BOB c a r e e r i s t s . 3 2

P r e s i d e n t Jo h n so n d id n o t have t h e same i n h i b i ­

t i o n s ab o u t s e e k in g a d m i n i s t r a t i v e r e o r g a n i z a t i o n i n

t h e t r a n s p o r t a t i o n a r e a as d id Kennedy. He had th e

b e n e f i t o f s e v e r a l y e a r s o f i n s u l a t i o n b e tw een h i s

a d m i n i s t r a t i o n and t h a t o f E is e n h o w e r . He a l s o had

t h e o p p o r t u n i t y t o o b se rv e f i r s t hand t h e d a n g e rs i n h e r e n t

i n a f r o n t a l a s s a u l t on n a t i o n a l t r a n s p o r t a t i o n p o l i c y .

31By R e o r g a n iz a t io n P la n 7 o f 1961 d e s c r i b e d i n t h e p r e v io u s c h a p t e r .

32P r e s i d e n t Kennedy p r e f e r r e d t o in n o v a t e more d i r e c t l y i n o t h e r w ays. T h a t t h i s i s so i s d e m o n s tr a te d by h i s co n d u c t i n rem oving t h e t r a d i t i o n a l f i c t i o n from t h e b i l l p r e p a r a t i o n p r o c e s s . In 1 961 , f o r t h e f i r s t t im e , d r a f t b i l l s w ere s e n t o v e r t l y from t h e P r e s i d e n t t o C ongress a lo n g w i th t h e m essages r e q u e s t ­i n g t h e i r p a s s a g e . The s u b t e r f u g e o f C o n g r e s s io n a l a u th o r s h ip was aban d o n ed . N e u s ta d t c h a r a c t e r i z e d t h e move a s "among t h e q u i e t e s t p r a g m a t ic i n n o v a t i o n s i n o u r c o n s t i t u t i o n a l h i s t o r y . " See R ic h a rd N e u s t a d t , " P o l i t i c i a n s and B u r e a u c r a c y ," i n The C on gress and Americans F u t u r e , e d i t e d by D avid B. Truman (Englewood C l i f f s , N. J . : P r e n t i c e - H a l l , 1 9 6 5 ) , p . 110.

The myth o f C o n g r e s s io n a l a u th o r s h ip d i e s h a r d , how ever; f o r ex am p le , w i tn e s s t h e s t a t e m e n t by Congressm an Dawson (C hairm an o f t h e House Committee on Government O p e r a t io n s ) a t t h e o p e n in g s e s s i o n o f t h e h e a r i n g s on t h e b i l l t o c r e a t e t h e D epartm en t o f T r a n s p o r t a t i o n : "Mr. H o l i f i e l d , t h e a u t h o r o f t h eb i l l i s p r e s e n t , and w ould l i k e t o make a s t a t e m e n t a t t h i s t i m e . " H e a r in g s on H. R. 13200 (8 9 th C o n g re s s , 2nd S e s s i o n ) . (W ash ing ton : U. S . Government P r i n t i n gO f f i c e , 1 9 6 6 ) , P a r t 1 , p . 50 . The p r e c e d e n t begun by Kennedy h as b e en e n l a r g e d upon by J o h n s o n . As shown e a r l i e r , i t was t h e m ethod u sed i n t h e c a se o f t h e p r o p o s a l f o r a D epartm ent o f T r a n s p o r t a t i o n .

MO

T h e r e f o r e , Jo h n so n was q u i t e am enable t o a p r o p o s a l

t h a t se e m in g ly s k i r t e d th e to u c h y p ro b lem s o f p o l i c y .

He saw a d m i n i s t r a t i v e r e o r g a n i z a t i o n a s th e b e t t e r

a p p ro a ch f o r f u r t h e r i n g i m p o r t a n t o b j e c t i v e s w i th o u t

i n c u r r i n g im p la c a b le o p p o s i t i o n . The developm ent o f

p o l i c y c o u ld p ro c e e d w i th g r e a t e r d i s p a t c h once t h e

p o w e r fu l i n s t i t u t i o n a l c o n t r o l s o f rew ard and p u n i s h ­

ment were i n e f f e c t .

P r e s i d e n t J o h n s o n 's p r e d i l e c t i o n f o r m a ss iv e

a d m i n i s t r a t i v e r e o r g a n i z a t i o n s becomes even more u n d e r ­

s t a n d a b l e when v iew ed i n t h e c o n te x t o f t h e o v e r a l l

image he w ish e s to p r o j e c t o f h i m s e l f as P r e s i d e n t .

Mr. Jo h n so n h a s made i t a b u n d a n t ly c l e a r t h a t (among

o t h e r t h i n g s ) he r e g a r d s h i m s e l f a s an i n n o v a t o r ,

a dynamic l e a d e r , a " s h a k e r - u p p e r " o f th e s t a t u s q uo .

Pew a c t i o n s a f f o r d a b e t t e r v e h i c l e f o r t h i s p u rp o se

t h a n l a r g e - s c a l e a d m i n i s t r a t i v e r e o r g a n i z a t i o n s . ^ 2

I n d e e d , w in o r l o s e i n t h e e f f o r t t o r e o r g a n i z e , th e

g e n e r a l aim i s a s s u r e d ; th e s p e c i f i c g o a l , i f a c h i e v e d ,

i s a b o n u s .

Mr. J o h n s o n 's p r e d i s p o s i t i o n f o r r e o r g a n i z a t i o n

was r e i n f o r c e d by h i s l a n d s l i d e v i c t o r y i n 196M.

By th e e l e c t i o n r e s u l t s , t h e P r e s i d e n t was g iv e n such

l e v e r a g e t h a t he c o u ld move on HUD and on th e D epartm en t

12And th e economy im p l ie d from i t p r o v id e s a c o n c r e t e fo l lo w -u p t o th e sy m b o lic t u r n i n g ou t o f t h e W hite House l i g h t s .

41

o f T r a n s p o r t a t i o n . 33

A n o th e r f a c t o r w hich t e n d e d t o r e i n f o r c e th e

i n n o v a t i n g b e n t o f t h e P r e s i d e n t was th e a s c e n t o f

s c i e n t i f i c r a t i o n a l i t y i n g o v e rn m e n ta l managem ent.

The new a p p ro a c h i s b e s t e x e m p l i f i e d i n t h e t e c h n iq u e s

i n a u g u r a t e d by R o b e r t S . McNamara i n th e D epartm en t o f

D e fe n s e . McNamara gave new m eaning t o t h e h o a ry s lo g a n s

o f e f f i c i e n c y , econom y, and e f f e c t i v e n e s s . C o r r e c t ly

o r n o t , he a p p l i e d q u a n t i f i c a t i o n t o m u l t i f a c e t e d p r o b ­

lems w i th t h e a i d o f a new b r e e d o f g o v e rn m e n ta l p o l i c y ­

m a k e rs . 31* H is i n f l u e n c e on P r e s i d e n t i a l a c t i o n s e x te n d s

w e l l beyond t h e c o n f in e s o f t h e D efense D e p a r tm e n t .

The new to p o f f i c i a l s o f th e BOB a r e a k in d r e d

g r o u p . 35 M o s tly e c o n o m is ts by p r o f e s s i o n , th e y have

s u p p o r te d w i th e q u a l v i g o r th e same c o n c e p ts o f r a t i o n a l

management sp o n s o re d by t h e i r DOD c o u n t e r p a r t s . They

have fou nd n a t u r a l a l l i e s among t h e c a r e e r i s t s i n t h e

o r g a n i z a t i o n and management a r e a o f BOB. These

33One o f f i c i a l w i th c l o s e c o n t a c t s w i th th e P r e s i d e n t f e l t t h a t " th e q u e s t i o n i s n o t why t h e s u c c e s s , b u t why so few a t t e m p t s . "

3**Heading th e l i s t w ere ex-R and C o r p o r a t io n men su c h a s C h a r le s J. H i tc h who i n t r o d u c e d t h e c o n t r o v e r s i a l P la n n in g -P ro g ra m m in g -a n d B u d g e tin g System and A la in E n thov en who i n s t a l l e d sy s te m s a n a l y s i s a s a m a jo r t e c h n iq u e w i t h i n t h e DOD.

35Zwick also came from Rand to the Bureau of the Budget.

42

t e c h n i c i a n s a r e c o n c e rn e d , f o r a m a jo r p o r t i o n o f t h e i r

g o v e rn m e n ta l c a r e e r s , w i th p ro m o tin g b e t t e r p e r fo rm a n c e

i n governm ent by t h e r e a r r a n g e m e n t o f o r g a n i z a t i o n a l

s t r u c t u r e s . One o f t h e s e c a r e e r i s t s was A lan L. Dean.

Dean had b e e n i n t h e BOB from 1947 t o 1959. W orking

u n d e r Raymond A tk in s o n , p r i n c i p a l 0 & M m ethods e x a m in e r ,

he became c o n v in c e d o f t h e n e e d f o r a d e p a r tm e n t t o

c o o r d i n a t e a l l t h e d i s p a r a t e t r a n s p o r t a t i o n a c t i v i t i e s

o f t h e f e d e r a l g o v e rn m en t. He e n g in e e r e d some o f t h e

i n c r e m e n t a l changes w hich w ere d e s ig n e d t o p r e p a r e t h e

way, a s u n o b t r u s i v e l y as p o s s i b l e , f o r an e v e n tu a l

p r o p o s a l f o r a D epartm en t o f T r a n s p o r t a t i o n .

I n 1958 Dean h ad b e en a p r i n c i p a l a d v o c a te

o f th e p r o p o s a l w hich l e d t o t h e f o r m a t io n o f th e PAA.

I t was he who u n s u c c e s s f u l l y s u g g e s t e d u s in g t h i s

o c c a s io n t o pu sh f o r a D ep artm en t o f T r a n s p o r t a t i o n .

Dean moved t o t h e PAA a f t e r i t s e s t a b l i s h m e n t

and c o n t in u e d to s e e k o p p o r t u n i t i e s f o r s t i m u l a t i n g

i n t e r e s t i n a D epartm en t o f T r a n s p o r t a t i o n . He found

a r e a d y c o n v e r t i n N ajeeb H a la b y , A d m i n i s t r a t o r o f PAA

from 1961 t o 1965 . A f t e r a few y e a r s i n t h a t p o s i t i o n ,

H alaby c o n c lu d e d t h a t a c c e s s t o t h e P r e s i d e n t was much

e a s i e r f o r a C a b in e t o f f i c e r th a n i t was f o r t h e h e ad

o f an in d e p e n d e n t a g e n c y . ^ He saw t h a t a c c e s s was

He found o u t t h a t h ead s o f in d e p e n d e n t

H3

c r u c i a l i f PAA was t o r e c e i v e e q u i t a b l e t r e a t m e n t i n

i t s r e l a t i o n s h i p s w i th o t h e r e le m e n ts o f th e f e d e r a l

e s t a b l i s h m e n t , e s p e c i a l l y DOD. H alaby was so c o n v in c e d

o f t h e so u n d n e ss o f h i s c o n c lu s io n s t h a t he com m unicated

them t o t h e P r e s i d e n t i n Ju n e 1 9 6 5 . ^

A lan Boyd, a c lo s e f r i e n d and a s s o c i a t e o f

H a la b y , i n 1965 moved from h i s p o s t as Chairm an o f th e

CAB t o t h e p o s i t i o n o f Under S e c r e t a r y o f Commerce f o r

T r a n s p o r t a t i o n . I n h i s new p o s i t i o n , Boyd b egan t o

a c q u i r e a g row ing s e n s e o f f r u s t r a t i o n . H is a u t h o r i t y

was i n no way com m ensurate w i th h i s r e s p o n s i b i l i t i e s .

He I n d e p e n d e n t ly a r r i v e d a t t h e same v iew s a s H a lab y —

s u b s t a n t i a l headway i n t h e t r a n s p o r t a t i o n f i e l d would

n o t be made w i th o u t th e c o h e s iv e n e s s p r o v id e d by

s u b o r d i n a t i o n o f t h e v a r i o u s modal g ro u p s t o one d e p a r t ­

m en t . T r a n s p o r t a t i o n , he f e l t , n e e d e d a s i n g l e spokesm an

w i th im proved a c c e s s t o th e P r e s i d e n t . He c o n v in c e d th e

S e c r e t a r y o f Commerce t h a t t h i s a p p ro a c h was so u n d , b u t

n o t t o th e e x t e n t t h a t t h a t o f f i c i a l f e l t c o n s t r a i n e d

t o be a p rim e m over f o r an enorm ous r e d u c t i o n i n t h e

s i z e and sco p e o f h i s d e p a r tm e n t . The S e c r e t a r y d id

a g r e e , h o w ev er , t o s u p p o r t t h e p r o p o s a l when i t came

t o t h e f o r e .

a g e n c ie s a l l to o o f t e n n e v e r g o t f u r t h e r th a n th e BOB o r t h e P r e s i d e n t i a l A s s i s t a n t s .

37H alaby l e f t t h e governm ent t h a t m onth .

44

The f i n a l i n g r e d i e n t s i n t h e lo n g - te r m cam paign

t o e s t a b l i s h a D ep artm en t o f T r a n s p o r t a t i o n w ere n o t

lo n g i n b e in g a d d ed . D ean, H a la b y , and Boyd c o o r d i n a t e d

t h e i r e f f o r t s . T h e i r s was a p o w e r fu l and e f f e c t i v e

c o a l i t i o n . S e n s in g i n 1965 t h a t t h e t im e was r i p e f o r

a c t i o n , th e y a p p ro a c h e d C a l i f a n o w i th t h e i d e a o f

e s t a b l i s h i n g a d e p a r tm e n t a s soon a s p o s s i b l e . C a l i f a n o ,

i n t u r n , became c o n v i n c e d . P r o m t h i s p o i n t o n , h a v in g

a c q u i r e d a d i r e c t l i n k t o a p r e d i s p o s e d P r e s i d e n t ,

th e s e r i e s o f e v e n t s d e s c r i b e d e a r l i e r i n t h e c h a p t e r

became a lm o s t i n e v i t a b l e . The Boyd t a s k f o r c e on t r a n s ­

p o r t a t i o n was t h e d i r e c t r e s u l t o f t h i s s u c c e s s f u l

a t t e m p t t o e n l i s t C a l i f a n o ' s a l l e g i a n c e

Y e t , a l th o u g h th e way was sm oothed by P r e s i ­

d e n t i a l a c c e p t a n c e , t h e r e w ere m a jo r o b s t a c l e s t o be

overcom e. E x e c u t iv e B ranch p o l i t i c s a r e woven from t h e

OQBoyd a l s o in c lu d e d a fo rm a l recom m endation f o r

a new d e p a r tm e n t i n l a t e December 1965 i n a memorandum t o C a l i f a n o on p ro p o s e d p rog ram s and l e g i s l a t i o n .

C a l i f a n o now seems f i r m ly com m itted t o th e s o l u t i o n o f p ro b lem s th ro u g h r e o r g a n i z a t i o n . See " C a l i f a n o S ees Need f o r R e o r g a n i z a t i o n , " F e d e r a l T im es , l o c . c l t .

^ I f one i s a t o t a l b e l i e v e r i n th e T o ls to y a n v iew o f h i s t o r y , one can sa y t h a t , had n o t t h e s e i n d i v i d u a l s a c t e d a s th e y d i d , o t h e r s w ould have come and ta k e n t h e r e q u i s i t e a c t i o n . I t does a p p e a r , h o w ev er , t h a t , a s F a t h e r Jam es K e l l e r h a d so c e a s e ­l e s s l y p r e a c h e d , one man c a n make a d i f f e r e n c e . See Jam es K e l l e r , M.M., You Can Change t h e World (G arden C i t y , New Y ork: h a rd e n C i ty B ooks, 1 9 4 8 ) ,p a s s im .

45

i n d i v i d u a l g o a l s , e x p e c t a t i o n s , and a m b i t io n s o f many

p e o p l e . The o u t lo o k o f t h e s e i n d i v i d u a l s i s c o n d i t i o n e d

by t h e i r p r o f e s s i o n a l b a c k g ro u n d and t h e i r o r g a n i z a ­

t i o n a l e n v iro n m e n t . From t h e s e d i f f e r e n t p e r s p e c t i v e s ,

t h e p a t t e r n o f c o n f l i c t i s f a s h i o n e d .

P a t t e r n o f C o n f l i c t

The d i s c u s s i o n s w i t h i n t h e t a s k f o r c e r e v e a l e d

t h e i n t e n s i t y o f i n s t i t u t i o n a l b i a s e s and i n s t i t u t i o n a l

l o y a l t i e s . The t e c h n i c i a n s i n th e BOB s e t t h e s t a g e

f o r t h e e n s u in g c o n f l i c t s . I t was th e y who drew up

th e o r i g i n a l p r o p o s a l . What g u id e d them i n t h i s

r o l e ?

I t seems c l e a r t h a t o r g a n i z a t i o n t h e o r y p r o v id e d

l i t t l e g u id a n c e . The l i t e r a t u r e i s s tu d d e d w i th

t h e o r i e s o f o r g a n i z a t i o n . So many s t r i n g s have b een

added t o t h e bow t h a t i t i s now im p o s s ib l e t o draw i t .

As a r e s u l t , even t h o s e who a r e i n t h e b e s t p o s i t i o n

t o r e l a t e o r g a n i z a t i o n t h e o r y t o t h e p r a c t i c a l a f f a i r s

o f governm ent do n o t g a in much a s s i s t a n c e from th e

c u r r e n t o f f e r i n g s . F aced w i th su ch a w ide a r r a y o f

p o s s i b i l i t i e s t o choose fro m , t h e o r g a n i z a t i o n p l a n n e r

i n governm ent f a l l s b a ck upon h i s own r e s o u r c e s .

Not o n ly does t h e 0 & M man I n th e BOB h ave

t o c o n te n d w i th c o n f l i c t i n g t h e o r i e s , he h a s t o work

from t h e e x i s t i n g s i t u a t i o n . He i s n o t b l e s s e d

w i th a c l e a n s l a t e . He l a c k s t h e o p p o r t u n i t y t o

make a f r e s h s t a r t . When he o p e r a t e s u n d e r such

l i m i t a t i o n s , ev en t h e most i d e a l i s t i c p l a n n e r t e n d s

t o become so m e th in g o f a p r a g m a t i s t . I t i s n o t t r u e

t h a t , a s one House S t a f f member e x p re s s e d i t , "BOB

p e o p le l i v e i n a w o r ld o f m a k e - b e l i e v e . " 1̂ A f t e r

one h a s s p e n t a d ecad e i n th e BOB, he i s aw are ( i f

n o t c o n v in c e d ) o f t h e need t o amend th e p e r f e c t

s o l u t i o n o c c a s i o n a l l y i n a d v a n c e , t o a l lo w f o r o b v io u s

f a i l u r e . 1,1

S t i l l , t h e c h a rg e t h a t t h e t e c h n i c i a n i s n o t

s e n s i t i v e t o t h e p o l i t i c a l p r o c e s s c o n ta in s an e le m e n tiip

o f t r u t h . W hatever h i s l e n g t h o f s e r v i c e , t h e

40The s t e r e o t y p e o f th e BOB management a n a l y s t

b e n t o v e r an o r g a n i z a t i o n c h a r t , moving b o xes a ro u n d i n a c c o rd a n c e w i th a f i x e d s e t o f r u l e s , i s v a s t l y o v e rd ra w n .

41Thd d e t e r m i n a t i o n n o t t o t a c k l e DOD o r th e C orps o f E n g in e e r s ( a t l e a s t s t r a i g h t - o n ) i s e v id e n c e o f t h i s c o n c e s s io n t o h a r d r e a l i t y .

42F o r an e l a b o r a t e t r e a tm e n t o f t h i s s u b j e c t ,

t e c h n i c i a n s e e s t h i n g s somewhat d i f f e r e n t l y from

t h e p o l i t i c a l man. I t i s th e m is s io n o f t h e BOB t o

h e lp t h e P r e s i d e n t t o im pose some d e g re e o f r a t i o n a l

c o n t r o l o v e r th e a c t i o n s and r e s o u r c e s o f t h e E x e c u t iv e

B ra n ch . The BOB h a s m o b i l i z e d a s m a l l b u t im p r e s s iv e

g roup o f i n t e l l i g e n t and t a l e n t e d p e r s o n n e l t o i n f u s e

g r e a t e r r a t i o n a l i t y t o p o l i c y m aking i n t h e E x e c u t iv e

B ra n c h . And so th e y do . B u t , on o c c a s i o n , t h e r e i s

a q u e s t i o n a b l e b y - p r o d u c t t o t h e i r e f f o r t s . In th e

m inds o f some BOB e x p e r t s , r a t i o n a l i t y h a s s a c r e d

o v e r t o n e s . C o n t r a v e n in g r a t i o n a l i t y f o r t h e sa k e o f

p o l i t i c a l e x p e d ie n c y h as t h e f l a v o r o f s u r r e n d e r t o

them .

When c o n c e s s io n s a r e made t o p o l i t i c a l n e c e s s i t y ,

i t i s done w i th r e s i g n a t i o n . I n c r e m e n ta l i s m and th e

r a t i o n a l a p p ro a c h a r e f a r from b e in g f r a t e r n a l t w i n s .

T e c h n ic ia n s have a b e n t to w a rd sw eep in g s o l u t i o n s

and d r a s t i c r e v i s i o n s . They f e e l t h e l o s s o f i s s u e si io

k e e n ly and bow r e l u c t a n t l y t o p o l i t i c a l r e a l i t i e s . J

s e e J a c q u e s E l l u l , The T e c h n o lo g ic a l S o c i e ty (New Y ork: K nopf, 1 9 6 5 ) , p a s s im .

43One o f f i c i a l who to o k p a r t i n t h e d i s c u s s i o n s

on key c o n t r o v e r s i e s f e l t t h a t "some p u r i s t s [ i n th e BOB] th o u g h t t h a t i t was n e c e s s a r y t o have i t [ t h e D e p a r tm e n t] r i g h t o r n o t a t a l l . " H e ck sch e r b e l i e v e s t h a t , on th e o t h e r h a n d , " th e men who su c c e e d i n p o l i t i c s . . . p o s s e s s a lm o s t i n v a r i a b l y an i n n e r d e ta c h m e n t . . . . The com prom ises c o n t i n u a l l y r e q u i r e d 6 f them do n o t e a t i n t o th e s o u l . . . . " August H e c k s c h e r , The P u b l i c H a p p in ess (New Y ork: Atheneum,1 9 6 2 ) , p p . 1 0 5 -1 0 7 .

48

D e p o l i t i z a t i o n o f a d m i n i s t r a t i v e r e o r g a n i z a t i o n t o44many o f them seems a w orthy g o a l .

O ver f i f t y p e r c e n t o f th e T ask F o rc e p a r t i c i - 45p a n t s w ere l a w y e r s . J Lawyers h a v e , as T o c q u e v i l l e n o t e d ,

" c e r t a i n h a b i t s o f o r d e r , a t a s t e f o r f o r m a l i t i e s , and

a k in d o f i n s t i n c t i v e r e g a r d f o r th e r e g u l a r c o n n e c t io n

o f i d e a s . . . . " ^ T hey , t o o , can l a y c la im t o a h ig h

d e g re e o f r a t i o n a l i t y i n t h e i r th o u g h t p r o c e s s e s and

a r e n o t wont t o be o v e r ly awed by t h e new c la im s o f

A S e n a te s t a f f member rem arked d r y l y : "BOBr e g a r d s C o n g ress a s an a n a c h r o n i s m .11 A ugust H e ck sch e r w r i t e s t h a t t h e " r e d u c t i o n o f p o l i t i c s t o t h e l e v e l o f h o u s e k e e p in g i s p a r t o f a b ro a d t r e n d away from p o l i t i c a l a c t i o n to w a rd u n i fo rm a d m i n i s t r a t i o n and m anagem ent." H e c k s c h e r , o j j . c l t . . p . 43.

45"L aw y e rs , who c o n s t i t u t e a b o u t one t e n t h

o f one p e r c e n t o f th e p o p u l a t i o n o f t h e U. S . , su p p ly t h e m a j o r i t y o f i t s d e c i s io n - m a k e r s i n g o v e rn ­m en t . F o r v a r i o u s p e r i o d s , 70 p e r c e n t o f a l l p r e s i d e n t s , v i c e p r e s i d e n t s , and c a b i n e t members have been la w y e rs and s o have 57 p e r c e n t o f a l l s e n a t o r s , 56 p e r c e n t o f a l l members o f t h e House o f R e p r e s e n t a t i v e s and 52 p e r c e n t o f a l l s t a t e g o v e r n o r s . T h is i s n o t a r e c e n t t r e n d . " Murray G e n d e l l and Hans L. Z e t t e n b e r g , A S o c i o l o g i c a l Almanac f o r t h e U n i te d S t a t e s (New Y ork: C h a r le s S c r i b n e r ' sS o n s , 196 4 , 2nd e d . ) , p . 9* The t r e n d i s , i n d e e d , n o t new. T o c q u e v i l l e n o t e d t h a t la w y e rs " a r e n a t u r a l l y c a l l e d upon t o occupy m ost o f t h e p u b l i c s t a t i o n s .They f i l l t h e l e g i s l a t i v e a s s e m b l ie s and a r e a t t h e h e a d o f th e a d m i n i s t r a t i o n : th e y c o n s e q u e n t lye x e r c i s e a p o w e r fu l i n f l u e n c e upon th e f o r m a t io n o f t h e law and upon i t s e x e c u t i o n . " A le x is de T o c q u e v i l l e , Democracy i n A m erica (New Y ork: V in ta g eB ooks, 1 9 4 5 ) , Volume 1 , p . 290 .

^ T o c q u e v i l l e , o £ . c i t . p . 283 .

117sy s te m s a n a l y s i s . 1 But t h e i r s i s a c o n s e r v a t iv e

r a t i o n a l i t y . 1*® The law i s fou nded i n s t a r e d e c i s i s .

" In th e mind o f an E n g l i s h o r an A m erican la w y e r a

t a s t e and a r e v e r e n c e f o r what i s o ld i s a lw ays u n i t e d

w i th a lo v e o f r e g u l a r and la w fu l p r o c e e d i n g s .

Lawyers on t h e Task F o rce a c t e d a s a r e s t r a i n t

on a t t e m p t s t o f a v o r d r a s t i c i n n o v a t i o n s o v e r i n c r e ­

m e n ta l im p ro v em en ts . And, c a r i n g c o n s i d e r a b ly ab o u t

what goes on i n l e g i s l a t i v e h a l l s , th e y w ere a p t t o

fram e t h e i r n o t i o n s o f "good" o r g a n i z a t i o n i n te rm s o f

w hat C ongress m igh t a c c e p t . They were n o t o n ly n a t u r a l

d e f e n d e r s o f th e s t a t u s q u o , b u t a b l e , p a r t i s a n

B a z e lo n e x p l a i n s why: "Our p r o f e s s i o n a l i s m[ i n law ] h a s , on o c c a s i o n , a l lo w e d us t o r e a r r a n g e t h e te rm s and c o u n te r s o f t h e power s t r u g g l e w hich i s o u r p r o f e s s i o n . And we know t h a t r e fo rm e d p r o c e d u r e s do n o t s u b s t i t u t e f o r o u r power s t r u g g l e s , b u t a r e q u i c k l y a d a p te d t h e r e t o . The n e t g a in ? More i n t e r e s t ­i n g — more p r o f e s s i o n a l — te rm s and c o u n t e r s , a s law c o n t in u e s t o m i r r o r an im p e r f e c t s o c i e t y . " D avid T. B a z e lo n , Power i n A m e ric a : The P o l i t i c s o f t h e NewC la s s (New York: New Am erican L i b r a r y , 1 9 ^ 7 ) , P • 90 .

"Law g i v e s t o s o c i e t y t h a t e le m e n t o f f i x i t y , r e g u l a r i t y , and c o n t i n u i t y w i th o u t w hich c o h e r e n t l i f e i s i m p o s s i b l e . " B .V .A . R o l in g ,"The R ole o f Law i n C o n f l i c t R e s o l u t i o n , " i n Anthony de Reuck and J u l i e K n ig h t ( e d s . ) , C o n f l i c t i n S o c i e ty (B o s to n : L i t t l e , Brown, 1 9 6 6 ) , p . 328.

49T o q u e v i l l e , ojd. c i t . , p p . 28 6 -2 8 7 .

50spokesm en f o r t h e i n t e r e s t s o f t h e i r s e p a r a t e o r g a n i z a ­

t i o n s . I n s t i t u t i o n a l l o y a l t y was a b ly m erged w i th

p r o f e s s i o n a l h a b i t s and instincts.-*0T here w e re , o f c o u r s e , d i f f e r i n g i n t e r e s t s i n

t h e d i f f e r e n t e le m e n ts r e p r e s e n t e d i n th e Task F o rc e .

But f e d e r a l e x e c u t i v e s i n th e d e p a r t m e n t s , la w y e rs and

n o n - l a w y e r s , g e n e r a l l y do n o t have a s t r o n g commitment

t o th e p r e s e n t fo rm a t o f s c i e n t i f i c r a t i o n a l i t y . They

a r e a t l e a s t r e c o n c i l e d t o (and o f t e n welcome) th e

f a c t t h a t o r g a n i z a t i o n i s p o l i t i c s and t h a t p o l i c y

m aking i s e s s e n t i a l l y a p o l i t i c a l p r o c e s s . ^ 1

G iven t h e d iv e rg e n c e o f p r o f e s s i o n and i n s t i ­

t u t i o n a l ftorms, t h e r e was bound t o be c o n f l i c t . The

c e n t r i f u g a l f o r c e s o f c h a n g e , d e d i c a t e d t o p l a c i n g

th e c a p s to n e on an i n v e s t e d e f f o r t o f o v e r f i f t e e n

y e a r s , w ere m atched a g a i n s t t h e c e n t r i p e t a l f o r c e s o f

s t a b i l i t y . Under su c h c i r c u m s ta n c e s , i t i s n o t so

much a q u e s t i o n o f why t h e r e was c o n f l i c t , b u t how i t

was p o s s i b l e t o r e a c h an a m ic a b le accom m odation t o

*50J And, a s a r e s u l t o f t h e p a r t i a l a d v e r s a r y sy s te m i n s t i n c t i v e l y u s e d by l a w y e r s , t h e A d m in is t r a ­t i o n r e c e i v e d a m i ld d r e s s r e h e a r s a l o f t h e su b s e q u e n t l e g i s l a t i v e dram a.

- ^ I n commenting on t h e g u id a n c e f u r n i s h e d th e Task F o rc e i n d raw in g up t h e l e g i s l a t i v e p r o p o s a l , one d e p a r tm e n ta l p a r t i c i p a n t ackno w ledg ed : "Most o fus a t t e m p te d t o come up w i th so m e th in g r a t i o n a l , y e s , b u t s e l l a b l e . . . . We had o u r e a r t o th e p o l i t i c a l a tm o sp h e re . A l o t o f t h i n g s were c o n s id e r e d w hich w ere l e f t o u t . We te n d e d t o c o n s i d e r t h e p o l i t i c a l a s p e c t s . We d i d n ' t w ant t o recommend a n y th in g t o t a l l y r i d i c u l o u s from a p o l i t i c a l p o i n t o f v ie w ."

51

q u i c k l y . The f i n a l d r a f t b i l l was a g re e d t o by a l l

a f f e c t e d o r g a n i z a t i o n s w i t h i n s i x weeks from t h e s t a r t

o f T ask F o rc e d e l i b e r a t i o n s .

The p o l i t i c s o f c o n se n su s demands su c h an o u tw ard

d i s p l a y o f s o l i d a r i t y . C lo se d r a n k s a r e a v i t a l

p r e c u r s o r t o th e s t r a t e g y o f a c t i o n f o r a c h i e v i n g

a d m i n i s t r a t i o n g o a l s th ro u g h t h e l e g i s l a t i v e p r o c e s s . 5 2

Once an i n t e r n a l c o n se n s u s was a c h ie v e d , i t now became

n e c e s s a r y t o draw up a s t r a t e g y t o be u se d f o r g a in i n g

C o n g r e s s io n a l c o n c u r re n c e f o r th e r e o r g a n i z a t i o n p r o ­

p o s a l .

"A n o th e r p s y c h o l o g i c a l a s p e c t o f b i g o r g a n i ­z a t i o n i s t h e i l l u s i o n o f u n a n im i ty among i t s members. D i f f e r e n c e s o f i n t e r e s t and o p in io n a re ig n o r e d i n an e f f o r t t o p r e s e n t a p u b l i c image o f d i s c i p l i n e and u n i t y t h a t w i l l enhance th e o r g a n i z a ­t i o n ’s c o m p e t i t iv e c h a n c e s . D i s s e n t i s c o n f in e d w i t h i n th e o r g a n i z a t i o n . Once a d e c i s i o n h a s b e en hammered o u t , ev e ry o n e m ust a c c e p t i t , s i n c e f u r t h e r d i s c u s s i o n would im p a i r th e d e s i r e d s o l i d a r i t y . "R o b e r t V. P r e s t h u s , "Toward a Theory o f O r g a n iz a t i o n a l B e h a v io r , " A d m i n i s t r a t i v e S c ie n c e Q u a r t e r l y , V o l. 3 , Jun e 1958 , p . 6 l .

C o se r e x p l a i n s t h e p r e s s u r e f o r u n a n im ity i n t h i s m anner: "Groups w hich a r e en gaged i nc o n t in u e d s t r u g g l e t e n d t o l a y c la im on t h e t o t a l p e r s o n a l i t y in v o lv e m e n t o f t h e i r members so t h a t i n t e r n a l c o n f l i c t would t e n d t o m o b i l i z e a l l e n e r g i e s and a f f e c t s o f t h e members. Hence su ch g ro u p s a r e u n l i k e l y t o t o l e r a t e more t h a n l i m i t e d d e p a r t u r e s from th e g roup u n i t y . I n su c h g ro u p s t h e r e i s a te n d e n c y t o s u p p r e s s c o n f l i c t ; w here i t o c c u r s , i t l e a d s t h e g roup t o b r e a k up th ro u g h s p l i t s o r th ro u g h f o r c e d w i th d ra w a l o f d i s s e n t e r s . " Lewis A. C o se r ,The F u n c t io n s o f S o c i a l C o n f l i c t (London: R o u tled g e and Kegan P a u l , 1 9 5 6 ) , p . 153*

52

S t r a t e g y o f A c t io n

H aving d e c id e d t o c a s t t h e t r a n s p o r t a t i o n p ro b le m

i n a n o th e r f o c u s , 53 t h e P r e s i d e n t u s e d t a c t i c a l p lo y s

w i th su p e rb p o l i t i c a l s k i l l . D u r in g 1965 R alph N a d e r ,

t h e c r u s a d in g l a w y e r - a u t h o r , h a d c r e a t e d a n a t io n w id e

s t i r by h i s e x p o s u re s o f w id e s p re a d s a f e t y d e f e c t s i n

t h e a u to m o t iv e f i e l d . 5^ J o h n s o n , i n a d d i t i o n t o m aking

good u se o f th e u n a s s a i l a b l e a b s t r a c t i o n s o f economy and

e f f i c i e n c y i n h i s s p e c i a l m e ssa g e , drew h e a v i l y upon

th e c u r r e n t p u b l i c d i s s a t i s f a c t i o n and d ism ay o v e r h i g h ­

way s a f e t y .

He c o u p le d h i s c a l l f o r e s t a b l i s h m e n t o f t h e

new D epartm en t w i th an e l a b o r a t e p o r t r a y a l o f t h e

l a c k o f s a f e t y i n t h e t r a n s p o r t a t i o n m odes. I n s e r t e d

i n t h e m essage was a r e q u e s t f o r q u ic k p a s s a g e o f t h e

T r a f f i c S a f e t y Act o f 1966 . The P r e s i d e n t e m p h as ized

th e u r g e n t n eed f o r p r o p e r c a r d e s ig n and e n g i n e e r i n g ;

s a f e t y p e rfo rm a n c e c r i t e r i a f o r a l l v e h i c l e s ; s a f e t y

53 I n v iew o f th e c o n sp ic u o u s l a c k o f s u c c e s s o f t h e p o l i c y r o u t e p u r s u e d by K ennedy. F o r ex am p le , a K ennedy-backed b i l l c a l l i n g f o r d e - r e g u l a t i o n n e v e r g o t beyond t h e R u les C om m ittee . H is a t t e m p t s t o im pose u s e r c h a rg e s i n a r e a s o t h e r t h a n h ighw ays were v e ry u n s u c c e s s f u l . T r a n s p o r t a t i o n r a t e b i l l s i n 1962 were H. R. 11583 and 11584 , S. 3242 and S . 3243. The i d e n t i c a l b i l l s w ere r e i n t r o d u c e d i n 1963 as H. R.4700 and 4701 and S. 1061 and 1062.

5 ^ S ee , e s p e c i a l l y , h i s b e s t - s e l l i n g b o o k ,U nsafe At Any Speed (New Y ork: G rossm an, 1 9 6 5 ) .

53

s t a n d a r d s f o r t i r e s ; and im proved em ergency m e d ic a l c a re

and t r a n s p o r t f a c i l i t i e s t o h o s p i t a l s . T here were

b l a n d i s h m e n t s : a v a s t l y expanded p ro g ram f o r r e s e a r c h

and deve lopm en t d e s ig n e d to a l l e v i a t e th e p ro b lem s o f

a i r c r a f t n o i s e ; a m a jo r e f f o r t t o p e r f e c t h ig h - s p e e d

ocean v e s s e l s . I n s h o r t , i s s u e s o f e v e ry d a y i n t e r e s t

t o t h e A m erican p u b l i c a t l a r g e were c a r e f u l l y t r e a t e d .

The i n f e r e n c e was c l e a r : a v o te a g a i n s t t h e D epartm en t

o f T r a n s p o r t a t i o n was a v o te a g a i n s t s a f e t y ; a g a i n s t

n o i s e a b a te m e n t ; a g a i n s t p r o g r e s s .

P r e s i d e n t Jo h n so n seemed t o g iv e h i m s e l f and C ongress

ample m an eu v er in g room. He may have a s s u r e d th e C o n g res­

s i o n a l s p o n s o r s o f h i s b i l l t h a t , w he reas he v e ry much

w an ted a new d e p a r tm e n t , he would n o t be o v e r l y p e r t u r b e d

i f m o d i f i c a t i o n s were made t o t h e d r a f t b i l l . - ^ " I t was

n o t , " a C o n g re s s io n a l s t a f f member s t a t e d , " a ' t h i s

i s i t ' p i e c e o f l e g i s l a t i o n su c h a s th e c i v i l r i g h t s

a c t s w e r e ." The s t r a t e g y a d o p te d by t h e P r e s i d e n t was

55S e n a to r Magnuson was p o s s i b l y q u o t in g t h e P r e s i d e n t when he commented i n h i s a p p e a ra n c e a t th e o p e n in g s e s s i o n o f th e S e n a te Com mittee h e a r i n g s on th e b i l l : "The a d m i n i s t r a t i o n h a s no p a r t i c u l a rp r i d e o f a u t h o r s h i p . " E s t a b l i s h A D epartm en t o f T r a n s p o r t a t i o n . H e a r in g s on S. 3010, 8 9 th C o n g re s s , Second S e s s io n (W ash ing ton : U. S . Government P r i n t i n gO f f i c e , 1 9 6 6 ) , P a r t 1 , p . 59 . The P r e s i d e n t had met w i th C o n g r e s s io n a l l e a d e r s e a r l y i n F e b ru a ry t o d i s c u s s th e p ro p o se d r e o r g a n i z a t i o n b i l l .

54v e ry much i n t h e mold o f "Come, l e t us r e a s o n t o g e t h e r . "

The s p i r i t o f f l e x i b i l i t y exuded by t h e P r e s i d e n t

b e l i e d t h e h a r d work t h a t was done and t h e d i f f i c u l t

d e c i s i o n s t h a t had t o be made b e f o r e th e d r a f t r e o r g a n i -

r z a t i o n b i l l c o u ld be c o o r d i n a te d w i t h i n t h e E x e c u t iv e

B ranch w i th any p l a u s i b l e d i s p l a y o f c o n s e n s u s . The

p a r t i c i p a n t s i n th e Task F o rc e d e l i b e r a t i o n s c o u ld n o t

and d id n o t s h a r e t h i s l a r g e r v iew o f t h e e v e n t . H e re in

l i e s th e d a n g e r i n t h e p o l i t i c s o f c o n s e n s u s — a sy s te m

w hich p r e s s e s to o h a r d f o r ag reem en t on c o n f l i c t i n g

i n t e r n a l i n t e r e s t s o f t e n i n v i t e s t h e v e ry c o n f l i c t s i n

th e l e g i s l a t i v e p h a se t h a t i t s t r o v e so h a r d t o a v o id

i n t h e E x e c u t iv e B ran ch .

I t w i l l be t h e aim i n t h e n e x t two c h a p t e r s

t o d e s c r i b e and a n a ly z e t h e im p a c t o f C o n g r e s s io n a l

p o l i t i c s on t h e a d m i n i s t r a t i o n ’s p r o p o s a l f o r a d m i n i s t r a ­

t i v e r e o r g a n i z a t i o n . I n t h e p r o c e s s , i t s h o u ld be

p o s s i b l e t o a s s e s s t h e a p tn e s s o f t h e P r e s i d e n t i a l

s t r a t e g y .

CHAPTER III

THE CONFLICT WIDENS: COMMITTEE DELIBERATION

R e c e p t io n i n t h e House

On March 2 , 1967 Congressm an Chet H o l i f i e l d o f

C a l i f o r n i a i n t r o d u c e d i n th e House o f R e p r e s e n t a t i v e s

t h e a d m i n i s t r a t i o n ' s d r a f t b i l l 1 t o e s t a b l i s h a D e p a r t ­

ment o f T r a n s p o r t a t i o n . The S p e a k e r r o u t i n e l y a s s ig n e d

t h e b i l l , H. R. 13200 , t o th e Committee on Government

O p e r a t i o n s , c h a i r e d by Congressm an W il l ia m L. Dawson

o f I l l i n o i s . 2

H e a r in g s on th e b i l l w ere h e l d by t h e Subcom m ittee

on E x e c u t iv e and L e g i s l a t i v e R e o r g a n i z a t i o n . E le v en

h e a r i n g s were h e l d i n a l l , s p a c e d o v e r a p e r i o d o f two

and one h a l f months.3 Nine w i t n e s s e s from t h e E x e c u t iv e

The House r e f e r r e d t o i t a s a b i l l " i n t r o d u c e d by Congressman Chet H o l i f i e l d t o c a r r y o u t a recommenda­t i o n o f t h e P r e s i d e n t . . . . " See D epartm en t o f T r a n s p o r t a t i o n A c t , House R e p o r t No. 1701 , 89t h C o n g re s s , 2nd S e s s io n . (W ash ing ton : U. S . GovernmentP r i n t i n g O f f i c e , 1 9 6 6 ) , p . 2 .

pDawson d e s i g n a t e d H o l i f i e l d a s A c t in g Chairm an

a f t e r th e f i r s t s e s s i o n .

3A p r i l 6 , 7 , 25 and 2 6 ; May 2 , 3 , 1 7 , 1 8 , 19 and 24 ; and Ju n e 21 , 1966 . The f i n a l h e a r i n g was an e x e c u ­t i v e s e s s i o n , t h e p ro c e e d in g s o f w hich were s e c r e t a f t e r t h e d i s m i s s a l o f t h e w i t n e s s e s .

B ranch a p p e a re d b e f o r e t h e S u bcom m ittee ; t h r e e C o n g re ss ­

men from o t h e r co m m ittee s t e s t i f i e d ; and n i n e t e e n

r e p r e s e n t a t i v e s o f i n d u s t r y and l a b o r g ro u p s gave

tes tim ony.**

The a d m i n i s t r a t i o n w i t n e s s e s in c lu d e d th e h e a d s

( o r t h e i r d e p u t i e s ) o f a l l t h e a f f e c t e d m a jo r o r g a n i z a ­

t i o n s : FAA, C o as t G uard , CAB, ICC, Corps o f E n g in e e r s ,

and t h e D ep ar tm en ts o f Commerce and H ousing and Urban

D eve lo pm en t.** I n a d d i t i o n , t h e D i r e c t o r o f t h e B ureau

o f t h e Budget was t h e l e a d o f f w i t n e s s . ^

The m a r i t im e i n d u s t r y was w e l l r e p r e s e n t e d a t

th e h e a r i n g s w i th s i x w i t n e s s e s . R e p r e s e n t a t i v e s from

b o th t h e o c e a n -g o in g s e c t o r and t h e i n l a n d w a terw ays

t e s t i f i e d . A v ia t io n and r a i l r o a d t r a d e a s s o c i a t i o n s

s e n t key o f f i c i a l s t o t e s t i f y . O f f i c i a l s o f t h e AFL-CIO

and th e I n t e r n a t i o n a l B ro th e rh o o d o f T e a m s te rs a p p e a re d

b e f o r e t h e C om m ittee . I n a d d i t i o n , t h e S e a f a r e r s

I n t e r n a t i o n a l Union o f N o rth A m erica made a s e p a r a t e

The C om m ittee , m o re o v e r , r e c e i v e d dozens o f w r i t t e n s t a t e m e n t s from th e same w i t n e s s e s and from o t h e r i n t e r e s t e d p a r t i e s .

^The Chairm an o f t h e F e d e r a l M aritim e Com m ission, an o r g a n i z a t i o n u n a f f e c t e d by th e p ro p o se d o r g a n i z a t i o n , a l s o t e s t i f i e d .

6Most o f t h e a g e n c ie s w ere r e p r e s e n t e d a s w e l l

a t th e open p o r t i o n o f th e e x e c u t i v e s e s s i o n on June 2 1 , 1966.

577p r e s e n t a t i o n .

S u b seq uen t t o th e h e a r i n g s , t h e s t a f f o f th e

Subcom m ittee p r e p a r e d a c l e a n b i l l , H. R. 15963 , w hich

r e p r e s e n t e d a r e v i s i o n o f H. R. 13200. The r e v i s e d

b i l l was approved by th e Subcom m ittee on Ju n e 22 and

s u b m i t t e d to th e f u l l C om m ittee . The C om m ittee , by a

v o te o f 3 0 -4 , ap p ro v ed t h e b i l l ( w i th s e v e r a l amend­

m en ts ) th e same d a y . H. R. 15963 was r e p o r t e d t o th e

F l o o r on J u l y 15*^

H. R. 15963 made s i g n i f i c a n t changes i n th e

a d m i n i s t r a t i o n - s p o n s o r e d b i l l . ^ The f i r s t s u b s t a n t i v e

change was to r e d u c e th e freedom o f th e S e c r e t a r y o f

T r a n s p o r t a t i o n to o r g a n iz e t h e new D epartm en t a s he

deemed s u i t a b l e . The Com mittee r e q u i r e d t h e e s t a b l i s h ­

ment o f p r e c i s e l e g a l e n t i t i e s f o r t h e m odal f u n c t i o n s

t r a n s f e r r e d t o th e D e p a r tm e n t : a F e d e r a l A v ia t io n

A d m i n i s t r a t i o n , a F e d e r a l M aritim e A d m i n i s t r a t i o n ,

a F e d e r a l R a i l r o a d A d m i n i s t r a t i o n , and a F e d e r a l

Highway A d m i n i s t r a t i o n . Each a d m i n i s t r a t i o n was t o be

head ed by an A d m i n i s t r a t o r a p p o in t e d by t h e P r e s i d e n t

7P a u l H a l l , P r e s i d e n t o f t h e u n io n , a l s o e x p r e s s e d

th e v iew s o f th e AFL-CIO m a r i t im e u n i o n s .Q

See House R e p o r t No. 1701, o £ . c i t .

9The d a t a f o r t h e changes d e t a i l e d i n t h e e n s u in g p a g e s , i n t h e m a in , a r e g a in e d from House R e p o r t No. 1701. U n le ss o th e rw is e n o t e d , th e changes were d e v e lo p e d by th e Subcom m ittee and w r i t t e n i n t o H. R. 15963*

w i th t h e a d v ic e and c o n s e n t o f t h e S e n a te . T hese

o f f i c i a l s w ere t o be l i n e o f f i c e r s i n th e d i r e c t c h a in

o f command from t h e S e c r e t a r y .

I n o r d e r t h a t " t h i s l e g i s l a t i o n s h o u ld n o t change

t h e r e l a t i o n s h i p be tw een t h e l e g i s l a t i v e and e x e c u t i v e

b ra n c h e s o f th e Government i n t r a n s p o r t a t i o n m a t t e r s , " 10

o t h e r s i g n i f i c a n t chan ges were made t o t h e a d m i n i s t r a ­

t i o n b i l l . The i n t e n t o f t h e s e changes was t o e n s u r e

t h a t " n a t i o n a l t r a n s p o r t a t i o n p o l i c i e s be a d o p te d o n ly

th ro u g h c o n g r e s s io n a l a c t i o n . " 11 The a u t h o r i t y o f th e

S e c r e t a r y t o " d e v e lo p n a t i o n a l t r a n s p o r t a t i o n p o l i c i e s

and p ro g ra m s , and make recom m enda tio ns f o r t h e i r im p le ­

m e n ta t io n " was cu rb ed t o t h e e x t e n t t h a t th e recommenda­

t i o n s were t o be made b o th t o t h e P r e s i d e n t and t o

C o n g re s s . The S e c r e t a r y was s p e c i f i c a l l y p r o h i b i t e d ,

by t h e a d d i t i o n o f a new s u b s e c t i o n t o S e c t i o n 4 o f

t h e b i l l , from a u t h o r i z i n g " w i th o u t a p p r o p r i a t e a c t i o n

by C o n g re s s , t h e a d o p t io n o r r e v i s i o n o f a n a t i o n a l1 2t r a n s p o r t a t i o n p o l i c y . "

I n t h e same p a s s a g e , m a jo r r e s t r i c t i o n s were

im posed upon th e S e c r e t a r y ’s a u t h o r i t y u n d e r S e c t i o n 7

o f t h e b i l l t o d e v e lo p s t a n d a r d s and c r i t e r i a f o r t h e

10House R e p o r t No. 1701 , <yo. c l t . , p . 19 .

12Ibid.

59in v e s tm e n t o f f e d e r a l fu n d s i n th e t r a n s p o r t a t i o n a r e a .

The S e c r e t a r y was d e n ie d a u t h o r i t y t o p ro m u lg a te i n v e s t ­

ment s t a n d a r d s o r c r i t e r i a w hich w ere " c o n t r a r y t o o r

i n c o n s i s t e n t w i th a c t s o f C ongress r e l a t i n g t o s t a n d a r d s

o r c r i t e r i a f o r t r a n s p o r t a t i o n i n v e s t m e n t . " 1^

Under t h e c l e a n b i l l , t h e S e c r e t a r y was s p e c i f i ­

c a l l y r e f u s e d a u t h o r i t y t o p ro m u lg a te s t a n d a r d s and

c r i t e r i a f o r in v e s tm e n t f o r g r a n t - i n - a i d p ro g ra m s11* and

w a te r r e s o u r c e p r o j e c t s . 1^ F i n a l l y , i t was s t i p u l a t e d

t h a t t h o s e s t a n d a r d s and c r i t e r i a w hich w ere p e r m i t t e d

t o be p ro m u lg a te d had t o be made p u b l i c . ^

The ( f r e i g h t ) c a r s e r v i c e f u n c t i o n s o f t h e ICC,

t h e Committee d e c id e d , s h o u ld rem a in w i th t h e Com mission.

The Committee f e l t t h a t t h e f u n c t i o n s " b e a r upon th e

13 I b i d .

14C h ie f among t h e s e a r e t h e highway t r u s t fu n d

and g r a n t s f o r a i r p o r t c o n s t r u c t i o n .

15T h is change was made by Com mittee amendment t o H. R. 15963.

The o r i g i n a l b i l l h ad c a l l e d f o r c o n s u l t a t i o n b e tw een t h e S e c r e t a r y and t h e W ater R e so u rc e s C o u n c i l . T h is c o u n c i l , c o n s i s t i n g o f t h e h e a d s o f f i v e f e d e r a l a g e n c i e s , was e s t a b l i s h e d i n 1965 (PL 8 9 - 8 0 ) . I t s m is s io n i s (1 ) t o d e te rm in e t h e adequacy o f w a te r s u p p l i e s i n e a c h r e g i o n o f t h e U n i te d S t a t e s ; (2 ) t o c o o r d i n a t e t h e a d m i n i s t r a t i o n o f f e d e r a l w a te r p ro g ra m s ; and (3 ) t o e s t a b l i s h s t a n d a r d s and c r i t e r i a f o r t h e econom ic e v a l u a t i o n o f f e d e r a l w a te r p r o j e c t s .

^ B y p u b l i c a t i o n i n t h e F e d e r a l R e g i s t e r .

econom ic r e g u l a t o r y r o l e o f t h e I n t e r s t a t e Commerce

C om m iss ion .”1 "̂ And, a l th o u g h g o in g a lo n g w i th th e

t r a n s f e r o f t h e ICC s a f e t y f u n c t i o n s a s p r o p o s e d , t h e

Committee Im posed an o r g a n i z a t i o n a l c o n s t r a i n t upon th e

t r a n s f e r o f t h e s a f e t y f u n c t i o n s o f t h e CAB. By a new

s u b s e c t i o n added by t h e S u b co m m ittee , t h e S e c r e t a r y o f

T r a n s p o r t a t i o n was d i r e c t e d t o lo d g e t h e a c c i d e n t i n v e s ­

t i g a t i o n f u n c t i o n s ( f o r m a jo r a v i a t i o n a c c i d e n t s ) and

p e r s o n n e l o f t h e CAB's B ureau o f S a f e t y i n an O f f i c e o f

A c c id e n t I n v e s t i g a t i o n . The o f f i c e was t o be made

In d e p e n d e n t o f th e F e d e r a l A v ia t io n A d m i n i s t r a t i o n .

In H. R. 15963 , th e a u th o r ity o f th e N a t io n a l

T r a n sp o r ta tio n S a fe ty Board was s tr e n g th e n e d . The Board

was a u th o r iz e d to (1 ) conduct s t u d ie s on m a tters p e r ­

ta in in g to s a f e t y in tr a n s p o r ta t io n and th e p r e v e n tio n

o f a c c id e n ts ; (2 ) r e q u ir e th e S e c r e ta r y o f T ra n sp o rta tio n

t o g iv e i t n o t ic e o f a c c id e n ts and a c c id e n t r e p o r ts as

th e Board f e e l s i s n e c e s s a r y , t o conduct i n v e s t i g a t io n s ,

and to r e i n s t i t u t e in v e s t ig a t io n s in th o se In s ta n c e s

where th e f a c t s appear in a d eq u a te ; (3 ) arrange fo r

p a r t ic ip a t io n o f i t s p e r so n n e l in a c c id e n t in v e s t ig a t io n s

(4 ) employ i t s own h e a r in g exam in ers; and (5 ) make

u se o f th e equipm ent, s e r v i c e s , and p e r so n n e l o f th e

17House R e p o r t No. 1701 , o p * 'c l t . , p . 1 6 . T h is change was e f f e c t e d by a Committee amendment t o t h e c l e a n b i l l .

61

new D epartm ent a s n e c e s s a r y . 1 ® The new b i l l a l s o

i n c r e a s e d t h e s a l a r y l e v e l o f t h e Chairm an o f t h e NTSB

(from e x e c u t i v e l e v e l V t o IV) and t h e members ( fro m

GS-18 t o e x e c u t i v e l e v e l V ).

T re a tm e n t by th e S e n a te

S. 3010, i d e n t i c a l t o a d m i n i s t r a t i o n b i l l .

H. R. 13200, was i n t r o d u c e d by S e n a to r W arren G.

Magnuson a l s o on March 2 , 1966. The b i l l was r e f e r r e d

w i th o u t c o n t r o v e r s y t o t h e Committee on Government

O p e ra t io n s by th e P r e s i d e n t o f t h e S e n a te .

S e n a to r John L. M c C le l la n , Chairm an o f t h e

C om m ittee , e l e c t e d t o co n d u c t t h e h e a r i n g s by t h e f u l l

Committee on Government O p e r a t i o n s . He r e q u e s t e d t h a t

S e n a to r Abraham R i b i c o f f , Chairm an o f t h e Subcom m ittee

on E x e c u t iv e R e o r g a n i z a t i o n , s e r v e a s c o -c h a i rm a n w i th

h im .1^ T here w ere n in e day s o f h e a r i n g s sp a c e d o v e r

t h e p e r i o d March 29 t o Ju n e 29 . The Committee r e c e i v e d

t e s t im o n y from 58 w i t n e s s e s 20 r e p r e s e n t i n g t h e E x e c u t iv e

*1 O

A Com mittee amendment d i r e c t e d t h e B oard t o make a n n u a l r e p o r t s t o C o n g re ss ; su ch r e p o r t s w ere t o i n c l u d e l e g i s l a t i v e reco m m en d a tio n s .

19S e n a to r M c C le l lan gave as h i s r e a s o n th e " w id e sp re a d i n t e r e s t i n t h i s l e g i s l a t i o n . " E s t a b l i s h a D epartm ent o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 1 , p . 1 . S e n a to r R i b i c o f f a g re e d t o so s e r v e , b u t m is se d f i v e o f t h e n in e s e s s i o n s , i n c l u d i n g t h e f i r s t .

20 Almost tw ic e a s many a s d id i t s House c o u n te r ­p a r t .

62

B ra n c h , C o n g re s s , i n d u s t r y , l a b o r , and t h e g e n e r a l

p u b l i c . 21 A d d i t i o n a l s t a t e m e n t s from 50 p e r s o n s were

i n c o r p o r a t e d i n t o t h e h e a r i n g r e c o r d .

The w i t n e s s e s a p p e a r in g i n b e h a l f o f t h e admin­

i s t r a t i o n w e re , w i th few e x c e p t i o n s , t h e same a s t h o s e

a p p e a r in g b e f o r e t h e House C om m ittee . As was t r u e i n

th e H ouse , p r i v a t e a v i a t i o n and r a i l r o a d o r g a n i z a t i o n s

s e n t key p e r s o n n e l t o t e s t i f y . The m a jo r d i f f e r e n c e i n

t h e w i t n e s s makeup be tw een t h e two co m m ittee s was i n t h e

w a te r t r a n s p o r t a t i o n a r e a : t h e a c c e n t was on te s t im o n y

from w aterw ay i n t e r e s t s r a t h e r t h a n from t h e m a r i t im e

i n d u s t r y .

The Com mittee d id n o t su b m it i t s r e p o r t u n t i l

S ep tem ber 27 s a lm o s t two m onths a f t e r t h e c o m p le t io n

o f t h e h e a r i n g s . 22 In t h e i n t e r i m , t h e House had d e l i ­

b e r a t e d and made i t s f i n a l d e c i s i o n (A ugust 30) on

H. R. 15963. The S e n a te Committee had t h e b e n e f i t o f

n o t i n g t h a t a c t i o n b e f o r e m aking i t s d e t e r m i n a t i o n s on

S. 3010. As a r e s u l t , t h e S e n a te to o k a somewhat

d i f f e r e n t a p p ro a c h .

21Ten w ere from t h e E x e c u t iv e B ra n ch ; two were S e n a to r s from o t h e r C om m ittees ; t h e r e m a in d e r w ere from p r i v a t e o r g a n i z a t i o n s .

22S e n a te R e p o r t No. 1659 ( 89t h C o n g re s s , 2nd

S e s s i o n ) , E s t a b l i s h i n g a D epartm en t o f T r a n s p o r t a t i o n , and F o r O th e r P u rp o ses ^W ash in g ton : U. S . GovernmentP r i n t i n g O f f i c e , 1966 )'.

63

I n t h e H ouse , t h e b i l l came o u t o f Com m ittee w i t h

t h e la n g u a g e r e m a in in g s u b s t a n t i a l l y t h e same a s i n t r o ­

d u c ed . C e r t a i n s e c t i o n s ( n o t a b l y s e c t i o n 7) had been

d r a s t i c a l l y r e v i s e d , b u t e s s e n t i a l l y t h e b i l l re m a in e d

I n t a c t a s s u b m i t t e d by t h e a d m i n i s t r a t i o n . I n t h e S e n a te ,

on t h e o t h e r h a n d , t h e b i l l was l a r g e l y r e w r i t t e n by t h e

C om m ittee .

I t r e p o r t e d f a v o r a b l y on S . 3010 w i th an amend­

m en t. The am endm ent, h o w e v er , was i n t h e n a t u r e o f a

s u b s t i t u t e . The lan g u a g e o f t h e s u b s t i t u t e was made t o

co n fo rm , i n many i n s t a n c e s , w i th t h a t o f t h e H ouse-

p a s s e d A c t . 2^

The S e n a te Committee made a h o s t o f ch an g es t o

t h e o r i g i n a l b i l l . I n e f f e c t , i t a c c e p t e d t h e i d e a

o f a D epartm en t o f T r a n s p o r t a t i o n , b u t r e j e c t e d many o f

t h e d e t a i l e d p r o v i s i o n s c o n t r i b u t e d by t h e a d m i n i s t r a ­

t i o n , Many o f t h e s e ch an ges c e n t e r e d a ro u n d b a s i c

p o l i c y . The q u e s t i o n o f t h e r o l e s o f C ongress and t h e

E x e c u t iv e B ranch i n t h e d eve lo pm en t o f t r a n s p o r t a t i o n

p o l i c y was a key i s s u e .

The Com mittee d e c id e d t h a t t h e o r i g i n a l l a n ­

guage r e q u i r i n g th e S e c r e t a r y o f T r a n s p o r t a t i o n t o make

recom m endations w i th r e s p e c t t o n a t i o n a l t r a n s p o r t a t i o n

p o l i c y was t o o v a g u e . Language was added w hich would

23A s p e c i f i c aim o f th e d r a f t e r s . See S en ate Report No. 1 6 59 , 0£ . c i t . , p. M.

6 k

e n s u r e t h a t t h e S e c r e t a r y would make h i s recom m endations

t o th e P r e s i d e n t and C o n g re ss . The S e c r e t a r y ’s r o l eoh

was ”t o p r o v id e l e a d e r s h i p ” i n t h e deve lopm en t o f

p o l i c y r a t h e r th a n t o d e v e lo p p o l i c y a s s u c h , t h e

Com mittee w r o te .

O th e r i n c l u s i o n s o f a p o l i c y n a t u r e w ere r e q u i r e ­

m ents f o r th e S e c r e t a r y t o be g o v e rn e d by a l l a p p l i c a b l e

s t a t u t e s i n c a r r y i n g o u t h i s d u t i e s and r e s p o n s i b i l i t i e s

and t o c o n s u l t w i th t h e h e ad s o f o t h e r f e d e r a l d e p a r t ­

m ents i n o r d e r t o e n s u r e m a in te n a n c e o f a c o o r d i n a t e d

t r a n s p o r t a t i o n sy s te m .

The Committee d e c l a r e d i t t o be n a t i o n a l p o l i c y

t o p r e s e r v e t h e n a t u r a l b e a u ty o f t h e c o u n t r y s id e and

t h e n a t i o n ’ s w i l d l i f e and w a te r fo w l i n t h e p r o c e s s o f

c a r r y i n g o u t t h e p r o v i s i o n s o f t h e D epartm ent o f T ra n s ­

p o r t a t i o n A c t . 2^ P r o v i s i o n s w ere a l s o i n c l u d e d by

w hich t h e S e c r e t a r y was r e q u i r e d t o u n d e r t a k e r e s e a r c h

and d ev elopm en t p rog ram s r e l a t e d t o n o i s e a b a tem en t i n

a l l modes o f t r a n s p o r t a t i o n .

A s t a t u t o r y b a s i s f o r t h e o p e r a t i o n a l c o n t i n u i t y

and i n t e g r i t y o f t r a n s f e r r e d a g e n c ie s was b u i l t i n t o

S e n a te R e p o r t No. 1659* P* 5*

25The S e c r e t a r y o f T r a n s p o r t a t i o n w ould n o t be p e r m i t t e d t o a p p ro v e any p ro g ram r e q u i r i n g t h e u se o f a p u b l i c p a r k , r e c r e a t i o n a l a r e a , w i l d l i f e o r w a te r fo w l r e f u g e , o r h i s t o r i c a l s i t e u n l e s s t h e r e was no f e a s i b l e a l t e r n a t i v e . S e n a te R e p o r t No. 16 59 , p . 6 .

t h e r e o r g a n i z a t i o n b i l l by t h e C om m ittee . As w i t h t h e

House Com m ittee , th e S e n a te d i r e c t e d t h e S e c r e t a r y t o

e s t a b l i s h f o u r m odal o p e r a t i n g A d m in i s t r a t io n s ( A v i a t i o n ,

H ighway, R a i l r o a d , and M a r i t im e ) , e a c h head ed by an

A d m i n i s t r a t o r a p p o in t e d by t h e P r e s i d e n t and c o n f i rm e d

by t h e Senate.2^ i t was a l s o p r o v id e d t h a t th e

A d m i n i s t r a t o r s and th e Commandant o f t h e C oas t Guard

were t o r e p o r t d i r e c t l y t o t h e S e c r e t a r y .

I n a n o th e r p r o v i s i o n , i t was s t a t e d t h a t no

f u n c t i o n s , p o w e rs , o r d u t i e s o f any a d m i n i s t r a t o r were

t o be t r a n s f e r r e d e ls e w h e re e x c e p t by r e o r g a n i z a t i o n

p l a n . F i n a l l y , a l l t h e s t a t u t o r y f u n c t i o n s , p o w e rs , and

d u t i e s r e l a t i n g t o s a f e t y w hich w ere t o be t r a n s f e r r e d

t o th e new D epartm ent w ere t o be e x e r c i s e d by t h e

A d m i n i s t r a t o r s . T h e i r d e c i s i o n s r e g a r d i n g s a f e t y were

t o be a d m i n i s t r a t i v e l y f i n a l and n o t s u b j e c t t o

S e c r e t a r i a l r e v i e w .2 ?

I n th e m a r i t im e a r e a , t h e S e n a te Committee

d e l i b e r a t e l y ch ose t o s t r i k e a b a la n c e be tw een t h e

p o s i t i o n s o f t h o s e , on th e one h a n d , who w an ted t o

e s t a b l i s h an in d e p e n d e n t M ari tim e A d m in i s t r a t io n and

26The S e n a te Committee a l s o d i r e c t e d t h a t , w i t h i n th e F e d e r a l A v ia t io n A d m i n i s t r a t i o n , t h e p o s i t i o n o f Deputy A d m i n i s t r a t o r , a p p o in te d by t h e P r e s i d e n t , be e s t a b l i s h e d . The FAA had had a s i m i l a r p o s i t i o n .

27They were t o be a p p e a l a b l e , h o w ev er , t o th e

N a t io n a l T r a n s p o r t a t i o n S a f e ty B o a rd , t o th e c o u r t s , o r b o t h , as a p p r o p r i a t e .

66o f t h o s e , on t h e o t h e r h a n d , who s o u g h t t o i n c o r p o r a t e

t h i s mode i n t o t h e new D e p a r tm e n t . A c c o r d in g ly , th e y

d e v i s e d an in d e p e n d e n t , b i p a r t i s a n M ari tim e B oard w i t h i n

t h e new D e p a r tm en t2® t o be composed o f t h e F e d e r a l

M a r i t im e A d m i n i s t r a t o r and two o t h e r m em bers .2^

The B oard was t o be made r e s p o n s i b l e f o r m a r i t im e

s u b s i d i e s and r e l a t e d m a tte rs .® ® I t s d e c i s i o n s w ere t o

be a d m i n i s t r a t i v e l y f i n a l and a p p e a la b le o n ly t o t h e

c o u r t s . A l l o t h e r m a r i t im e f u n c t i o n s w ould be t r a n s ­

f e r r e d t o t h e new D epartm ent and subsumed u n d e r th e

F e d e r a l M aritim e A d m i n i s t r a t i o n .

The S e n a te Committee gave a s much a t t e n t i o n t o

t h e N a t io n a l T r a n s p o r t a t i o n S a f e ty B oard (NTSB) a s d id

t h e H ou se . And s i m i l a r changes* in t e n d e d t o b u f f e r th e

in d e p e n d e n t n a t u r e o f t h e p ro p o s e d B o a rd , w ere made.

The p o w e rs , d u t i e s , and f u n c t i o n s o f t h e B oard were

e n l a r g e d c o n s i d e r a b l y .

Among th e m a jo r p r o v i s i o n s added w ere a u t h o r i z a ­

t i o n : (1 ) t o make rec o m m e n d a t io n s , b o th t o t h e

2 8The f u n c t i o n s , d u t i e s , and pow ers o f t h e B o a rd , a s w i th t h e f o u r A d m i n i s t r a t i o n s , c o u ld n o t be t r a n s ­f e r r e d e x c e p t by r e o r g a n i z a t i o n p l a n .

29The l a t t e r two i n d i v i d u a l s were t o be P r e s i ­d e n t i a l l y - a p p o i n t e d , t o be c o n f i rm e d by t h e S e n a te , and t o s e r v e f o r f o u r y e a r s .

30I n c l u d i n g s h ip c o n s t r u c t i o n - d i f f e r e n t i a l

s u b s i d y .

67

S e c r e t a r y and t o t h e modal a d m i n i s t r a t o r s , on a c c id e n t

p r e v e n t i o n and th e co n d u c t o f a c c id e n t I n v e s t i g a t i o n s ;

(2 ) t o c o n d u c t s p e c i a l s t u d i e s r e l a t e d t o s a f e t y I n

t r a n s p o r t a t i o n ; (3 ) t o e n s u r e a d e q u a te r e p o r t s o f

i n v e s t i g a t i o n ; (4 ) t o i n i t i a t e i t s own a c c i d e n t i n v e s t i ­

g a t i o n s a s n e c e s s a r y ; (5 ) t o d i r e c t t h e S e c r e t a r y t o

i n i t i a t e i n v e s t i g a t i o n s ; (6 ) t o a r r a n g e f o r p e r s o n a l

p a r t i c i p a t i o n o f i t s members o r p e r s o n n e l i n a p p r o p r i a t e

i n v e s t i g a t i o n s ; and (7 ) t o r e q u i r e n o t i f i c a t i o n o f

t r a n s p o r t a t i o n a c c i d e n t s when i t deems i t n e c e s s a r y .

A l l d e c i s i o n s , r e p o r t s , o r d e r s , r u l e s and r e g u l a t i o n s ,

s p e c i a l s t u d i e s , and recom m enda tio ns w ere r e q u i r e d by

t h e Com mittee t o be made p u b l i c .

C a r e f u l a t t e n t i o n was g iv e n by t h e S e n a te

Com mittee t o a v i a t i o n s a f e t y . I t to o k i s s u e w i th t h e

a d m i n i s t r a t i o n p r o p o s a l t o t r a n s f e r t h e s a f e t y fu n c ­

t i o n s (major a c c i d e n t i n v e s t i g a t i o n and a s s ig n m e n t

o f p r o b a b le c a u s e ) o f t h e CAB t o t h e D epartm en t o f

T r a n s p o r t a t i o n w i th o u t s p e l l i n g o u t i n d e t a i l t h e new

w o rk in g p r o c e d u r e s . 3* The Com mittee c o n c lu d e d t h a t

t h e r e s h o u ld be s t a t u t o r y p r o v i s i o n s f o r a s s u r i n g t h e

31The Committee f e l t t h a t t h e b i l l s h o u ld "make a b s o l u t e l y c e r t a i n t h a t t h e p r e s e n t s t a t u t o r y scheme w hich s e p a r a t e s t h e a c c i d e n t i n v e s t i g a t i o n f u n c t i o n s from t h e o p e r a t i n g agency s h o u ld be c o n t in u e d by s t a t u t e . " S e n a te R e p o r t No. 1659 , o p . c i t . , p . 10 .

68

s e p a r a t i o n o f o p e r a t i n g f u n c t i o n s from i n v e s t i g a t i n g

f u n c t i o n s i n a v i a t i o n .

The p la c e m e n t o f th e r e s p o n s i b i l i t y f o r a c c i d e n t

i n v e s t i g a t i o n was ch an g e d , t h e r e f o r e , from t h e S e c r e t a r y

t o t h e NTSB. As an a d d i t i o n a l s a f e g u a r d , t h e Committee

v e s t e d th e PAA s a f e t y f u n c t i o n s , d u t i e s , and pow ers i n

th e F e d e r a l A v ia t i o n A d m i n i s t r a t o r r a t h e r t h a n i n t h e

S e c r e t a r y a s p ro p o s e d by t h e a d m i n i s t r a t i o n b i l l . The

A d m i n i s t r a t o r ' s d e c i s i o n s i n t h i s a r e a were t o be

a d m i n i s t r a t i v e l y f i n a l .

The p r o p o s a l s r e l a t i n g t o t r a n s p o r t a t i o n i n v e s t ­

m ent s t a n d a r d s came u n d e r h eavy f i r e from t h e S e n a te

Com m ittee . A l a r g e p e r c e n t a g e o f th e Committee h e a r i n g s

w ere d e v o te d t o t h i s s u b j e c t . I n th e e n d , t h e Committee

a c t e d much th e same a s i t s s i s t e r com m ittee i n t h e H ouse-

i t r e t a i n e d S e c t i o n 7 b u t d r a s t i c a l l y r e v i s e d th e

p ro p o s e d la n g u a g e .

F i r s t , t h e Committee exem pted w a te r r e s o u r c e

p r o j e c t s from t h e c r i t e r i a t o be e s t a b l i s h e d by t h e

S e c r e t a r y . i t i n s i s t e d n e x t upon C o n g r e s s io n a l

The Com mittee a l s o s t r u c k o u t s p e c i f i c l a n ­guage r e l a t i n g t o th e t r a n s p o r t a t i o n a s p e c t s o f m u l t i ­p u rp o s e w a te r r e s o u r c e p r o j e c t s . I t c o n t in u e d a u t h o r i t y f o r t h e e v a l u a t i o n o f a l l w a te r r e s o u r c e p r o j e c t s i n t h e W ater R e so u rc e s C o u n c i l . U n lik e t h e H ouse , how­e v e r , i t a c t u a l l y d e f i n e d t h e p r im a ry n a v i g a t i o n b e n e f i t s o f a w a te r r e s o u r c e p r o j e c t . The b e n e f i t s w ere d e f i n e d a s " th e p r o d u c t o f t h e s a v in g s t o s h i p p e r s u s in g t h e w aterw ay and t h e e s t i m a t e d t r a f f i c t h a t w ould u se t h e w a te rw a y s ." S e n a te R e p o r t No. 1659 ,

( r a t h e r t h a n P r e s i d e n t i a l ) a p p ro v a l o f t h e s t a n d a r d s

and c r i t e r i a d e v e lo p e d o r r e v i s e d by t h e S e c r e t a r y .

The S e c r e t a r y , i n e s s e n c e , would have t h e r e s p o n s i b i ­

l i t y f o r d e v e lo p in g t h e s t a n d a r d s and c r i t e r i a , b u t

t h e u l t i m a t e r e s p o n s i b i l i t y was t o be r e t a i n e d by

C o n g re s s .

I n o t h e r c h a n g e s , t h e Committee d e c id e d t h a t

t h e c a r s e r v i c e s f u n c t i o n s o f t h e ICC ough t t o rem a in

i n t h a t b ody . I t c o n c u r r e d , h o w ev er , i n th e t r a n s f e r

o f t h e ICC S a f e ty f u n c t i o n s t o t h e D epartm en t o f T r a n s ­

p o r t a t i o n . ^ C o n ten d in g t h a t t r a n s f e r o f c o r p o r a t i o n s

was n o t any more a m a t t e r t o be r e s o l v e d by E x e c u t iv e

O rd e r t h a n was t h e i r c r e a t i o n , t h e Committee p r o v id e d

f o r th e s t a t u t o r y i n c l u s i o n o f t h e S t . Lawrence Seaway

D evelopm ent C o r p o r a t io n and t h e A la sk a R a i l r o a d i n t o

t h e D e p a r tm e n t .

I n t h e a d m i n i s t r a t i o n b i l l , t h e s a l a r y compensa­

t i o n f o r th e Under S e c r e t a r y was t o be a t l e v e l I I I , t h e

A s s i s t a n t S e c r e t a r i e s a t l e v e l IV , t h e A s s i s t a n t

o p . c i t . , p . 14.A lthou gh e l i m i n a t i n g w a te r r e s o u r c e p r o j e c t s

from t h e S e c r e t a r y ' s d i r e c t a u t h o r i t y , t h e Committee d i d n o t i n t e n d t o e x c lu d e him from h a v in g a v o i c e .I t i n c l u d e d him i n t h e m em bership o f t h e W ater R e so u rc e s C o u n c i l .

33I n so a g r e e i n g , i t added a r e q u i r e m e n t t h a t t h e S e c r e t a r y p r o v id e t h e ICC w i th su c h d a t a a s m ig h t be n e c e s s a r y f o r t h a t body t o d e te rm in e t h e s a f e t y f i t n e s s o f a p p l i c a n t s f o r o p e r a t i n g r i g h t s .

70

S e c r e t a r y f o r A d m i n i s t r a t i o n and t h e Chairm an o f t h e

NTSB a t l e v e l V, and th e members o f t h e NTSB a t GS-18.

The S e n a te Com mittee r a i s e d t h e s a l a r y o f e ac h o f t h e s e

o f f i c i a l s a t l e a s t one l e v e l a n d e s t a b l i s h e d t h e s a l a r yoh

l e v e l o f t h e modal A d m i n i s t r a t o r s a t l e v e l I I I . J

The P r e s i d e n t , i n h i s t r a n s p o r t a t i o n m e ssa g e ,

h a d s t a t e d t h a t t h e S e c r e t a r i e s o f T r a n s p o r t a t i o n and

o f H ousing and Urban Developm ent w ould co n d u c t a s tu d y

t o d e te rm in e t h e b e s t o r g a n i z a t i o n a l s u b o r d i n a t i o n f o r

u rb a n mass t r a n s i t and su b m it recom m endations on t h a t

d e t e r m i n a t i o n t o him w i t h i n one y e a r . S . 3010 , h o w ev er ,

made no m en t io n o f t h i s s t u d y . The Committee added a

s u b s e c t i o n t o t h e b i l l w h ich made t h e s tu d y an d recom ­

m e n d a tio n s a s t a t u t o r y r e q u i r e m e n t . The recommenda­

t i o n s , i t s t a t e d , were t o be s u b m i t t e d t o C o n g re s s .

A n a ly s i s

The changes made by b o th Com m ittees r e s u l t e d i n

r e o r g a n i z a t i o n b i l l s b e in g r e p o r t e d t o th e F l o o r t h a t

w ere w ide d e p a r t u r e s from t h e o r i g i n a l s u b m is s io n . What

The U n d e r s e c r e t a r y was p l a c e d a t l e v e l I I , a s was t h e F e d e r a l A v ia t io n A d m i n i s t r a t o r ; t h e f o u r A s s i s t a n t S e c r e t a r i e s and t h e Chairm an o f t h e NTSB a t l e v e l I I I ; t h e A s s i s t a n t S e c r e t a r y f o r A d m in is t r a ­t i o n and members o f t h e NTSB a t l e v e l IV ; and th e a d d i t i o n p o s t o f Deputy F e d e r a l A v ia t io n A d m i n i s t r a t o r a t l e v e l IV .

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were t h e f o r c e s and f a c t o r s t h a t b ro u g h t a b o u t t h e s e

chang es? Some o f t h e i n f l u e n c e s w ere e x t e r n a l , b u t

many o f t h e m a jo r i n f l u e n c e s o p e r a t e d from w i t h i n t h e

C om m ittees th e m s e lv e s . I t i s t h e i n t e n t i o n i n e n s u in g

p a r a g r a p h s t o a t t e m p t t o a t t r i b u t e t h e chang es to

s p e c i f i c i n f l u e n c e s o r s e t s o f i n f l u e n c e s .

I n t e r n a l I n f l u e n c e s

The i n t r a - c o m m i t t e e i n f l u e n c e s f a l l i n t o f o u r

b ro a d c a t e g o r i e s : a g e n e r a l b e l i e f i n c o n g r e s s i o n a l

c o n t r o l o f E x e c u t iv e B ranch a g e n c i e s ; p e r s o n a l i d e n t i f i ­

c a t i o n w i th r e g i o n a l o r i n d u s t r i a l p r e f e r e n c e s ; i n f l u e n c e

o f Committee l e a d e r s ; and p a r t i s a n p r e f e r e n c e s . 3 5 The

f i r s t t h r e e were o f m a jo r s i g n i f i c a n c e i n t h e C o m m ittee s '

d e l i b e r a t i o n s ; t h e f o u r t h p l a y e d o n ly a m in o r r o l e .

A d m i n i s t r a t i v e r e o r g a n i z a t i o n i s a b a t t l e g r o u n d

on w hich t h e c o n t in u in g s t r u g g l e t o m a in t a in t h e b a la n c e

o f power be tw een th e l e g i s l a t i v e and e x e c u t i v e b ra n c h e s

i s waged. C ong ress h a s a lw ays v iew ed P r e s i d e n t i a l

moves to w a rd a d m i n i s t r a t i v e r e o r g a n i z a t i o n w i th ex tre m e

s u s p i c i o n , s e e i n g i n t h e s e p r o p o s a l s an i n t e r e s t i n

e x e c u t i v e s e l f - a g g r a n d i z e m e n t .3^

3^The i n f l u e n c e s , n a t u r a l l y , a r e n o t d i s t i n c t l y s e p a r a b l e . They o f t e n b l u r r e d i n t o e ac h o t h e r . Con­g r e s s i o n a l c o n t r o l p r e f e r e n c e s , a s w i l l be d e m o n s t r a te d , m erged w i t h r e g i o n a l p r e f e r e n c e s i n th e c a se o f S e c t i o n 7.

^ J o h n D. M i l l e t t , Government and P u b l i c A d m i n i s t r a t i o n (New Y ork: M cG raw -H ill, 1 9 5 9 ) , p . 89.

W ith t h e e x c e p t io n o f t h e P re s id e n c y and V ic e -

P r e s i d e n c y , e v e ry e le m e n t o f t h e E x e c u t iv e B ranch owes

i t s s t a t u t o r y e x i s t e n c e t o C o n g re ss . C on g ress h a s

n e v e r r e a l l y f e l t t h a t th e b u d g e ta r y p r o c e s s p ro v id e d

i t w i t h a d e q u a te means f o r e x e r c i s i n g c o n t r o l o f th e

E x e c u t iv e B ranch a g e n c i e s . Over th e y e a r s , C o ng ress h a s

f e l t t h a t t h e b a la n c e o f i n f l u e n c e b e tw ee n i t and th e

P r e s i d e n t h in g e s on th e d e g re e o f a t t e n t i o n C ongress p a y s

t o p r o p o s a l s f o r a d m i n i s t r a t i v e r e o r g a n i z a t i o n . F o r i t

knows t h a t power comes from s t a t u t o r y a u t h o r i t y and

l e g i t i m a c y ; t h a t pow er, once g i v e n , i s h a r d t o c o n t r o l .

C o n s e q u e n t ly , C o n g re ss h a s shown a c lo s e i n t e r e s t i n

th e s t a t u t o r y f o u n d a t i o n s f o r o r g a n i z a t i o n a l e l e m e n t s ,

i n t h e l e v e l a t w hich p rogram a u t h o r i t y r e s i d e s , and

i n t h e p o s s i b i l i t i e s f o r s u b s e q u e n t o r g a n i z a t i o n a l

r e a l i g n m e n t . ^

C o ngress d i s p l a y s a c e r t a i n a m b iv a le n ce to w a rd

a d m i n i s t r a t i v e r e o r g a n i z a t i o n . I d e a l l y , C o ng ress would

l i k e t o t a k e d i r e c t i n i t i a t i v e i n a d m i n i s t r a t i v e

On t h i s g e n e r a l s u b j e c t , s e e R o land Young,The Am erican C o n g re ss (New Y ork: H a r p e r , 1 9 5 8 ) ,C h a p te r 7 .

The C o n g r e s s io n a l r a t i o n a l e can be fo un d i n t h i s a s s e s s m e n t by B a z e lo n : "The s u b j e c t o f p o l i t i c si s p ow er: o f t h i s , t h e r e i s no q u e s t i o n . . . . Thepower . . . o f m odern p o l i t i c s p ro c e e d s from o r g a n i z a ­t i o n s . I n d e e d , we may r e a d i l y b e g in by s a y in g t h a t pow er i s o r g a n i z a t i o n . " B a z e lo n , o £ . c l t . , p . 10 .The u n d e r s c o r i n g i s by B a z e lo n .

r e o r g a n i z a t i o n . I t t r e a s u r e s i t s t r a d i t i o n a l a u t h o r i t y

i n t h i s a r e a . But i t h a s a k een a w aren ess o f i t s own

l i m i t a t i o n s i n te rm s o f b o th t im e and i n f o r m a t i o n .

F u r t h e r , i t s u b s c r i b e s t o th e same g e n e r a l g o a ls o f

e f f i c i e n c y and economy as does t h e E x e c u t iv e B ran ch .

So i t v e ry b e g r u d g in g ly h a s y i e l d e d t o th e modern

p r e s s u r e s f o r g r a n t i n g t h e P r e s i d e n t g r e a t e r freedom

t o s t r u c t u r e t h e E x e c u t iv e B ra n c h . I t h a s s o u g h t t o

r e t a i n a s much o f i t s i n f l u e n c e and pow er a s p o s s i b l e

i n t h i s a r e a by i n d i r e c t i o n — s e t t i n g l i m i t s on P r e s i ­

d e n t i a l i n i t i a t i v e . C o n g r e s s io n a l r e l u c t a n c e t o p e rm i t

f r e e r e i n i n a d m i n i s t r a t i v e r e o r g a n i z a t i o n was w e l l

d e m o n s t r a te d i n th e Committee d e l i b e r a t i o n s on t h e

modal a d m i n i s t r a t i o n s and on th e c o n t r o v e r s i a l S e c t i o n 7.

The S e n a te Com m ittee was p a r t i c u l a r l y a ro u s e d

by th e w o rd in g c o n ta in e d i n a c o n c e p t p a p e r on

o r g a n i z a t i o n and management f u r n i s h e d by th e a d m i n i s t r a ­

t io n .^ ® I n t h i s p a p e r , i t was s t a t e d t h a t a s " e x p e r ­

i e n c e i s g a in e d i n t h e a d m i n i s t r a t i o n o f t h e

D e p a r tm e n t , s e l e c t i v e r e a l in e m e n t s [ s i c ] aim ed a t

im proved s e r v i c e o r b e t t e r c o o r d i n a t i o n w i l l be

u n d e r t a k e n . 1,39 when c o u p le d w i th an a b sen c e o f

oOE s t a b l i s h a D ep artm en t o f T r a n s p o r t a t i o n ,

o p . c i t . , P a r t 2 , p p . 256- 2 5 8 .

39I b i d . , p . 257.

s t a t u t o r y g u a r a n te e f o r e x i s t i n g e l e m e n t s , t h i s c o n c e p t

s p e l l e d , t o t h e S e n a te C om m ittee , a c l e a r move on t h e

p a r t o f t h e E x e c u t iv e B ranch t o u s u rp C o n g r e s s io n a l

p r e r o g a t i v e s . 1*0 "BOB knew t h i s was a p h i l o s o p h i c i s s u e

from th e o u t s e t , " s a i d one S e n a te s t a f f member. W hether

i n t e n t i o n a l o r n o t , t h e move s t i r r e d b o th Com m ittees

t o t h e same e x t e n t and p rom pted a s i m i l a r r e a c t i o n —

s t a t u t o r y s t a t u s f o r e ac h o f t h e m odes. I t seems

a p p a r e n t t h a t t h e m a jo r f a c t o r c o n t r i b u t i n g t o t h e

i n s i s t e n c e on s t a t u t o r y p r o t e c t i o n f o r o r g a n i z a t i o n a l

Even S e n a to r Magnuson, a p p e a r in g a s t h e i n i t i a l w i t n e s s and o s t e n s i b l y a f i r m a d m i n i s t r a t i o n s u p p o r t e r , h i t h a r d on t h i s i s s u e . " I h o p e ," he s a i d , " th e a d m i n i s t r a t i o n w i t n e s s e s w i l l e x p l a i n how th e y p l a n t o r e t a i n n e c e s s a r y o p e r a t i o n a l c o n t i n u i t y i n m a r i t im e , p u b l i c r o a d s , and th e FAA, i f t h e s e a g e n c ie s l a p s e .I w onder why t h e y s h o u ld n o t be t r a n s f e r r e d a s a l e g a l e n t i t y i n th e same f a s h i o n a s t h e C oas t G u a rd ." E s t a b l i s h a D epartm en t o f T r a n s p o r t a t i o n , o p . c i t . ,P a r t 1 , p . 70.

He r e c e i v e d s t r o n g R e p u b l ic a n s u p p o r t f o r t h i s s t a n d ( a t a l a t e r h e a r i n g ; from S e n a to r J a v i t s :"My n e x t p o i n t i s t o r e t a i n th e e x i s t i n g i d e n t i t y o f t h e M a ri t im e A d m i n i s t r a t i o n , t h e B ureau o f P u b l i c R oads, and th e F e d e r a l A v ia t io n Agency, and t o t r a n s f e r them t o th e new D epartm en t f o r a d m i n i s t r a ­t i o n , b u t a s l e g a l e n t i t i e s , much as we a re t r a n s ­f e r r i n g th e C oas t G uard . I t h i n k you have su c h a trem en d o u s h i s t o r y and t r a d i t i o n i n r e s p e c t o f t h e s e a g e n c ie s t h a t t o make them an amorphous p a r t o f a new D epartm en t would n o t b e f a i r t o th e trem end ous t r a d i t i o n th e y have b u i l t u p , I see no r e a s o n why th e y c a n n o t be j u s t a s e f f e c t i v e w i th a P r e s i d e n t i a l l y a p p o in te d d i r e c t o r , e t c e t e r a , b u t i n c o r p o r a t e d w i t h i n t h e D epartm en t f o r a d m i n i s t r a t i o n and r e l a t i o n s h i p t o eac h o t h e r . " I b i d . , P a r t 3 , p . 428.

75

i n t e g r i t y was th e p e rv a d in g i n f l u e n c e o f C o n g r e s s io n a l

c o n t r o l p r e f e r e n c e s .

S e c t i o n 7 seemed t o p o se an even g r e a t e r t h r e a t

t o C o n g r e s s io n a l c o n t r o l o f t h e E x e c u t iv e B ranch a g e n c ie s

and C o ngress was q u ic k t o a t t a c k i t . S e n a to r Magnuson

s t a t e d t h e i s s u e e a r l y i n th e h e a r i n g s :

S e c t i o n 7 o f t h i s b i l l i s a v e ry k n o t ty o n e .

The s e c t i o n does n o t s p e l l o u t how t h e new S e c r e t a r y i s t o p e r fo rm h i s s e c t i o n 7 d u t i e s i n r e l a t i o n t o t h e C o n g re s s .

T h is s e c t i o n s h o u ld n o t i n f r i n g e on t h e p r e r o g a t i v e s o f C ongress i n t h e e s t a b l i s h m e n t o f t r a n s p o r t p o l i c i e s . I f t h e r e i s any q u e s t i o n , t h i s s e c t i o n s h o u ld be r e v i s e d t o make i t p e r f e c t l y c l e a r t h a t th e new S e c r e t a r y i s o n ly t o recommend p o l i c i e s t o t h e C o n g ress and a s s i s t i n t h e c o n g r e s s i o n a l d e t e r m i n a t i o n o f l e v e l s and a r e a s o f F e d e r a l e x p e n d i tu r e s i n t r a n s p o r t a t i o n .

More t h a n any o t h e r p r o v i s i o n o f S . 3010, s e c t i o n 7 a p p e a r s t o me t o n eed much f u r t h e r s t u d y .41

T h is f e e l i n g upon t h e p a r t o f C ong ress e x te n d e d

a c r o s s p a r t y l i n e s . An exchange be tw een S e n a to r J a c o b K.

J a v i t s and S e n a to r M c C le l lan made t h i s c l e a r :

S e n a to r J a v i t s . Mr. C ha irm an , t h e n e x t p o i n t i s t h i s h i g h l y c o n t r o v e r t e d s e c t i o n 7 ( a ) , t r a n s p o r t a t i o n in v e s tm e n t s t a n d a r d s .

I t seems t o me t h a t t h e r e t h e S e c r e t a r y sh o u ld have t h e pow er t o make recom m end ations t o th e C o n g re s s , b u t t h a t we s h o u ld r e t a i n t h e l e g i s l a t i v e

41E s t a b l i s h a Department o f T r a n s p o r ta t io n .

o p . c l t . , pp. 6 1 -6 3 .

76

f u n c t i o n , and t h a t one o f t h e f u n c t i o n s o f l e g i s l a t i o n i n t h i s f i e l d i s t h a t we s h o u ld d e v e lo p t h e t r a n s p o r t a t i o n p o l i c y . And I hope v e ry much when we come t o r e v i s i n g t h e b i l l , t h a t i s what we w i l l do .

S e n a to r M c C le l la n . I t h i n k i n t h a t r e s p e c t t h e la n g u a g e i n t h e b i l l i s n o t w e l l c h o se n .I hope i t w a s n ' t i n t e n d e d p u r p o s e ly t h a t C o n g ress d e l e g a t e away i t s r e s p o n s i b i l i t y , d e l e g a t e t o a S e c r e t a r y o f t h e D epartm en t i t s r e s p o n s i b i l i t y t o f o r m u la te p o l i c i e s . I t h i n k i t i s w ise f o r t h e D epartm en t t o s tu d y and recommend p o l i c i e s t o t h e C o n g re s s ,

S e n a to r J a v i t s . I am d e l i g h t e d t o h e a r t h e C h a i r ’ s v ie w s . . . .42

S e c t i o n 7 was a c o n t r o v e r s i a l i t e m n o t o n ly f o r

i t s p e r c e i v e d in f r in g e m e n t on C o n g r e s s io n a l c o n t r o l ,

b u t a s w e l l f o r i t s unknown I m p l i c a t i o n s . I t c r e a t e d

c o n f u s io n i n t h e m inds o f p e o p le who f e a r e d a new modus

o p e ra n d ! f o r w a te r r e s o u r c e s p r o j e c t s . They saw i n

t h i s s e c t i o n a t h r e a t t o t h e u s u a l way o f d o in g b u s i n e s s .

As a r e s u l t , S e c t i o n 7 became an e m o t io n a l i s s u e . ^

As a House s t a f f member e x p r e s s e d i t :

42I b i d . , P a r t 3 , p . 428.

43One a d m i n i s t r a t i o n o f f i c i a l te rm e d i t " th e b i g g e s t m is ta k e i n t h e b i l l , " A BOB o f f i c i a l con ced ed t h a t " i n r e t r o s p e c t , S e c t i o n 7 may have b e en i n e r r o r . " He w ent on t o o b s e r v e , h o w e v e r , t h a t " a more s o p h i s t i ­c a t e d a rgum en t i s t h a t h ad n o t S e c t i o n 7 b e e n i n , S e n a to r M c C le l lan w ould h ave t u r n e d i t [ t h e b i l l ] o v e r t o S e n a to r R i b i c o f f . " A member o f t h e Task F o rc e gave g e n e r a l s u p p o r t t o t h i s t h e o r y : " I n t h e e a r l ydays [ o f C o n g re s s io n a l d e t e r m i n a t i o n s ] , a l l t h e f l a k was b e in g t a k e n by S e c t i o n 7 . A good argum ent c o u ld be made t h a t S e c t i o n 7 s e r v e d a s a w h ip p in g boy and e n a b le d a l o t o f t h e h e a t t o be t a k e n o f f t h e e n t i r e c o n c e p t o f t h e D ep artm en t a s a w h o le ."

77

S e c t io n 7 waved a r e d f l a g t o w a te r p e o p le and t o C o n g ress who h a d a f a i r l y i n f l u e n t i a l v o ic e i n i t [ w a te r r e s o u r c e a c t i v i t i e s ] . Why p u t i t i n ? M a rg in a l u t i l i t y a n a l y s i s i s a v e ry s p e c u l a t i v e t h i n g a p p l i e d t o w a t e r r e s o u r c e s .The t e c h n iq u e i s v e ry p r i m i t i v e . To p u t i t i n t o t h e b i l l , a t t e m p t in g t o show r a t i o n a l i t y , was a b l u f f . R e a l l y , a t t h e b o t to m o f i t was an a t t e m p t by t h e E x e c u t iv e B ranch t o w r e s t from C on gress t h e c o n t r o l o v e r t r a n s p o r t a t i o n I n t e r e s t s .

The S e n a te Committee C ha irm an , S e n a to r M c C le l lan

( A r k a n s a s ) , S e n a to r s J a c k s o n (W a sh in g to n ) , Mundt (S o u th

D a k o ta ) , C u r t i s (N e b r a s k a ) , and Harris**** (O k lahom a), a l l

r e p r e s e n t s t a t e s h a v in g e x t e n s i v e n a v ig a b le r i v e r s and

i n t e n s e i n t e r e s t i n n a v i g a t i o n projects.**^ They w ere

u n i t e d i n t h e i r comments made t o w i t n e s s e s t e s t i f y i n g

S e n a to r J a c k s o n i s c h a irm an o f t h e I n t e r i o r Com mittee u n d e r whose a e g i s t h e W ater R e so u rc e s P la n n in g Act was s t e e r e d th ro u g h th e S e n a te . S e n a to r H a r r i s i s a l s o a member o f th e S e n a te P u b l i c Works Committee and i t s Subcom m ittee on R iv e r s and H arbo rs and F lo o d C o n t r o l .

S e n a to r M onroney, t h e s e n i o r s e n a t o r from Oklahoma, i n h i s te s t im o n y b e f o r e t h e Com m ittee l a r g e l y on a v i a t i o n m a t t e r s , a l s o to o k t h e o p p o r t u n i t y t o s t a t e h i s o p p o s i t i o n t o S e c t i o n 7 : " I w ish t o a d d r e s s m y s e l fnow t o s e c t i o n 7 o f t h e b i l l . The la n g u a g e o f t h i s s e c t i o n i s b ro a d and v a g u e , a s i s t h e A d m i n i s t r a t i o n ' s i n t e n t w i th r e s p e c t t o i t . I t i s Im p o s s ib le t o d e t e r ­mine p r e c i s e l y what t h e lan g u ag e means o r w hat i s i n t e n d e d t o b e done u n d e r i t . I f t h e i n t e n t i s t o v e s t i n th e S e c r e t a r y s o l e a u t h o r i t y t o e s t a b l i s h " s t a n d a r d s and c r i t e r i a " f o r th e econom ic e v a l u a t i o n o f n a t i o n a l t r a n s p o r t a t i o n p r o j e c t s , t h e n i t i s an u n w a r ra n te d and unw ise d e l e g a t i o n o f a u t h o r i t y and r e s p o n s i b i l i t y by t h e l e g i s l a t i v e b r a n c h t o t h e e x e c u t i v e . . . . T h e r e f o r e , I am o p p o sed to s e c t i o n 7 and I s t r o n g l y recommend i t s d e l e t i o n . " E s t a b l i s h a D epartm en t o f T r a n s p o r t a t i o n , o p . c l t . , P a r t 2 ,p p . 288—209•

1|5One m igh t b r o a d ly r e l a t e t h i s i d e n t i f i c a t i o n

t o r e p r e s e n t a t i o n a l i n t e r e s t .

78

on t h i s s e c t i o n — s h a r p l y c r i t i c a l o f t h o s e f a v o r i n g t h e

s e c t i o n and c o r d i a l t o t h o s e o b j e c t i n g t o i t .** ^ T h e i r

s o l i d a r i t y gave c re d e n c e t o t h e c o n c lu s io n o f a Con­

g r e s s i o n a l s t a f f member t h a t "p o rk 1*? i s one o f th e key

t h i n g s t h a t g lu e C on gress t o g e t h e r . " 1̂

46F o r a r e v e a l i n g d i s p l a y o f th e l a t t e r v a r i e t y ,

s e e t h e t e s t im o n y o f Chan G urney , fo rm e r U. S . S e n a to r from S o u th D a k o ta , r e p r e s e n t i n g t h e M is s o u r i R iv e r Committee o f th e Y an k to n , S o u th D ako ta Chamber o f Commerce. E s t a b l i s h a D epartm en t o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 4 , p p . 647-657*

47 "P o rk b a r r e l p o l i t i c s i s an i n e s c a p a b l e e le m e n t o f t h e A m erican p o l i t i c a l s t r u c t u r e , " a fo rm e r member o f t h e House P u b l i c Works C om m ittee , F ra n k E. S m ith , d e c l a r e s i n The P o l i t i c s o f C o n s e r v a t io n (New Y ork: P a n th eo n B oo ks , 1 9 6 6 ) , p . 310.

I n h i s P o l i t i c a l Argument (New Y ork: Humani­t i e s P r e s s , 1 9 6 5 ) , B r ia n B a r ry p r o v id e s a s c h o l a r l y e x p l a n a t i o n o f t h i s phenomenon. See Note ( T ) , "The E x p la n a t io n o f t h e 'P o r k B a r r e l ' , " p p . 3 1 7 -3 1 8 .

G ra n t M cConnell d e s c r i b e s i n d e t a i l r e g i o n a l c o h e s io n i n m a t t e r s r e l a t i n g t o r i v e r s and h a r b o r s .See C h a p te r 7 (pp . 1 9 6 -2 4 5 ) , " P re e m p t io n : The P o l i t i c so f Land and W a te r ," i n P r i v a t e Power and Am erican Democracy (New Y ork: K nopf, 1 9 6 6 ) . M cConnell t e l l sus (p . 2 1 7 ) : "T h is p r o c e s s [ l o g r o l l i n g ] has b e en son o t o r i o u s t h a t some c y n ic s have t a k e n r i v e r s - a n d - h a r b o r s a s a w o rk in g d e f i n i t i o n o f t h e 'p o r k b a r r e l ' . "

48The same i n d i v i d u a l f e l t t h a t t o g iv e t h e P r e s i d e n t c o n t r o l o v e r w a te r p r o j e c t s i s d an g e ro u s from t h e s t a n d p o i n t o f c o n s t i t u t i o n a l la w , " p e rh a p s more p e r n i c i o u s t h a n p o rk i n t h e lo n g r u n . " I t w o u ld , he b e l i e v e d , be a s t e p to w a rd a p a r l i a m e n t a r y sy s te m .

A much d i f f e r e n t b a s i s f o r o b j e c t i n g t o t h e a d m i n i s t r a t i o n ' s m ethod i s foun d i n an a r t i c l e by

W entw orth . W entworth t h i n k s t h a t t h e "g row ing o b s e s s io n w i th a s c i e n t i f i c a p p ro a c h t o t h e p o r k b a r r e l c o u ld . . . p ro d u c e a s o r t o f a d m i n i s t r a t i v e F r a n k e n s t e i n M o n s te r . D i s t u r b i n g s i g n s a r e v i s i b l e a l r e a d y . " He f e e l s t h a t t h e v a lu e o f a l l t h e s c i e n t i f i c p l a n n i n g o f

79

The House Committee p r e s e n t e d no s o l i d r e g i o n a l

b l o c co m parab le t o t h a t o f t h e S e n a te w i th r e s p e c t t o

S e c t i o n 7 . I t s o p p o s i t i o n t o S e c t i o n 7 w a s , i n t h e m a in ,

b a s e d upon C o n g r e s s io n a l c o n t r o l preferences .^9 T here

seems l i t t l e d o u b t , h o w ev er , t h a t , f o r m u l t i p l e r e a s o n s ,

S e c t i o n 7 was t h e m ost c o n t r o v e r s i a l i te m i n th e b i l l . 5°

The i n f l u e n c e o f th e Com mittee Chairm en was d e e p ly

f e l t . S e n a to r M c C le l lan made i t e v id e n t a t t h e o u t s e t

t h a t he had r e s e r v a t i o n s ab o u t th e r e o r g a n i z a t i o n b i l l

and t h a t he was g o in g t o do a l l i n h i s pow er t o make

econom ic deve lo pm en t re m a in s t o be p ro v e d and t h a t t h e r e i s a d a n g e r t h a t , on t h e c o n t r a r y , on an o v e r a l l s c a l e , t h e p ro g ram s ap p ro v e d u n d e r t h i s a p p ro a c h c o u ld c a n c e l o u t e a c h o t h e r . E r i c W entw orth , " P la n n e r s W ith in P l a n n e r s F e s to o n t h e Old Pork B a r r e l , " W ash ing ton P o s t , May 1 4 , 1967 .

49T hese p r e f e r e n c e s w ere r e i n f o r c e d b y f t h e s t r o n g te s t im o n y o f R e p r e s e n t a t i v e C ram er, r a n k in g m i n o r i t y member o f t h e Committee on P u b l i c W orks, who s u g g e s te d am ending S e c t i o n 7 t o e n s u re C o n g r e s s io n a l a p p ro v a l o f any s t a n d a r d s and c r i t e r i a p r i o r t o t h e i r p r o m u lg a t io n . H is t e s t im o n y e l i c i t e d s p i r i t e d a p p ro b a ­t i o n from R e p u b l ic a n c o l l e a g u e s on th e C om m ittee , John N. E r le n b o rn o f I l l i n o i s and C la re n c e J . Brown, J r . o f O h io . C r e a t in g a D epartm en t o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 1 , p p . 24 1 -262 .

50A S e n a te s t a f f member f e l t t h a t "he [ P r e s i d e n t

Jo h n s o n ] w ould have h a d t h i s b i l l by J u l y 4 t h , i f S e c t i o n 7 had n o t b e e n i n i t . " "The a d m i n i s t r a t i o n w ould n o t have h a d th e m erc h an t m arin e a rg u m e n t ," he c o n c lu d e d . " T h e i r [ t h e m a r i t im e i n t e r e s t s ] o p p o s i t i o n p i c k e d up i n m id -sum m er." A h ig h a d m i n i s t r a t i o n o f f i c i a l came in d e p e n d e n t ly t o t h e same c o n c l u s i o n . " S e c t io n 7 s low ed i t [ t h e b i l l ] up so much t h a t th e m a r i t im e i n t e r e s t s w ere a b le t o g e t t o g e t h e r and g e t m a r i t im e [ t h e M ari tim e A d m i n i s t r a t i o n ] o u t . "

80

s u r e t h a t t h e b i l l r e c e i v e d c a r e f u l s c r u t i n y . R a t h e r

t h a n d e l e g a t e t h e r e s p o n s i b i l i t y f o r c o n d u c t in g th e

h e a r i n g s t o th e Subcom m ittee on E x e c u t iv e R e o rg a n iz a ­

t i o n , he ch ose t o u se th e f u l l Com m ittee f o r t h i s

p u r p o s e . And he d e te rm in e d t h a t e x t e n s i v e h e a r i n g scpw ould be i n o r d e r .

T hat th e S e n a to r was f i r m l y a l i g n e d w i th th e

r e g i o n a l b lo c can be c l e a r l y d e te rm in e d from h i s s e l e c ­

t i o n o f w i t n e s s e s and from h i s comments th r o u g h o u t t h e

h e a r i n g s . ^3 a p o r t i o n o f an exchange be tw een e x - S e n a to r

51He e x p la in e d : "Some o f t h e a u t h o r i t y p ro p o se di n S. 3010 a p p e a r s q u i t e b r o a d , and we w i l l o f c o u rs e want t o f i n d o u t t h e d e t a i l s . . . . We w i l l have t o d e te rm in e w h e th e r a r e s h u f f l i n g o f Government a g e n c ie s w i l l b r i n g a b o u t t h e r e s u l t s w h ich t h e P r e s i d e n t ho pes t o a c h i e v e . " H is o p e n in g s t a t e m e n t d i s c la im e d any b i a s , how ever: "The ch a irm an b e g in s t h e s e h e a r i n g s w i th ac o m p le te ly open m ind . I have no p r e j u d i c e a g a i n s t any p r o v i s i o n o f i t . So f a r a s I know now, I h av e no p r e ­c o n c e iv e d c o n v i c t i o n as t o what s h o u ld o r s h o u ld n o t be d o n e ." E s t a b l i s h a D epartm ent o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 1 , p . 2 .

52 "We a r e g o in g t o s tu d y t h i s b i l l —we a re g o in g t o exam ine i t c a r e f u l l y and t r y t o do a c o n s t r u c t i v e j o b . T h is w i l l t a k e t im e , p e rh a p s a lo n g t i m e . " E s t a b l i s h a D ep artm en t o f T r a n s p o r t a t i o n , l o c . c i t .

53F o r e x am p le , t h e w i t n e s s e s on Jun e 2 8 , 1966 w e re : Chan G urney , M is s o u r i R iv e r Committee o f t h eY ank ton , S ou th D ako ta Chamber o f Commerce; C h a r le s Q. K e l l e y , a t t o r n e y , L i t t l e Rock, A rk a n sa s ; A rn o ld S o b e l , P r e s i d e n t , M i s s i s s i p p i V a l le y A s s o c i a t i o n ; E . M ich ae l C a ssa d y , V ice P r e s i d e n t , M i s s i s s i p p i V a l le y A s s o c i a t i o n ; and C h a r le s B. Gannaway, J r . , P r e s i d e n t , A rk an sas B a s in Developm ent A s s o c i a t i o n , I n c . The b e n t o f t h e t e s t im o n y o f t h e s e w i t n e s s e s can be e a s i l y i n f e r r e d from t h e i r o r g a n i z a t i o n a l t i e s . Mr. K e l l e y , a s e l f - s t y l e d

81

Chan Gurney and S e n a to r M c C le l lan i l l u s t r a t e s w e l l t h e

C ha irm an’s g e n e r a l h a n d l in g o f t h e s u b j e c t on e v e ry

o c c a s i o n .

S e n a to r M c C le l la n . What do you t h i n k a b o u t t h e a d v i s a b i l i t y o f w r i t i n g a fo rm u la o r c r i t e r i a i n t h i s b i l l , t h a t C on gress e s t a b l i s h i t ?

Mr. G urney. I am s u r e t h a t m ust be done some way o r o t h e r . W hether i t i s i n t h i s b i l l o r some o t h e r b i l l , p u b l i c w orks b i l l o r a p p r o p r i a t i o n s b i l l , I do n o t know w hich i s b e s t . But C ongress m ust n o t g iv e away i t s pow er t o s e t t h e s t a n d a r d .

S e n a to r M c C le l la n . L e t me a s k you a n o th e r t h i n g . You have had lo n g y e a r s o f e x p e r i e n c e n o t o n ly i n C o n g re s s , b u t i n a g e n c ie s o f governm ent and i n o t h e r f i e l d s o f e n t e r p r i s e . Do you know o f any n a v i g a t i o n p r o j e c t t h a t we have i n t h i s c o u n try t h a t h a s b een a u t h o r i z e d and e s t a b l i s h e d and i n o p e r a t i o n t h a t h a s n ’t p ro v e d h i g h ly b e n e f i c i a l , g e n e r a l l y ev en f a r beyond t h e o r i g i n a l e s t im a t e ?

Mr. G urney. T h a t i s c o r r e c t , Mr. C hairm an. I t h i n k o f one w here th e y p r e d i c t e d 7 m i l l i o n to n s o f t r a f f i c a y e a r , and i t h a s gone t o 77 m i l l i o n . T h at i s down i n t h e i n t e r c o a s t a l highw ay o r w aterw ay o f T e x a s , down i n y o u r S t a t e and—

S e n a to r M c C le l la n . T hat i s common i n a l l o f them ; i s n ’ t i t ?

Mr. G urney . E very one o f them p ro d u ce b e n e f i t s g r e a t e r t h a n th e y a r e a n t i c i p a t e d t h a t I know o f .So w a te r p r o j e c t s have r e a l l y done a b i g jo b i n d e v e lo p in g o u r c o u n t r y .

r e p r e s e n t a t i v e o f t h e p u b l i c and a " lo n g t im e p e r s o n a l f r i e n d and an o ld A m erican L eg ion bu d d y , so t o sp e a k " o f S e n a to r M c C le l la n , made a w i d e - r a n g i n g , r a m b l in g p r e s e n t a t i o n . The g i s t o f h i s rem a rk s can be summed up by h i s c la im t h a t " t h i s o p e r a t i o n [ t h e i n l a n d w aterw ays p ro g ram ] i s c l o s e r t o th e h e a r t , m in d , and w e l l - b e i n g o f o u r [ t h e A m erican] p e o p le t h a n many o t h e r p ro g ram s [ e s p e c i a l l y t h e r a i l r o a d s ] a l o t b e t t e r know n." E s t a b l i s h i n g a D epartm en t o f T r a n s p o r t a t i o n , o p . c i t . , F a r t~ T , p 7 " T 6 2 . ----------------------------- ----------------

82

S e n a to r M c C le l la n . I t h a n k you v e ry much.

S e n a to r Mundt [ a n o t h e r p e r s i s t e n t s u p p o r t e r o f ^ w a te r p r o j e c t s d u r in g t h e h e a r i n g ] , any q u e s t io n s ? - 3

By such a d r o i t p ro m o tin g o f c a r e f u l l y c u l l e d

w i t n e s s e s , S e n a to r M c C le l lan was a b le t o p i l e up p o i n t s

i n f a v o r o f e x em p tin g w a te r p r o j e c t s from t h e s t a n d a r d s

and c r i t e r i a t o be d e v e lo p e d by t h e S e c r e t a r y o f T r a n s ­

p o r t a t i o n . The g roup d e c i s i o n t o do so was a t t r i b u t a b l e

i n no s m a l l m easure t o su c h i n f l u e n c e from th e C h a i r . 55

M c C le l la n , i n t h e p u r e s t s e n s e , p e r s o n i f i e d Woodrow

W il s o n 's c h a r a c t e r i z a t i o n o f th e Committee Chairm an aseg

a l o r d - p r o p r i e t o r . J

R e p r e s e n t a t i v e H o l i f i e l d was ev en more i n f l u e n t i a l

on t h e House s i d e . H is a t t i t u d e to w a rd t h e b i l l was much

more p o s i t i v e l y f a v o r a b l e t h a n t h a t o f S e n a to r M c C le l la n .

He l o s t no o p p o r t u n i t y d u r in g t h e h e a r i n g s t o p u sh f o r

54E s t a b l i s h i n g a D epartm en t o f T r a n s p o r t a t i o n ,

o p . c i t . , P a r t 4 , p . 653.

55H o p k in s , i n a s c h o l a r l y a n a l y s i s o f i n f l u e n c e ,

d e v e lo p e d ( a s one o f f i f t e e n ) t h e f o l lo w in g p r o p o s i ­t i o n : "F o r any member o f a s m a l l g ro u p , t h e h i g h e rh i s r a n k , t h e g r e a t e r h i s i n f l u e n c e . " T e re n ce K. H o p k in s , The E x e r c i s e o f I n f l u e n c e i n S m all Groups (T otow a, N. J 7 : B e d m in s te r P r e s s , 1 9 6 4 ) , p . 86.The p r o p o s i t i o n , he f e l t , was " f a i r l y w e l l s u p p o r te d " by t h e d a t a o f c o l l a b o r a t o r s .

56Woodrow W ilso n , C o n g r e s s io n a l Government (B o s to n : Houghton M i f f l i n , 1 8 8 5 ) , p . 76 and p a s s i m .W hite p r o v id e s a modern r e n d i t i o n : The CommitteeC hairm an , " u n l e s s he be a weak and i r r e s o l u t e man, i s e m p e ro r ." W il l ia m S. W h ite , C i t a d e l (New Y ork: H a rp e r , 1 9 5 7 ) , P« 180.

83

th e A d m i n i s t r a t i o n v ie w p o in t when w i t n e s s e s showed a

h o s t i l e a t t i t u d e to w a rd th e b i l l i n g e n e r a l o r a t t a c k e d

key p r o v i s i o n s o f i t . Not o n ly was he a r t i c u l a t e and

e x p e r i e n c e d , 57 he was e x t r e m e ly f a m i l i a r w i th a l l

a s p e c t s o f th e r e o r g a n i z a t i o n b i l l .

But Chairm an H o l i f i e I d was n o t a mere d u t i f u l

spokesm an o f th e A d m in is t r a t io n .^ ® H is s ta u n c h s u p p o r t

was a c q u i r e d a t a p r i c e — t h e u n d e r s t a n d in g t h a t he c o u ld

make such ch an g es a s w ere n e c e s s a r y to g e t a w o r th w h i le

b i l l p a s s e d by t h e H ouse . He had in fo rm e d t h e BOB t h a t

i t was im p o s s ib l e f o r t h e House t o p a s s th e b i l l as

w r i t t e n . He w ould a c c e p t t h e r e s p o n s i b i l i t y f o r h a n d l i n g

th e l e g i s l a t i o n , he t o l d them , o n ly i f h e w ere a b l e t o

57H o l i f i e l d had been a member o f th e se co n d Hoover C om m ission. He had b e en a f l o o r m anager f o r th e N a t io n a l S e c u r i t y Act o f 19^7 and i t s amendment i n 19^9 w h ich c r e a t e d t h e D ep artm en t o f D e fe n se . At v a r i o u s t i m e s , he h as been Chairm an o f t h e J o i n t Com mittee on Atomic E n e rg y . He h a s b e en a l s o sm a c t i v e l e a d e r o f t h e D e m o cra t ic S tu dy G roup. As Chairm an o f t h e Group i n 1961 , H o l i f i e l d l e d th e s u c c e s s f u l s t r u g g l e i n J a n u a r y 1961 t h a t r e s u l t e d i n re fo rm ( i n th e 8 7 th C o n g re s s ) o f t h e House R u le s C o m m ittee .

• ^ H o l i f i e l d was m i ld ly c r i t i c a l o f t h e E x e c u t iv e B ranch e v e ry now and th e n . I n a d i s c u s s i o n o v e r t h e p o s s i b i l i t y o f P r e s i d e n t i a l r e d i r e c t i o n o f fun ds a l l o c a t e d f o r a s p e c i f i c p u rp o se by C o n g re s s , H o l i f i e l d rem ark ed : "Of c o u r s e , t h i s goes t o th e i n h e r e n t con­s t i t u t i o n a l pow ers o f th e P r e s i d e n t , w hich m igh t be e x e r c i s e d by a S e c r e t a r y o f any agency o f t h e Government and w h ic h , t o t h i s d a t e , t h e C on gress h a s fo u n d no means t o cope w i t h , I m ig h t say [ L a u g h t e r ] . 11 C r e a t in g a D ep ar tm en t o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 1 , p . 241 .

84

make enough a d ju s tm e n t s t o g e t t h e b i l l e s t a b l i s h e d . 59

One o f th e e a r l i e s t e f f o r t s on H o l i f i e l d ’s p a r t

was t o make i t c l e a r t h a t th e r e o r g a n i z a t i o n b i l l had

no e f f e c t on Committee j u r i s d i c t i o n . I n q u e s t i o n i n g

C h a r le s L. S c h u l t z e , D i r e c t o r o f th e BOB and t h e admin­

i s t r a t i o n ' s f i r s t w i t n e s s , H o l i f i e l d was a b le t o g e t h i s

m essage home:

Mr. H o l i f i e l d . The p o i n t t h a t I am t r y i n g t o b r i n g o u t — and I w ant t o s t a t e i t c l e a r l y f o r t h e r e c o r d — t h a t t h i s does n o t d e s t r o y any o f t h e com m ittee j u r i s d i c t i o n o f t h e M erchan t M arine Committee o r th e I n t e r s t a t e and F o r e ig n Commerce C om m ittee , o r t h e P u b l i c Works C om m ittee , o r any o t h e r com m ittee t h a t i s now in v o lv e d i n t r a n s p o r t a t i o n .

Mr. S c h u l t z e . I n no way does t h e b i l l do t h a t — i n no way.

Mr. H o l i f i e l d . T h is i s im p o r ta n t t o be u n d e r ­s t o o d , b e c a u se t h e r e h a s been some f e a r e x p r e s s e d t h a t t h e s t a n d i n g co m m ittee s o f j u r i s d i c t i o n i n t h e House may lo s e c o n t r o l o v e r t h a t a r e a o f j u r i s d i c t i o n w hich t h e y now h a v e . And I w an t t h i s an sw er v e ry p l a i n on th e r e c o r d , t h a t t h e s e t t i n g up o f t h i s D epartm en t does n o t a t t h i s t im e c o n s t i t u t e any d e l e t i n g o f p r e s e n t com m ittee j u r i s d i c t i o n from t h e s t a n d i n g co m m ittee s o f t h e House t h a t h av e j u r i s d i c t i o n o v e r t h e r e s p e c t i v e p a r t s o f th e t r a n s p o r t a t i o n p ro b lem o f o u r N a t io n .

Having t a k e n p a i n s t o r e a s s u r e h i s c o l l e a g u e s o f

th e i n t e g r i t y o f com m ittee j u r i s d i c t i o n , H o l i f i e l d was

q u ic k t o t a k e i s s u e w i th Committee members who were to o

lo o s e w i th t h e i r c r i t i c i s m s . He f e l t c o n s t r a i n e d to

59I n t e r v i e w .

6° C rea tin g a Department o f T r a n s p o r ta t io n ,o p . c i t . , Part 1 , p . 7 l .

85

g iv e a g e n t l e l e c t u r e t o R e p r e s e n t a t i v e John N.

E r le n b o r n ( R e p u b l i c a n , I l l i n o i s ) who had b e en p r e s s i n g

S c h u l t z e h a rd on d e c i s i o n m aking i n t h e E x e c u t iv e

B ranch and im p ly in g t h a t i t was h e a v y -h a n d e d .

Mr. H o l i f i e l d . I s n ’ t i t t r u e t h a t t h i s i s t h e no rm al p r o c e s s i n a d e m o c ra t ic s o c i e t y ? We do th e same t h i n g on t h e f l o o r o f t h e House e v e ry d a y . I ’ve been h e re 24 y e a r s , and I can remember b u t few b i l l s t h a t I e n d o rs e d i n my own mind a h u n d re d p e r c e n t . I h ad t o t a k e so m e th in g i n th e b i l l t h a t I d i d n ’t l i k e i n o r d e r t o g e t a l o t o f t h i n g s maybe t h a t I d i d l i k e .

And so t h i s i s t h e n o rm al p r o c e s s o f d e v e lo p m e n t , t h e g iv e and t a k e o f a d e m o c ra t ic s o c i e t y . And i t t a k e s p l a c e i n t h e e x e c u t i v e b r a n c h , I am s u r e , t h e same a s i t does h e r e on C a p i t o l H i l l . 81

On a n o th e r o c c a s i o n , Mr. H o l i f i e l d to o k R e p r e s e n ta ­

t i v e C la re n c e J . Brown J r . ^ 2 t o t a s k when t h a t member o f

t h e Committee made a f r o n t a l a t t a c k on t h e r a t i o n a l e f o r

a new D ep ar tm en t:

Mr. Brown. Y es. I w ould l i k e t o p u r s u e two o r t h r e e p o i n t s b u t I f e e l o b l ig e d t o comment on a p o i n t you [ H o l i f i e l d ] made. S in c e we had th e c o o r d i n a t e d D efense D epartm ent t h i s c o u n t r y fo u g h t two w a r s , K orea and V ie tn a m , so a p p a r e n t l y i t d o e s n ' t r e s o l v e a l l p ro b lem s t o have a u n i f i e d D efense D e p a r tm en t .

Mr. H o l i f i e l d . Of c o u r s e , t h e f i g h t i n g o f a war h as n o th in g t o do w i t h — I c o n s i d e r t h e g e n t l e ­m a n 's rem a rk s a s i r r e l e v a n t from t h e s t a n d p o i n t o f l o g i c , b e c a u s e w ars come w h e th e r you tiave f o u r

61I b i d . , p . 83.

62R e p r e s e n t a t i v e Brown was t h e l e a s t s e n i o r R e p u b l ic a n i n t h e House i n th e 89t h C o n g re ss . He was sworn i n on J a n u a ry 1 0 , 1966 t o f i l l t h e s e a t made v a c a n t upon t h e d e a th o f h i s f a t h e r . He was a s s i g n e d h i s f a t h e r ' s s e a t on t h e C om m ittee .

66

s e p a r a t e a g e n c ie s o r one c o o r d i n a te d a g e n c y . I t i s a m a t t e r o f o p in io n a s t o w h e th e r t h o s e w ars were fo u g h t b e t t e r u n d e r th e c o o r d i n a t e d d e fe n s e sy s te m th a n b e f o r e . At l e a s t , C ongress had no—I have n o t known o f any Member o f C on gress p r o ­p o s in g a d i s m a n t l i n g o f t h e D efense D epartm en t i n t o i t s p r i o r in d e p e n d e n t a g e n c ie s o f defense.63

Mr. H o l i f i e l d * s c o n s i s t e n t d e fe n s e o f t h e b i l l

e x te n d e d t o w i t n e s s e s from th e i n t e r e s t g r o u p s . A p o r ­

t i o n o f a d ia lo g u e b e tw een H o l i f i e l d and P . A. M e c h l in g ,

a b a rg e l i n e e x e c u t i v e , i l l u s t r a t e s t h e g e n e r a l a t t i t u d e

he m a in ta in e d th ro u g h o u t th e h e a r i n g s :

Mr. H o l i f i e l d . So I t h i n k y o u r f e a r s p o s s i b l y a r e th e f e a r s t h a t e v e ry o n e h a s when t h e s t a t u s quo i s chan g ed . I f t h e r e i s any a t t e m p t t o change t h e s t a t u s q u o , t h e r e i s an im m ed ia te a la rm by th o s e p e o p le who a r e c o m fo r ta b le w i th th e modes o f th e p r e s e n t . They would r a t h e r e n d u re th e i l l s o f t h e p r e s e n t t h a n f a c e t h e f a n c i e d i l l s o f t h e f u t u r e .

Mr. M ech lin g . No; I d o n ’t t h i n k t h a t i s e x a c t l y t r u e , Mr. C hairm an.

Mr. H o l i f i e l d . Now i s n ’ t i t t r u e ? I d o n ’t w an t t o be u n f a i r t o yo u . I t h i n k you have made i t a b u n d a n t ly p l a i n i n y o u r t e s t i m o n y . . . .64

I t i s d i f f i c u l t t o c o n c e iv e any ch a irm an o f a

com m ittee a r g u in g more p e r s u a s i v e l y f o r t h e a d m i n i s t r a ­

t i o n ' s p o s i t i o n t h a n d i d Mr. H o l i f i e l d i n t h e c o u rs e

63I b i d . , p . 275.

64 I b i d . , p . 203. I n c o n t r a s t , M ech lin g was h a n d le d g e n t l y by Chairm an M c C le l la n .

Chairm an H o l i f i e l d was e q u a l l y d i r e c t i n h i s comments t o P a u l H a l l , P r e s i d e n t o f t h e S e a f a r e r s I n t e r n a t i o n a l Union o f N o rth A m erica , who a l s o a rg u e d f o r t h e s t a t u s quo . I b i d . , P a r t 2 , p p . 57 8 -5 7 9 .

87

o f t h e h e a r i n g s on t h e r e o r g a n i z a t i o n b i l l . O n c e h a v in g

made t h e n e c e s s a r y accom m odations t o r e a l i t y a s he saw i t ,

he t e n a c i o u s l y fo u g h t f o r t h e b i l l ’s a p p r o v a l . ^ H is was

p r o b a b ly t h e s i n g l e m ost i m p o r t a n t i n f l u e n c e on t h e

House C o m m it te e .67

The f o u r t h i n t r a - c o m m i t t e e i n f l u e n c e was p a r t i s a n

p r e f e r e n c e s . U n l ik e fa rm o r w e l f a r e l e g i s l a t i o n , t h e

b i l l d i d n o t c o n t a i n t h o s e f e a t u r e s t h a t t e n d t o h i g h ­

l i g h t t r a d i t i o n a l p a r t y a t t i t u d e s and c l e a v a g e s .

The f i r s t House h e a r i n g was r e l a t i v e l y p a r t i s a n

i n n a t u r e . Congressm en E r le n b o rn ^ S and Brown q u e s t io n e d

^A s e n i o r o f f i c i a l o f t h e D epartm en t o f T ra n s ­p o r t a t i o n s t a t e d : ’’Chet H o l i f i e l d d i d a g r e a t Job i nC om m ittee . I t was a b e t t e r b i l l coming o u t o f com m ittee t h a n g o in g i n . "

^ S u c h an o u t l o o k , H o l i f i e l d b e l i e v e s , "marks t h e d i f f e r e n c e b e tw een an a r c h i t e c t o f l e g i s l a t i o n on t h e f r o n t l i n e s and t h e t h e o r e t i c a l and p h i l o s o p h i c a l guys d raw in g up w hat th e y t h i n k i s a good s i t u a t i o n .They d o n ’t h av e any c o n c e p t o f how d i f f i c u l t i t i s t o r e o r g a n i z e . I t ’s n e c e s s a r y t o a c c o u n t f o r t h e p r e j u ­d i c e s and p r a c t i c a l e x p e r i e n c e s o f p r a c t i c a l m en ." I n t e r v i e w .

6 7The C h a irm an ’s i n f l u e n c e i s o f t e n enh an ced

by t h e f a c t t h a t h e ( a n d , on o c c a s i o n , o n ly h e ) a t t e n d s a l l t h e s e s s i o n s . Only a s m a l l m i n o r i t y on b o th C om m ittees a t t e n d e d m ost m e e t in g s an d a c t i v e l y p a r t i ­c i p a t e d . The d e t a i l e d know ledge a c q u i r e d by t h e Chairm an g iv e s him an edge i n e x e c u t i v e s e s s i o n s a n d , c o n c e iv a b ly , p e r m i t s him t o d o m in a te t h o s e s e s s i o n s . Berman m a i n t a i n s t h a t " i t i s d i f f i c u l t t o e x a g g e r a te t h e pow er o f a Committee c h a i r m a n ." D a n ie l Berman,I n C ong ress A ssem bled (New Y ork: M acM illan , 1 9 6 4 ) ,p T T 5 T T

68E r le n b o r n , i n a s e n s e , i s a s u b j e c t - m a t t e r e x p e r t , h a v in g s e r v e d a s a member o f t h e I l l i n o i s T r a n s p o r t a t i o n Com m ission. Some o f h i s p e r s i s t e n t

88

BOB D i r e c t o r S c h u l tz e q u i t e c l o s e l y i n th e i n i t i a l

h e a r i n g on a w ide v a r i e t y o f i s s u e s . Congressm an Brown

i d e n t i f i e d th e b a s i c m o t i v a t i o n o f t h e s e q u e s t i o n s when

he re s p o n d e d a t one p o i n t t o a d e fe n s e o f th e w i t n e s s

by Mr. H o l i f i e l d : " I t h i n k p e rh a p s Mr. E r le n b o r n i s

t r y i n g t o p u t h i s f i n g e r on t h e s u b t l e d i f f e r e n c e be tw een

r e a s o n i n g t o g e t h e r i n a d e m o c ra t ic s o c i e t y and a g r e a t

d e m o c ra t ic s o c i e t y . A t a l a t e r p o i n t , S c h u l tz e

e x t o l l e d t h e u se o f s t a n d a r d s and c r i t e r i a a s boon t o

t h e c o n s i s t e n t t r e a t m e n t o f t h e s e v e r a l modes o f t r a n s ­

p o r t a t i o n . Brown r e t o r t e d : "T h is I presum e w ould be

f a i r and e q u i t a b l e u n d e r a co n sen su s sy s te m s i m i l a r t o

t h e c o n se n su s sy s te m u n d e r w hich t h i s v e ry l e g i s l a t i o n

was a r r i v e d a t . " ^ °

At l a t e r h e a r i n g s , t h e p a r t i s a n b a d g e r in g m oder­

a t e d and e v e n t u a l l y was d i f f i c u l t t o d e t e c t . Yet

p a r t i s a n l i n e s a t th e c o n c lu s io n o f t h e h e a r i n g s were

s t i l l drawn t o a d e g re e . E ig h t o f t h e e l e v e n R e p u b l ic a n s

on t h e Committee s ig n e d an e x p o s i t i o n o f a d d i t i o n a l

v iew s a t t a c h e d t o th e Committee R e p o r t t o accompany

q u e s t i o n i n g c o u ld be a t t r i b u t e d a s w e l l t o h i s e x p e r t i s e i n t h e f i e l d . See C r e a t in g a D epartm ent o f T r a n s p o r t a ­t i o n , o p . c i t . , P a r t 1 , p . 95.

69House R e p o r t No. 1701 , 8 9 th C o n g re s s , 2nd

S e s s i o n , o£ . c i t . , p . 84.

701 Ibid., p. 92.

H. R. 1 5 9 6 3 .^ Two o t h e r s drew up and s ig n e d s t i l l

o t h e r a d d i t i o n a l v ie w s . Congressm an J a c k E dw ards , an

a d d i t i o n t o t h e Committee i n t h e c o u rs e o f t h e h e a r i n g s ,

s u b m i t t e d in d e p e n d e n t a d d i t i o n a l v ie w s .

I n th e f i r s t s e t o f a d d i t i o n a l v ie w s , a f t e r a

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

D e p a r tm e n t , c e r t a i n r e s e r v a t i o n s t o t h e b i l l a s w r i t t e n

w ere l i s t e d . I n a d d i t i o n , th e s i g n e r s u rg e d th e e s t a b ­

l i s h m e n t o f a Commission on th e O r g a n iz a t io n o f t h e

E x e c u t iv e B ranch o f th e G overnm ent. T h is H o o v e r- ty p e

com m iss ion , th e y s u g g e s t e d , " s h o u ld be c h a rg e d w i th

t h e r e s p o n s i b i l i t y f o r c o n d u c t in g an o v e r a l l e x a m in a t io n

o f F e d e r a l Government o r g a n i z a t i o n . "^3

71 Two o f them , Brown and W il l ia m L. D ic k in s o n , i n a d d i t i o n t o s i g n i n g t h e m a jo r R e p u b l ic a n s t a te m e n t o f a d d i t i o n a l v ie w s , s t a t e d t h e i r v iew t h a t t h e r e was so much wrong w i th t h e b i l l t h a t i t r e q u i r e d " f a r more s t u d y . " They recommended t h a t i t "be t o s s e d back t o t h e com m ittee f o r f u r t h e r c o n s i d e r a t i o n , im provem en t, and p r e s e n t a t i o n t o C ongress i n b e t t e r fo rm ." House R e p o r t No. 1701 , 89t h C o n g re s s , 2nd S e s s i o n , o£ . c i t . , PP. 9 7 -10 3 .

Edwards i s a member o f th e Subcom m ittee on M erchant M arine o f t h e Committee on M erchan t M arine and F i s h e r i e s . I n House s e n i o r i t y i n t h e 89t h C o n g re s s , he ra n k e d n e x t t o l a s t among t h e D em o cra ts . H is rem arks w ere e n t i r e l y d e v o te d t o a p o lem ic on th e " s i c k "M a r i t im e i n d u s t r y , t h e "m orass o f b u r e a u c r a t i c t w a d d le , " and t h e n eed f o r "U. S. suprem acy a t s e a . " His s o l u t i o n was an in d e p e n d e n t M aritim e A d m i n i s t r a t i o n . I b i d . , p p . 104 -1 06 .

73Ibid., p. 89.

90Congressm en Howard H. C allaw ay and R o b e r t

D o le ,? 1* i n t h e se c o n d s e t o f a d d i t i o n a l v ie w s , e n d o rs e d

" th e g e n e r a l c o n c e p t o f a D epartm en t o f T r a n s p o r t a t i o n , "

b u t c o n c lu d e d th e y h e ld s e r i o u s d oub t t h a t " th e i n t e r ­

e s t s o f th e t r a n s p o r t a t i o n i n d u s t r y , th e t r a v e l i n g

p u b l i c , o r t h e t a x p a y e r w i l l be a d v an ced by e s t a b l i s h i n g

a 1 0 0 ,0 0 0 -e m p lo y e e , $6 b i l l i o n D ep artm en t o f T r a n s p o r t a ­

t i o n a s now p r o p o s e d .

I n t h e S e n a te C om m ittee , no su ch d i s p l a y o f

p a r t i s a n a c t i v i t y em erged . T hroughou t th e h e a r i n g s ,

c r i t i c i s m ( a n d , t o a l i m i t e d e x t e n t , s u p p o r t ) o f t h e

a d m i n i s t r a t i o n b i l l was b i p a r t i s a n . I d e n t i f i c a t i o n w i th

r e g i o n a l i n t e r e s t s was t h e more p o w e r fu l i n f l u e n c e .

P a r t i s a n s h i p was sw allow ed up by t h e s e p r e f e r e n c e s .

T h ere were num erous i n s t a n c e s o f "hands a c r o s s t h e

s e a " : on t h e w a te r r e s o u r c e s i s s u e , on mass t r a n s i t ,

and on n o i s e a b a te m e n t .

The Committee v o te i n t h e S e n a te was u nan im ous.

Only one S e n a to r saw f i t t o f i l e a d d i t i o n a l v ie w s ;

S e n a to r J a v i t s r e c o r d e d h i s d i s s a t i s f a c t i o n w i th th e

r e j e c t i o n o f h i s amendment t o c r e a t e an O f f i c e o f

N o ise Abatem ent i n t h e new D epartm en t and h i s hope

74T o g e th e r w i th Brown and D ic k in s o n , th e y

c a s t th e f o u r d i s s e n t i n g v o te s on th e b i l l i n C om m ittee .

75House R e p o r t No. 1701 , 89 t h C o n g re s s , 2nd S e s s i o n , ojd. c i t . , p p . 9 0 -9 6 .

91t h a t t h e S e c r e t a r y would " t a k e th e I n i t i a t i v e i n t h i s

a r e a on h i s own." B u t , a t t h e same t i m e , he s t a t e d

t h a t he "was p l e a s e d " t o l e n d h i s s u p p o r t t o th e b i l l . 76

I n s h o r t , p a r t y i n f l u e n c e o v e r a l l was n o t a s

d e t e r m i n a t i v e i n t h e S e n a te Committee a s w ere i n f l u e n c e s

t h a t t r a n s c e n d e d p a r t y l i n e s : c o n g r e s s i o n a l c o n t r o l

p r e f e r e n c e , r e g i o n a l i d e n t i f i c a t i o n , and Committee

l e a d e r s h i p . Much o f th e p a r t i s a n o b j e c t i o n had a sym­

b o l i c f l a v o r t o i t . T here was n o t h in g i n s u b s t a n t i v e

te rm s t o t h e a rg u m en ts c lo a k e d u n d e r p a r t i s a n l a b e l s

t h a t d id n o t have a more d e e p - s e a t e d b a s i s i n one o f t h e

o t h e r i n f l u e n c e s . 7?

S e n a te R e p o r t No. 1659» 89t h C o n g re s s , 2nd S e s s i o n , o£ . c i t . , p . 43* H is o b j e c t i o n was a m an i­f e s t a t i o n o f i d e n t i f i c a t i o n w i th t h e i n t e r e s t s o f h i s h e a v i l y - p o p u l a t e d s t a t e . As n o t e d i n an e a r l i e r c h a p t e r , J a v i t s had a c t u a l l y i n t r o d u c e d b i l l s i n i 960 and 1961 t o p r o v id e f o r a D epartm en t o f T ra n s ­p o r t a t i o n .

The s i t u a t i o n i n t h i s i n s t a n c e i s a n o th e r i n d i c a t i o n o f t h e w eakness o f t h e p a r t y sy s te m a t t h e n a t i o n a l l e v e l . On t h i s p o i n t , s e e D a n ie l Berm an, o p . c i t . , p p . 2 1 6 -2 4 7 ; a l s o P e t e r W o ll , Am erican B u re a u c ra c y (New Y ork: W. W. N o r to n , 1963)» PP* 123-124 . To change t h i s s i t u a t i o n , R e p r e s e n t a t i v e R o b e r t H. M ic h e l , R e p u b lic a n o f I l l i n o i s , i n t r o d u c e d a b i l l i n t h e 8 9 th C o n g re s s , 1 s t S e s s io n (H. R. 9252) w hich p r o v id e d t h a t a m a j o r i t y o f t h e m em bership ( i n c l u d i n g t h e c h a irm a n ) o f t h e Committee on Government O p e r a t io n s o f t h e S e n a te and House would be composed o f members o f t h e p o l i t i c a l p a r t y o t h e r t h a n t h a t o f th e p o l i t i c a l p a r t y o f t h e P r e s i d e n t .

92

Extra-Committee Influences

Members of both Committees were influenced as well by forces other than those of an intra-committee nature. These external influences were three in number: Congressional subject-matter experts; Executive Branch leadership; and interest groups. The nature of these influences and their relative impact upon the bill will be dealt with in the ensuing paragraphs.

One of the most significant sources of influence was that influence coming from the various subject matter experts within Congress itself. The decision to commit the bill to the Committees on Government Operations did not end the interest of powerful individuals in other Committees whose interests were affected by provisions of the bill. They came forward and persuasively advanced their preferences during the hearings.

Senator Magnuson, Chairman of the Senate Committee on Commerce, not only introduced the bill but was the first witness to speak to it in the hear­ings. In a lengthy statement, Senator Magnuson touched upon each of the items that were to provoke contro­versy during the course of the hearings. If his influence were measured by his stand on each of the provisions of the bill that later developed into controversy, one would have to rate it extremely high.

93Magnuson c o u n s e l l e d a g a i n s t I n c l u s i o n o f S e c t io n

7 i n t h e fo rm i n t r o d u c e d . He saw i n i t a t h r e a t t o

C o n g r e s s io n a l p r e r o g a t i v e s and t o r e g i o n a l i n t e r e s t s .

He recommended s t a t u t o r y s t a t u s f o r t h e t r a n s f e r r e d

a g e n c ie s . He a rg u e d f o r s t a t u t o r y a s s u r a n c e f o r t h e

in d e p e n d e n c e o f t h e CAB s a f e t y f u n c t i o n s . He i n d i c a t e d

t h a t th e P r e s i d e n t ough t t o be h e l d i n s t a t u t e t o h i s

p ro m ise t o make a d e c i s i o n w i t h i n a y e a r on u rb an mass

t r a n s i t .

The S e n a te Committee s u b s e q u e n t ly saw eye t o eye

w i th him on e a c h o f t h e s e p o i n t s . P e rh a p s i t was i n th e

g e n e r a l p h i l o s o p h i c a l to n e t h a t Magnuson was m ost

i n f l u e n t i a l . He was a g a i n s t t h e i n c o r p o r a t i o n o f p o l i c y

i n r e o r g a n i z a t i o n b i l l s . He e x p la in e d h i s th o u g h t s i n

t h i s m anner:

. . . We a r e th e o n ly c o u n try i n t h e w o r ld w i th such a sy s te m [ a p r i v a t e e n t e r p r i s e sy s te m o f t r a n s p o r t a t i o n ] and w i th a l l t h e s e p ro b le m s ; i t i s a wonder t o me we have k e p t i t t h a t way.Any m erg e r i n t o a D epartm ent o f T r a n s p o r t a t i o n h as g o t t o keep t h a t i n mind— t h e l e s s r e g u l a ­t i o n s , th e b e t t e r . 78

A l l i n a l l , h i s t e s t im o n y was a b e l l w e t h e r o f t h e

C o m m i t t e e ' s a c t i o n s .

78E s t a b l i s h a D epartm ent o f T r a n s p o r t a t i o n ,

o p . c i t . , P a r t 1 , p . 73.

79 I t d i d n o t go a lo n g w i th a l l o f h i s s u g g e s t i o n s . But d e p a r t u r e s from h i s recom m enda tio ns w ere on r e l a ­t i v e l y m in o r i s s u e s . The C om m ittee , f o r e x a m p le , chose n o t t o t r a n s f e r c a r s e r v i c e f u n c t i o n s from t h e ICC t o

S e n a to r A. S. Mike M onroney, known a s "Mr.

A v ia t io n " i n C o n g r e s s io n a l c i r c l e s , ® 0 h as b e e n i n

C ongress s i n c e 1939 . When he sp e a k s on a v i a t i o n

m a t t e r s , h i s c o l l e a g u e s a r e a p t t o l i s t e n . T here was

no q u e s t i o n w here he s to o d on t h e m a t t e r o f th e F e d e r a l

A v ia t io n Agency. As f a t h e r o f t h e FAA, he was n o t a t

a l l f a v o r a b ly d i s p o s e d t o t h e vague w o rd in g o f t h e

b i l l w i th r e s p e c t t o t h e m odal e n t i t i e s .

Monroney made h i s p o s i t i o n u n m is ta k a b ly c l e a r :

" I f th e agency [FAA] i s t o be t r a n s f e r r e d , th e n i t

sh o u ld be a s a l e g a l e n t i t y , j u s t a s t h e C o as t Guard

i s t o be t r a n s f e r r e d . H e a l s o l e t th e a d m i n i s t r a ­

t i o n know th e p r i c e f o r h i s s u p p o r t o f FAA i n c l u s i o n :

"U n less t h e p o s i t i o n [ A d m i n i s t r a to r o f th e FAA] c a r r i e s

i t s p r e s e n t d e g re e o f p r e s t i g e and pay [L e v e l I I ] , I

am a f r a i d we w i l l n o t be a b le t o g e t t h e c a l i b e r o f

t h e new D ep ar tm en t— a p u z z lem en t o f s o r t s i n v iew o f t h e h ig h p e r c e n ta g e o f w e s te r n S e n a to r s on th e C om m ittee . The s p e c t e r o f unknown r e g u l a t i o n by t h e new D epartm en t may have o u tw e ig h e d r e l i e f f o r t h e c a r s h o r t a g e i n t h e w e s t e r n r a i l r o a d s .

80F o r a r e v e a l i n g r e c e n t p r o f i l e o f S e n a to r M onroney, s e e "The O f f i c e o f Mike Monroney" i n On C a p i t o l H i l l by Jo h n B ibby and R oger D av id so n . TNew York: H o l t , R in e h a r t and W in s to n , 1 9 6 7 ) ,p p . 9 4 -1 1 2 .

81Establish a Department of Transportation,op. cit., Part 2, p. 296.

95

man need ed f o r t h e j o b . ” ®2

S e n a to r Monroney recommended t h a t p r o v i s i o n s be

w r i t t e n i n t o th e b i l l t r a n s f e r r i n g th e CAB's B ureau o f

S a f e t y i n t a c t t o th e N a t io n a l T r a n s p o r t a t i o n S a f e ty

B oard (NSTB). He a l s o u rg e d t h a t r e s p o n s i b i l i t y f o r

a i r c r a f t a c c i d e n t i n v e s t i g a t i o n be a s s i g n e d t o t h e

B oard r a t h e r t h a n t o t h e S e c r e t a r y a s p ro p o s e d by t h e

a d m i n i s t r a t i o n .^3

Upon th e c o m p le t io n o f M onroney’s t e s t i m o n y ,

S e n a to r M c C le l lan gave an i n d i c a t i o n o f t h e w e ig h t

t h a t would be a t t a c h e d to Monroney*s rec o m m e n d a tio n s :

Those a r e th e t h i n g s we have t o c o n s i d e r i n w r i t i n g t h i s law . I am n o t a s f a m i l i a r w i th th e a v i a t i o n f i e l d a s i s t h e S e n a to r from Oklahoma.He has g iv e n i t s p e c i a l s tu d y i n h i s work i n th e S e n a te . I b e l i e v e he i s t h e b e s t - i n f o r m e d man i n t h e C ongress i n t h a t a r e a o f g o v e rn m e n ta lf u n c t i o n s .8 ^

The Committee members a p p a r e n t l y s h a r e d M c C le l la n ’s

f e e l i n g , f o r th e y a c c e p te d M onroney’ s recom m endations

t o t h e l e t t e r . S e n a to r M onroney’ s i n f l u e n c e , a l b e i t

i n a more n a rro w s e n s e , was (on t h e r e c o r d , a t l e a s t )

OpI b i d . , p . 297 .

goS e n a to r M onroney’ s o p p o s i t i o n t o S e c t i o n 7

i s a t t r i b u t a b l e t o h i s r e g i o n a l i d e n t i f i c a t i o n ; i t was t r e a t e d i n an e a r l i e r s e c t i o n .

84Establish a Department of Transportation,op. cit., Part 2, p. 300.

96

g r e a t e r even th a n t h a t o f Magnuson.

I n t h e H ouse , no s i n g l e Congressm an from w i th o u t

t h e com m ittee w ie ld e d p e r s o n a l i n f l u e n c e co m p arab le t o

S e n a to r s Magnuson and Monroney. Y e t , t h e com bined

i n f l u e n c e o f R e p r e s e n t a t i v e s F a l l o n and Cramer was

t e l l i n g on th e S e c t i o n 7 i s s u e . R e p r e s e n t a t i v e George H.

F a l lo n i s Chairm an o f t h e Committee on P u b l i c W orks;

R e p r e s e n t a t i v e W il l ia m C. Cramer i s r a n k i n g m i n o r i t y

member o f th e same C om m ittee .

The Committee on P u b l i c Works c o v e rs a l a r g e

p o r t i o n o f t h e t r a n s p o r t a t i o n f i e l d ; i t h a s j u r i s d i c t i o n

o v e r t h e f e d e r a l - a i d highw ay p ro g ram (h a n d le d a t t h e

t im e by t h e B ureau o f P u b l i c R o a d s ) ; and i t h a s j u r i s ­

d i c t i o n o f t h e p rog ram o f t h e Corps o f E n g in e e r s ,

i n c l u d i n g i t s r i v e r s and h a r b o r s f u n c t i o n s . The Com­

m i t t e e w a s , t h e r e f o r e , v e ry much a f f e c t e d by t h e p r o ­

p o se d b i l l . The f a c t t h a t th e C o m m it te e 's j u r i s d i c t i o n

was l e f t i n t a c t d id n o t e l i m i n a t e i t s i n t e r e s t i n t h e

s p e c i f i c p r o v i s i o n s o f th e r e o r g a n i z a t i o n b i l l .

Both R e p r e s e n t a t i v e s — th e y were f r o n t - t o - b a c k

w i t n e s s e s — a t t a c k e d S e c t i o n 7 and th e f a i l u r e t o

g u a ra n te e t h e o r g a n i z a t i o n a l i n t e g r i t y o f t h e B ureau

o f P u b l i c R oads. The m ain t h r u s t o f t h e i r c r i t i c i s m

o f S e c t i o n 7 was t h a t i t t h r e a t e n e d th e a l l o c a t i o n o f

t h e huge highw ay t r u s t fu n d . They a d v an ced an amend­

ment t h a t changed t h e S e c r e t a r y ' s r o l e u n d e r S e c t i o n 7 ;

97

he w ould recommend r a t h e r t h a n d e v e lo p and p ro m u lg a te

s t a n d a r d s and c r i t e r i a . By means o f t h i s amendment,

t h e y s u g g e s t e d , t h e S e c r e t a r y w ould h ave t o a b id e by

e x i s t i n g s t a t u t e s ( p a r t i c u l a r l y t h e F e d e r a l - A id Highways

A c t , T i t l e 2 3 , U. S . Code) i n m aking d e c i s i o n s w i th

r e s p e c t t o h ighw ay c o n s t r u c t i o n .

At t h e c o n c lu s io n o f F a l l o n ’s t e s t i m o n y , Chairm an

H o l l f i e l d ’s re m a rk s w ere i n a v e in t h a t a c c o rd e d w e l l

w i th s u b s e q u e n t Com mittee a c t i o n :

Thank you v e ry much, Mr. F a l l o n , f o r y o u r t e s t i m o n y . Your p o s i t i o n a s c h a irm an o f t h e P u b l i c Works Com mittee makes y o u r t e s t im o n y v e ry v a l u a b l e t o t h i s com m ittee and we w i l l s tu d y t h i s amendment and we w i l l c e r t a i n l y g iv e i t f u l l c o n s i d e r a t i o n . We r e a l i z e t h a t y o u r t rem en d o u s b a c k g ro u n d i n t h i s f i e l d i s f a r s u p e r i o r t o t h a t o f t h e a c t i n g c h a irm a n o f t h i s com m ittee and any s u g g e s t i o n t h a t you make w i l l c e r t a i n l y be g iv e n e v e r y c o n s i d e r a t i o n . We w i l l , a f t e r s t u d y i n g th e amendment, c e r t a i n l y t a k e t h e m a t t e r up w i th you a g a in i f you w i l l p e r m i t u s t o .® 1*

The Com mittee r e w r o te S e c t i o n 7 i n la n g u a g e

s u b s t a n t i a l l y t h e same a s t h a t s u p p l i e d by t h e P u b l i c

Works C om m ittee . As an added f i l l i p , t h e y in c l u d e d a

s p e c i f i c e x c l u s i o n f o r a l l g r a n t s - i n - a i d p ro g ram s

from t h e p r o v i s i o n s o f S e c t i o n 7 . The d o u b l e - b a r r e l l e d ,

b i p a r t i s a n a p p ro a c h by t h e s e s u b j e c t - m a t t e r e x p e r t s

from o u t s i d e t h e Com mittee h a d a c h ie v e d i t s p u r p o s e ,

The i n f l u e n c e o f E x e c u t iv e B ranch o f f i c i a l s

was un ev en o v e r a l l . I n t h e m a in , t h e E x e c u t iv e B ranch

w i t n e s s e s gave l o y a l and e f f e c t i v e t e s t im o n y i n f a v o r

Sit C r e a t in g a D epartm en t o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 1 , p . 23b.

98

o f t h e b i l l . Some w i t n e s s e s , n o t a b l y t h e D i r e c t o r o f

th e BOB, Mr. S c h u l t z e , w ere q u e s t io n e d s h a r p l y and a t

l e n g t h . S e c r e t a r y C o n n o r 's t e s t im o n y was s u r p r i s i n g l y

p e r f u n c t o r y b e f o r e b o th C om m ittees . He was c o n te n t t o

l e t h i s Under S e c r e t a r y f o r T r a n s p o r t a t i o n , Mr. Boyd,

o r Mr. S c h u l tz e f i e l d m ost o f t h e q u e r i e s from t h e

Committee members and s t a f f .

W itn e s s e s from th e C orps o f E n g in e e r s u nderw en t

v ig o r o u s q u e s t i o n i n g from m em bers: some ( e s p e c i a l l y

H o l i f i e l d ) t r y i n g t o show t h a t th e b i l l had l i t t l e

e f f e c t on th e p r e s e n t s t a n d a r d s ; o t h e r s a t t e m p t i n g t o

e l i c i t a co ndem natio n o f t h e new p r o c e d u r e s . The h a r r i e d

o f f i c e r s managed t o s t e e r a n e u t r a l c o u rs e i n s p i t e o f

t h e b e s t e f f o r t s o f b o th s i d e s . I n th e c o u rs e o f so

d o in g , h o w ever , th e y swayed t h e m inds o f n e i t h e r s i d e . ^5

The C oast Guard w i t n e s s e s w ere s t r a i g h t f o r w a r d

i n t h e i r t e s t i m o n y , d i s p l a y i n g w h o le h e a r te d e n th u s ia s m

f o r th e new p l a n s f o r t h e i r s e r v i c e . Any g roun d s w e l l

85Maass h o ld s t h a t t h e Corps o f E n g in e e r s e n jo y s

v i r t u a l in d ep e n d en c e from a u t h o r i t y w i t h i n t h e E x e c u t iv e B ranch b e c a u s e o f t h e u n f l a g g i n g s u p p o r t i t r e c e i v e s from C o n g re s s . He c i t e s t h e c o n t in u e d s u c c e s s t h e Corps h a s had i n f r u s t r a t i n g a l l e f f o r t s a t r e o r g a n i z a t i o n w hich w ould b r i n g i t u n d e r c l o s e r e x e c u t i v e c o n t r o l . He a t t r i b u t e s C o n g r e s s io n a l s u p p o r t t o t h e lo n g t im e r o l e o f th e Corps i n a p p ro v in g o r d i s a p p r o v in g p u b l i c w orks p r o j e c t s i n i n d i v i d u a l C o n g r e s s io n a l d i s t r i c t s . See A r th u r M aass , Muddy W aters (C am bridge , M a ss . : H a rv a rd U n i v e r s i t y , 1 9 5 1 ) ,p a s s im .

99f o r rem ov ing th e C oas t Guard from t h e e n t i t i e s t o be

i n c o r p o r a t e d i n th e new D epartm en t was d i s s i p a t e d by

th e f o r t h r i g h t an sw ers coming from th e C o a s t Guard

w i t n e s s e s . F o r e x am p le , S e n a to r M c C le l lan sounded o u t

t h e C o a s t G u a rd ’s C h ie f o f S t a f f (R ea r A dm ira l P a u l E.

T r im b le ) on t h e s u b j e c t and q u ic k ly r e c e i v e d an

u n e q u iv o c a l r e s p o n s e :

The C hairm an . So a s you i n t e r p r e t t h i s , you a r e b e in g t r a n s f e r r e d t o th e D epartm en t s im p ly f o r h o u s e k e e p in g p u r p o s e s p r i m a r i l y .

A dm ira l T r im b le . No, s i r . I t h i n k i t i s much more t h a n t h a t , s i r . I t h i n k we do p la y an e s s e n t i a l p a r t i n t h e n a t i o n a l t r a n s p o r t a t i o n f i e l d a s w e l l as t h e t r a n s p o r t a t i o n s a f e t y f i e l d .I t h i n k we w ould f e e l l i k e we were a seco nd c o u s in i f t h e r e were a D epartm ent o f T r a n s p o r t a ­t i o n w hich r e c o g n iz e d th e v a r i o u s modes o f t r a n s p o r t a t i o n , i n c o n s i d e r i n g t r a n s p o r t a t i o n p o l i c y , t r a n s p o r t a t i o n lo n g - r a n g e p l a n n i n g and r e s e a r c h — i f we w ere on t h e o u t s i d e and n o t a p a r t o f i t , b e c a u se o f t h e p a r t we do p l a y .

The C hairm an . You r e a l l y t h i n k you b e lo n g t h e r e — i f you a r e g o in g t o h ave a D ep artm en t o f T r a n s p o r t a t i o n ?

A dm ira l T r im b le . Y es , s i r — w ith t h e C o as t Guard i n i t . 86

T h ere seems l i t t l e doub t t h a t t h i s d i s p l a y o f s o l i d

e n th u s ia s m by th e C o a s t Guard had trem end ous I n f l u e n c e

on th e C o m m it te e 's d e t e r m i n a t i o n s and s i d e t r a c k e d any

" r e s c u e ” e f f o r t s by w e l l - w i s h e r s .

86Establish a Department of Transportation,op. cit., Part pp. 263-26^.

100

The te s t im o n y by G e n e ra l McKee, A d m i n i s t r a t o r

o f t h e PAA, on t h e o t h e r h a n d , was m arked by d i s c e r n i b l e

e f f o r t s t o s t e e r a c o u rs e midway be tw een r i t u a l i s t i c

s u p p o r t o f t h e a d m i n i s t r a t i o n b i l l and d i s c r e e t p r o t e s t

o v e r t h e h a n d l in g o f t h e PAA by t h e b i l l ’ s d r a f t e r s .

A f t e r i n i t i a l l y f e n d in g o f f r e p e a t e d a t t e m p t s by S e n a to r

M c C le l lan t o e x a c t a d i r e c t s t a t e m e n t s u p p o r t i n g th e

recom m en da tion s made by S e n a to r s Magnuson and M onroney,

McKee f i n a l l y sh e d h i s p e r f e c t s o l d i e r r o l e and p r a c ­

t i c a l l y b l u r t e d ou t h i s b a s i c c o m p la in t :

G e n e ra l McKee. I c a n n o t a s s e s s t h e im p ac t o f t h a t [ t r a n s f e r o f PAA w i th o u t l e g a l s t a t u s ] ,Mr. C hairm an. I t h i n k we have t o lo o k a t t h e o v e r a l l p i c t u r e from t h e P r e s i d e n t ’s p o i n t o f v ie w , w hich i s t o t r y t o g iv e t h e S e c r e t a r y , a s I p o i n t e d o u t a m in u te a g o , t h e a u t h o r i t y t o d i s c h a r g e t h e r e s p o n s i b i l i t y t h a t t h i s a c t g iv e s h im .

I t h i n k i n a l l f a i r n e s s h e r e , and i n good c o n s c i e n c e , I s h o u ld p o i n t o u t a t t h i s p o i n t i n t im e — w hich i s r e s p o n s i v e r e a l l y t o y o u r q u e s t i o n — t h a t t h e r e i s one a r e a i n t h e b i l l t h a t I p e r s o n a l l y c a n n o t a g re e w i t h — f o r th e v e ry r e a s o n you b r i n g o u t h e r e .

Under t h e b i l l a s now w r i t t e n , th e h e ad o f t h e Agency, who now o c c u p ie s e x e c u t i v e l e v e l p o s i t i o n I I , w ould become e x e c u t i v e l e v e l p o s i t i o n I I I .

L ooking a t t h e im p o r ta n c e o f t h e whole a v i a t i o n p i c t u r e , . . . my p e r s o n a l recommenda­t i o n s w ould be t h a t i t rem a in a t e x e c u t iv e l e v e l I I .

I can make t h a t w i th o u t any p e r s o n a l f e e l i n g b e c a u se i t d o e s n ’t a f f e c t me t h e s l i g h t e s t b i t . ° 7

D »7

Only c o r r e c t i f McKee in te n d e d t o s t a y i n th e

101

It will affect people who come after me.I think I should tell you that, in view

of the questions you have raised here and that is my personal feeling.88

McClellan returned to the original question oflegal status for the FAA and Presidential confirmationof its Administrator without commentary on McKee’s remarks. The Committee so amended the law to accord with McKee’s views, but it is doubtful if he could take full credit for that determination.Nonetheless, a fight lost in Executive Branch politics was re­scheduled and won in the area of Congressional politics.

Interest groups are a pervasive aspect of

new Department for a single year. A provision in the administration’s bill preserved for one year the status of all federal employees transferred pursuant to the bill.

88E s t a b l i s h a D epartm en t o f T r a n s p o r t a t i o n ,

o p . c i t . , P a r t 2 , p . 259 . McKee d i d n o t make a s i m i l a r s t a t e m e n t i n h i s e a r l i e r t e s t im o n y b e f o r e t h e House co m m ittee .

A BOB official saw it this way: "GeneralMcKee wanted FAA to come in with a certain degree of autonomy. The price to avoid that was a level II for McKee. Monroney was appeased." Actually, FAA may not have achieved autonomy in the most rigorous sense, but its position ended up being very close to that.

102A m erican p o l i t i c a l life.9° I n t e r e s t g roup c o n c e rn i s

much a ro u s e d d u r in g a d m i n i s t r a t i v e reorganization.91 I n s i t u a t i o n s where t h e e q u i l i b r i u m o f t h e i r lo n g - te r m

r e l a t i o n s h i p s i s t h r e a t e n e d , th e y r e a c t v i g o r o u s l y .

W hether one r e g a r d s t h e s e g ro u p s a s a p e r n i c i o u s i n f l u e n c e

on th e A m erican sc en e 9 2 o r a h e a l t h y m a n i f e s t a t i o n o f

p l u r a l i s m i n a c t i o n , 93 th e y a r e a f a c t o r t o be re c k o n e d

90 "A m erican s o c i e t a l and p o l i t i c a l o r d e r i s i n t e r e s t b a s e d . " Andrew M. S c o t t and M a rg a re t A. H u n t , C on gress and L o b b ie s : Image and R e a l i t y (C hape l H i l l ,N. C .: U n i v e r s i t y o f N o rth C a r o l i n a , 1 9 6 6 ) , p . 77 .

F o r an e x c e l l e n t p o r t r a y a l o f t h e g ro w th o f some o f t h e m a jo r i n t e r e s t g ro u p s and t h e i r a c t i v i t i e s , s e e V. 0 . Key J r . , P o l i t i c s , P a r t i e s , and P r e s s u r e Groups (New Y ork: Thomas Y. C r o w e l l , 1 964 , 5 th e d . ) .See a l s o Harmon Z i e g l e r , I n t e r e s t Groups i n Am erican S o c ie ty (Englewood C l i f f s , N. J . : P r e n t i c e - H a l l , 1 9 6 4 ) .

91 "G roups s e e k in g t o i n f l u e n c e p u b l i c p o l i c y , " Edelman h a s o b s e r v e d , " o f t e n m a n i f e s t g r e a t c o n c e rn w i th th e a d m i n i s t r a t i v e o r g a n i z a t i o n and w i th t h e d i s t r i b u t i o n o f f u n c t i o n s among governm ent a g e n c ie s r e s p o n s i b l e f o r th e p o l i c y a r e a i n w hich t h e g ro u p s a r e a c t i v e . " Murray E delm an, "Government O r g a n iz a t io n and Group P o l i c y , " P u b l i c A d m i n i s t r a t i o n R eview , V o l. X I I , No. 4 (Autumn, 1 9 5 2 ) , p . 276.

N ie b u rg , f o r ex am p le , a l th o u g h v ie w in g them as a " c u lm in a t io n o f h i s t o r i c t r e n d s " r a t h e r th a n a s a " c o n s p i r a c y , " n o n e t h e l e s s , f e e l s t h a t t h e i r a c t i v i t y " e ro d e s t h e f o u n d a t io n o f d e m o c r a t ic p l u r a l i s m . " H a ro ld L . N ie b u rg , I n th e Name o f S c ie n c e (C h ica g o : Q u ad ran g leB ooks, 1 9 6 6 ) , p . 381. C a te r l a b e l s I n t e r e s t g ro u p s a s " s u b - g o v e rn m e n ts ." See D o u g la ss C a t e r , Power i n W ash ing ton (New York: Random H ouse , 1 9 6 4 ) , p . 209.

93 "Our p r o g r e s s i n e co n o m ic , s o c i a l , t e c h n o l o g i c a l and c u l t u r a l f i e l d s h a s b e en s t i m u l a t e d and expanded by p r e s s u r e g ro u p s . T h e i r o p e r a t i o n i s som etim es c h a o t i c and som etim es s e l f i s h , b u t by th e v e ry f a c t t h a t g ro u p s

103w i th i n a d m i n i s t r a t i v e r e o r g a n i z a t i o n .

D u rin g t h e c o u rs e o f t h e C o n g r e s s io n a l h e a r i n g s

on t h e b i l l s t o c r e a t e a D ep ar tm en t o f T r a n s p o r t a t i o n ,Oil

th e advocacy o f s p e c i a l i n t e r e s t s was i n t e n s e . 7 What

was th e s t a n d t a k e n by th e v a r i o u s i n t e r e s t g ro u p s d u r in g

t h e Com mittee h e a r i n g s on th e D epartm en t o f T r a n s p o r t a t i o n

b i l l ? What i n f l u e n c e d id th e y e x e r t on th e C om m ittees?

The i n f l u e n c e o v e r p u b l i c p o l i c y by i n t e r e s t g ro u p s i s

v e ry d i f f i c u l t t o m e a su re . N o n e t h e l e s s , i t seems u s e f u l

t o l a y o u t th e p o s i t i o n s o f th e g ro u p s and a t t e m p t t o

gauge t h e i r r e l a t i v e e f f e c t i v e n e s s i n i n f l u e n c i n g

Com mittee a c t i o n . The e n s u in g p a r a g r a p h s w i l l be d e v o te d

may p u r s u e t h e i r i n t e r e s t s so f r e e l y and o p e n ly i s a s i g n t h a t o u r p o l i t i c a l p r o c e s s e s a r e i n a h e a l t h y s t a t e . " H. R. Mahood, P r e s s u r e Groups i n A m erican P o l i t i c s (New Y ork: C h a r le s S c r i b n e r ' s , 19& 7),p . 303.

” . . . p r e s s u r e g ro u p s . . . a r e e s s e n t i a l t o th e A m erican p o l i t i c a l p r o c e s s . . . . They s e r v e many u s e f u l p u r p o s e s . . . . I n s h o r t , th e y a r e n e i t h e r s i n i s t e r n o r m a l i c i o u s , and th e y do d e s e r v e t o be u n d e r s t o o d . ” Clem M i l l e r , Member o f t h e House (New Y ork: C h a r le s S c r i b n e r ' s , 1952"), p . 133.

F or a f a i r - m i n d e d , b a la n c e d t r e a tm e n t o f i n t e r e s t g roup s as th e y r e l a t e t o th e p o l i t i c a l p r o c e s s , s e e Jam es D e a k in , The L o b b y is t s (W a sh in g to n ,D. C .: P u b l i c A f f a i r s P r e s s , 1 9 6 6 ) .

94R e p r e s e n t a t i v e H o l i f i e l d co m p la in e d t h a t " i n my 24 y e a r s i n C o ngress I h ave n e v e r b e f o r e e n c o u n te r e d t h e a tm o sp h e re o f p r e s s u r e from l o b b y i s t s , su ch a b a r r a g e o f d i s t o r t i o n o f t h e t r u t h , a s h a s o c c u r r e d d u r in g t h e c o n s i d e r a t i o n o f th e D epartm en t o f T r a n s p o r ­t a t i o n l e g i s l a t i o n . ” C o n g r e s s io n a l R e c o rd , A ugust 2 9 , 1966 , p . 20053. H o l i f i e l d ' s rem arks w ere d i r e c t e d , i n g e n e r a l , t o p r e s s u r e from m a r i t im e l a b o r .

104t o t h i s en d .

A l l t h e m a jo r i n t e r n a t i o n a l s h i p p i n g o r g a n i z a ­

t i o n s ^ f a v o r e d th e c r e a t i o n o f a s e p a r a t e and autonom ous

M ari tim e A d m i n i s t r a t i o n . I n t h e i r v ie w , i f s u b o r d i n a t i o n

to t h e new D ep artm en t had t o be a c c e d e d t o , t h e n , a t

l e a s t th e M a r i t im e A d m i n i s t r a t i o n o u g h t t o e n jo y f u l l

in d ep e n d en c e w i t h i n t h e fram ew ork o f t h e D e p a r tm e n t .96

A c lu e t o t h e amount o f i n f l u e n c e th e y e x e r t e d

i s c o n ta in e d i n t h e f o l lo w in g t e s t im o n y from an i n d u s t r y

spokesm an

W ith in th e D ep artm en t o f T r a n s p o r t a t i o n t h e r e s h o u ld be e s t a b l i s h e d a M a ri t im e S u b s id y Board w hich w ould o p e r a t e i n a q u a s i - j u d i c i a l manner and whose r u l i n g s would n o t be s u b j e c t t o t h e r e v ie w by t h e S e c r e t a r y o f T r a n s p o r t a t i o n o r o t h e r o f f i c i a l s i n t h e e x e c u t i v e b r a n c h . The B oard w ould be composed o f t h e M ari tim e Admin­i s t r a t o r a s Chairm an and two o t h e r s a p p o in te d

95Among them w ere t h e A m erican M erchan t M arine I n s t i t u t e I n c . , t h e S h i p b u i l d e r s C o u n c il o f A m erica , th e Am erican P i l o t s A s s o c i a t i o n , t h e Committee o f A m erican S te am sh ip L i n e s , and t h e A m erican Tramp Sh ipow ners A s s o c i a t i o n .

96The i n d u s t r y ' s v iew was w e l l summed up by R alph E. C asey , P r e s i d e n t o f t h e Am erican M erchant M arine I n s t i t u t e , I n c . : " I t h i n k i t i s a p p r o p r i a t eand h i g h ly im p o r t a n t t h a t o u r i n d u s t r y make known i t s v iew s a t t h i s t im e , and you w i l l n o te t h a t my s t a t e ­ment i s d e s ig n e d t o be r e a l i s t i c and t o r e c o g n iz e t h a t we may n o t be s u c c e s s f u l a t t h i s t im e [ t o a c h ie v e a s e p a r a t e agency s t a t u s ] . B u t , i f we a r e n o t , p l e a s e p r o t e c t us t o th e maximum e x t e n t p o s s i b l e w i t h i n th e new d e p a r tm e n ta l f ram e w o rk ." C r e a t in g a D epartm ent o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 2 , p . 5B8.

97Mr. C asey .

105d i r e c t l y by t h e P r e s i d e n t , l i k e w i s e s u b j e c t t o c o n f i r m a t io n by t h e S e n a t e . 98

The i n d u s t r y ’ s v iew s w ere s h a r e d by th e m a r i t im e

u n i o n s .^9

The House com m ittee a c c e p t e d th e i d e a o f f u l l

in d e p e n d e n c e w i t h i n t h e D e p a r tm e n t , b u t d id n o t go

a lo n g w i th t h e c o n c e p t o f t h e B o a rd . The S e n a te n o t

o n ly w ent a lo n g w i th t h e p r o p o s a l f o r c o m p le te i n d e ­

p en d en ce i n s i d e t h e D e p a r tm e n t , b u t a d o p te d t h e i d e a

o f t h e Board v i r t u a l l y t o t h e l e t t e r . The m a r i t im e

i n t e r e s t g ro u p s a p p e a r t o have w ie ld e d c o n s i d e r a b l e

i n f l u e n c e on t h e Committee m em bers.

I n t e r c o a s t a l and i n l a n d w a te r g r o u p s 100 con­

c e n t r a t e d t h e i r f i r e on S e c t i o n 7 o f t h e r e o r g a n i z a t i o n

b i l l . They w ere unanim ous i n t h e i r o p p o s i t i o n t o th e

s e c t i o n i n i t s e n t i r e t y . The t h r u s t o f t h e i r a rgum ent

was t h a t t r a n s p o r t a t i o n r e p r e s e n t s o n ly a m in o r p a r t

98E s t a b l i s h a D epartm en t o f T r a n s p o r t a t i o n ,

o p . c i t . , P a r t 3 , p . 481; a l s o C r e a t in g a D epartm ent o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 2 , p . 585T

99The APL-CIO M aritim e Committee and th e

S e a f a r e r s I n t e r n a t i o n a l U nion .

100Among them w ere t h e G u lf I n t e r c o a s t a l C anal

A s s o c i a t i o n , t h e L o u is ia n a I n t r a c o a s t a l Seaway A sso c ia ' t i o n , t h e Am erican W aterways O p e r a to r s A s s o c i a t i o n , t h e Common C a r r i e r s C o n fe re n ce o f D om estic W ater C a r r i e r s , and t h e A m erican A s s o c i a t i o n o f P o r t A u t h o r i t i e s , I n c .

106

o f t h e o v e r a l l w a te r r e s o u r c e s p ro g ram . F lo o d c o n t r o l ,

l a n d im p rov em en t, r e c r e a t i o n , and w a te r s u p p l y , th e y

a r g u e d , a r e even more i m p o r t a n t i n t h e a g g r e g a t e and

r e q u i r e a d i f f e r e n t s e t o f c r i t e r i a f o r i n v e s t m e n t .

A n o th e r a rgum ent a d v an ced by t h e s e i n t e r e s t s was

t h a t t h e r e l a t i o n s h i p th e n o b t a i n i n g be tw een C ongress

and t h e Corps o f E n g in e e r s was e x c e l l e n t and t h a t i t

w ould be "unw ise t o make any ch an ge" i n th e r e l a t i o n ­

s h i p . 101

I t i s d i f f i c u l t t o i s o l a t e t h e im p a c t o f t h i s

i n f l u e n c e upon t h e Committee i n l i g h t o f t h e p h a la n x

o f o p p o s i t i o n t o S e c t i o n 7 from a w ide v a r i e t y o f

s o u r c e s , i n c l u d i n g much w i t h i n C ongress i t s e l f . C er­

t a i n l y , t h e l e a s t t h a t c o u ld be s a i d i s t h a t t h e

t e s t im o n y o f t h e spokesm en o f t h e s e w a te r g ro u p s

r e i n f o r c e d t h e s t a n d a g a i n s t t h e s e c t i o n and made a

c o u n te r s t a n d u n t e n a b l e . 102

101The rem ark s o f W a l te r G. B a s k e r v i l l e S r . ,

P r e s i d e n t o f t h e Upper M i s s i s s i p p i Towing C o r p o r a t i o n , a r e r e p r e s e n t a t i v e o f t h e v a r i o u s spokesm en f o r b a rg e c o m p an ie s , l a k e c a r r i e r s , and i n t e r c o a s t a l w aterw ay o p e r a t o r s . See E s t a b l i s h a D ep artm en t o f T r a n s p o r t a ­t i o n , o p . c i t . , P a r t 2 , p p . 2 84 -2 8 7 .

102A f t e r r e l e a s e o f th e House Committee r e p o r t

on H. R. 15963 , t h e A m erican W aterways O p e r a to r s I n c . announced t h a t t h e Committee b i l l met m ost o f t h e i r o b j e c t i o n s .

107W ith th e e x c e p t io n o f th e A i r T r a n s p o r t A s s o c ia ­

t i o n (ATA) r e p r e s e n t i n g t h e a i r l i n e s , m ost a v i a t i o n

o r g a n i z a t i o n s op p o sed th e a d m i n i s t r a t i o n b i l l . 10^ The

o p p o s in g g ro u p s c o n te n d e d t h a t a v i a t i o n p ro b lem s w e r e ,

i n e f f e c t , so d i f f e r e n t from th o s e Of o t h e r modes t h a t

t o merge them w ould r e s u l t i n a l o s s o f a v i a t i o n s t a t u s .

The ATA, a l th o u g h f a v o r i n g t h e b i l l , had some r e s e r v a ­

t i o n s . I t recommended t h a t (1 ) r e s p o n s i b i l i t y f o r a c c i ­

d e n t i n v e s t i g a t i o n rem a in i n th e CAB; (2 ) t h e Com m ittees

r e c o n s i d e r S e c t io n J: and (3 ) t h e PAA "be t r a n s f e r r e d

i n t a c t " t o t h e D e p a r tm e n t .101*

On b a l a n c e , one w ould have t o c o n c lu d e t h a t t h e

b u l k o f t h e a v i a t i o n i n t e r e s t s f a i l e d t o g a in t h e i r

p o i n t —e x c l u s i o n o f th e PAA from th e New D e p a r tm e n t . Yet

th e a p p ro a ch ch o sen by b o t h C o m m ittees , s t a t u t o r y g u a r a n ­

t e e f o r t h e PAA and s t r o n g pow ers i n th e modal A dm inis­

t r a t o r , c o u ld s c a r c e l y be r e g i s t e r e d as a d e f e a t t o t h e aim

o f t h e a v i a t i o n i n t e r e s t s . The s e l e c t i o n o f t h i s a p p ro a c h

c l e a r l y was i n f l u e n c e d by t h e a rg u m en ts p u t f o r t h by

In o p p o s i t i o n w e re : t h e N a t io n a l P i l o t sA s s o c i a t i o n , t h e A i r T r a f f i c C o n t r o l A s s o c i a t i o n , t h e N a t io n a l A s s o c i a t i o n o f S t a t e A v ia t io n O f f i c i a l s , t h e A i r c r a f t Owners and P i l o t s A s s o c i a t i o n , and th e A ir L in e P i l o t s A s s o c i a t i o n I n t e r n a t i o n a l .

104 I t s v iew s were p r e s e n t e d a t l e n g t h by S t u a r t 0 . T i p t o n , P r e s i d e n t , ATA. E s t a b l i s h a D epartm en t o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 2 , p p . 3 25 -32 6 ; a l s o C r e a t in g a D ep artm en t o f T r a n s p o r t a t i o n , op . c i t . ,P a r t 2 , p p . 415 -4 £3 .

108

t h e a v i a t i o n spokesm en. J

R a i l r o a d i n t e r e s t s 10^ w h o le h e a r t e d ly s u p p o r te d

th e p ro p o s e d l e g i s l a t i o n . I n c o n t r a s t t o t h e o t h e r

m odes, th e y a c t i v e l y e n d o rs e d S e c t i o n 7 o f t h e b i l l .

T h e i r s t a n d was n o t s u r p r i s i n g — r e c e i v i n g a v e ry s m a l l

p e r c e n t a g e o f t h e in v e s tm e n t by governm ent i n t r a n s p o r t a ­

t i o n , th e y had much t o g a in and l i t t l e t o l o s e . The

A m erican A s s o c i a t i o n o f R a i l r o a d s d id I n t e r p o s e s e v e r a l

c a v e a t s . I t s r e p r e s e n t a t i v e v o ic e d o b j e c t i o n s t o th e

t r a n s f e r o f c a r s e r v i c e and s a f e t y f u n c t i o n s o f t h e ICC.

T hese f u n c t i o n s , t h e spokesm an a v e r r e d , w ere i n e x t r i c a b l y

t i e d up w i th econom ic r e g u l a t i o n .

T here i s l i t t l e e v id e n c e t h a t t h e r a i l r o a d t e s t i ­

mony c a r r i e d heavy w e ig h t i n th e Committee d e l i b e r a t i o n s .

B oth C om m ittees , i n f a c t , t r a n s f e r r e d th e s a f e t y fu n c ­

t i o n s o f t h e ICC. On th e o t h e r h a n d , th e y a b id e d by t h e

105 N o te , f o r e x a m p le , t h i s comment from S e n a to r Mundt t o Mr. S c h u l tz e a t t h e f i n a l h e a r i n g . "Answer t h i s q u e s t i o n , i f you know t h e a n sw e r . T h is p r o p o s a l t h a t t h e two s t a f f s have b e e n w o rk in g o n , does i t meet th e o b j e c t i o n s o f t h e a v i a t i o n i n d u s t r y ? " E s t a b l i s h a D epartm en t o f T r a n s p o r t a t i o n , o p . c i t . , P a r t 4 , p . 693. L a t e r , i n q u e s t i o n i n g Mr. Boyd, Mundt was even more c a n d id : " I l i v e i n a S t a t e t h a t i s p r e t t y muchd e p e n d e n t , you c o u ld a lm o s t say e n t i r e l y d e p en d e n t on a v i a t i o n a s f a r a s p a s s e n g e r t r a n s p o r t a t i o n i s c o n c e rn e d . T h at i s a v i a t i o n and bus l i n e s . Maybe th e y t a r g e t i n on me more th a n t h e a v e ra g e com m ittee member who d o e s n ’t have t h i s . " I b i d . , p . 694 .

10^ T h e i r v iew s were a r t i c u l a t e d by t h e A m erican A s s o c i a t i o n o f R a i l r o a d s and t h e R ailw ay L abor E x e c u t iv e s A s s o c i a t i o n .

109-recom m enda tio ns t o l e a v e t h e c a r s e r v i c e f u n c t i o n s i n

th e ICC. O th e r b e n e f i t s a c c r u in g t o t h e r a i l r o a d s ,

f o r e x a m p le , s t a t u t o r y s t a t u s , were m ere ly b o n u se s

o b ta in e d a s a r e s u l t o f p r e s s u r e s from o t h e r g r o u p s .

The t r u c k i n g g ro u p s w ere d iv id e d on t h e b i l l .

The T e a m s te rs Union u rg e d t h a t t h e b i l l be e n a c te d a s

i n t r o d u c e d . The A m erican T ru c k in g A s s o c i a t i o n , I n c .

(ATA), w h i le s u p p o r t i n g th e b i l l , e x p r e s s e d s t r o n g

r e s e r v a t i o n s a b o u t S e c t i o n 7 . The P r i v a t e T ruck C o u n c il

o f A m erica I n c . opposed t h e t r a n s f e r o f t h e s a f e t y

f u n c t i o n s from th e IC C .107 But t h e P r i v a t e C a r r i e r

C o u n c il o f t h e ATA h e l d t o t h e r e v e r s e s i d e on t h i s

a s p e c t o f th e b i l l . A l l i n a l l , t h e t r u c k i n g i n t e r e s t s

were so d i v id e d i n t h e i r i n d i v i d u a l p o s i t i o n s t h a t any

i n f l u e n c e th e y m igh t have p ro d u c e d was d i s s i p a t e d . 1 0 ®

The p a r t i c i p a t i o n o f such a l a r g e number o f

i n t e r e s t g ro u p s p r e c l u d e s a d e f i n i t e a t t r i b u t i o n o f

c r e d i t f o r t h e i n c l u s i o n o r e x c l u s i o n o f a l l th e

s p e c i f i c p r o v i s i o n s o f t h e b i l l s r e p o r t e d by t h e

107The s h i p p e r s , r e p r e s e n t e d by th e N a t io n a l I n d u s t r i a l T r a f f i c L e a g u e , h e l d a s i m i l a r p o s i t i o n .

10 8O th e r highw ay g ro u p s e x p r e s s e d f e a r s t h a t new in v e s tm e n t c r i t e r i a u n d e r th e g u i s e o f a p p l i e d r a t i o n a l i t y m ig h t be i n i m i c a l t o t h e p u b l i c ’s d e s i r e s and c o n v e n ie n c e ; t h a t th e Highway T r u s t Fund m ight be d i v e r t e d t o i n a p p r o p r i a t e u s e s . The House Committee a c t e d on t h e s e a p p r e h e n s io n s by e x em p tin g a l l g r a n t s - i n - a i d p rog ram s from t h e p r o v i s i o n s o f S e c t io n 7; t h e S e n a te C om m ittee , h o w ev er , d id n o t d e ig n t o a c t s i m i l a r l y .

110C om m ittees . Some i n f l u e n c e s s t a n d o u t c l e a r l y ; o t h e r s

a r e d i f f u s e d . I t i s c l e a r , ho w ev er , t h a t e q u a l s t a k e s

d id n o t p ro d u ce e q u a l p r e s s u r e s . Mahood s p e l l e d o u t

th e r o l e o f i n t e r e s t g ro u p s I n t h e com m ittee w e l l when

he w r o t e :

P o l ic y -m a k in g i s , t h e n , a c o m p o s ite o r m o s a ic .Many i n t e r a c t i n g p a r t s a r e in v o lv e d and c o n t r i b u t e t o i t s f i n a l m ake-up . C e r t a i n l y , t h e p r e s e n c e w i t h i n o u r s o c i e t y o f h u n d re d s o f p r e s s u r e g r o u p s — w i e ld i n g pow er and i n f l u e n c e — d r a m a t iz e s th e p l u r a l i s m o f th e p r o c e s s . The c o m p e t i t io n and c o n f l i c t among t h e v a r i o u s g ro u p s t o be i n f l u e n ­t i a l makes p o l ic y - m a k in g p r o c e s s e s a power s t r u g g l e . Government i s an a r e n a i n w hich g rou ps c o n te n d f o r i t s a t t e n t i o n and s u p p o r t a t e v e ry l e v e l . Government h a s t h e t a s k o f d e c i d in g w hich g roup demands w i l l be i n f l u e n t i a l and a c t e d upon and w hich w i l l be r e j e c t e d .

The d a t a on th e Com mittee h e a r i n g s on t h e D e p a r t -

ment o f T r a n s p o r t a t i o n b i l l s u g g e s t t h a t C ongressm en,

a s a r e s u l t o f th e c o n f l i c t i n g c la im s and c o n fu s in g

t e s t i m o n y , end up h a v in g a good d e a l o f leew ay w i th

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

much more th a n a r e s u l t a n t v e c t o r o f t h e i n t e r e s t g roup

f o r c e s . 110 I d e a s o f C o n g re s s -E x e c u t iv e B ranch p r e r o g a t i v e s

10^H. R. Mahood, oj>. c i t . , p . 129 .

110B a i l e y , on th e o t h e r h a n d , a t t a c h e s g r e a t e r

w e ig h t t o p r e s s u r e from th e i n t e r e s t g ro u p s : " . . .t h e s t o r y o f p r e s s u r e g ro u p s i s more t h a n a t a l e o f b l i n d a rm ie s c l a s h i n g by n i g h t . I t i s f a r more th a n th e s l e a z y s t o r y o f i n f l u e n c e p e d d l i n g . . . . I n s t e a d , i t i s g e n e r a l l y t h e s t o r y o f t h e m o r a l i z i n g and th e hom o gen iz ing o f g roup i n t e r e s t s th ro u g h a sy s te m o f a c c o u n t a b i l i t y . The sy s te m i s complex and I m p e r f e c t , b u t i t s t o t a l e f f e c t i s t o p ro d u ce p u b l i c p o l i c i e s w hich on t h e w hole a r e b e n e f i c i a l t o t h e w e l f a r e o f

Illand i n d i v i d u a l c o n c e p t io n s o f t h e p u b l i c i n t e r e s t show

th ro u g h i n t h e t e s t i m o n y . 111

Woodrow W ilso n , some e i g h t y y e a r s a g o , c o n c lu d e d

t h a t t h e im p o r ta n t d e c i s i o n s o f C ongress a r e made i n112c o m m it te e s . In t h e complex w o r ld o f t o d a y , co m m ittee s

a r e a l l t h e more s u r r o g a t e s o f C o n g re s s . A lth oug h one

c a n n o t c o m p le te ly w r i t e o f f t h e r o l e o f C o n g ress a s a

w hole i n t h e l e g i s l a t i v e p r o c e s s , th e r o l e o f th e

com m ittee i s p r e e m in e n t . Com m ittees do t h e sp ad ew o rk ,

s t r u c t u r e t h e c o n f l i c t , a n d , t h e r e f o r e , make m ass iv e

changes i n th e r e p o r t e d b i l l s v e ry d i f f i c u l t .

S t i l l C om m ittees c a n n o t g u a r a n te e t h e f i n a l

n a t u r e o f th e im p o r t a n t b i l l s . C o n g re s s , a sse m b le d

a s a b o d y , can be th e u l t i m a t e b r o k e r o f com peting

t h e m a j o r i t y o f c i t i z e n s . " S te p h e n K. B a i l e y , The New C ongress (New Y ork: S t . M a r t i n ' s P r e s s , 1 9 6 6 ) ,p . 27 .

H o l i f i e l d e x p la in e d l a t e r t o t h e House th e d i f f i c u l t y e x p e r i e n c e d i n a r r i v i n g a t a d e c i s i o n : " I n d u s t r y g ro ups who a p p e a re d b e f o r e o u r Committee w ere n o t e x a c t l y i n a g re e m e n t , e i t h e r i n t e r n a l l y o r among t h e d i f f e r e n t t r a n s p o r t a t i o n i n t e r e s t s . Some Members o f C o n g ress and Chairm en o f C om m ittees had r e s e r v a t i o n s a b o u t one p r o v i s i o n o r a n o t h e r . Con­s i d e r i n g a l l th e recom m enda tio ns p u t b e f o r e u s and a l l t h e p ro b lem s we had t o f a c e , I b e l i e v e we d id q u i t e w e l l . " C o n g r e s s io n a l R e c o rd , A ugust 22 , 1966 , p . 19297.

112Woodrow W ilso n , C o n g r e s s io n a l g o v e rn m e n t , o p . c i t . , p a s s im . The l a t e Congressm an Clem M i l l e r c a l l e d co m m ittee s " th e h e a r t o f C o n g r e s s ." M i l l e r , o p . c i t . , p . 7 . W hite r e f e r s t o them as t h e " k e r n e l o f p o w e r ." W h ite , oj>. c i t . , C h a p te r XIV, p a s s im .

112i n t e r e s t s i f i t c h o o s e s . But th e l e g i s l a t i v e h i s t o r y

h as shown i t t o be a r a t h e r r e l u c t a n t o n e . I t w i l l

be t h e aim i n t h e n e x t c h a p t e r t o d e s c r i b e and a n a ly z e

t h e c o u rs e C on gress ch o se t o t a k e i n t h e f i n a l r e s o l u ­

t i o n o f t h e r e o r g a n i z a t i o n c o n f l i c t .

CHAPTER IV

FINAL RESOLUTION OF THE CONFLICT:

CONGRESS DECIDES

F l o o r A c t io n i n t h e House

The d e b a te on t h e b i l l t o e s t a b l i s h a D ep artm en t

o f T r a n s p o r t a t i o n begem i n t h e House on A ugust 2 4 , 1966.2

R e p r e s e n t a t i v e R ic h a rd B o l l i n g , a f t e r b e in g r e c o g n iz e d

by t h e S p e a k e r , s t a t e d t h a t he h a d b e e n d i r e c t e d by th e

Committee on R u le s t o c a l l up House R e s o l u t i o n 935 andO

t o "a sk f o r i t s im m ed ia te c o n s i d e r a t i o n .

R u les Com mittee r e s o l u t i o n s c o n ta in t h e te rm s

and c o n d i t i o n s u n d e r w hich a b i l l w i l l be c o n s i d e r e d .

The House R u les Committee on J u l y 27 had g r a n t e d an

1R e p r e s e n t a t i v e H o l i f i e l d had a d d re s s e d t h e

House i n ad vance on t h e main o u t l i n e s o f t h e b i l l on 22 A ugust 1966. H o l i f i e l d ’ s rem a rk s were d i r e c t e d f o r t h e m ost p a r t t o a d e fe n s e o f t h e i n c l u s i o n o f t h e M aritim e A d m i n i s t r a t io n i n t h e b i l l and a p l e a t o i g n o r e th o s e a d v o c a t in g a s e p a r a t e agency f o r t h e m a r i t im e mode. C o n g r e s s io n a l R e c o rd , A ugust 2 2 , 1966 , p p . 19296-19302 .

2Dem ocrat o f M is s o u r i ; a member o f t h e R u les

C om m ittee .

C o n g r e s s io n a l R e c o rd , August 2 4 , 1966 , P . 19509.

114open rule** on H. R. 15963 , a l l o w in g f o u r h o u rs o f

d e b a te on t h e r e o r g a n i z a t i o n b i l l . D u ring t h e h e a r i n g s

by t h e R u le s Committee on t h e b i l l , one member^ h ad

u rg e d u n s u c c e s s f u l l y t h a t t h e Committee p o s tp o n e f i n a l

a c t i o n i n o r d e r t o p e r m i t m a r i t im e i n t e r e s t s t o a p p e a r

b e f o r e i t t o t e s t i f y a g a i n s t t h e b i l l .

The r e s o l u t i o n was a p p r o v e d .? R e p r e s e n t a t i v e

H o l i f i e l d , m a j o r i t y f l o o r m anager o f t h e b i l l , t h e n

moved t h a t th e House r e s o l v e i t s e l f i n t o t h e Committee

o f t h e Whole f o r c o n s i d e r i n g th e b i l l . The m o tion was

a g re e d t o and t h e d e b a te opened w i th R e p r e s e n t a t i v eO

M elv in P r i c e o f I l l i n o i s i n th e c h a i r .

An open r u l e p e r m i t s th e b i l l t o be amended by th e H ouse; c lo s e d r u l e s l i m i t o r p r o h i b i t amendments from th e F l o o r . The r u l e c o n ta in e d i n a r e s o l u t i o n accom panying a b i l l i s d e b a t a b l e u n d e r a R ule o f t h e House (R ule XIV).

5James J . D elaney (D em ocra t , New Y o rk ) .

6A s e n i o r BOB o f f i c i a l a d m i t te d b e in g t a k e n by

s u r p r i s e by th e R u les Committee t r e a t m e n t : "The R u lesCommittee w o u ld n ' t g iv e a f a v o r a b l e r u l e . We d i d n ' t s e e i t coming— t h e f a c t t h a t m a r i t im e u n io n s had so much i n f l u e n c e on t h e C om m ittee . '*

7I t i s a lm o s t a fo re g o n e c o n c lu s io n t h a t th e

r e s o l u t i o n w i l l p a s s . Even i f a member i s opposed to t h e b i l l , he w i l l v o te f o r th e r u l e i n o r d e r t o p e rm i t t h e m a t t e r t o be d e b a te d on th e F l o o r .

A l l t h e d e b a te s on th e b i l l ( a s w i th a l l m a jo r l e g i s l a t i o n ) w ere c o n d u c te d u n d e r t h i s p r o c e d u r e . One hu n d red members c o n s t i t u t e a quorum and t h e " f i v e m in u te " r u l e g o v e rn s d e b a te on am endm ents.

115H o l i f i e l d , f o r t h e se co n d t i m e , made a l e n g th y

sp e e c h i n s u p p o r t o f t h e r e o r g a n i z a t i o n b i l l . He

em p h asized t h a t com m ittee j u r i s d i c t i o n h ad n o t b een

ta m p e re d w i th i n t h e Committee on Government O p e r a t io n s .

He made i t c l e a r t h a t t h e b i l l on th e F l o o r was n o t a

d u p l i c a t e o f t h e A d m i n i s t r a t i o n s u b m is s io n . I n o r d e r t o

d i s a b u s e h i s c o l l e a g u e s o f t h e n o t i o n t h a t th e Committee

d e l i b e r a t i o n s had been a r u b b e r - s ta m p o p e r a t i o n , he

in fo rm e d them :

Here I w ant t o make a f i n a l , and I b e l i e v e im p o r t a n t p o i n t . When H. R. 13200 was b ro u g h t t o o u r Committee on Government O p e r a t i o n s , I lo o k e d a t th e b i l l , w h ich was s e n t up by t h e A d m i n i s t r a t i o n , and I s a i d "T h is b i l l i s n o t a good b i l l . I t c a n n o t be p a s s e d I n t h e House o f R e p r e s e n t a t i v e s and i t s h o u ld n o t be p a s s e d a s i t i s . " My com m ittee w orked h a r d . The g e n tlem a n from I l l i n o i s [Mr. E r le n b o r n ] and o t h e r s on h i s s t a f f and on my s t a f f worked h a r d . We r e w ro te t h e b i l l , and we b r i n g i t f o r c o n s i d e r a t i o n o f t h e members a s a r e w r i t t e n , c l e a n b i l l . 9

I n s p i t e o f H o l i f i e l d ’s b e s t e f f o r t s , t h e main

l i n e s o f r e s i s t a n c e w ere n o t d i s s o l v e d . 10 R e p r e s e n ta ­

t i v e E r le n b o r n , la u d e d by H o l i f i e l d f o r h i s e f f o r t s on

gC o n g r e s s io n a l R e c o rd , August 2 4 , 1966 , p . 19512.

10On August 15 , t h e House R e p u b l ic a n P o l i c y

Committee had te rm ed t h e b i l l i n a d e q u a t e . I t o b j e c t e d s p e c i f i c a l l y t o t h e t r a n s f e r o f t h e M aritim e A d m in is t r a ­t i o n and t o th e t r a n s f e r o f t h e a c c i d e n t i n v e s t i g a t i o n f u n c t i o n s o f t h e CAB. I t a l s o c a l l e d f o r t h e d e l e t i o n o f S e c t io n 7.

t h e b i l l , 11 s i g n a l l e d th e p a t t e r n o f o p p o s i t i o n i n h i s

rem ark s im m e d ia te ly f o l lo w in g H o l i f i e l d ’s . A f t e r some

g e n e r a l r e m a r k s , e x p r e s s i n g s u p p o r t t o t h e b i l l o v e r a l l ,

E r le n b o r n l e t l o o s e a b r o a d s i d e :

. . . S e c t i o n 7 S a l th o u g h i t h a s been amended, i s s t i l l v e ry u n a c c e p t a b l e .

At t h e p r o p e r t im e I s h a l l o f f e r a m o tio n t o s t r i k e s e c t i o n 7 from t h i s b i l l . 12

The r e m a in d e r o f t h e d e b a te on A ugust 24 was t a k e n

up m o s t ly w i th p e r i p h e r a l i s s u e s and no r e s o l u t i o n was

r e a c h e d on h a r d c o re i t e m s . A i r c r a f t n o i s e and n o i s e

A batem ent m easu re s d o m in a ted a l a r g e p a r t o f t h e d e b a te

a s Congressm en from u rb a n c e n t e r s made a c o n c e r t e d e f f o r t

t o a ro u s e t h e i n t e r e s t o f t h e i r c o l l e a g u e s on t h i s

m a t t e r .

R e p r e s e n t a t i v e C la re n c e Brown J r . c o n t in u e d t o

i n j e c t h i g h l y p a r t i s a n rem ark s a s he to o k t h e f l o o r t o

announce h i s o b j e c t i o n t o th e b i l l i n t o t o : 1 ^

"One o f t h e h a r d e s t w o rk in g Congressm en I have worked w i th . . . t h e g e n tlem a n who was t h e r e e v e ry m in u te o f t h e h e a r i n g s and w orked j u s t a s h a rd a s any o f t h e Members o f t h i s H o u se ." C o n g r e s s io n a l R e c o rd , August 24 , 1966 , p . 19514.

12 ,C o n g r e s s io n a l R e c o rd , August 2 4 , 1966 , p . 19516.

13 Upon c o m p le t io n o f Brown’s r e m a r k s , H o l i f i e l d t o l d h i s c o l l e a g u e s : "As I have l i s t e n e d t o my goodf r i e n d from O hio , I have b e en a s to u n d e d a t h i s a p p ro a ch t o t h e b i l l . " C o n g r e s s io n a l R e c o rd , A ugust 2 4 , 1966 , p . 19526.

117Holy P e d e r n a l e s , Mr. C hairm an. I t lo o k s

l i k e t h e Corps o f E n g i n e e r s ’ d e c i s i o n s a r e now g o in g t o be made i n t h e W hite H o u s e .1**

V e te ra n R e p r e s e n t a t i v e P o r t e r Hardy J r . o f

V i r g i n i a ( t h e N o r fo lk a r e a ) r o s e t o s u p p o r t t h e t r a n s f e r

o f t h e M a ri t im e A d m i n i s t r a t i o n t o t h e new D e p a r tm e n t .

But H o l i f i e l d d e c id e d t o p o s tp o n e b a t t l e on t h a t i s s u e

f o r a n o th e r day by p r o p o s in g t h a t t h e Committee on t h e

Whole House r i s e . H is p r o p o s a l was a c c e p te d . The d e b a te

on t h e 2 4 th r e f l e c t e d s k i r m i s h i n g and t e s t i n g o f t h e

te m p e r o f t h e Chamber by H o l i f i e l d and t h e d i s s i d e n t s .

H o l i f i e l d opened up d e b a te on August 29 w i th a

r e m a rk a b le s t a t e m e n t on i n t e r e s t g roup p r e s s u r e .^5

He i n d i c a t e d t h e im p la c a b le n a t u r e o f m a r i t im e o p p o s i ­

t i o n :

Now, Mr. C ha irm an , a s p a r t o f th e p r e s s u r e from th e M erchant M arine L ab o r Union l o b b y i s t ,Mr. H a l l , we have t h r e a t s t o d e f e a t t h r e e Members o f C o n g r e s s ,16 n o t b e c a u se o f t h e i r v o te s on a d v e r s e l a b o r l e g i s l a t i o n — and I w ant t o make t h i s v e ry c l e a r — n o t b e c a u se th e y have v o te d a g a i n s t t h e i n t e r e s t s o f l a b o r on l a b o r l e g i s l a t i o n . The Members r e f e r r e d t o have e x c e l l e n t l a b o r v o te r e c o r d s . Mr. H a l l i s g o in g to go i n t o t h e d i s t r i c t s o f t h e t h r e e Members and t r y t o d e f e a t them b e c a u se t h e y do n o t a g re e w i t h him on t h e p la c e m e n t o f t h e M aritim e a d m i n i s t r a t i o n i n th e s t r u c t u r e o f t h e g o v e rn m e n t .17

l2|I b l d . , p . 19525.

Q uoted i n t h e p r e v i o u s c h a p t e r .

" ^ R e p r e s e n ta t i v e s H o l i f i e l d , H ardy , and A sh le y .

• ^ C o n g r e s s io n a l R e c o rd , August 2 9 , 1966 , p . 20054.

118

R e p r e s e n t a t i v e C a r l A l b e r t , t h e M a jo r i t y L e a d e r ,

r e g i s t e r e d i n c r e d u l i t y a t t h i s r e v e l a t i o n o f a f l a g r a n t

form o f p r e s s u r e . " I t i s d i f f i c u l t f o r me t o b e l i e v e , "

he s a i d , " t h a t any p e r s o n i n a r e s p o n s i b l e p o s i t i o n i n

o r g a n iz e d l a b o r w ould do some o f th e t h i n g s t h a t have

b e en a t t r i b u t e d t o Mr. H a l l . " 1®

A f t e r v o i c i n g dism ay and i n d i g n a t i o n w i th th e

p r e s s u r e m ethods o f m a r i t im e l a b o r , t h e House went on

t o d e b a te more s p e c i f i c a s p e c t s o f th e r e o r g a n i z a t i o n

b i l l . R e p r e s e n t a t i v e John B e l l W il l ia m s o f M i s s i s s i p p i

e x p r e s s e d c o n c e rn o v e r t h e a r ra n g e m e n ts made i n t h e b i l l

f o r a c c id e n t i n v e s t i g a t i o n s . H o l i f i e l d , g i v i n g t r i b u t e

t o W i l l i a m s ’ e x p e r t i s e i n t h e a r e a , 1^ a s s u r e d him t h a t

t h e c u r r e n t f u n c t i o n w ould be p e r fo rm e d e q u a l l y w e l l

u n d e r t h e new D e p a r tm e n t . When he had f i n i s h e d , h i s

f e l l o w C a l i f o r n i a n , R e p r e s e n t a t i v e Don H. C la u s e n ,

n o n e t h e l e s s , f e l t c o n s t r a i n e d t o u se t h e i s s u e t o

r e i n f o r c e t h e pu sh f o r o r g a n i z a t i o n a l i n t e g r i t y f o r

t h e FAA:

. . . But I t h i n k t h a t we have t o be v e ry c a r e f u l t h a t t h e F e d e r a l A v ia t i o n Agency and

18I b i d .

19 " . . . he i s one o f th e g r e a t e x p e r t s i n t h e House on a v i a t i o n and f a r above my p o o r know ledge o f i t , . . . " C o n g r e s s io n a l R e c o rd , o p . c i t . , p . 20053.

119i t s f u n c t i o n s a r e n o t g o in g t o be sw allow ed up and i n e f f e c t be co m p e tin g w i th t h e s e o t h e r modes o f t r a n s p o r t a t i o n . 20

But th e r e a l i s s u e o f d e b a t e on August 29 was th e

q u e s t i o n o f w h e th e r o r n o t t h e M a r i t im e A d m i n i s t r a t i o n

was t o be i n c l u d e d i n t h e p ro p o s e d D e p a r tm e n t . R e p re ­

s e n t a t i v e J a c k Edwards o f A labam a, g r a n t e d f i f t e e n

m in u te s by E r le n b o r n ( m in o r i t y f l o o r m anager o f t h e

b i l l ) , opened t h e d e b a te on m a r i t im e p la c e m e n t w i th an

im p a s s io n e d sp e e c h i n w hich he d e p i c t e d t h e U. S . M erchan t

M arine a s t h e c o r n e r s t o n e o f A m erican s e c u r i t y . He

p o r t r a y e d t h e g ro w in g d i s p a r i t y i n s i z e be tw een t h e

U. S . and USSR m e rc h a n t f l e e t s a s an ominous t r e n d . 21

The answ er t o t h i s m enace , h e c la im e d , was t o remove

t h e F e d e r a l M ari tim e A d m i n i s t r a t i o n from t h e t r a n s p o r t a ­

t i o n b i l l . "The n e x t l o g i c a l s t e p w ould be th e c r e a t i o n

o f an in d e p e n d e n t M a ri t im e A d m i n i s t r a t i o n by p a s s i n g

H. R. 11696 w h ich h a s b een a p p ro v e d by t h e R u les

Committee and i s re a d y t o come t o t h e f l o o r when

s c h e d u le d by t h e l e a d e r s h i p . 1,22

Member a f t e r member2^ r o s e t o e n d o rs e and echo

20C o n g r e s s lo n a l R e c o rd , August 29* 1966 , p . 20055*

21”The s i g n i f i c a n c e o f R u s s i a ’s b i d i s d i f f i c u l t t o e x a g g e r a t e , " he d a r k l y n o t e d . I b i d . , p . 20058.

23L ennon, C la u s e n , C o lm er, P e l l y , D ic k in s o n ,

120E dw ard s ' r e m a rk s . R e p r e s e n t a t i v e Thomas M. P e l l y ( o f

S e a t t l e , W ash ing ton ) gave h i s v e r s i o n o f t h e f o u n d a t io n

o f th e c o n f l i c t on t h i s i s s u e :

Mr. C hairm an , t o p u t i t b l u n t l y , I do n o t t h i n k t h e members o f t h e Committee on G overnm enta l O p e r a t io n s a r e s u f f i c i e n t l y f a m i l i a r w i th th e p ro b lem s o f t h e A m erican m erc h an t m ar in e t o e n a b le them t o s u g g e s t t h e k in d o f r e o r g a n i z a t i o n n e c e s s a r y t o p ro v id e f o r b u i l d i n g up and m a i n t a i n in g an a d e q u a te m erc h an t m a r in e t o m eet t h e n a t i o n a l n e e d . 24

H o l i f i e l d , a t t h e f i r s t o p p o r t u n i t y , v i g o r o u s l y c h a l l e n g e d

t h i s a t t a c k on h i s C o m m it te e 's com petency :

. . . o u r jo b i s n o t t o know t h e i n t r i c a t e d e t a i l s o f t h e s e d i f f e r e n t modes o f t r a n s p o r t a t i o n .

We have had e x t e n s i v e e x p e r i e n c e i n h a n d l in g r e o r g a n i z a t i o n p l a n s , h a v in g h a n d le d so m e th in g l i k e s e v e n ty f i v e i n t h e l a s t few y e a r s . A ls o , we h a n d le d t h e s e t t i n g up o f t h e H ousing and Urban D evelopm ent C a b i n e t - l e v e l D e p a r t m e n t . . . .We b e l i e v e we have some s k i l l i n t h e o r g a n i z a ­t i o n a l and g o v e rn m e n ta l s t r u c t u r e f i e l d , b e c a u se t h i s h a s b e en o u r s p e c i a l t y o v e r t h e y e a r s . We b e l i e v e we can a c t i n t e l l i g e n t l y , l o g i c a l l y , and r e a s o n a b ly i n t h e f i e l d o f t h e o r g a n i z a t i o n o f

P a r b e n s t e i n , M a iH a rd and M u l te r . Only R e p r e s e n t a t i v e P a u l H. Todd, J r . ( o f M ich ig an ) spoke d i r e c t l y i n s u p p o r t o f t h e i n c l u s i o n o f m a r i t im e . " S p l i t t i n g o f f o f t h e M aritim e A d m i n i s t r a t io n from t h e D epartm ent o f T r a n s p o r t a t i o n , " he a r g u e d , "would mean b e in g hoodwinked by a b o ld and b l a t a n t a t t e m p t o f th e s h ip p in g i n t e r e s t s t o p r o t e c t t h e i r own a r t i f i c a l l y p r i v i l e g e d p o s i t i o n s . I hope t h i s p r o p o s a l [ t o remove th e M aritim e A d m i n i s t r a t i o n ] w i l l s u f f e r r e s o u n d in g d e f e a t . " C o n g r e s s io n a l R e c o rd , o p . c i t . , p . 20064.

24C o n g r e s s io n a l Re c o r d , August 2 9 , 1966 ,

p . 200 60 .

121g o v e rn m e n t, w i th o u t h a v in g t o know t h e d e t a i l s on t h e d i f f e r e n t modes o f t r a n s p o r t a t i o n . 25

R e p r e s e n t a t i v e John J . Rhodes o f A r iz o n a , Chairm an

o f t h e House R e p u b l ic a n P o l i c y C om m ittee , r o s e t o p l a c e

t h a t body s q u a r e l y b e h in d t h e move t o t a k e t h e F e d e r a l

M ari tim e A d m i n i s t r a t i o n o u t o f t h e p ro p o s e d b i l l , ° I t

was e v id e n t a f t e r Rhodes1 rem a rk s t h a t t h e s p a r r i n g had

e n d ed . The h a r d c o re i s s u e s had em erged and had b e en

a rg u e d . The l i n e s had now b een c l e a r l y draw n. At t h i s

p o i n t , t h e se co n d day o f d e b a te came t o an e n d . The move

was made and a c c e p te d t o have t h e b i l l c o n s id e r e d a s r e a d

f o r th e se co n d t im e and open t o amendment a t any p o i n t .

W ith t h e c o n c u r re n c e o f b o th s i d e s , th e Committee on

t h e Whole r o s e . F i n a l a c t i o n on t h e r e o r g a n i z a t i o n b i l l

was p u t o f f u n t i l t h e f o l lo w in g d a y .

The f i n a l day o f F l o o r d e b a te to o k p l a c e on

A ugust 30 . The moment o f t r u t h had a r r i v e d . The oppo­

n e n t s o f th e b i l l w ere n o t lo n g i n s e i z i n g t h e o p p o r t u n i t y

t o make t h e k i l l . Numerous amendments^? were p ro p o se d

t o H. R. 15963.

25I b i d . , p . 20063.PfiO th e r s t a n d s t a k e n by t h e R e p u b l ic a n P o l i c y

Committee w e re : o p p o s i t i o n t o th e t r a n s f e r o f t h ea c c i d e n t i n v e s t i g a t i o n f u n c t i o n s o f th e CAB; a c a l l f o r d e l e t i o n o f S e c t io n 7 ; s u p p o r t f o r i n c l u s i o n o f a n t i ­n o i s e p r o v i s i o n s ; i n c l u s i o n o f u rb a n mass t r a n s i t i n t h e f u n c t i o n s o f th e new D e p a r tm e n t . C o n g r e s s io n a l R e c o rd , o p . c i t . , p p . 20065-20066 . T here i s no Demo­c r a t i c P o l i c y Committee i n th e House.

2?Under the "Five Minute" Rule.

122

R e p r e s e n t a t i v e E r l e n b o r n , t r u e t o h i s w ord ,

p ro p o se d th e d e l e t i o n o f S e c t i o n 7 from t h e b i l l . The

p r o p o s a l s u p r i s i n g l y met w i th l i t t l e c o n t r o v e r s y .

H o l i f i e l d r e j e c t e d t h e a l l e g a t i o n t h a t t h e la n g u a g e was

c o n t r i v e d t o e n a b le a pow er g ra b by t h e E x e c u t iv e B ran ch .

He d e s c r i b e d i t as a n e c e s s a r y y a r d s t i c k a g a i n s t w hich

t o m easu re in v e s tm e n t s t a n d a r d s . H is a rg u m e n t , h o w ev er ,

f e l l upon d e a f e a r s . E r l e n b o r n ' s amendment was a p p ro v e d

by v o ic e v o t e .

Other minor amendments were approved by voice vote. Among them was an amendment, again by Erlenborn, providing that the bill contain a stipulation that the Commandant of the Coast Guard report directly to the Secretary. Another, by Florence Dwyer (Republican,New J e r s e y ) , added la n g u a g e d i r e c t i n g t h e S e c r e t a r i e s

o f T r a n s p o r t a t i o n and H ousing and Urban Developm ent

t o co n d u c t a s tu d y t o d e te r m in e t h e m ost l o g i c a l and

e f f i c i e n t o r g a n i z a t i o n and l o c a t i o n f o r u rb a n mass

t r a n s i t f u n c t i o n s .

Voice assent was also given to an amendment of

Clarence Brown Jr. which stipulated that national transportation policies which the Secretary of Trans­portation might develop or rewrite had to be submitted to the President and Congress for their consideration,

123P fta p p r o v a l , and I m p le m e n ta t io n . °

An amendment by R e p r e s e n t a t i v e Cramer won v o ic e

a p p r o v a l . H is amendment r e q u i r e d t h e S e c r e t a r y o f

T r a n s p o r t a t i o n t o c o n s u l t w i th s t a t e and l o c a l g o v e rn ­

m e n ts , l a b o r , c a r r i e r s , and o t h e r i n t e r e s t g ro u p s i n

c a r r y i n g o u t h i s a s s i g n e d d u t i e s . I t a l s o c o m p e lle d him

t o h o ld p u b l i c h e a r i n g s w henever p o s s i b l e .

O th e r m in o r amendments a p p ro v e d were one by Ogden

R. R e id o f New York r e q u i r i n g t h e S e c r e t a r y o f T r a n s p o r t a ­

t i o n t o keep t h e P r e s i d e n t f u l l y a p p r i s e d on th e s t a t u s

o f lab o r-m an a g em e n t p ro b lem s and t o a s s i s t i n p ro m o tin g

i n d u s t r i a l harmony i n a l l modes o f t r a n s p o r t a t i o n ; one

by C la re n c e Brown, J r . p r o v i d i n g t h a t no more th a n t h r e e

members o f t h e same p o l i t i c a l p a r t y c o u ld s e r v e on t h e

NTSB; and s e v e r a l t e c h n i c a l ones p e r f e c t i n g t h e lan g u a g e

o r c l a r i f y i n g th e i n t e n t o f t h e b i l l .

Many amendments w ere r e j e c t e d . T hree s e p a r a t e

a i r c r a f t n o i s e c o n t r o l and a b a tem en t amendments o f f e r e d

by New York R e p r e s e n t a t i v e s Jo h n W. W ydler , B enjam in S.

R o s e n th a l , and R e id , w ere a l l d e f e a t e d by s t a n d i n g v o t e .

An amendment by W il l ia m R. H a rsh a o f O h io , d e s ig n e d t o

r e q u i r e a p p ro v a l o f t h e S e c r e t a r y o f t h e Army b e f o r e

The amendment was i n t h e n a t u r e o f f l o g g in g a dead h o r s e s i n c e H. R. 15963 had i n c l u d e d , among th e changes from H. R. 13200 , a m o d i f i c a t i o n o f S e c t i o n 4 w hich w ould do v i r t u a l l y t h a t . Only th e im p le m e n ta t io n p h r a s e , w h a te v e r t h a t m igh t m ean, was new.

124any f u n c t i o n s r e l a t i n g t o b r i d g e s and causew ays were

e x e r c i s e d by t h e S e c r e t a r y o f T r a n s p o r t a t i o n , f a i l e d

t o g a in a p p r o v a l . 29 A n o th e r by R o b e r t Dole o f K a n sa s ,

s e e k in g r e t e n t i o n o f j u r i s d i c t i o n o f p i p e l i n e s a f e t y i n

t h e ICC w ent down t o d e f e a t by v o ic e v o t e . A n o th e r

amendment by Dole and a s i m i l a r one by E r le n b o rn aim ed

a t m o d ify in g t h e b i l l ' s p r o v i s i o n s on t h e s a f e t y f u n c ­

t i o n s o f t h e CAB, f a i l e d o f a p p r o v a l . 3°

The most s i g n i f i c a n t amendment a c c e p t e d was t h a t

p ro p o s e d by R e p r e s e n t a t i v e Edward A. Garmatz.31 H is

amendment, p ro p o s in g t o e l i m i n a t e m a r i t im e a c t i v i t i e s

from th e new D e p a r tm e n t , was a c c e p t e d by t h e House on a

t e l l e r v o t e , 1 9 0 -6 3 . The outcom e o f t h e r e l a t i v e l y

l e n g th y d e b a te was n e v e r r e a l l y i n d o u b t . The v o te came

29By s t a n d i n g v o t e , 3 5 -1 6 .

D o l e 's by v o ib e v o t e ; E r l e n b o r n ' s by t e l l e r v o t e , 1 0 0 -6 2 .

Garm atz r e p r e s e n t s th e B a l t im o re p o r t a r e a and i s Chairm an o f t h e M erchant M arine and F i s h e r i e s C om m ittee . H is com m ittee had r e p o r t e d (House R e p o r t No. 1820) H. R. 11696 , t h e Bonner B i l l ( a f t e r G a rm a tz 's l a t e p r e d e c e s s o r a s c h a i rm a n ) . T h is b i l l was d e s ig n e d t o make th e M ari tim e A d m in i s t r a t io n an in d e p e n d e n t agency and w a s , t h e r e f o r e , i n d i r e c t c o n f l i c t w i th H. R. 15963. The b i l l h ad been g r a n t e d a r u l e on A ugust 11 ; i t was n e v e r c o n s i d e r e d , h o w ev er , d u r in g t h e 89t h C o n g re ss .

125a f t e r a s e r i e s o f e m o t io n a l s t a t e m e n t s ^ 2 by many

C o n g r e s s m e n ^ i n t e n t on p l a c i n g i n t h e r e c o r d ^ t h e i r

o p p o s i t i o n t o t h e i n c o r p o r a t i o n o f t h e M aritim e

A d m i n i s t r a t i o n i n t o t h e new D e p a r tm e n t .

The s u c c e s s f u l move t o s t r i k e t h e F e d e r a l

M a ri t im e A d m i n i s t r a t i o n from t h e , b i l l p r e s a g e d a

s t r o n g push t o e m a s c u la te t h e b i l l . A move was made

t o remove t h e C oast Guard from t h e D e p ar tm en t .

R e p r e s e n t a t i v e A l to n Lennon o f N o rth C a r o l i n a o f f e r e d

a s e r i e s o f amendments t o t h i s e f f e c t .

Lennon , a member o f t h e M erchan t M arine and

Garm atz a p p r o v in g ly q u o te d a s t a t e m e n t made by P a u l H a l l ( t h e m a r i t im e u n io n l e a d e r ) : " I f we[ t h e m erc h an t m ar in e i n t e r e s t s em bodied i n th e M aritim e A d m i n i s t r a t i o n ] a r e t o be b u r i e d , we m igh t a s w e l l be b u r i e d a s we a r e . We m igh t a s w e l l be b u r i e d i n one p l a c e a s a n o t h e r , and i t i s n o t im p o r ta n t where t h a t b u r i a l g ro u n d i s t o be i f , i n f a c t , i t i s t o be t h a t . " C o n g re s s io n a l R e c o rd , August 30 , 1966 , p . 20356.

33R e p r e s e n t a t i v e s Rooney, Bow, F r i e d e l , M a i l l a r d , Murphy, G i l b e r t , E dw ards , F i n o , W y a t t , C a h i l l , H a lp e r n , C a se y , S i c k l e s , K e l ly , Downing, C le v e n g e r , Addabbo, G ro v e r , B a te s , F a r b s t e i n and B yrne . Only R e p r e s e n t a t i v e s A l b e r t , H o l i f i e l d ,H ardy , and A sh ley spoke a g a i n s t t h e amendment. The l a t t e r t h r e e were t h o s e s i n g l e d o u t by P a u l H a l l f o r p o l i t i c a l e x t i n c t i o n a t th e p o l l s .

34Unanimous c o n s e n t was g iv e n t o a m o tion

by H o l i f i e l d t o a l lo w a l l members t o e x te n d t h e i r rem ark s on t h i s i s s u e i n t h e C o n g r e s s io n a l R e c o rd .

126F i s h e r i e s C om m ittee ,35 d isavow ed any i n t e n t i o n o f

a t t e m p t in g t o k i l l t h e b i l l . He b a s e d h i s p o s i t i o n

on t h e c o n t e n t i o n t h a t " th e C oas t G uard , t h e o l d e s t

s e m i - m i l i t a r y o r g a n i z a t i o n i n t h i s N a t io n , w i t h i t s

r a m i f i c a t i o n s i n v o l v i n g i t s o cean m is s io n s and p u rp o s e s

a s r e l a t e d t o t h e m a r i t im e i n d u s t r y and t o t h e B ureau

o f C ustom s, ou gh t t o rem a in where i t h a s been h i s t o r i ­

c a l l y . " 36 Lennon was backed by some o f t h e same

s p e a k e r s who had a rg u e d i n f a v o r o f th e d e l e t i o n o f t h e

F e d e r a l M ari tim e A d m i n i s t r a t io n from t h e b i l l . 37 i n

g e n e r a l , t h e i r a rgum en t was t h a t t h e r a t i o n a l e f o r t h e

i n c l u s i o n o f t h e C oas t Guard had been u nd erm in ed when

t h e amendment t o remove t h e F e d e r a l M aritim e A d m in is t r a ­

t i o n was a c c e p t e d .

Mr. Dante B. F a s c e l l o f F l o r i d a to o k s h a rp i s s u e

w i th t h i s e q u a t i o n . The C o as t G uard , he a rg u e d , i s

" d i r e c t l y o r i e n t e d t o th e f i e l d o f t r a n s p o r t a t i o n s a f e t y

b o th on t h e s e a and i n th e a i r . " He d e c l a r e d f u r t h e r

t h a t th e C oast Guard was s e l f - c o n t a i n e d and n o t i n e x t r i ­

c a b ly bound t o t h e M aritim e A d m in i s t r a t io n a s a l l e g e d .

T h is Committee h a s l e g i s l a t i v e J u r i s d i c t i o n o v e r t h e C o as t G uard .

36C o n g r e s s io n a l R e c o rd , o p . c i t . , p . 20377.

37R e p r e s e n t a t i v e s Downing, M a i l l a r d , and Addabbo.

127F i n a l l y , he a s s e r t e d t h a t he had c a n v a s s e d "my v e ry good

f r i e n d s " i n th e C oas t Guard and d e te r m in e d t h a t th e y

v iew ed th e t r a n s f e r a s a good move " a n d , a s a m a t t e r o f

f a c t , s u p p o r t w h o le h e a r t e d ly t h i s s e t u p . "3^

F a s c e l l was s u p p o r t e d by R e p r e s e n t a t i v e C h a r le s

E. C h am b erla in o f M ic h ig a n . C h a m b e r la in , a r e s e r v e

o f f i c e r i n th e C oast Guard and a member o f t h e C oast

Guard Academy B oard o f V i s i t o r s , p r o v id e d a d d i t i o n a l

c o n f i r m a t io n o f F a s c e l l ' s a s s e s s m e n t o f C o as t G u a rd ’s

a t t i t u d e to w a rd t h e t r a n s f e r . H i g h - l e v e l , b i p a r t i s a n

s u p p o r t f o r i n c l u d i n g t h e C oas t Guard i n t h e new D e p a r t ­

ment was s u p p l i e d by R e p r e s e n t a t i v e s McCormack, A l b e r t ,

and Boggs39 on th e D e m o cra t ic s i d e and by R e p r e s e n t a t i v e

E r le n b o r n on t h e R e p u b l ic a n s i d e . E r le n b o r n saw "no

s u b s ta n c e t o t h e a rgum ent t h a t t h e M a ri t im e A d m in is t r a ­

t i o n i s n o t t o be i n t h e D ep artm en t o f T r a n s p o r t a t i o n ,

so th e C oas t Guard s h o u ld n o t b e . l|it0

The g roup o f amendments d e s ig n e d t o s t r i k e t h e

C oast Guard from t h e p ro p o se d D epartm en t was d e f e a t e d

^ C o n g r e s s io n a l R e c o rd , o p . c i t . , p p . 20377-20378 .

39H ale Boggs o f L o u i s i a n a i s M a jo r i t y Whip and a s e n i o r member o f th e Committee on Ways and Means w hich h a s j u r i s d i c t i o n o v e r t h e T re a s u ry D e p a r tm en t .

Congressional Record, op. cit., p. 20380.

128by a t e l l e r v o te o f 1 0 7 - 7 3 .^

The Committee o f t h e Whole House t h e n r o s e and

Mr. P r i c e , i t s chairm an , r e p o r t e d th e b i l l b a ck t o th e

House w i t h v a r i o u s amendments a d o p te d . The S p e a k e r ,

Mr. Jo h n W. McCormack, o r d e r e d t h e p r e v i o u s q u e s t i o n .

I n r e s p o n s e t o a q u e ry from th e S p e a k e r , Mr. E r le n b o r n

demanded a s e p a r a t e v o te on th e Garmatz amendment. The

amendment was a c c e p t e d by a r o l l - c a l l v o te o f 2 6 1 -1 1 7 .^ 3

T here was no demand f o r a s e p a r a t e v o te on t h e o t h e riili

amendments and th e y were a g re e d to en g r o s .

Mr. McCormack o r d e r e d t h e b i l l t o be e n g r o s s e d

41A su b s e q u e n t amendment, p e r m i t t i n g C oas t Guard

p e r s o n n e l t o be a s s i g n e d anywhere i n th e D epartm en t o f T r a n s p o r t a t i o n , was o f f e r e d by R e p r e s e n t a t i v e D avid N. H enderson o f N o rth C a r o l i n a . H o l i f i e l d te rm ed i t a p e r f e c t i n g amendment and s t a t e d t h a t he was "happy t o a c c e p t t h e g e n t le m a n ’ s am endm ent." The amendment was a p p ro v e d by v o ic e v o t e . C o n g r e s s io n a l R e c o rd , o p . c i t . ,p . 20381.

A n o th e r am endm ent, p ro p o s e d by E r le n b o r n and a l s o s u p p o r t e d by H o l i f i e l d d i r e c t e d t h a t t h e Commandant o f t h e C oas t Guard r e p o r t d i r e c t l y t o th e S e c r e t a r y o f T r a n s p o r t a t i o n . I t t o o was ap p ro v e d by v o ic e v o t e .

42The p r e v i o u s q u e s t i o n i s t h e p r i n c i p a l su b ­s t a n t i v e m o tio n i n th e H ouse. I t i s n o t d e b a t a b l e a n d , when a c c e p t e d , h a s t h e e f f e c t o f t e r m i n a t i n g a l l d e b a t e and amendment and b r i n g i n g t h e q u e s t i o n t o an im m ed ia te v o t e .

The R e p u b l ic a n s v o te d o v e r w h e lm in g ly (1 1 1 -1 1 ) t o s u p p o r t t h e amendment; t h e D em ocrat p o s i t i o n was c l o s e r — 150 f o r , 106 a g a i n s t .

44Amendments a g re e d t o u n d e r th e Com mittee o f

t h e Whole a r e o n ly t e n t a t i v e and m ust be r a t i f i e d by th e w hole House,

129and r e a d a t h i r d t im e . Mr. C u r t i s , a t t h i s t i m e , made

a l a s t - m i n u t e a t t e m p t t o k i l l t h e b i l l by o f f e r i n g a

m o tio n t o recom m it w i th i n s t r u c t i o n s t o r e p o r t t h e b i l l

b a c k w i th an amendment p r o v i d i n g f o r t h e t r a n s f e r o f

t h e s a f e t y f u n c t i o n s o f th e CAB t o th e NTSB.1̂ H o l i f i e l d

q u i c k l y moved t h e p r e v io u s q u e s t i o n on t h e m o tio n . The

M in o r i ty L e a d e r , R e p r e s e n t a t i v e G e ra ld L. F o r d , demanded

a r o l l - c a l l v o t e . The m o tio n t o recom m it was d e f e a t e d

by a v o te o f 2 3 8 -1 4 3 .

W ith t h e f i n a l h u r d l e rem oved , th e b i l l a s a w hole

t h e n came t o a r o l l - c a l l v o t e . I t was p a s s e d 3 3 6 - 4 2 . ^

A c t io n on th e S e n a te F l o o r

The r e o r g a n i z a t i o n b i l l h ad an e a s i e r t im e i n47th e S e n a te . Under a unanim ous c o n s e n t a g re e m e n t ,

45R ecom m itting th e b i l l i s t a n ta m o u n t t o i n d e f i n i t e s u s p e n s io n . T h is t e c h n iq u e i s one o f t h r e e m e a su re s t o k i l l a p i e c e o f l e g i s l a t i o n ; th e o t h e r s a r e (1 ) a m o tio n t o s t r i k e o u t th e e n a c t i n g c l a u s e o f th e b i l l and (2 ) th e v o te on f i n a l p a s s a g e .

46By p a r t y l i n e s , t h e v o te b reakdow n w as: D e m o cra ts , 235-23 (18 o f th e d i s s e n t i n g v o t e s were from S o u th e rn D e m o c ra ts ) ; R e p u b l i c a n s , 1 0 1 -1 9 .

47'A unanim ous c o n se n t ag re em e n t i s one i n w hich a m o tio n (an d ev en an amendment o r b i l l ) i s p a s s e d i f no member v o i c e s an o b j e c t i o n . I t i s u s e d o f t e n t o Impose a c u t - o f f p o i n t when d e b a te w i l l end and v o t i n g b e g in .

130d e b a te was l i m i t e d t o t h r e e h o u r s , a l l o f w hich to o k

p l a c e on S ep tem b er 2 9 , 1966 . T here was a t im e a l l o c a t i o n

o f one h a l f h o u r on e a c h amendment. S e n a to r s M c C le l lan

and J a c k s o n were t h e f l o o r m anagers on t h e m a j o r i t y s i d e ;

S e n a to r Mundt was t h e m i n o r i t y m anager.

S e n a to r M c C le l la n , a s t h e d e b a te o p e n e d , e x p la in e d

th e co n d u c t o f t h e h e a r i n g s t o h i s c o l l e a g u e s and o u t l i n e d

t h e m ain p r o v i s i o n s o f S. 3010 t o them . He s i n g l e d o u t

f o r s p e c i a l em p hasis t h e Committee p o s i t i o n on t r a n s ­

p o r t a t i o n in v e s tm e n t s t a n d a r d s . In s p e a k in g t o t h e i s s u e

o f n a v i g a t i o n p r o j e c t s , he made t h e s e re m a rk s :

. . . But t h e much n e e d e d e x p a n s io n o f o u r n e tw o rk o f i n l a n d w aterw ays i s f a r to o im p o r ta n t t o t h e n a t i o n a l w e l f a r e t o be s u b j e c t e d t o t h e c o n c e p tu a l m a n ip u la t io n s o f t h e B ureau o f t h e B u d g e t. T h is i s a m a t t e r w i t h i n th e p r o p e r p u rv ie w o f C o n g re s s , and my amendment t o s e c t i o n 7 r e t u r n s t h i s p r e r o ­g a t i v e t o t h e l e g i s l a t i v e b r a n c h . ^8

T here w as , ho w ev er , no r e s e r v a t i o n e x p r e s s e d i n

h i s o v e r a l l s u p p o r t o f t h e amended b i l l . "Your Committee

[on Government O p e r a t io n s ] b e l i e v e s , " he s a i d , " t h a t

t h e o r g a n i z a t i o n a l s t r u c t u r e f o r th e new D epartm ent

C o n g r e s s io n a l R e c o rd , S ep tem ber 2 9 , 1966 , p . 23*119. L a t e r o n , i n a d i a lo g u e w i th S e n a to r George D. A ik e n , M cC le llan i n d i c a t e d t h e e x t e n t o f h i s i n f l u e n c e on t h i s a s p e c t o f th e b i l l : "The p r o v i s i o n so f t h i s b i l l , i f I may say s o , embody t h e v iew s o f th e c h a i rm a n , b e c a u se I am v i t a l l y i n t e r e s t e d i n t h e p r o g r e s s o f t h e developm en t o f o u r w a te r r e s o u r c e s and i n l a n d n a v i g a t i o n and t r a n s p o r t a t i o n . " I b i d .

131p ro p o s e d i n t h i s b i l l w i l l f a c i l i t a t e t h e F e d e r a l

G overnm ent’ s c o n t r i b u t i o n to w a rd t h e r e a l i z a t i o n o f

t h a t g o a l [ t h e v e ry b e s t t r a n s p o r t a t i o n sy s te m

p o s s i b l e ] .

S e n a to r J a c k s o n a l s o made l e n g th y rem ark s i n

s u p p o r t o f t h e r e o r g a n i z a t i o n b i l l . 50 W hereas M c C le l la n

had c o v e re d t h e b ro a d a s p e c t s o f t h e b i l l (and S e c t i o n 7

i n d e t a i l ) , J a c k s o n d w e l le d upon th e s p e c i f i c s o f t h e

s a f e t y a s p e c t s o f t h e l e g i s l a t i o n . He c o v e re d t h e NTSB,

t h e a v i a t i o n s a f e t y and a c c i d e n t i n v e s t i g a t i o n p r o c e ­

d u r e s , and t h e r a t i o n a l e o f th e p ro p o se d M a ri t im e B o a rd .

The amendments o f f e r e d d u r in g t h e d e b a te w ere

n o t d i s t i n g u i s h e d by t h e i r num ber; n o r w ere th e y

p a r t i c u l a r l y v i t a l i n n a t u r e . P e rh a p s t h e one amendment

w h ich c o u ld be l a b e l l e d i m p o r t a n t was p r e s e n t e d by

S e n a to r J e n n in g s R andolph o f West V i r g i n i a .

S e n a to r R andolph s e n t t o t h e d e sk a p ro p o s e d

49I b i d .

J a c k s o n to o k o v e r t h e e n t i r e c h o re o f m a j o r i t y spokesm an f o r t h e b i l l e a r l y i n t h e d e b a t e . L a t e r , M c C le l la n e x p la in e d t h a t " d u r in g t h e c o u rs e o f t h e Government O p e r a t io n s Committee c o n s i d e r a t i o n o f t h i s b i l l . . . , I was u n a b le t o g iv e t h e b i l l t h e a t t e n t i o n t h a t i t r e q u i r e d t o be e x p e d i t i o u s l y p r o c e s s e d . SoI c a l l e d upon my f r i e n d , th e d i s t i n g u i s h e d S e n a to r from W ash ing ton [ J a c k s o n ] , who i s t h e r a n k in g m a j o r i t y member o f t h e c o m m itte e , f o r a s s i s t a n c e i n h a n d l in g t h i s m e a s u r e ." C o n g r e s s io n a l R e c o rd , O c to b e r 13 , 1966 , p . 25507. M cC le llan was up f o r r e e l e c t i o n i n 1 9 6 6 ; J a c k s o n was n o t .

132amendment w hich s p e c i f i c a l l y e x c lu d e d t h e g r a n t s - i n -

a i d p rog ram s from th e s t a n d a r d s and c r i t e r i a a u t h o r i t y

o f t h e S e c r e t a r y . ^ 1 A p a r t from a q u e ry from S e n a to rC O

K a r l E. Mundt o f S o u th D ako ta a s t o i t s p u rp o se

t h e r e was no d e b a t e . The amendment was a c c e p t e d by

v o ic e v o t e .

S e n a to r D a n ie l B. B re w s te r o f M a ry lan d , a member

o f t h e Commerce C om m ittee , p ro p o s e d t h a t t e n amendments

be c o n s id e r e d en b l o c . They a l l d e a l t w i th e n h a n c in g

th e s t a t u s o f t h e m a r i t im e mode i n t h e new D e p a r tm e n t .

S e n a to r J a c k s o n to o k e x c e p t i o n t o one o f t h e a m e n d m e n ts^

w hich w ould have made th e F e d e r a l M aritim e A d m i n i s t r a t o r

in d e p e n d e n t o f th e S e c r e t a r y . J a c k s o n a l s o p ro p o s e d

(and B re w s te r a c c e p te d ) a r e w r i t e o f amendment No. 6

w hich made th e modal a d m i n i s t r a t o r ' s q u a s i - j u d i c i a l

d e c i s i o n s a d m i n i s t r a t i v e l y f i n a l . The am endm ents,

51S e n a to r R andolph i s Chairm an o f t h e P u b l i c Works Committee o f t h e S e n a te . The amendment was s i m i l a r i n la n g u a g e t o t h e one d e v e lo p e d by th e House Committee on Government O p e r a t i o n s . I t was a im ed m a in ly a t e n d u r in g C o n g r e s s io n a l a u t h o r i t y i n th e d e t e r m i n a t i o n o f t h e scope and m ag n itu d e o f f e d e r a l fu n d s i n t h e c o n s t r u c t i o n o f h ig h w a y s . The highway t r u s t fu n d c o n s t i t u t e s a m a jo r p a r t o f t h e b u d g e t o f th e new D e p a r tm en t— some 4 1 /2 b i l l i o n o u t o f a p p ro x im a te ly s i x b i l l i o n d o l l a r s .

52Mundt was q u i c k l y a p p e a se d when he was in fo rm e d t h a t i t had n o t h in g t o do w i th t h e e s t a b l i s h m e n t o f in v e s tm e n t c r i t e r i a .

Amendment No. 5 .

133a s m o d i f i e d , were a g re e d t o en b lo c by v o ic e v o t e . ^

An amendment o f f e r e d by S e n a to r Monroney p ro p o s e d

t h a t t h e a u t h o r i z a t i o n o f 45 a d d i t i o n a l s u p e r g r a d e s f o r

t h e D ep artm en t be s t r u c k from th e b i l l . The amendment

a l s o p l a c e d t h e A s s i s t a n t S e c r e t a r i e s a t L ev e l IV v i c e

L e v e l I I I , w i th t h e e x c e p t io n o f t h e A s s i s t a n t S e c r e t a r y

f o r A d m i n i s t r a t i o n whose s a l a r y l e v e l was changed from

L ev e l IV t o L e v e l V.^5 T h is amendment, e n d o rs e d by

S e n a to r J a c k s o n , r e c e i v e d v o ic e a s s e n t from t h e S e n a te .

Two m in o r amendments w ere o f f e r e d by S e n a to r

Mundt. They w ere e n d o rs e d by t h e m a j o r i t y spokesm an

and a p p ro v e d by v o ic e v o t e . The f i r s t amendment s t i p u ­

l a t e d t h a t th e s a f e t y f u n c t i o n s o f t h e NTSB ( t r a n s f e r r e d

5MP r i o r t o th e v o t e , J a c k s o n a s s u r e d S e n a to r

P ra n k L ausche ( o f O hio) t h a t th e am endm ents, a s now m o d i f i e d , w ere m e re ly t e c h n i c a l i n n a t u r e and would i n no way p l a c e t h e m a r i t im e i n t e r e s t s i n a p r e f e r e n t i a l p o s i t i o n o v e r o t h e r modes o f t r a n s p o r t a t i o n .

N ear t h e c lo s e o f th e d e b a t e , S e n a to r Jo h n J . Sparkman o f Alabama, made l e n g th y rem a rk s u r g in g th e c r e a t i o n o f an in d e p e n d e n t M ari tim e A d m i n i s t r a t i o n , b u t o f f e r e d no amendment t o t h a t e f f e c t .

55 S e n a to r Monroney i s Chairm an o f t h e P o s t O f f i c e and C i v i l S e r v i c e C om m ittee . H is c o n t e n t i o n was t h a t t h e a u t h o r i z a t i o n s f o r s u p e r g r a d e s f e l l more p r o p e r l y w i t h i n t h e j u r i s d i c t i o n o f t h e S e n a te P o s t O f f i c e and C i v i l S e r v i c e Committee r a t h e r t h a n t h e Government O p e r a t io n s C om m ittee . The p ro p o s e d s a l a r i e s f o r th e A s s i s t a n t S e c r e t a r i e s , he f e l t , w ould ru n c o u n te r t o t h e e x i s t i n g s a l a r y s c a l e s o b t a i n i n g i n a l l o t h e r d e p a r tm e n ts o f t h e f e d e r a l g o vernm en t.

Monroney to o k a d v a n ta g e o f t h e o p p o r t u n i t y t o r e c o u n t a t some l e n g t h h i s t e s t im o n y b e f o r e th e Committee on Government O p e r a t io n s and t h e i r a p p ro v a l o f h i s am endments.

13**

from t h e CAB) were n o t t o be d e l e g a t e d . The se c o n d

amendment I n c lu d e d w i l d l i f e and w a te r fo w l r e f u g e s i n

an e x i s t i n g p a s s a g e r e q u i r i n g c a r e f u l p r o t e c t i o n o f

s c e n i c , r e c r e a t i o n a l , and h i s t o r i c a r e a s i n t r a n s ­

p o r t a t i o n p l a n n i n g .

At t h e end o f th e d e b a t e , S e n a to r J a c k s o n moved

t o " s t r i k e a l l a f t e r t h e e n a c t i n g c l a u s e o f H. R. 15963

and t o i n s e r t i n l i e u t h e r e o f t h e t e x t o f S . 3010 , a s

a m e n d e d . The m o tio n was a g re e d t o by t h e S e n a te .

The amendment was o r d e r e d t o be e n g ro s s e d and t h e b i l l

t o be r e a d a t h i r d t im e . Upon a demand by S e n a to r

J a c k s o n , a r o l l - c a l l v o te was h e l d on t h e p a s s a g e o f

t h e b i l l . The b i l l p a s s e d by a m arg in o f 6*1- 2 .5 7 once

th e S e n a te chose t o s u b s t i t u t e l t 3 v e r s i o n o f t h e

r e o r g a n i z a t i o n b i l l f o r t h a t p a s s e d by t h e H ouse ,

h o w e v er , a c o n fe r e n c e com m ittee became n e c e s s a r y .

The B i l l i n C o n fe ren ce

The S e n a te i n s i s t e d upon i t s amendment and a sk e d

th e House o f R e p r e s e n t a t i v e s f o r a c o n fe r e n c e on t h e

56C o n g r e s s io n a l R e c o rd , S ep tem b er 2 9 , 1966 , p . 23****6. S u b s e q u e n t ly , S . 3010 was i n d e f i n i t e l y p o s tp o n e d .

57By p a r t y l i n e s , t h e v o te was D em ocrats 48-1 and R e p u b l ic a n s 1 6 -1 . The d i s s e n t i n g v o t e s w ere c a s t by S e n a to r M il to n R. Young o f N o rth D ako ta and by S e n a to r W il l ia m P ro x m ire o f W isc o n s in .

135d i s a g r e e i n g v o te s o f t h e two Houses on H. R. 1 5 9 6 3 ."^

The House a c c e d e d and b o th cham bers p ro c e e d e d t o s e l e c t

t h e c o n f e r e e s . The m anagers ( t h e o f f i c i a l d e s i g n a t i o n

f o r th e c o n f e r e e s ) from th e S e n a te were S e n a to r s M c C le l la n ,

J a c k s o n , R l b i c o f f , H a r r i s , and Mundt. The S p e a k e r o f t h e

House d e s i g n a t e d ( a s m anagers on th e p a r t o f t h e House)

R e p r e s e n t a t i v e s H o l i f i e l d , B ro o k s , H ard y , R e u s s , E r le n b o r n

and B row n.59

The c o n fe r e n c e l a s t e d f o r two d a y s . The C on fe ren ce

R e p o r t was i s s u e d on O c to b e r 1 2 , 1 9 6 6 .^ ° The r e s u l t o f

The Chamber t h a t h a s p o s s e s s i o n o f t h e e n g ro s s e d b i l l and o t h e r p e r t i n e n t p a p e r s r e q u e s t s t h e c o n f e r e n c e . "Only 11 o r 12 p e r c e n t o f th e p u b l i c law s e n a c te d i n r e c e n t c o n g r e s s e s have gone to c o n fe r e n c e . . . "C h a r le s L. C la p p , The Congressm an (W ash in g to n , D. C .: B ro o k in g s I n s t i t u t i o n , 1 9 o 3 ) , p . 254. But M acN eil l t e l l s u s : " In th e c o u rs e o f e v e r y a n n u a l s e s s i o n o fC o n g re s s , a lm o s t e v e ry m a jo r b i l l h a s had t o p a s s th e s c r u t i n y o f a H o u se -S en a te c o n fe r e n c e c o m m it te e ."N e i l M acN eil , F o rge o f Democracy (New Y ork: D avidMcKay, 1 9 6 3 ) , p . 406. On t h i s same s u b j e c t , s e e a s w e l l Raymond L ah r and J . W il l ia m T h e i s , C o n g r e s s : Power andP urpose on C a p i t o l H i l l (B o s to n : A l ly n & B acon , 196777P . 97.

59R e p r e s e n t a t i v e J a c k Brooks i s t h e t h i r d most s e n i o r Dem ocrat on th e Committee on Government O pera­t i o n s ; R e p r e s e n t a t i v e Henry S. Reuss i s t h e t h i r d m ost s e n i o r Dem ocrat on th e E x e c u t iv e and L e g i s l a t i v e R e o r g a n iz a t io n S ubco m m ittee ; R e p r e s e n t a t i v e P o r t e r Hardy J r . i s a s e n i o r D e m o cra t ic member o f t h e Committee on Government O p e r a t i o n s .

The R u les Committee m ust g iv e a r u l e on th e a p p o in tm e n t o f c o n f e r e e s , b u t i t r a r e l y w i th h o ld s o n e .

^°House R e p o r t No. 2236 , 89t h C o n g re s s , 2nd S e s s io n (W ash ing ton : U. S. Government P r i n t i n g O f f i c e ,1 9 6 6 ) . The tw e n ty n in e page r e p o r t was s u b m i t t e d by

136t h e C o n fe re n ce com m ittee p r o c e e d in g s was d e s c r i b e d by

th e House m anagers i n t h i s m anner:

The S e n a te amendment s t r i k e s o u t a l l o f th e House b i l l a f t e r th e e n a c t i n g c l a u s e and i n s e r t s a s u b s t i t u t e . The House r e c e d e s from i t s d i s ­ag reem en t on th e amendment o f t h e S e n a t e , w i th an amendment w hich i s a s u b s t i t u t e f o r b o th th e House b i l l and th e S e n a te am endm ent.61

The m ost s i g n i f i c a n t a s p e c t o f t h e c o n sen su s

w orked o u t was ag re em e n t on o m is s io n o f any p r o v i s i o n

f o r a F e d e r a l M a r i t im e A d m i n i s t r a t i o n from th e b i l l .

The House v e r s i o n had made such a d e l e t i o n ; th e S e n a te

had p r o v id e d f o r a F e d e r a l M a r i t im e A d m i n i s t r a t io n and

a M a r i t im e B o a rd . The c o n fe re n c e s u b s t i t u t e amendment

d e l e t e d a l l r e f e r e n c e t o m a r i t im e f u n c t i o n s .

The r e m a in d e r o f t h e c o n fe re n c e s u b s t i t u t e

conform ed r a t h e r c l o s e l y t o t h e S e n a te amendment t o

H. R. 15963. The S e n a te amendment r e l a t i n g t o t r a n s ­

p o r t a t i o n s t a n d a r d s was a c c e p t e d . The House h a d d e l e t e d

S e c t i o n 7 . The S e n a te , on t h e o t h e r h a n d , w h i le e x c e p t in g

w a te r r e s o u r c e s p r o j e c t s and g r a n t s - i n - a i d p rog ram s from

th e S e c r e t a r y ' s a u t h o r i t y w i th r e s p e c t t o s t a n d a r d s and

c r i t e r i a f o r I n v e s t m e n t , h ad r e t a i n e d much o f th e o r i g i n a l

A d m i n i s t r a t io n la n g u a g e . The S e n a te amendment a l s o

Mr. H o l i f i e l d . C o n fe ren ce r e p o r t s a r e a lw ays p r i n t e d i n t h e House. The S e n a te s e t t l e s f o r o r a l e x p la n a t i o n s by one o f i t s c o n f e r e e s .

^House Report No. 2236, 0£. cit., p. 23.

137established a formula for determining the navigational benefits of water resources projects.

The controversy over the placement of the aircraft accident investigation functions was resolved by adhering to the Senate solution— placing the functions in the NTSB. The House had come up with a solution involving creation of an Office of Accident Investigation, independent of both the NTSB and the PAA.62

There were numerous other agreements arrived at, all relatively minor in nature and most adopting, in the main or in toto, the language of the Senate amendment to the reorganization bill. Among the consequential provi­sions were: a paragraph declaring it to be the nationalpolicy to preserve the natural beauty of the countryside, park and recreation lands, historical sites, and wildlife and waterfowl refuges; language relating to labor- management relations in the transportation modes; and specific language transferring the Alaska Railroad and the St. Lawrence Seaway Development Corporation to the new Department.

In dealing with pay levels, again the conference solution was very close to the Senate amendment. There

This controversy was the issue upon which Representative Curtis had based his abortive attempt to recommit the bill at the close.of the debate in the House.

138w e re , h o w e v er , some m in o r c h a n g e s . The L ev e l I I I p o s i ­

t i o n t o have been g iv e n t o th e F e d e r a l M aritim e

A d m i n i s t r a t o r was d e l e t e d . The A d m i n i s t r a t o r o f t h e

S t . Lawrence Seaway Developm ent C o r p o r a t io n was a c c o rd e d

L e v e l IV s t a t u s . B oth th e House and th e S e n a te had

p r o v id e d f o r n in e L e v e l IV o r L ev e l V p o s i t i o n s t o be

p l a c e d by th e P r e s i d e n t . The c o n fe re n c e s u b s t i t u t e

r e d u c e d t h i s t o t a l t o f o u r .

F i n a l A c t io n

On O c to b e r 13 , 1966 , t h e c o n fe r e n c e r e p o r t on

H. R. 15963 was a p p ro v e d by b o th Chambers by v o ic e v o t e s . 63

D i s c u s s io n i n b o th t h e S e n a te and t h e House was l i m i t e d

d u r in g d o n s i d e r a t i o n o f t h e c o n fe r e n c e r e p o r t .

I n t h e H ouse, H o l i f i e l d spoke i n s u p p o r t o f t h e

compromise b i l l . He e s p e c i a l l y d e fe n d e d t h e r o l e o f t h e

S e c r e t a r y i n th e new D e p a r tm e n t . C onceding t h a t c e r t a i n

l i m i t a t i o n s h ad b e en p l a c e d on th e S e c r e t a r y ’s pow ers

d u r in g th e l e g i s l a t i v e p r o c e s s , h e , n o n e t h e l e s s , c o n te n d e d

t h a t t h e S e c r e t a r y w ould be a "v e ry p o w e r fu l f i g u r e i n

t h e n a t i o n a l t r a n s p o r t a t i o n p i c t u r e and " w i l l be a l e a d i n g

C a b in e t m e m b e r . H e c i t e d c o n t r o l o f t h e b u d g e t a s

goThe chamber w hich a c c e d e s t o t h e r e q u e s t f o r

a c o n fe r e n c e ( t h e H ouse, i n t h i s c a s e ) v o t e s f i r s t .

64 Congressional Record, October 13, 1966, p. 25588.

139t h e t a p r o o t o f t h e S e c r e t a r y ’s p o w e rs ,

On t h e S e n a te s i d e , S e n a to r J a c k s o n announced

t h a t t h e S e n a te c o n fe r e n c e m anagers had a c c e d e d v e ry

r e l u c t a n t l y t o th e rem ova l o f t h e F e d e r a l M aritim e

A d m i n i s t r a t io n from t h e new D e p a r tm e n t . He e x p l a i n e d ,

h o w ev er , t h a t t h e r e w ould have been "no D epartm en t o f

T r a n s p o r t a t i o n d u r in g t h i s C o n g r e s s , i f t h e c o n c e s s io n

had n o t been g r a n t e d .

A p p ro va l o f th e c o n fe r e n c e r e p o r t c o n s t i t u t e s

a p p r o v a l o f t h e comprom ise b i l l . The e n r o l l e d b i l l

was s e n t t o t h e W hite House f o r P r e s i d e n t i a l a c t i o n .

Mr. Jo h n so n s ig n e d t h e D epartm en t o f T r a n s p o r t a ­

t i o n Act i n t o law on t h e a f t e r n o o n o f O c to b e r 15 i n t h e

E a s t Room o f th e W hite House b e f o r e a g a t h e r i n g o f

65One o f t h e T ask F o rc e members s h a r e d t h i s v iew . "B o y d 's [ t h e S e c r e t a r y o f T r a n s p o r t a t i o n ] b i g g e s t t o o l s , " he a s s e r t e d , " a re b u d g e t and s u p p o r t o f t h e P r e s i d e n t . T hese two t o o l s make up f o r l a c k o f a d e q u a te la n g u a g e i n th e l a w ." H is e s t i m a t e was s h a r e d by a House s t a f f member: "On one h a n d , th eS e c r e t a r y ' s pow ers were s u b s t a n t i a l l y c o n t r o l l e d , b u t he s t i l l h a s c o n t r o l o f t h e b u d g e t . T h is i s a most p o w e r fu l t o o l . "

An in d e p e n d e n t o b s e r v e r came t o an o p p o s i t e v iew . The S e c r e t a r y , he m a i n t a i n e d , h a s "no a b i l i t y t o im pose b u d g e ta r y c o n t r o l . " The r e a l p r i o r i t i e s , a s he s e e s i t , a r e s e t . The highw ay p ro g ra m , f o r e x am p le , " i s a t r u s t fu n d — a s e l f - f i n a n c i n g one o v e r w hich t h e b u d g e t h a s no c o n t r o l . "

Congressional Record, op. cit., p. 25506.

140C ongressm en, C a b in e t o f f i c e r s , and M a y o r s . ^ The l e g i s ­

l a t i v e p h a se o f t h e r e o r g a n i z a t i o n c o n f l i c t had been

c lo s e d .

In h i s rem a rk s on t h e o c c a s i o n , th e P r e s i d e n t

p r a i s e d C on gress f o r i t s p a r t i n b r i n g i n g t h e new

D epartm ent i n t o e x i s t e n c e . He a l s o p a id t r i b u t e t o th e

f o r e s i g h t o f t h o s e i n d i v i d u a l s and g roups who had

c o n t r i b u t e d so much t o t h e o r i g i n a l c o n c e p t . But Mr.

J o h n s o n , m id s t t h e d i s p e n s i n g o f a c c o l a d e s , made known

a d e g re e o f d i s a p p o in tm e n t i n t h e f i n a l m ake-up o f th e

r e o r g a n i z a t i o n b i l l :

I n a few r e s p e c t s , t h i s b i l l f a l l s s h o r t o f o u r o r i g i n a l h o p e s . I t does n o t i n c l u d e th e M ari tim e A d m i n i s t r a t i o n . As e x p e r i e n c e i s g a in e d i n th e new D e p a r tm e n t , I would hope t h a t t h e C ongress c o u ld r e -e x a m in e i t s d e c i s i o n to l e a v e t h i s key t r a n s p o r t a t i o n a c t i v i t y a l o n e , o u t s i d e i t s j u r i s d i c t i o n .

The D epartm en t o f T r a n s p o r t a t i o n Act was now

P u b l i c Law 89-670 o f t h e 89t h C o n g re s s . T h us , a f t e r

some e i g h t m onths o f I n t e n s e e x p o su re t o l e g i s l a t i v e

p o l i t i c s and a lm o s t t h i r t y y e a r s o f s im m ering c o n f l i c t

w i t h i n E x e c u t iv e B ranch p o l i t i c s , t h e b u lk o f t h e

t r a n s p o r t a t i o n f u n c t i o n s o f th e f e d e r a l governm ent

6 7Among t h e a t t e n d e e s were S e c r e t a r y o f Commerce

C onnor, S e c r e t a r y o f th e T re a s u ry F o w le r , S e n a to r s M a n s f i e I d , and J a c k s o n , S p e a k e r McCormack, Congressm an H o l i f i e l d , and Congresswoman Dwyer.

6 8P r e s s r e l e a s e , O f f i c e o f th e W hite House P r e s s S e c r e t a r y , O c to b e r 1 5 , 1966.

were i n c o r p o r a t e d i n t o a s i n g l e d e p a r tm e n t .

141

A n a ly s i s

The f l o o r s t a g e i s a p r e r e q u i s i t e s t e p i n th e

en ac tm en t o f any la w .^ 9 i t had been o b s e rv e d i n th e

p r e v io u s c h a p t e r t h a t C o n g re s s , s i t t i n g a s a w hole b o d y ,

i s c a p a b le o f p l a y i n g a key r o l e i n t h e f i n a l s h a p in g

o f a p i e c e o f m a jo r l e g i s l a t i o n . What was t h e n a t u r e o f

th e d e b a te on t h e D epartm en t o f T r a n s p o r t a t i o n Act?

Who e x e r t e d s u b s t a n t i a l i n f l u e n c e upon th e outcome o f

th e d e b a te ? I n s u b s e q u e n t p a r a g r a p h s , an a t t e m p t w i l l

be made t o an sw er t h e s e q u e s t i o n s . An a s s e s s m e n t o f

th e f o r c e s and f a c t o r s o p e r a b le i n th e c o n fe re n c e

com m ittee w i l l a l s o be a t t e m p te d .

The b i l l t o c r e a t e a D epartm en t o f T r a n s p o r t a t i o n

was d e b a te d a t c o n s i d e r a b l e l e n g t h i n b o th H o u s e s , The

d e b a te i n th e House l a s t e d t h r e e d a y s . ? 0 The S e n a te ,

69 R e f e r r a l t o a com m ittee i s n o t , p a r a d o x i c a l l y , i n s p i t e o f i t s p re e m in e n t r o l e to d a y i n t h e l e g i s l a t i v e p r o c e s s .

70M acN eil n o t e s : " In m i d - t w e n t i e th c e n t u r y , t h e

House r a r e l y h a s a l l o t t e d even two a f t e r n o o n s o f d e b a te f o r th e most c o n s e q u e n t i a l l e g i s l a t i o n . ” M acN eil , o p . c i t . , p . 3 0 1 .

Gallow ay makes t h e same o b s e r v a t i o n o f House d e b a t e . He fo und t h a t i t " r a r e l y l a s t s more t h a n one o r two days p e r b i l l . " George B. G a llo w ay , H i s to r y o f t h e House o f R e p r e s e n t a t i v e s (New Y ork: C ro w e l l , 19^T) 3p . lU T .

142

c h o o s in g t o c u r t a i l i t s g e n e r a l r u l e o f u n l i m i t e d d e b a te

by means o f a unanim ous c o n s e n t a g re e m e n t , n o n e th e l e s s

gave t h e b i l l c a r e f u l c o n s i d e r a t i o n i n t h r e e h o u rs o f

d e b a t e .

C o n g r e s s io n a l d e b a te i s f a r e a s i e r t o d e s c r i b e

t h a n t o a n a ly z e o r e x p l a i n . I n t h e House d e b a te on th e

r e o r g a n i z a t i o n b i l l , s t r o n g em o tion p e rv a d e d t h e s p e e c h e s .

The S e n a te d e b a te was m arked by l e s s c o n t r o v e r s y and

a c r im o n y . I n b o th H o u ses , i n s p i t e o f th e r e l a t i v e

l e n g t h o f t h e d e b a t e s , t h e number o f r e a l i s s u e s was v e ry

s m a l l . The s o l i d i s s u e s w ere w e l l d e f i n e d : S e c t i o n 7

and th e p la c e m e n t o f m a r i t im e m a t t e r s . The S e n a te

s t r e s s e d t h e f o r m e r , t h e House t h e l a t t e r . Many C o n g re ss ­

men spoke a t l e n g t h on num erous o t h e r s u b j e c t s , b u t

d e b a te on them was p e r f u n c t o r y . ^ ^ O f te n th e i n t e n t o f

F o r ex am p le , M i l l e r w r o te : "The i d e a o f t h eHouse a s a forum f o r p u b l i c e x p r e s s i o n i s a huge f i c t i o n w h ich s h o u ld be w e l l - r e c o g n i z e d . D ebate i n t h e House i s u s u a l l y a s h a l lo w t h i n g , d i f f i c u l t t o f o l l o w , and i t m ust be d i f f i c u l t t o r e p o r t . " M i l l e r , ojd. c i t . , p p . 1 0 4 -1 0 5 .

72C o n t ra ry t o a c c e p te d e s t i m a t e s o f t h e r e l a t i v e

c a l i b e r o f d e b a te i n t h e two H o u ses , t h e S e n a te d e b a te was g e n e r a l l y more d e s u l t o r y . S e n a to r P ro x m ire , a l th o u g h la m e n t in g t h e p o rk b a r r e l o v e r to n e s o f t h e S e n a te v e r s i o n o f S e c t i o n 7 , p u sh e d s t r e n u o u s l y f o r b e t t e r t r e a t m e n t f o r t h e S t . Lawrence Seaw ay. I n t h e l o n g e s t i n d i v i d u a l s p e e c h o f t h e d e b a t e , S e n a to r Kennedy ( M a s s a c h u s e t t s ) sp o k e , i n a g e n e r a l l y nongerm ane v e i n , o f t h e f u t u r e p ro b lem s and n e ed s o f d o m e s t ic c i v i l a v i a t i o n .

W h ite , among o t h e r s , s t r e s s e s t h e h i g h e r q u a l i t y o f d e b a te and d e l i b e r a t i o n i n t h e S e n a te i n co m parison w i th t h e House. See W il l ia m S . W h ite , Home P la c e

143

t h e s p e a k e r seemed m e re ly t o r e c o r d h i s p o s i t i o n f o r

th e b e n e f i t o f h i s c o n s t i t u e n t s .73

I t h a s been s a i d t h a t g e n e r a l d e b a te changes few

v o t e s . 7^ On t h e o t h e r h a n d , t h e d i s c u s s i o n s u r r o u n d in g

p ro p o s e d amendments may be s i g n i f i c a n t . At a c r u c i a l

p o i n t , a key sp e e c h may make a d i f f e r e n c e .75 a c a se i n

p o i n t i s t h e d e b a te i n t h e House on t h e m o tio n t o s t r i k e

t h e C oast Guard from t h e new D e p a r tm e n t . Bad t h e amend­

ment c a r r i e d , d i r e c t l y f o l l o w in g th e a c c e p ta n c e o f t h e

amendment t o remove t h e F e d e r a l M ari tim e A d m i n i s t r a t i o n ,

a s n o w b a l l in g e f f e c t m igh t have been c r e a t e d . 7^ The

(B o s to n : Houghton M i f f l i n , 1 9 6 5 ) , p p . 2 5 -2 6 . W ith t h el i m i t e d d e b a te im posed by t h e unanim ous c o n s e n t a g r e e ­m en t , su ch a c o n t r a s t d i d n o t m a n i f e s t i t s e l f i n th e d e b a te on H. R. 15963*

73Most s p e a k e r s made u se o f t h e p r a c t i c e o f s e c u r i n g p e r m i s s io n t o " r e v i s e and e x te n d " r e m a rk s ,Clapp p r o v i d e s an e x c e l l e n t e x p l a n a t i o n o f t h e s e p r o c e d u r e s a s v iew ed by Congressm en th e m s e lv e s . C la p p , o p . c i t . , p p . 13 3 -1 3 6 .

74 "The p r e v a i l i n g v iew i s t h a t sp e e c h e s r a r e l y i n f l u e n c e many House v o t e s . " C la p p , o£ . c i t . , p . 125 .See a l s o M i l l e r , ojd. c i t . , p . 107. But MacNeil c a u t i o n s : " D e s p i te t h e i l l r e p u t e o f House d e b a t e , no l e g i s l a t i v e s t r a t e g i s t h a s e v e r d a re d t o i g n o r e fo rm a l d e b a te on th e House f l o o r . To do so w ould h a z a r d t h e v e ry outcome o f t h e v o t e . " M acN eil , ojd. c i t . , p . 328.

^ C l a p p , a l t h o u g h h o l d in g t o h i s v iew s on g e n e r a l d e b a t e , b e l i e v e s : "Even on i m p o r t a n t i s s u e s , h o w ev er ,d e b a te on amendments may be d e t e r m i n a t i v e . " C la p p , o p . c i t . , p . 1 2 6 .

76As one T ask F o rc e member rem a rk ed : " . . . When

t h e m a r i t im e c r i s i s d e v e lo p e d , I became p e s s i m i s t i c . . . .

144

rem ark s o f su c h s t a u n c h s u p p o r t e r s o f th e C o as t Guard

a s Congressm en P a s c e l l and C h am b erla in may w e l l have

stemmed t h e t i d e . 77

Com mittee I n f l u e n c e

I f g e n e r a l d e b a te had l i m i t e d e f f e c t on th e

r e o r g a n i z a t i o n b i l l i n b o th H o u ses , where can t h e d e t e r ­

m in a t iv e i n f l u e n c e s be found? Woodrow W ilson a s s e r t e d :

"Power i s nowhere c o n c e n t r a t e d [ i n C o n g r e s s ] ; i t i s

r a t h e r d e l i b e r a t e l y and o f s e t p o l i c y s c a t t e r e d am ongst

many s m a l l c h i e f s . "78 T here i s l i t t l e d o u b t , how ever ,

t h a t t h e m a jo r d e te r m in a n t i n t h e outcome o f t h e . D e p a r t ­

ment o f T r a n s p o r t a t i o n b i l l was th e t r a d i t i o n a l d e f e r e n c e

t h a t t h e f u l l b o d ie s a c c o rd t o t h e i r c o m m itte e s . C o n g re s s ,

i t i s s a i d , " i s a c o l l e c t i o n o f com m ittees t h a t come

t o g e t h e r i n a cham ber p e r i o d i c a l l y t o app rov e one

a n o t h e r ' s a c t i o n s . "79 The C o n g r e s s io n a l e d i f i c e i s

b u i l t upon t h e e x p e r t i s e o f i t s com m ittees and i t t a k e s

I f m a r i t im e w e n t , I f e l t C o as t Guard would g o , th e n FAA, th e n t h e whole b a l l o f w ax ."

77The t e l l e r v o te o f 107-73 was one o f t h e few r e l a t i v e l y c lo s e v o t e s d u r in g t h e d e b a te on th e b i l l .

7 8W ilso n , o j k c i t . , p . 92.

79Miller, o£. cit., p. 110.

145I n t e n s e o p p o s i t i o n t o p r e v a i l a g a i n s t com m ittee

d e t e r m i n a t i o n s . ®°

To b e g in w i t h , t h e C om m ittees h ad p ro v id e d t h e

two Chambers w i th f i n i s h e d p r o d u c t s a b o u t w hich t h e y

had m a r s h a l l e d q u i t e an a r r a y o f k no w led ge . Added t o

t h i s a d v a n ta g e was t h e m a jo r r o l e t h a t t h e Com m ittees

p l a y e d i n o r g a n i z i n g and d e v e lo p in g t h e d e b a te i n t h e i r

r e s p e c t i v e Cham bers. They c a s t t h e r e o r g a n i z a t i o n b i l l

i n t h e l i g h t t h e y saw f i t and th e r e b y c h a n n e le d t h e

d e b a te t o a g r e a t e x t e n t . S u c c e s s f u l l y am ending t h e

Com mittee b i l l on t h e F l o o r by t h e g e n e r a l b o d y , t h e r e -On

f o r e , was a d i f f i c u l t p r o c e s s .

Ten amendments w ere a c c e p t e d i n t h e H ouse; o f

t h e s e , s i x were o f f e r e d by members o f th e Committee on

Government O p e r a t io n s . T hree s u c c e s s f u l amendments

were p ro p o s e d by members o f t h e Com m ittee on P u b l i c

Works.®2 The m a jo r amendment, p r o p o s in g th e d e l e t i o n

o f F e d e r a l M aritim e A d m i n i s t r a t i o n , was p ro p o se d by

W ildavsky c o n c l u d e s : "Members b e l i e v e t h a tt h e House w ould ’ru n w i l d ’ i f ’o r d e r l y p r o c e d u r e ’— t h a t i s , a c c e p ta n c e o f com m ittee reco m m en d a tio n s— were n o t f o l l o w e d . " Aaron W ild av sk y , The P o l i t i c s o f t h e B u d g e ta ry P r o c e s s (B o s to n : L i t t l e , Brown, 19f>4), p . 5 1 .

8 l "Changes and amendments can be made on t h e F l o o r , b u t , g e n e r a l l y s p e a k in g , t h e a c t i o n t h e r e i s c o n f in e d t o c r y s t a l l i z i n g and d i s t i l l i n g t h e com m ittee p r o c e s s . " M i l l e r , o p . c i t . , p . 4 .

®2Two o f t h e t h r e e (Cram er and H a rsh a ) a r e a l s o members o f t h e R e p u b l ic a n P o l i c y Com m ittee .

146R e p r e s e n t a t i v e G arm atz , Chairm an o f t h e M erchan t M arine

and F i s h e r i e s Com mittee a s w e l l a s a member o f t h e

Committee on Government O p e r a t io n s .

On t h e e i g h t amendments r e j e c t e d by t h e H ouse , a

s i m i l a r l i n e - u p p r e v a i l e d . S ix d e f e a t e d a m e n d m e n t s ® 3

w ere p ro p o s e d by members o f t h e Committee on Government

O p e r a t i o n s ; one e a c h was o f f e r e d by a member o f th e Com­

m i t t e e s on P u b l i c Works and M erchan t M arine and F i s h e r i e s .

T h u s , a l l t h e amendments p r o p o s e d , w h e th e r s u c c e s s f u l o r

u n s u c c e s s f u l , came from members o f o n ly t h r e e o f t h e

tw e n ty c o m m ittee s o f t h e H ouse. Even more s i g n i f i c a n t l y ,

two t h i r d s o f them®1* w ere o f f e r e d by members o f t h e

Com mittee on Government O p e r a t io n s .

A s i m i l a r s i t u a t i o n o b t a i n e d on t h e F l o o r o f th e

S e n a te . A l l o f t h e f i v e amendments p ro p o s e d w ere a c c e p t e d .

Of t h e f i v e , two w ere from a member o f t h e Committee on

Government O p e r a t i o n s ; one was from a member o f t h e P u b l i c

Works C om m ittee ; and two w ere from t h e Committee on

Commerce.

QqT h ree o f them w ere on t h e g e n e r a l s u b j e c t o f

a i r c r a f t n o i s e a b a te m e n t .

8 4 Twelve o u t o f e i g h t e e n .

8 5 The Com m ittee on Commerce o f t h e S e n a te h a s a s i t s j u r i s d i c t i o n t h e r e g u l a t i o n o f i n t e r s t a t e t r a n s p o r t a ­t i o n , c o m m u n ic a t io n s , i n l a n d w a te rw a y s , C o as t G uard , M erchant M a r in e , c i v i l a e r o n a u t i c s e x c e p t a c t i v i t i e s o f NASA, f i s h e r i e s and w i l d l i f e , W eather B u re a u , C oast and G e o d e t ic S u rv e y , and t h e B ureau o f S t a n d a r d s . The

147

I n b o th H o u ses , members from o n ly s i x o f t h e

t h i r t y s i x s t a n d i n g co m m ittees p ro p o s e d amendments t o

t h e r e o r g a n i z a t i o n b i l l . The s i x r e p r e s e n t e d w ere t h o s e

e x e r c i s i n g s i m i l a r J u r i s d i c t i o n i n b o th H o u ses . I n

e s s e n c e , even from t h e s t a n d p o i n t o f i n t r o d u c i n g c h a n g e ,86com m ittee i n f l u e n c e was d o m in an t .

But r e s i s t i n g and i n t r o d u c i n g change a r e n o t th e

s o l e m ea su re s o f i n f l u e n c e . The a b i l i t y t o sway v o te s

and u l t i m a t e l y e f f e c t t h e change i s t h e m ost v i t a l

i n g r e d i e n t . The m a jo r a c t o r s i n t h i s a s p e c t a r e d i f f i c u l t

t o p i n down, l e t a lo n e a s s e s s . Yet i t seems a p p a r e n t

from t h e d a t a t h a t , a l th o u g h th e p r i o r a c t i o n o f th e

com m ittees p r e c l u d e d m a jo r change t o t h e r e o r g a n i z a t i o n

b i l l , i n d i v i d u a l a c t o r s were a b le t o e x e r t some i n f l u e n c e

amendments were p ro p o s e d by t h e Chairm an o f th e Subcom m ittee on A v ia t io n (Monroney) and a member o f t h e Subcom m ittee on M erchan t M arine and F i s h e r i e s ( B r e w s t e r ) .

86An a n a l y s i s o f t h e f i n a l v o te i n d i c a t e s t h a t

p a r t y i n f l u e n c e was n e g l i g i b l e o r n o n - e x i s t e n t . In th e S e n a t e , t h e v o t e o f D em ocrats (4 8 -1 ) imd R e p u b l ic a n s ( 1 6 -1 ) f a i l s t o d e p i c t p a r t y l i n e - u p . A p a r t i s a n s p l i t was a l s o m is s in g i n t h e House—D em ocrats 2 3 5 -2 3 ; R e p u b l ic a n s 1 0 1 -1 9 .

The i n f l u e n c e o f p a r t y l e a d e r s h i p o v e r a l l was n o t d e t e r m i n a t i v e b u t i t was n o t a l t o g e t h e r a b s e n t .T h ere was i n d i r e c t i n f l u e n c e p r e s e n t : i n t h e r e f e r r a la c t i o n s i n b o th H o u ses ; i n g e t t i n g th e b i l l on th e s c h e d u l e ; i n s e c u r i n g t h e unanim ous c o n s e n t ag reem en t i n t h e S e n a te ; and i n t h e a p p o in tm e n t o f c o n fe re n c e m a n a g e r s .

148o v e r th e c o u rs e and outcom e o f t h e d e b a te .® ^

I n d i v i d u a l I n f l u e n c e s

The i n d i v i d u a l i n f l u e n c e s r e i n f o r c e d r a t h e r t h a n

s u p p l a n t e d com m ittee i n f l u e n c e . I n t h e H ouse , t h e m ost

s i g n i f i c a n t r o l e was p l a y e d by H o l i f i e l d . He announced

t o t h e House d u r in g t h e c o u r s e o f d e b a te on H. R. 15963

h i s p h i lo s o p h y o f a c t i o n : "The a r t o f p o l i t i c s — th e a r t

o f l e g i s l a t i o n — i s t o a t t a i n th e p o s s i b l e , n o t t h e

i m p o s s i b l e , n o t b r e a k in g y o u r n eck on t h e i m p o s s i b l e ,

b u t t o o b t a i n a s much a s p o s s ib le ." ® ®

H o l i f i e l d fs pow er stemmed from a b l e n d o f many

f a c t o r s : h i s s e n i o r i t y , h i s r o l e s a s A c t in g Chairm an

o f th e Com mittee on Government O p e r a t io n s and m a j o r i t y

f l o o r m anager o f th e b i l l , h i s e x p e r i e n c e i n h a n d l i n g

m a jo r r e o r g a n i z a t i o n b i l l s , and h i s d e t a i l e d know ledge

on a l l a s p e c t s o f t h e D ep artm en t o f T r a n s p o r t a t i o n 8QB i l l . * He e x h i b i t e d h i s v i r t u o s i t y a s a l e g i s ­

l a t i v e t a c t i c i a n th ro u g h o u t th e t h r e e days o f d e b a t e .

^ A cco rd in g t o Young, a "g roup o f key f i g u r e sp re d o m in a te s i n e v e ry f l o o r d e b a t e . " R o land Young,o p . c i t . , p . 133»

88C o n g r e s s io n a l R e c o rd , August 30 , 1967* P* 20371.

® ^ M i l le r 's v iew was t h a t power i s " p e r s o n a l as w e l l a s h i e r a r c h i c a l . " But he n o te d a l s o t h e r e l a t i o n ­s h i p be tw een t h e tw o: "Power a d h e r e s t o com m itteec h a i rm e n , and f i l t e r s s lo w ly down to th e lo w e r r a n k s . "M i l l e r , op., c i t . , p p . 96 and 110 .

149H o l i f i e l d was t e n a c i o u s i n p u s h in g f o r t h e " p o s s i b l e . "

And, i n m ost i n s t a n c e s , h i s a b i l i t y t o d i s c e r n t h e

a t t a i n a b l e was a d m i r a b le .

The h a n d l i n g o f S e c t i o n 7 i n t h e House d e b a te

i l l u s t r a t e s w e l l H o l i f i e l d 1s s t y l e . I t seems e v i d e n t

t h a t t h e r e s o l u t i o n o f S e c t i o n 7 had b e en w orked o u t w e l l

i n advance o f F l o o r d e b a t e . As t h e f i r s t amendment t o

t h e b i l l , E r l e n b o r n , t h e m in o r i t y f l o o r m an a g e r , p ro p o s e d

t o e l i m i n a t e w hat he te rm e d " p ro b a b ly th e m ost c o n t r o ­

v e r s i a l s e c t i o n i n t h e b i l l . "9^

B e fo re E r le n b o r n had begun any rem ark s i n a m p l i f i c a ­

t i o n , H o l i f i e l d r e q u e s t e d t h a t he y i e l d t o h im . A lthough

d e f e n d in g t h e p r i n c i p l e u n d e r w hich t h e s e c t i o n was

d e v i s e d , H o l i f i e l d a d m i t te d t h a t , u n f o r t u n a t e l y , S e c t i o n

7 had become "a b i g s u b j e c t o f a rgum ent w hich s t r e t c h e s

way beyond i s s u e s i n t h e c a s e . " 92 S t a t i n g t h a t he was

aw are t h a t a l a r g e num ber o f amendments w ould be p ro p o s e d

i f S e c t i o n 7 r e m a in e d , H o l i f i e l d d e c l a r e d t h a t i t seemed

" p r e f e r a b l e r a t h e r t h a n t a k e t h e t im e o f t h e House t o

d e b a te 10 o r 15 amendments on a s e c t i o n o f t h e b i l l w h ich

9 H o l i f i e l d p e r s o n i f i e s one o f t h o s e l e a d e r s M acNeil p re s u m a b ly had i n mind when he w r o te : " . . . Aknow ledge o f t h e r u l e s and p r e c e d e n t s o f t h e H ouse , an i n n e r s e n s e o f t h e c h an g in g moods o f t h e H ouse , and a w i l l i n g n e s s t o work h a r d and f a i t h f u l l y have a lw ays g iv e n t h e House t a c t i c i a n s a d e c id e d p a r l i a m e n ta r y a d v a n ta g e i n d e te r m in in g t h e n a t u r e and d i r e c t i o n o f A m erican l a w ," M acN eil , op . c i t . , p . 369.

91Congre s si onal Re cord, August 30, 1966, p. 20343.92Ibid.

150

h ad a l r e a d y b e en n a rro w ed down t o e l i m i n a t e t h e s e c t i o n

e n t i r e l y . "93 The m o tio n was a g re e d t o w i th o u t f u r t h e r

d e b a te f o l lo w in g h i s r e m a rk s .

H o l i f i e l d !s a b i l i t y t o d i v i n e t h e p o s s i b l e from

t h e im p o s s ib l e was n o t Im p e c c a b le . He c l e a r l y m is ju d g e d

th e te m p e r o f t h e House on t h e m a r i t im e i s s u e and fo u g h t

t h e Garmatz amendment t o t h e e n d . I t i s p o s s i b l e t h a t ,

i n t h i s i n s t a n c e , he u n d e r e s t im a te d t h e im p a c t o f ‘s i . :

t e l e g r a m o f George Meany, P r e s i d e n t o f th e AFL-CIO.

On August 2 4 , 1966 , t h e o p e n in g day o f t h e House

d e b a t e on t h e r e o r g a n i z a t i o n b i l l and two days f o l lo w in g

H o l i f i e l d * s p l e a t o i g n o r e t h e c la m o r f o r a s e p a r a t e

m a r i t im e mode, Meany s e n t a l e n g th y t e l e g r a m t o R ep re ­

s e n t a t i v e G arm atz . Garmatz r e a d t h e telegram^** t o t h e

House on t h e f i n a l day o f d e b a t e , a t t h e c l o s e o f rem a rk s

i n s u p p o r t o f h i s amendment t o d e l e t e th e F e d e r a l

M a r i t im e A d m i n i s t r a t i o n from t h e b i l l . 9^

93I b i d . , p . 20344,

9 4 He a l s o r e a d t e l e g r a m s from th e P r e s i d e n t o f th e A m erican M erchan t M arine I n s t i t u t e , I n c . ( s e n t August 2 3 ) , from t h e P r e s i d e n t o f t h e S h i p b u i l d e r s ’ C o u n c il o f A m erica ( s e n t August 30) and from an "SOS” Com m ittee— J o s e p h C u rran was one o f t h e s i g n e r s — r e p r e s e n t i n g a l l m a r i t im e u n io n s a f f i l i a t e d w i th t h e AFL-CIO ( s e n t A ugust 2 9 ) , s u p p o r t i n g G arm a tz ’ s s t a n d . F o r t h e t e x t s , s e e C o n g r e s s io n a l R e c o rd , August 3 0 , 1967 , PP» 20356-20357 .

9^ In a m a s t e r f u l u n d e r s t a t e m e n t , G arm atz c o n c lu d e d a s f o l lo w s : "Mr. C ha irm an , I b e l i e v e t h e s e t e l e g r a m sw i l l be o f i n t e r e s t t o t h e com m ittee [ o f t h e Whole] and I I n c lu d e them a t t h i s p o i n t . " C o n g r e s s io n a l R e c o rd , o p . c i t . , p . 20356.

151I n th e t e l e g r a m , Meany s t a t e d t h a t on t h a t day

(A ugust 24) t h e AFL-CIO E x e c u t iv e C o u n c il h a d u n an im o u s ly

a d o p te d a s t a t e m e n t " s t r o n g l y s u p p o r t i n g t h e e f f o r t t o

e s t a b l i s h an in d e p e n d e n t m a r i t im e a g e n c y . "96 A l l o f

l a b o r had b e en swung b e h in d t h e Garmatz amendment a t a

c r i t i c a l j u n c t u r e i n t h e l e g i s l a t i v e p r o c e s s . 97 From

t h i s p o i n t o n , t h e members o f t h e House v i e d w i th e a c h

o t h e r i n an a t t e m p t t o g e t an o p p o r t u n i t y t o avow t h e i r

s u p p o r t f o r th e am endm ent.9® The f i n a l v o te on th e

amendment was e a s i l y p r e d i c t a b l e . 9 9

96I b i d . , p . 20357.

97A S e n a te s t a f f member made t h e a p p r a i s a l :"The t e l e g r a m from George Meany m eant t h a t a v o te a g a i n s t t h e [amendment s p o n s o re d by t h e ] M erchant M arine and F i s h e r i e s Com mittee [ o f t h e H ouse] w ould be a v o te a g a i n s t l a b o r . " A member o f t h e T ask F o rc e su rm ise d t h a t " a g iv e n Congressm an c o u ld v o te a g a i n s t m a r i t im e and f o r DOT [ t h e D ep artm en t o f T r a n s p o r t a t i o n ] w i th o u t l o o k in g t o o b a d i n t h e P r e s i d e n t ’ s e y e s . "

Meany and t h e AFL-CIO E x e c u t iv e C o u n c i l , u s i n g s i m i l a r t a c t i c s , p r o b a b ly p l a y e d a m a jo r p a r t i n f o r c i n g P r e s i d e n t Jo h n so n i n March 1967 t o d e la y h i s p r o p o s a l t o m erge t h e D e p a r tm en ts o f Commerce and L a b o r . See "LBJ S h e lv e s M erger o f L a b o r , Commerce," W ash ing ton P o s t , March 1 8 , 1967.

98T here wae c o n s i d e r a b l e u se o f w hat one fo rm e r s e n i o r A d m i n i s t r a t i o n o f f i c i a l te rm ed " th e f l a g o f c o n v e n ie n c e " — u s i n g n a t i o n a l d e fe n s e and f la g w a v in g a s a mask f o r s u b s id y c o n s i d e r a t i o n s .

99H o l i f i e l d , i n r e t r o s p e c t , a c k n o w le d g e d , th a t t h e t e l e g r a m " p u t a l l o f l a b o r on t h e s i d e o f t h e m a r i t im e i n t e r e s t s . " But he f e l t t h a t , ev en more i m p o r t a n t , " v e s t e d i n t e r e s t s i n t h e c o n s t r u c t i o n and o p e r a t i o n o f s h i p s and h a r b o r i n t e r e s t s com bined t o e n a b le them t o e x c lu d e th e m s e lv e s from t h e b i l l . " I n t e r v i e w .

152

P e r s o n a l I n f l u e n c e on t h e r e o r g a n i z a t i o n b i l l

i n t h e S e n a te was n o t so c l e a r l y e t c h e d . S e n a to r s J a c k s o n

and Mundt f i g u r e d p r o m in e n t ly i n t h e d e b a t e , b u t d i d n o t

o r c h e s t r a t e t h e d e b a te a s d i d H o l i f i e l d . P a r t o f t h e

answ er l i e s i n t h e t r a d i t i o n a l freedom o f d e b a te i n t h e

S e n a te ; p a r t a l s o can be a t t r i b u t e d t o t h e f a c t t h a t no

S e n a to r a p p e a re d a s i n d i v i d u a l l y know ledgeable o f t h e

s u b j e c t a s was H o l i f i e l d .

T h is i s n o t t o s a y t h a t no i n d i v i d u a l s s t o o d o u t

d u r i n g th e d e b a te on S. 3010. S e n a to r J a c k s o n was

p a r t i c u l a r l y e f f e c t i v e i n t h e h a n d l i n g o f t h e B re w s te r

amendment. S e n a to r Mundt ( w i th an a d r o i t a s s i s t from

J a c k s o n ) b l u n t e d a one-man a t t a c k by S e n a to r P ro x m ire

on t h e C o m m it te e -sp o n so re d e v a l u a t i o n fo rm u la f o r w a t e r

r e s o u r c e p r o j e c t s . " 1-®0 N o n e t h e l e s s , no i n d i v i d u a l managed

A s e n i o r BOB o f f i c i a l o p in e d t h a t "Garmatz had a n a t u r a l a l l i a n c e w i th s h i p p i n g u n io n s and ow ners— he d i d n ' t w ant t o be p h a s e d o u t o f e x i s t e n c e . " The o p i n io n do es n o t f i t v e ry w e l l w i t h t h e f a c t t h a t H o l i f i e l d was c a r e f u l t o p o i n t o u t t h a t com m ittee j u r i s d i c t i o n h a d b e e n l e f t i n t a c t by th e l e g i s l a t i o n .

100S e n a to r P ro x m ire p r e d i c t e d t h a t t h e la n g u a g e

"w ould open t h e o ld p o rk b a r r e l t o l i t e r a l l y b i l l i o n s o f d o l l a r s — o v e r t h e y e a r s — o f u n j u s t i f i e d and w a s t e f u l w a t e r p r o j e c t s . " P ro x m ire s t a t e d : " I d i d n o t knowa b o u t t h i s f e a t u r e [unanim ous c o n s e n t a g re e m e n t] o r I w ould n o t have g iv e n my c o n s e n t ; and I s h a l l n o t do so f o r t h e r e m a in d e r o f t h e s e s s i o n on m a jo r b i l l s , b e c a u s e o f j u s t su ch d e v e lo p m e n ts a s t h i s . " D u r in g t h e exchang e w i t h M undt, P ro x m ire d i s p l a y e d f a r l e s s u n d e r s t a n d i n g o f t h e e x a c t p r o v i s i o n s o f t h e b i l l s o f b o th H o u ses . I n t h e e n d , he d e c l a r e d : " I s h a l l v o te a g a i n s t t h e b i l lb e c a u se t h e p i g Jumped o u t o f t h e b a r r e l w i th t h e S e n a to r from S ou th D ako ta [M u n d t] ." C o n g r e s s io n a l R e c o rd , S ep tem b er 2 9 , 1966 , p p . 23424-23429 and ppT 23438-2344T:

153t o w ie ld s u f f i c i e n t i n f l u e n c e t o overcom e o r even

m i l d l y m odify th e combined i n f l u e n c e o f t h e Com m ittee

a n d t h e w aterw ay b l o c . And, a s was i n d i c a t e d e a r l i e r ,

t h i s b l o c , h e ad e d by M c C le l l a n ,101 h ad d o m in a ted t h e102com m ittee d e l i b e r a t i o n s .

I n sum, t h e S e n a t e ' s p r e o c c u p a t io n was w i th

S e c t i o n 7 and i t e s s e n t i a l l y a u t h e n t i c a t e d th e d e c i s i o n s

o f i t s C om m ittee . The H ouse , a s w i th i t s C om m ittee , was

g a lv a n iz e d to w a rd th e m a r i t im e i s s u e . B u t , u n l i k e t h e

S e n a t e , h e r e l e g i s l a t i o n was w r i t t e n on t h e F l o o r — th e

F e d e r a l M a r i t im e A d m i n i s t r a t i o n was removed from t h e new

M c C le l la n r e p e a t e d l y r e f e r r e d t o t h e S e n a te amendment t o S e c t i o n 7 a s "my am endm ent." See f o r ex am p le , ( C o n g r e s s io n a l R e c o rd , O c to b e r 1 3 , 1 9 6 6 , p . 25597) h i s t r i b u t e t o S e n a to r J a c k s o n f o r h i s a s s i s t a n c e i n r e t a i n i n g "my amendment t o s e c t i o n 7 . "

102T h ere were no d a t a t o i n d i c a t e t h a t , beyond t h e w e l l - r e c o g n i z e d ( b u t t e c h n i c a l l y b a r r e d ) lo b b y in g a c t i v i t i e s o f t h e v a r i o u s E x e c u t iv e B ranch l e g i s l a t i v e l i a i s o n and c o n g r e s s io n a l r e l a t i o n s o f f i c e ? , t h e r e was d i r e c t i n t e r v e n t i o n from t h e W hite House d u r in g t h e f l o o r s t a g e o f t h e b i l l . A fo rm e r s e n i o r A d m in is t r a ­t i o n o f f i c i a l a v e r r e d : " P r e s i d e n t Jo h n so n d i d n ' tsp en d much t im e on DOT. He made no d e c i s i o n on m a r i t im e ; h e c o u l d n ' t c a r e l e s s w h e th e r i t was i n o r o u t . "

A S e n a te s t a f f member s t a t e d t h a t " o b v i o u s l y , t h e P r e s i d e n t had n o t c o n s u l t e d t h e members on t h e H i l l o r h a d n o t t a k e n t h e i r a d v ic e " on S e c t i o n 7. A cco rd in g t o th e same i n d i v i d u a l , t h e A d m i n i s t r a t io n c o n t a c t men " th o u g h t th e y had t h e t r o o p s " on th e m a r i t im e i s s u e . B e fo re th e d e b a t e , i n answ er t o a d i r e c t q u e r y , he r e c e i v e d t h e same answ er from Admin­i s t r a t i o n spokesm en and from t h e M erchant M arine and F i s h e r i e s Com mittee s t a f f —b o th f e l t t h e y had 250 v o te s i n t h e i r f a v o r (261-117 was t h e r o l l - c a l l t a l l y ) .

154

D e p a r tm e n t . The tw in i n f l u e n c e s o f w id e s p re a d p r o -

m a r i t im e sentiment10^ add t h e o v e r t s u p p o r t o f o r g a n iz e d

l a b o r p r e v a i l e d o v e r t h e Committee p o s i t i o n and th e

p e r s o n a l p r e s t i g e o f i t s spokesm an.

The " T h ird House"

The c o n fe r e n c e i s t h e s u d d e n - d e a th p l a y o f f o f

t h e l e g i s l a t i v e p r o c e s s . 101* Em erg ing from t h e two day

s e s s i o n , b o th s i d e s h a d made c o n c e s s i o n s . 105 The House

f o r c e d t h e S e n a te c o n f e r e e s t o bow on t h e m a r i t im e

i s s u e . 10** The S e n a te g o t i t s way on S e c t io n 7*10^

new sp ap er s t a f f w r i t e r who h a s done e x t e n s i v e r e s e a r c h on th e m a r i t im e i n d u s t r y f e e l s t h a t " th e power o f t h e m e rc h a n t m ar in e i s i t s d i s p e r s i o n th r o u g h o u t t h e c o u n t r y . . . . I t u n i t e s M i s s i s s i p p i and New Y o rk ."

104,tprom out s e t t h e C o n fe re n ce com m ittee h as been a medium o f c o n t in u o u s s t r u g g l e f o r l e g i s l a t i v e suprem acy b e tw een t h e House o f R e p r e s e n t a t i v e s and t h e S e n a t e . " G a llo w ay , 0£ . c i t . , p . 232.

10-*The e x a c t way i n w h ich t h e s e c o n c e s s io n s were r e a c h e d i s unknown. W ildavsky e x p l a i n s why: "Theb a r g a i n i n g [ i n th e c o n fe re n c e c o m m ittee ] i s c a r r i e d on i n g r e a t s e c r e c y t o f a c i l i t a t e g iv e and t a k e . "W ild av sk y , o]3. c i t . , p . 61.

10**Senator M a n s f i e ld , t h e M a jo r i t y L e a d e r , a l th o u g h s u p p o r t i n g t h e c o n fe r e n c e r e p o r t , fo u nd i t n e c e s s a r y t o r e g i s t e r h i s "deep d i s a p p o in tm e n t t h a t t h e S e n a te b i l l was n o t a c c e p t e d , i n c l u d i n g t h e M a ri t im e A d m i n i s t r a t i o n p r o v i s i o n . " Mr. J a c k s o n s t a t e d t h a t he " s h a r e d t h e m a j o r i t y l e a d e r ’ s deep d i s a p p o in t m e n t , " b u t t h a t t h e S e n a te c o n f e r e e s "had no o t h e r c h o ic e i n th e m a t t e r . " S e n a to r Magnuson j o i n e d them i n " e x p r e s s in g d i s a p p o i n t ­m e n t ." Congres s i o n a l Re c o r d , O c to b e r 1 3 , 19 66 , p . 25509.

10^But t h e House f e l t no co m parab le c h a g r in a t

155The t r a d e - o f f was n o t a b a la n c e d o n e , h o w e v er , and

th e a d d i t i o n a l q u id p ro quo was f o r t h e House t o d e f e r

t o t h e S e n a te on p r a c t i c a l l y a l l t h e m in o r p o i n t s o f

I s s u e . Even s o , c l e a r l y t h e b a la n c e o f I n f l u e n c e was1 fl RI n f a v o r o f th e House c o n f e r e e s .

C ongress once more d i s p l a y e d i t s i n t e n t i o n to

i n s e r t i t s e l f a c t i v e l y a s a c o l l e c t i v e body i n t o

a d m i n i s t r a t i v e r e o r g a n i z a t i o n and t o i n f l u e n c e adm in­

i s t r a t i o n p r o p o s a l s r e l a t e d t h e r e t o . S t i l l i t s t a l k ,

g e s t u r e s , and a c t i o n s seem ed more c h a rg e d w i th sym bolism

th a n w i t h c o n t e n t . The o v e r a l l im p r e s s io n i s t h a t

th e d e b a te was more s i g n i f i c a n t f o r th e sy m b o lic r e a s ­

su ra n c e i t gave t o C o n g ress (and c o n c e iv a b ly t o th e

A m erican p u b l i c ) t h a t i t was n o t y i e l d i n g i t s b i r t h r i g h t

i n t h i s a r e a . The r o a r was t h e r e , b u t th e b i t e was

n o t l e o n i n e .

g i v i n g i n on t h i s p o i n t . The House m in o r i t y f l o o r m anager (Mr. E r le n b o r n ) w ent so f a r a s t o s t a t e t h a t t h e " c o n fe r e n c e com m ittee h as done a f i n e j o b . " The S e n a te la n g u a g e was s i m i l a r , i n f a c t , t o th e c l e a n b i l l s u b m i t t e d by th e House C om m ittee . C o n g r e s s io n a l R e c o rd , O c to b e r 1 3 , 1966, p . 25589.

1 flft " . . . The House c o n f e r e e s n o rm a l ly have known more ab o u t l e g i s l a t i o n a t hand th a n t h e i r S e n a te c o u n t e r p a r t s and t h a t h a s g iv e n them a g r e a t e r o p p o r tu n ­i t y t o p r e v a i l . " M acN eil , oj>. c i t . , p . 409*

S t e i n e r , i n h i s p e n e t r a t i n g s t u d y , foun d t h a t t h e House e n jo y e d a d i s t i n c t s u p e r i o r i t y o v e r t h e S e n a te i n c o n fe re n c e c o m m it te e s . G i l b e r t Y. S t e i n e r , The C o n g r e s s io n a l C o n fe re n c e C om m ittee : S e v e n t i e t h t oE i g h t i e t h C o n g re sse s (U rb a n a , I l l i n o i s : U n i v e r s i t y o fI l l i n o i s , 1 9 5 1 ) , p a s s i m .

156

The l e g i s l a t i v e p r o c e s s a s a w hole h a d made I t s

I m p r in t on th e o r i g i n a l r e o r g a n i z a t i o n b i l l o f t h e

A d m i n i s t r a t i o n . C o n g r e s s io n a l a c t i o n on t h e D epartm en t

o f T r a n s p o r t a t i o n b i l l d e m o n s t r a te d once a g a in t h a t th e

i n f l u e n c e o f C ong ress h a s a n e g a t iv e q u a l i t y a b o u t i t . 1^

No e s s e n t i a l l y new f e a t u r e s w ere added t o t h e b i l l

d u r in g t h e l e g i s l a t i v e p h a s e . But s e v e r a l s i g n i f i c a n t

p a r t s o f t h e o r i g i n a l s u b m is s io n were d e l e t e d o r

r a d i c a l l y a l t e r e d .

I n a f f i x i n g h i s s i g n a t u r e t o t h e b i l l , t h e

P r e s i d e n t b ro u g h t t o a c l o s e t h e E x e c u t iv e B ranch and

109 A S e n a te s t a f f member a g re e s t h a t " t o d a y ' s C o n g r e s s io n a l pow er i s m o s t ly n e g a t i v e , " b u t , he a d d e d , " t h i s i s t h e g e n iu s o f t h e A m erican s y s te m ." The g e n iu s l i e s , i n h i s e s t i m a t e , i n r e c t i f y i n g th e im b a lan c e c r e a t e d by overw helm ing E x e c u t iv e B ranch e x p e r t i s e . " C o n g r e s s ," he commented, " i s f a r l e s s e q u ip p e d t o d e a l w i th t h i n g s t h a n i t m igh t b e . Were C on gress n o t p o s s e s s e d w i th n e g a t i v e pow er n o t t o a c t , i t w ould be an u n e q u a l sho w ."

S e n a to r J o s e p h C la rk ( P a . ) f e e l s t h a t C ongress e x e r c i s e s n e g a t iv e power and o f t e n u n j u s t l y s o . He i s l e s s s a n g u in e a b o u t f u t u r e p r o s p e c t s , b a r r i n g m a jo r r e f o r m . See Jo s e p h C l a r k , C o n g re ss— t h e S a p le s s B ranch (New Y ork: H a r p e r , 196*0 , p a s s i m . R ic h a rd B o l l i n g ,v ie w in g th e l e g i s l a t i v e p r o c e s s from t h e House v a n ta g e p o i n t , r e g a r d s t h e House "as n e g a t i v e i n i t s ap p ro a ch " and a l s o e s p o u s e s r e f o r m . See R ic h a rd B o l l i n g , House Out o f O rd e r (New Y ork: E. P . D u t to n , 1 9 6 5 ) , p . 221and p a s s i m .

T hat t h e r e i s d e b a te ab o u t C o n g re s s ' c u r r e n t r o l e i s n o t s u r p r i s i n g . A r e c e n t a n a l y s i s o f C ong ress d i s c l o s e s t h a t t h e r e a r e m u l t i p l e t h e o r i e s o f C ongress e x t a n t and c o n s i d e r a b l e c o n fu s io n as t o t h e r o l e C ong ress was o r i g i n a l l y i n t e n d e d t o p e r fo rm and ou gh t t o p l a y to d a y i n t h e p o l i t i c a l sy s te m . See Roger H. D a v id so n , D avid K ovenock, and M ich ae l O 'L e a ry , C o ng ress i n C r i s i s : P o l i t i c s and C o n g r e s s io n a l Reform (B e lm o n t,C a l i f o r n i a : W adsworth (Hawthorn B o o k s ) ) , 1966 .

157l e g i s l a t i v e p o l i t i c s s u r r o u n d in g th e fo rm a l e s t a b l i s h ­

m ent o f th e D ep artm en t o f T r a n s p o r t a t i o n . The body o f

d a t a p r o v id e d by t h e c o n f l i c t i s o f s u f f i c i e n t d e p th

t o s u p p o r t some g e n e r a l o b s e r v a t i o n s c o n c e r n in g l a r g e -

s c a l e a d m i n i s t r a t i v e r e o r g a n i z a t i o n i n t h e f e d e r a l

g o v e rn m e n t .

I n t h e f i n a l c h a p t e r , t h e r e f o r e , a f t e r d raw ing

c o n c lu s io n s c o n c e rn in g t h e f i n a l outcom e o f t h e c o n f l i c t ,

t h e im p a c t o f E x e c u t iv e B ranch and l e g i s l a t i v e p o l i t i c s

upon a d m i n i s t r a t i v e r e o r g a n i z a t i o n w i l l be sum m arized .

F i n a l l y , an e n d e a v o r w i l l be made t o u s e t h e e v e n t t o

d e v e lo p some t e n t a t i v e g e n e r a l i z a t i o n s a b o u t g o v e rn ­

m e n ta l d e c i s i o n m aking i n t h e p o l i c y p r o c e s s in v o lv e d

i n a d m i n i s t r a t i v e r e o r g a n i z a t i o n .

CHAPTER V

THE SUMMING UP

When P r e s i d e n t Jo h n so n s ig n e d t h e D ep artm en t o f

T r a n s p o r t a t i o n Act on O c to b e r 1 5 , 1966 , th e i n t e n s e

c o n f l i c t b a s e d upon m ea n s-e n d s c a l c u l u s d id n o t come

t o an e n d . The p a s s a g e o f th e r e o r g a n i z a t i o n b i l l

r e p r e s e n t e d n o t an a r m i s t i c e b u t a t r u c e . The adm in­

i s t r a t i v e r e o r g a n i z a t i o n was m e re ly a b a t t l e , a l b e i t

an h i s t o r i c o n e , i n t h e c o n t in u o u s c o n f l i c t s u r r o u n d in g

th e deve lo pm en t o f n a t i o n a l t r a n s p o r t a t i o n p o l i c y .

N a t io n a l t r a n s p o r t a t i o n p o l i c y i s n o t a s t a t i c

a f f a i r . Each a d m i n i s t r a t i o n m ust w r e s t l e anew w i th

t h i s dynamic i s s u e . F o r a d m i n i s t r a t i v e r e o r g a n i z a t i o n

i s b u t one o f a w ide r a n g e o f t e c h n iq u e s w hich th e

f e d e r a l governm ent can u s e f o r a c h i e v i n g th e ty p e o f2

c o n t r o l i t d e s i r e s i n a g iv e n f i e l d .

A S e n a te s t a f f member v o l u n t e e r e d : "You c a n ’ts to p DOT w i th a cam era . I t ’ s n o t b r i d g e , b u t p o k e r — t h e r e ' s a h ig h e le m e n t o f b l u f f . I t ' s a c o n t in u o u s game; i s s u e s a r e s t i l l u n r e s o l v e d . . . . The b a t t l e s w i th C ong ress a r e n o t e n d e d ."

An e x c e l l e n t t r e a t m e n t o f t h e c a t a l o g u e o f t e c h n iq u e s a v a i l a b l e t o th e f e d e r a l governm ent i n th e

The r e o r g a n i z a t i o n o f f e d e r a l t r a n s p o r t a t i o n

o r g a n i z a t i o n s , t h e n , r e p r e s e n t e d t h e r e l a t i v e l y s u c c e s s ­

f u l a p p l i c a t i o n i n t h e t r a n s p o r t a t i o n a r e a o f a p o w e r fu l

g o v e rn m e n ta l t e c h n iq u e f o r c o n t r o l . A d m i n i s t r a t i v e

r e o r g a n i z a t i o n i n i t s e l f a f f o r d s n e i t h e r an i n s t a n t

cu re n o r an e v e n t u a l U to p ia . I t does seem t o f o s t e r ,

h o w e v er , a g r a d u a l a m e l i o r a t i o n o f d i f f i c u l t i e s . F o r

o r g a n i z a t i o n i s a weapon and a s u p e r i o r o n e . R o b e r t

McNamara, f o r e x am p le , c o u ld s c a r c e l y have made t h e

m a s s iv e I n r o a d s i n t o w a s te and i n e f f i c i e n c y he d i d i n

th e D ep artm en t o f D e fen se w ere he n o t t h e i n h e r i t o r o f

an o r g a n i z a t i o n w i th c l e a r c u t a u t h o r i t y o v e r i t s r e ­

s o u r c e s . He s to o d on th e s h o u l d e r s o f h i s p r e d e c e s s o r s

and saw a l i t t l e b i t f a r t h e r . T h e i r l e g a c y was th e

u n i f i c a t i o n o f th e arm ed f o r c e s i n 19 **7, t h e f o r m a t io n

o f th e D epartm en t o f D e fen se i n 19*19, and t h e im prove­

m ents i n a u t h o r i t y a f f e c t e d by t h e s t a t u t o r y ch anges o f

1953 a n d , e s p e c i a l l y o f 1958 . I t was a s low b u t g r a d u a l

a c c r e t i o n o f a u t h o r i t y t h a t by 1961 was a v a i l a b l e f o r

th e u se o f a s t r o n g executive.^

a r e a o f p u b l i c p o l i c y i s c o n ta in e d i n R a n d a l l B.R ip le y ( e d . ) , P u b l i c P o l i c i e s and T h e i r P o l i t i c s : T ec h n iq u e s o f Government C o n t r o l (New Y ork: W. W.N o r to n , 19657.

3F o r an a c c o u n t o f t h i s e v o l u t i o n a r y p r o c e s s , s e e

P a u l Y. Hammond, O rg a n iz in g f o r D e f e n s e : The AmericanM i l i t a r y E s t a b l i s h m e n t i n t h e T w e n t ie th C en tu ry ( P r l n c e - t o n , New J e r s e y : P r i n c e t o n U n i v e r s i t y , 1 9 6 1 ) . F o rf u r t h e r i n s i g h t s , s e e C a r l W. B o rk lu n d , Men o f th e P e n ta g o n , From F o r r e s t a l t o McNamara (New Y ork:F r e d e r i c k A. P r a e g e r , 1965T.

160

The r e o r g a n i z a t i o n t e c h n iq u e h ap p en s t o be a f a v o r i t e

one w i th P r e s i d e n t J o h n s o n . He i s a P r e s i d e n t who, f a r

from i n d u lg i n g i n mere c a g i n e s s , ^ a p p r e c i a t e s th e e f f i c a c y

o f o r g a n i z a t i o n a s an i n s t r u m e n t o f c o n t r o l . H is p r e f e r e n c e

f o r a d m i n i s t r a t i v e r e o r g a n i z a t i o n a p p a r e n t l y s te m s from a

c o n v ic t i o n t h a t i t o f f e r s g r e a t e r p o s s i b i l i t i e s f o r a c h i e v in g

c o n t r o l t h a n do f r o n t a l a t t a c k s on p o l i c y p r o b le m s , w i th l e s s

t ra u m a in v o lv e d .-* H is e x t e n s i o n o f t h e P la n n in g -P ro g ra m m in g -

B u d g e tin g System (PPBS) t o t h e e n t i r e E x e c u t iv e B ranch i n

1965 l e n d s c re d e n c e t o t h i s c o n c l u s i o n .

A l a r g e - s c a l e p rog ram b u d g e t r e q u i r e s u n i t a r y j u r i s ­

d i c t i o n and a to p e x e c u t i v e t o make i t o p e r a t e e f f e c t i v e l y .

I t I s a u s e f u l t o o l f o r c o n t r o l l i n g t h e m ost b a s i c d e c i s i o n s

a f f e c t i n g s u b o r d i n a t e e n t i t i e s ; t h e r e f o r e , i t h a s a s t r o n g

Im p ac t upon p o l i c y p o l i t i c s . Y e t , so f a r , C o n g ress h a s found

no r e a s o n ( o r t h e m eans?) t o d e a l w i th t h i s i m p l i c i t m ethod

o f c h a n g in g e x i s t i n g g o v e rn m e n ta l p o l i c i e s .

The f o r m a t io n o f th e D epartm en t o f T r a n s p o r t a t i o n

w i th o u t q u e s t i o n s t r e n g t h e n e d th e hand o f t h e f e d e r a l g o v e rn ­

ment i n t r a n s p o r t a t i o n m a t t e r s . T here i s one m a jo r A d m in is t r a ­

t i o n spokesm an on t r a n s p o r t and he i s a c a b i n e t o f f i c e r . With

^As one o f th e i n t e r v i e w e e s i n t i m a t e d .

^ E x p l i c i t p o l i c y changes d e c e p t i v e l y seem more a t t a i n a b l e th a n does a d m i n i s t r a t i v e r e o r g a n i z a t i o n .However, t h e o b s e r v a t i o n c o u ld w e l l be e r r o n e o u s . Each p o l i c y i s s u e o f t e n c o n ta in s i n m in u sc u le a l l t h e p o l i c y p ro b lem s t h a t b e s e t a f u n c t i o n a l f i e l d . To open up one i s s u e i n a forum may be t o r e l e a s e a l l t h e f u r i e s . A d m i n i s t r a t i v e r e o r g a n i z a t i o n may be d i f f i c u l t t o a c c e p t a s o f f e r i n g a l e s s e r l i n e o f r e s i s t a n c e th a n p o l i c y c h a n g e s , b u t a c o m p a ra t iv e a n a l y s i s o f p a s t exam ples o f e a c h c o u ld p ro v e I t s g r e a t e r m e r i t s .

161m ost o f t h e t r a n s p o r t a t i o n e n t i t i e s a s members o f t h e same

f a m i l y , t h e r e i s now c o n s id e r a b ly g r e a t e r l i k e l i h o o d t h a t

th e y w i l l be w o rk in g t o g e t h e r t o d e v e lo p im proved t r a n s ­

p o r t a t i o n i n th e p u b l i c i n t e r e s t .

But a l l th e r o o t s o f c o n t r o v e r s y have n o t b e e n rem oved.

T h e re s t i l l rem a in u n r e s o lv e d i s s u e s and t h e r e w i l l be a r e ­

c u r r e n c e o f o ld p ro b le m s . T hese p ro b lem s r e v o lv e d a ro u n d con­

c e p t s o f what c o n s t i t u t e s t h e p u b l i c i n t e r e s t i n t h e t r a n s ­

p o r t a t i o n f i e l d . The q u e s t i o n o f n a t i o n a l s e c u r i t y i s a l s o

b ro u g h t i n t o p l a y . The s i t u a t i o n a t t h i s s t a g e i s n o t u n l ik e

t h a t o f th e D efense D epartm en t a t an e a r l i e r p e r i o d . I n

I 9 6 0 , S e n a to r J a c k s o n e m p h a s ize d :

Good n a t i o n a l s e c u r i t y r e q u i r e s b o th good p o l i c y ­m akers and good p o l i c y m a c h in e ry . But o r g a n i z a t i o n a l chan ges c a n n o t s o lv e p ro b lem s w h ich a r e r e a l l y n o t due t o o r g a n i z a t i o n a l w e a k n e s s e s .6

M a ri t im e p o l i c y rem a in s a s o u rc e o f c o n t e n t i o n ;

an i n g e n io u s c u re e v e n t u a l l y w i l l have t o be d e v i s e d .

And an o r g a n i z a t i o n a s l a r g e and complex a s th e D epartm en t

o f T r a n s p o r t a t i o n w i l l a lw ays be open t o f u r t h e r o r g a n i z a ­

t i o n a l r e f i n e m e n t . ? But t h e d a y s i n o r g a n i z a t i o n a l lim bo

O rg a n iz in g f o r N a t io n a l S e c u r i t y . S t a f f r e p o r t s and recom m en da tion s s u b m i t te d t o th e Committee on Government O p e r a t i o n s , U. S. S e n a t e , by i t s Subcom m ittee on N a t io n a l P o l i c y M achinery (W ash in g to n , D. C . : U. S .Government P r i n t i n g O f f i c e , 1 9 6 1 ) , p p . 4 - 5 .

7HEW, some f i f t e e n y e a r s l a t e r , i s s t i l l i n th e

t h r o e s o f o r g a n i z a t i o n a l p r o b le m s . See "Can th e G re a t S o c i e t y Be B u i l t and Managed?" T im e, J a n u a r y 20 , 1967.

The q u e s t i o n o f m a r i t im e i n c o r p o r a t i o n i s "n o t a dead i s s u e , " s a i d a s e n i o r BOB o f f i c i a l . " I t w i l l come a r o u n d ." R e p r e s e n t a t i v e H o l i f i e l d c o n c u r r e d i n t h i s v iew . M a r i t im e " w i l l e v e n t u a l l y come i n , " he p r e d i c t e d . I n t e r v i e w .

I n O c to b e r 1967 , th e S h i p b u i l d e r s C o u n c il o f Am erica s t a t e d t h a t i t had o b ta in e d from o f f i c i a l s o u r c e s i n f o r m a t i o n t h a t " th e Budget B ureau i s p r e p a r i n g a p l a n t o i n c o r p o r a t e t h e M ari tim e A d m i n i s t r a t i o n i n

162a r e o v e r . By means o f a d m i n i s t r a t i v e r e o r g a n i z a t i o n ,

t h e f e d e r a l t r a n s p o r t a t i o n a p p a r a t u s had moved i n t o th e

m a jo r l e a g u e s . The g o a l o f an i n t e g r a t e d t r a n s p o r t a t i o n

sy s te m seems much n e a r e r . Armed w i th an a r s e n a l o f

o r g a n i z a t i o n a l w eapon s , th e S e c r e t a r y o f T r a n s p o r t a t i o n

can "commence t h e lo n g s t r u g g l e a g a i n s t th e f o r c e o fQ

a th o u s a n d i n g r a i n e d n a t i o n a l h a b i t s . " Y et a l l t h e s e

f u t u r e s k i r m is h e s and even p i t c h e d b a t t l e s may seem

somewhat a n t i - c l i m a c t i c a l i n co m p a r iso n w i th th e c o n f l i c t

o v e r th e f o r m a t io n o f t h e D e p a r tm e n t .

T h is i s a s tu d y a b o u t p o l i t i c s . The i m p l i c a t i o n ,

t h e r e f o r e , i s t h a t one ough t t o make some d e t e r m i n a t i o n

a s t o whose p r e f e r e n c e s p r e v a i l e d i n t h e c o n f l i c t o v e r

t h e f o r m a t io n o f th e D ep artm en t o f T r a n s p o r t a t i o n . Who

b e n e f i t e d ? Who l o s t ? T here a r e v a r y i n g v iew s on t h i s

s c o r e .

To th e p r im e m overs o f th e l e g i s l a t i o n i n th e

BOB, th e outcom e o f t h e r e o r g a n i z a t i o n c o n f l i c t was

v iew ed w i th some c h a g r i n . T ru e , t h e r e was now a D e p a r t ­

ment i n b e i n g , b u t some m a jo r changes o f an unw anted

n a t u r e had been e f f e c t e d — t h e M a ri t im e A d m i n i s t r a t io n

t h e D ep ar tm en t o f T r a n s p o r t a t i o n . " They u n d e r s to o d t h a t t h e p l a n "would be s u b m i t t e d t o C o n g ress s im u l t a n e o u s ly w i th t h e new m a r i t im e p ro g ra m ." "M arit im e P r o p o s a l Due S o o n ," W ash ing ton P o s t , O c to b e r 2 , 1967.

0The lan g u a g e u sed i n a n ew spap er e d i t o r i a l

comm enting on th e b i r t h o f th e D e p a r tm e n t . W ash ing ton P o s t , A p r i l 4 , 1967.

163h a d been e x c lu d e d and S e c t i o n 7 h ad been emasculated.^

The r o l e o f t h e BOB i s t o i n n o v a t e . I t s p r o p o s a l s

f o r o r g a n i z a t i o n a l change t h r e a t e n t h e s t a t u s quo and

t e n d to a ro u s e th e r e s i s t a n c e o f t h e h i e r a r c h y o f a f f e c t e d

b u r e a u c r a t i c o r g a n i z a t i o n s , o f i n t e r e s t g r o u p s , and o f

C o n g re s s . The BOB i s t h e o f f i c i a l a g e n t o f o r g a n i z a t i o n a l

change w i t h i n th e f e d e r a l g o v e rn m e n t. I t i s i n e v i t a b l e

t h a t , o c c a s i o n a l l y , i t s h o o t s w ide o f t h e mark and s t i r s

up p o l i t i c a l d o n n y b ro o k s ; a s a c o n se q u e n c e , th e l o t o f

i t s o r g a n i z a t i o n a l p l a n n e r s o f t e n i s n o t a happy o n e . 10

But th e y a r e n o t w i th o u t f r i e n d s . They r e c e i v e s t r o n g

9One BOB p a r t i c i p a n t te rm ed t h e i n a b i l i t y t o

a c h ie v e i n c l u s i o n o f t h e M a ri t im e A d m i n i s t r a t i o n a s " c r i t i c a l " and " a b i g f a i l u r e " ; a n o th e r f e l t t h a t th e f a c t t h a t th e S e n a t e ' s c o n c e p t io n o f c o s t e f f e c t i v e n e s s f o r w a te r p r o j e c t s p r e v a i l e d was "one o f th e key l o s s e s " t o th e b i l l .

10I n 1 513 , M a c h i a v e l l i d e s c r i b e d t h e i r p l i g h t i n

t i m e l e s s f a s h i o n : "And i t o u g h t t o be rem em bered t h a tt h e r e i s n o th in g more d i f f i c u l t t o t a k e i n h a n d , more p e r i l o u s t o c o n d u c t , o r more u n c e r t a i n i n i t s s u c c e s s , t h a n t o t a k e th e l e a d i n th e i n t r o d u c t i o n o f a new o r d e r o f t h i n g s . B ecause t h e i n n o v a t o r h a s f o r enem ies a l l t h o s e who h av e done w e l l u n d e r th e o l d c o n d i t i o n s , and lukewarm d e f e n d e r s i n t h o s e who may do w e l l u n d e r t h e new. T h is c o o ln e s s a r i s e s p a r t l y from th e f e a r o f t h e o p p o n e n ts , who have th e law s on t h e i r s i d e , and p a r t l y from t h e i n c r e d u l i t y o f men, who do n o t r e a d i l y b e l i e v e i n new t h i n g s u n t i l th e y h av e h a d a lo n g e x p e r ­i e n c e o f them . Thus i t h ap p en s t h a t w henever t h o s e who a r e h o s t i l e have t h e o p p o r t u n i t y t o a t t a c k th e y do i t l i k e p a r t i s a n s , w h i l s t t h e o t h e r s d e fe n d lu k ew arm ly .. . . " N ic o lo M a c h i a v e l l i , The P r in c e (C h ica g o : E n c y c lo p a e d ia B r i t a n n i c a (The G re a t B ooks, Volume 2 3 ) , 1 9 5 2 ) , p . 9 .

16^

and e f f e c t i v e s u p p o r t from o f f i c i a l s j u s t be low

d e p a r tm e n ta l r a n k i n t h e E x e c u t iv e B r a n c h .3,1

T hese o f f i c i a l s a c t a s an a n c h o r t o windward

f o r t h e BOB t e c h n i c i a n s . They a r e o f t e n a b le t o im p a r t

a h i g h e r m easu re o f r e a l i s m t o t h e o r i g i n a l BOB c o n c e p ts

f o r r e o r g a n i z a t i o n . To t h e s e d e p a r tm e n ta l o f f i c i a l s ,

t h e c o n f l i c t was s u c c e s s f u l l y r e s o l v e d . I n t h e i r m in d s ,

t h e c h a l l e n g e o f a d m i n i s t r a t i v e r e o r g a n i z a t i o n c o n s i s t s

i n m erg in g v a r i o u s v a lu e sy s te m s and i n t e r e s t s i n t o a

w o rk a b le fram ew ork f o r on go ing a c t i o n s . They a r e q u i t e

w i l l i n g t o l i v e w i t h l e s s th a n t i d y s o l u t i o n s . The

p u r s u i t o f p e r f e c t i o n i s f o r them a p a t i e n t q u e s t . T h e i r

a t t i t u d e to w ard t h e f i n a l p r o d u c t o f l a r g e - s c a l e adm in­

i s t r a t i v e r e o r g a n i z a t i o n i s e x p r e s s e d by t h e o ld s a y in g :

"W ith in t h e F e d e r a l Government one o f th e l e v e l s s i g n i f i c a n t as a fo c u s f o r t h e i n i t i a t i o n o f new p o l i c i e s [an d r e o r g a n i z a t i o n p l a n s ] i s t h e l e v e l im m e d ia te ly below t h a t o f th e c h i e f d e p a r tm e n ta l e x e c u ­t i v e s . P e r s o n s a t t h i s l e v e l a r e c l o s e enough t o t h e to p so t h a t t h e y can s e i z e o p p o r t u n i t i e s t o make s u g g e s t i o n s o r t o i n f l u e n c e t h e i r c h i e f s . They a r e i n a good p o s i t i o n t o r e c o g n i z e m a jo r new i s s u e s as th e y em erge . At th e same t i m e , h a v in g l e s s p u b l i c r e s p o n s i b i l i t y th a n t h e i r c h i e f s , t h e y f e e l somewhat f r e e r t o e n t e r t a i n new i d e a s and t o push f o r what th e y b e l i e v e i s r i g h t i n s p i t e o f th e s h i f t s o f p o l i t i c a l s e n t im e n t o r o t h e r o b s t a c l e s . . . . One o f th e c h i e f e le m e n ts i n s u c c e s s i s t o be found i n th e s u b o r d i n a t e ' s a b i l i t y t o g u e ss w hat p a r t i c u l a r form o f ap p ro a ch w i l l make a p r o p o s i t i o n a p p e a l in g t o h i s c h i e f . ” H a ro ld S t e i n ( e d . ) , P u b l i c A d m i n i s t r a t i o n and P o l i c y D ev e lo p ­ment : A Case Book (New York: H a r c o u r t , B r a c e , andW orld , 1 9 5 2 ) . E d i t o r ' s I n t r o d u c t i o n t o "The D efense P l a n t C o r p o r a t i o n , " p . 289.

165" D o n ' t be c r i t i c a l o f how a dog w a lks on i t s h i n d l e g s ,

j u s t be amazed a t how w e l l i t d o e s . "

Prom t h e s t a n d p o i n t o f co m p ariso n w i th p a s t l a r g e -

s c a l e a d m i n i s t r a t i v e r e o r g a n i z a t i o n s , a t l e a s t , t h e i r

p o s i t i o n i s v i n d i c a t e d . P r e s i d e n t Truman t r i e d t o c r e a t e

a d e p a r tm e n t (HEW) tw ic e and f a i l e d b o th t im e s . When

P r e s i d e n t Kennedy a t t e m p te d t o c r e a t e an e l e v e n t h e x e c u ­

t i v e d e p a r tm e n t (Urban A f f a i r s and H o u s in g ) , " a trem endo us12c o n t r o v e r s y " r e s u l t e d and he was u n s u c c e s s f u l . M easured

s o l e l y by t h e c r i t e r i o n o f a c h i e v in g th e b a s i c i n t e n t

o f th e l e g i s l a t i o n , t h e n , th e outcome c o u ld be te rm ed

a f a v o r a b l e r e s o l u t i o n o f th e c o n f l i c t by i t s A d m in is t r a ­

t i o n p r o p o n e n t s .

One o f t h e key A d m i n i s t r a t i o n s u p p o r t e r s o f th e

b i l l , th o u g h p o i n t i n g o u t t h a t " t h e sp e ed [ o f p a s s a g e ]

f o r t h e D ep artm en t o f T r a n s p o r t a t i o n b i l l ex ce ed e d DOD,

HEW, and HUD," n e v e r t h e l e s s c o n te n d e d t h a t i t "would

have b e en much f a s t e r i f i t [ t h e b i l l ] had b een h e ld

t o o r g a n i z a t i o n p r i n c i p l e s . " R e p r e s e n t a t i v e H o l i f i e l d

a rg u e d i n a l i k e m anner: "O rg a n iz e th e d e p a r tm e n t

f i r s t . . . . D o n ' t t r y t o do i n d i r e c t l y what you a re

a f r a i d t o do d i r e c t l y . B oth H o l i f i e l d and th e

A d m i n i s t r a t io n o f f i c i a l w ere r e f e r r i n g t o th e i n c o r p o r a t i o n

12Senate Report #1057, 02.. cit., Appendix B,p. 105.

^ I n t e r v i e w .

16$

o f lan g u ag e by BOB I n t o S e c t i o n 7 w hich changed t h e

p o l i c y o f e v a l u a t i n g t r a n s p o r t a t i o n in v e s tm e n t s t a n d a r d s .

T here was a n o th e r s c h o o l o f th o u g h t on th e o u t ­

come. Some ( p a r t i c i p a n t s and o b s e r v e r s ) f e l t t h a t t h e

r e o r g a n i z a t i o n m asked th e r e a l i s s u e s . A C o n g r e s s io n a l

s t a f f member th o u g h t t h a t P r e s i d e n t Jo h n so n "ch o se t o

go a ro und th e p rob lem o f d e r e g u l a t i o n o r d i v e r s i f i c a t i o n "

o f th e t r a n s p o r t a t i o n i n d u s t r y . The P r e s i d e n t , t h e s t a f f

member s t a t e d , "m ere ly c a s t th e p ro b lem i n a n o th e r f o c u s . "

To t h i s i n d i v i d u a l , t h e r e a l q u e s t i o n i s "What i s A m e r ic a 's

n eed i n t h e m erch an t m a r in e a r e a ? " When t h a t q u e s t io n

i s a n sw e re d , he c o n t i n u e d , " th e q u e s t i o n becomes how.

S u b s id y ? "

O u ts id e o b s e r v e r s r e i n f o r c e d t h e a rg u m e n t. They

te n d e d t o r e g a r d t h e a d m i n i s t r a t i v e r e o r g a n i z a t i o n as

a p o l i t i c a l v e r s i o n o f t h e F re n c h e p ig ra m — P lu s c a c h a n g e ,

p l u s c ' e s t l a meme c h o s e . One o b s e rv e d t h a t "p rob lem s

a r e n ' t s o lv e d m e re ly by p u t t i n g p e o p le i n t h e same b a g . "

The b a s i c q u e s t i o n t o him was " e q u i t i e s , " t h a t i s , th e

f a i r e s t m ethod o f d i s p e n s i n g p u b l i c fu n d s t o th e seg m en ts

o f th e t r a n s p o r t a t i o n i n d u s t r y . 1 ** H is r a t i o n a l e i s

14He p o i n t e d o u t t h e v a s t d i f f e r e n c e be tw een th e

e x p e n d i tu r e o f governm ent fu n d s f o r t h e a i r c r a f t i n d u s t r y ( t h e s u p e r s o n ic t r a n s p o r t , p a r t i c u l a r l y ) i n co m parison w i th u rb a n mass t r a n s p o r t . The a m o u n ts , he s t a t e d , were i n i n v e r s e p r o p o r t i o n t o t r a v e l e r u s a g e . "The New York subway c a r r i e s more t r a v e l e r s i n one week th a n a l l t h e a i r l i n e s i n t h e c o u n t r y do i n a y e a r . "

167e x p re s s e d I n t h i s m anner:

O rg a n iz in g a d e p a r tm e n t p u t s a bunch o f b u r e a u c r a t s I n th e same b u i l d i n g . I t d o e s n ' t d e s t r o y th e autonomy o f t h e a g e n c ie s b ro u g h t i n . The c i v i l i a n [ n o n -g o v e rn m e n ta l ] p a r a l l e l i s s t i l l se g m e n te d . And C o n g r e s s io n a l co m m ittee s a r e i n t a c t . The same p e o p le who made d e c i s i o n s a r e g o in g t o make d e c i s i o n s i n t h e f u t u r e . *5

A n o th e r o b s e r v e r , a t r a n s p o r t a t i o n e x p e r t ,

e x p la in e d :

The b i g b a t t l e was what s o r t o f t r a n s p o r t a t i o n fa m i ly s h o u ld t h e r e b e . I t d i v e r t e d a t t e n t i o n from th e b i g g e r p ro b lem — how t o mesh th e v a r i o u s s e c t o r s o f th e economy s e r v e d by t r a n s p o r t a t i o n .

The n e t ou tcom e, he c o n j e c t u r e d , " c o u ld be a s p e c t e r

o f j u s t one more b i g o r g a n i z a t i o n , g a t h e r i n g t o g e t h e r

a l o t o f money and g o in g o f f on i t s own on a b i g s c a l e . "

He e x h i b i t e d , h o w e v e r , a m easu re o f m ild o p tim ism :

"Maybe, i n t im e , th e y w i l l amend t h e l e g i s l a t i o n . At

l e a s t th e y g o t so m e th in g o f f th e g r o u n d ."

A fo rm er s e n i o r A d m i n i s t r a t i o n a i d e , who was

c l o s e l y a s s o c i a t e d w i th th e f o r m a t io n o f two e x e c u t i v e

d e p a r tm e n t s , d i s c o u n te d th e o v e r a l l v a lu e o f t h e new

D e p a r tm e n t . He saw i n i t s c r e a t i o n an a t t e m p t a t

" p ro p a g a n d a v a l u e , " a n o th e r e f f o r t (a s w i t h HUD) t o

g e t " p u b l i c v i s i b i l i t y on a g iv e n i s s u e . " "What i s

T h is o p in io n was s h a r e d by a fo rm e r s e n i o r A d m i n i s t r a t io n a i d e . He l i k e n e d t h e D ep artm en t o f T r a n s p o r t a t i o n s i t u a t i o n w i th t h a t o f HUD: " T h e r e 'sa new fo rum , b u t th e same p e o p l e , t h e same p r e s s u r e g r o u p s ."

168good o r g a n i z a t i o n ? " he a s k e d . "The P r e s i d e n t g o t what

he a sk ed f o r i n HUD; he g o t 180° d i f f e r e n t i n t h e

D ep artm en t o f T r a n s p o r t a t i o n . " In h i s e s t i m a t e , th e

d i f f e r i n g amount o f a u t h o r i t y p l a c e d i n th e S e c r e t a r i e s

was o f no c o n se q u e n c e . "The P r e s i d e n t a sk s C ongress

t o p u t a l l a u t h o r i t y i n t h e S e c r e t a r y , b u t he r e a l l y

d o e s n ' t c a r e . When t h e P r e s i d e n t i s s e n s i t i z e d t o do

s o m e th in g , i t d o e s n ' t make any d i f f e r e n c e how t h e

governm ent i s o r g a n i z e d . "

The i n t e r e s t g roup p r e s s u r e , he m a i n t a i n e d ,

"was n o t r e l a t e d t o u n i t i z e d a u t h o r i t y . " As he p h r a s e d

i t , " s o p h i s t i c a t e d l o b b y i s t s c o u ld c a r e l e s s o f

o r g a n i z a t i o n a l a r r a n g e m e n ts . " The p e o p le who " u n d e r ­

s t a n d p o w er, how i t i s u s e d , d e l e g a t e d , " a s he saw i t ,

w ere i n d i f f e r e n t t o th e a d m i n i s t r a t i v e r e o r g a n i z a t i o n

p e r s e . He c o n c lu d e d : " I f t h e p u rp o se o f good g o v e rn ­

ment i s t o h e lp ru n t h e governm ent w i th e f f i c i e n c y and

economy, i t t a k e s more savvy th a n I have t o f i g u r e o u t

how r e o r g a n i z a t i o n h e l p s . " H is comments o f f e r an

i n t e r e s t i n g v a r i a n t v i e w p o in t , b u t t h e y a r e n o t s u p p o r te d

by t h e d a t a from t h e s p e c i f i c e v e n t u n d e r s t u d y .

The r e c o r d s t r o n g l y s u g g e s t s t h a t o r g a n i z a t i o n a l

s t r u c t u r e a lo n e d id n o t f u n d a m e n ta l ly sh ap e t h e p o l i t i c s

s u r r o u n d in g th e r e o r g a n i z a t i o n . The i n t e n s i t y o f th e

c o n f l i c t r o s e i n d i r e c t p r o p o r t i o n a s th e p r o p o s a l

169r e l a t e d t o changes i n p o l i c y . 1^ S e c t i o n 7 had immense

p o l i c y i m p l i c a t i o n s . The i n te n d e d power and i n f l u e n c e

o f th e S e c r e t a r y o f T r a n s p o r t a t i o n ( a n d , h e n c e , o f th e

E x e c u t iv e B ranch ) and a c o r r e s p o n d in g d e c r e a s e i n

pow er and i n f l u e n c e o f t h e Corps o f E n g in e e r s ( a n d ,

t h e r e b y , o f C o n g re s s , t h e C o rp s 1 b a s t i o n ) were s e t

o u t i n d e t a i l .

The t h r e a t was n o t o n ly a p h i l o s o p h i c a l on e .

L o g r o l l i n g and p o rk w ere d i r e c t l y t h r e a t e n e d . Even t o

t h o s e Congressm en who h ad l i t t l e l o c a l c o n c e rn w i th

w a te r p r o j e c t s , S e c t i o n 7 s t i l l had o v e r to n e s o f t h e

D efen se D e p a r tm e n t 's P la n n in g -P ro g ra m m in g -a n d -B u d g e t in g

System (PPBS) o f which C o n g re s s , a s a w h o le , i s f e a r f u l17and s k e p t i c a l . 1

The i s s u e o f t h e i n c o r p o r a t i o n o f th e M ari tim e

W ildavsky fo und t h a t , i n t h e c a se o f th e b u d g e ta r y p r o c e s s , c o n f l i c t " i s h e ig h te n e d by th e s t r e s s on p o l i c y d i f f e r e n c e s . . . . " W ild av sk y , o p . c l t . , p . 137.

^ F o r t h o s e i n t e r e s t e d i n a th o ro u g h t r e a tm e n t o f PPBS, s e v e r a l books a r e a v a i l a b l e . Among t h e b e s t a r e : C h a r le s J . H i t c h , D e c is io n -M a k in g f o rD efen se (B e rk e le y and Los A n g e le s : U n i v e r s i t y o fC a l i f o r n i a , 1 9 6 5 ) ; S te p h en Enke ( e d . ) , D efense Management (Englewood C l i f f s , N. J . : P r e n t i c e - H a l l ,1 9 67 ) ; and D avid Novick ( e d . ) , Program B u d g e t in g , Program A n a l y s i s , and t h e F e d e r a l Budget (C am bridge , M a ss . : H a rv a rd U n i v e r s i t y , 19&5).

An e v a l u a t i o n o f th e new a p p ro a ch i s fo u n d i n Aaron W ild av sk y , "The P o l i t i c a l Economy o f E f f i c i e n c y : C o s t - B e n e f i t A n a l y s i s , System s A n a l y s i s ,and P rogram B u d g e t in g ," P u b l i c A d m in i s t r a t io n R ev iew , V o l . 2 6 , No. M, December 1966, PP* 29 2 -3 1 0 .

170A d m in i s t r a t io n was a to u c h y one b e c a u se o f i t s v e i l e d

i m p l i c a t i o n s . The c o n t in u a n c e o f t h e s u b s t a n t i a l su b ­

s i d i z a t i o n o f th e U. S. M erchan t M arine by t h e f e d e r a l

governm ent i s v iew ed as a l i f e and d e a t h i s s u e by

m a r i t im e p a r t i s a n s . They d e t e c t e d h id d e n p o l i c y p r e f e r ­

e n c e s b e h in d t h e move t o subsume t h e M a r i t im e A d m in is t r a ­

t i o n t o th e new D e p a r tm e n t . They r e a c t e d v i o l e n t l y .

The q u e s t i o n o f s u b s i d i e s u n i t e s l a b o r and

management i n t h e m a r i t im e i n d u s t r y . A t r a n s p o r t a t i o n

e x p e r t e x p r e s s e d t h e b a s i c p ro b lem i n t h e s e t e r m s :

"M arit im e p r o b a b ly f e l t t h e y c o u ld g e t more money on

th e o u t s i d e . They w ere a f r a i d t h a t i n c o r p o r a t i o n w ould

a f f e c t s u b s i d i e s . They w ere a f r a i d o f s c i e n t i f i c

s t u d i e s as opposed t o [ t a k i n g t h e i r ch an ces i n ] th e

p o l i t i c a l a r e n a . "

The so u n d n e ss o f t h e m a r i t im e p o s i t i o n a s i d e ,

i t seemed c l e a r enough t o many p a r t i c i p a n t s t o th e

c o n f l i c t , p a r t i c u l a r l y i n C o n g re s s , t h a t i f t h e m a r i ­

t im e mode w ere made a p a r t o f th e new D e p a r tm e n t , t h e

l e g i t i m a t e i n t e r e s t o f a v i t a l component o f t h e t r a n s ­

p o r t a t i o n f i e l d w ould b e r u t h l e s s l y t r e a t e d . The

s p i r i t o f r a t i o n a l i t y exuded by S e c t i o n 7 and th e c u r r e n t

p o l i c y f o r an i n d u s t r y s h o re d up by enormous s u b s i d i e s

seemed t o t a l l y i n c o m p a t i b l e . C on g ress b a lk e d a t b e in g

a p a r t y t o su c h a c e r t a i n c l a s h . I t h a s r a r e l y s e e n

t h e wisdom o f s a c r i f i c i n g so q u ic k ly any m a jo r p r i v a t e

i n t e r e s t f o r an un p roved f u t u r e b e n e f i t t o t h e w id e r

171l flp u b l i c i n t e r e s t . The q u e s t i o n o f t h e i n c l u s i o n o f

th e M a r i t im e A d m i n i s t r a t i o n , t h e r e f o r e , i n v o lv e d n o t

o r g a n i z a t i o n t h e o r y , b u t a fu n d a m e n ta l i s s u e o f n a t i o n a l

t r a n s p o r t a t i o n p o l i c y .

N o n e th e l e s s , i n t h e f i n a l a n a l y s i s , th e b i g g e s t

l o s e r s , p a r a d o x i c a l l y , may have b e en t h e m a r i t im e

i n t e r e s t s . T h e i r s c o u ld be a p y r r h i c v i c t o r y . H o l i f i e l d

summed up t h e i r f i n a l s t a t u s :

They a c h ie v e d t h e i r e n d s , b u t i t was r e a l l y a t e c h n i c a l v i c t o r y o n l y , a c t u a l l y a d e f e a t .They a r e now on a s i d i n g , o u t o f th e m ain s t r e a m , o u t o f c o n t e n t i o n . I n Commerce, th e y a r e o n ly a s u b -a g e n c y . The D epartm en t [Commerce] h a s many i n t e r e s t s o t h e r th a n t r a n s p o r t a t i o n .19

A f t e r a s s a y in g t h e comments o f a l l t h e p a r t i c i ­

p a t i n g f o r c e s t o t h e a d m i n i s t r a t i v e r e o r g a n i z a t i o n , one

c o n c lu d e s t h a t P r e s i d e n t Jo h n so n was th e b i g g e s t w in n e r .

Those f a v o r i n g t h e m a r i t im e i n t e r e s t s f a i l e d t o s e e any b e n e f i t w h a ts o e v e r : "The o n ly r e a l c a sef o r a b s o r b in g th e MA [M a r i t im e A d m i n i s t r a t i o n ] i n th e l a r g e r g ro u p in g o f t r a n s p o r t a t i o n a g e n c ie s was o f t h e ty p e t h a t a p p e a ls m ost o f a l l t o p e o p le who draw l a r g e numbers o f b i g and s m a l l b o x es on Government o r g a n i z a t i o n a l c h a r t s , i l l u s t r a t i n g who m ust r e p o r t t o whom and how t h e c h a in s o f command d r i b b l e down from one l a y e r o f b oxes t o a n o t h e r . " R e p r e s e n t a t i v e G arm a tz , a f t e r q u o t in g t h e above e x c e r p t from th e New York J o u r n a l o f Commerce, went on t o s a y : "Asf a r a s m a r i t im e a f f a i r s a r e c o n c e rn e d , t h i s b i l l does n o th in g more th a n s a t i s f y som eone’ s u rg e f o r b u r e a u c r a t i c t i d i n e s s . " C o n g r e s s io n a l R e c o rd ,August 30 , 1966 , p . 20356.

19I n t e r v i e w .

172

He g o t h i s D ep artm en t and h i s fo ru m . A l l e l s e was

r e l a t i v e l y u n i m p o r t a n t . He would have won on a b i g g e r

s c a l e had n o t th e t e c h n i c i a n s i n th e B ureau o f t h e

B udget c h o sen t o v i t i a t e h i s o v e r a l l s t r a t e g y o f s k i r t i n g

p o l i c y i s s u e s . By s e e k in g t o e f f e c t p o l i c y changes

th ro u g h S e c t i o n 7 , t h e BOB s t i r r e d up s t r o n g e m o t io n a l

r e s i s t a n c e t h a t d e la y e d t h e p a s s a g e o f th e b i l l and

l a r g e l y c o n t r i b u t e d t o t h e e x c l u s i o n o f t h e M a r i t im e

A d m i n i s t r a t i o n from th e b i l l . I t i s a l s o p o s s i b l e t h a t

th e b a c k l a s h from S e c t i o n 7 was th e m a jo r f a c t o r i n

t h e c u r b in g o f th e pow ers o f t h e S e c r e t a r y o f?oT r a n s p o r t a t i o n .

Mr. J o h n s o n , a m ost r e a l i s t i c p o l i t i c i a n s . s e e m e d

t o be w e l l aware t h a t p r a c t i c a l r e o r g a n i z a t i o n l a y

somewhere i n th e " t w i l i g h t zone b e tw een p o l i t i c s and

e f f i c i e n c y . " 21 The BOB t e c h n i c i a n s , on th e o t h e r h a n d ,

l a c k i n g th e s i x t h s e n s e o f t h e e x p e r i e n c e d p o l i t i c i a n ,

so u g h t p e r f e c t i o n on t h e f i r s t t r y by en cu m b er in g th e

A s e n i o r A d m i n i s t r a t i o n o f f i c i a l saw i n t h i s e p i s o d e an exam ple o f " th e p ro b lem s c r e a t e d by p h y s i c a l s c i e n t i s t s and e c o n o m is ts i n a t t e m p t i n g t o ap p ly d e t e r m i n i s t i c a p p ro a c h e s i n s t e a d o f s t o c h a s t i c a p p ro a c h e s t o human p r o b le m s ." He f e l t t h a t su ch a t t e m p t s a r e " s t r a t e g i c e r r o r s when d e a l i n g w i th Congressm en who d o n ' t t h i n k t h a t w a y ."

The p h r a s e i s W i ld a v s k y 's . He u se d i t i n c o n n e c t io n w i th b u d g e t i n g . W ild a v sk y , oj>.. c l t . , p . 1*I3*

173r e o r g a n i z a t i o n w i th a b a s i c p o l i c y c h a n g e .22 as a

r e s u l t , t h e y i n e v i t a b l y w idened t h e c o n f l i c t and

b r o u g h t on m ajo r r e v i s i o n s t o t h e s u b m i t te d b i l l .

Each p a r t i c i p a n t i n a p o l i t i c a l c o n f l i c t s e e k s

t o e n s u r e t h a t th e outcome i s a s f a v o r a b l e t o h i s g o a l s

a s i s p o s s i b l e . But a s u c c e s s f u l r e s o l u t i o n o f th e

c o n f l i c t i n o n e ’s f a v o r r e q u i r e s an o v e r a l l s t r a t e g y

o f a c t i o n . S in c e p e r s o n a l v a lu e s and i n t e r e s t s a r e

much more r e a d i l y a ro u s e d when I s s u e s o f p o l i c y p r e f e r ­

ence a r e i n v o l v e d , th e i n t e n s i t y o f any p o l i t i c a l

c o n f l i c t r i s e s i n d i r e c t p r o p o r t i o n a s t h e p r o p o s a l

r e l a t e s t o ch an ges i n p o l i c y . A c r e a t i v e s t r a t e g y f o r

c o n f l i c t r e s o l u t i o n s h o u ld aim a t a p r o c e s s o f accommoda

t i o n t h a t k eep s th e c o n f l i c t w i t h i n m anageab le b o u n d s .

A good r u l e o f a c t i o n , t h e r e f o r e , i s t o a v o id p o l i c y

i s s u e s w here th e y a r e n o t c e n t r a l t o t h e im m ed ia te24p u rp o se a t h a n d .

22S e c t i o n 7.

23W ildavsky b e l i e v e s t h a t " m i t i g a t i o n o f c o n f l i c t

i s a w id e ly s h a r e d v a lu e i n o u r s o c i e t y . " W ild av sk y , o p . c i t . , p . 138.

24The b a s i s f o r much o f th e th o u g h t e x p r e s s e d

h e r e i s C o s e r ' s work on c o n f l i c t r e s o l u t i o n . S e e , e s p e c i a l l y , Lewis A. C o s e r , The F u n c t io n s o f S o c i a l C o n f l i c t , o p . c i t . , p a s s im . C aplow ’s a p p l i c a t i o n o f c o n f l i c t t h e o r y t o o r g a n i z a t i o n a l p r i n c i p l e s was a l s o v e ry h e l p f u l . See T heodore Caplow , P r i n c i p l e s o f O r g a n iz a t io n (New Y ork: H a r c o u r t , B r a c e , & W orld ,1964)7 p a r t i c u l a r l y t h e f i n a l c h a p t e r . And S im m el’s

17ft

A d m i n i s t r a t i v e r e o r g a n i z a t i o n (a s h a s b e e n

n o te d ) i s a m a n i f e s t a t i o n o f t h e t r a d i t i o n a l and h a l lo w e d

re fo rm movement. G r e a t e r economy and e f f i c i e n c y th ro u g h

b e t t e r o r g a n i z a t i o n a l a r r a n g e m e n ts a r e t h e avowed en d s

o f t h i s c o n t i n u i n g e f f o r t . T hese c r i t e r i a , h o w ev er ,

a r e a b s t r a c t i o n s t h a t a r e d i f f i c u l t t o r e d u c e t o c o n c r e t e

form and t h e r e i n l i e s t h e d a n g e r .

A d m i n i s t r a t i v e r e o r g a n i z a t i o n i s n o t a s c i e n t i f i c

p r o c e s s . Reforms o f an o r g a n i z a t i o n a l n a t u r e can i n v o lv e

q u e s t i o n s o f g o v e rn m e n ta l p h i lo s o p h y and c o n s t i t u t i o n a l

p o w e rs . S u b s t a n t i a l i s s u e s o f p o l i c y can a l s o be r a i s e d

i n t h e c o u rs e o f d e v i s in g new o r g a n i z a t i o n a l a r r a n g e m e n ts .

D r a s t i c o r g a n i z a t i o n a l ch an g es i n t h e E x e c u t iv e B ranch

o f th e f e d e r a l governm ent can mean a l t e r i n g t h e

d i s t r i b u t i o n o f power and i n f l u e n c e be tw een t h e e x e c u ­

t i v e and l e g i s l a t i v e b r a n c h e s . R e o r g a n iz a t i o n can

m a t e r i a l l y change th e a r r a n g e m e n ts by w hich i n t e r e s t

g roup p r e s s u r e i s e f f e c t e d . 2 ^

works p ro v id e d v a lu a b le b a c k g ro u n d . Georg Sim m el, C o n f l i c t and th e Web o f Group A f f i l i a t i o n s (G le n c o e , 1 1 1 . : F re e P r e s s , 1 9 5 5 ) .

25I n d i s c u s s i n g r e o r g a n i z a t i o n a s i t a p p l i e d

t o f o r e i g n p o l i c y , H ilsm an c o n c lu d e d : "But ch angesi n o r g a n i z a t i o n can i n th e m s e lv e s b r i n g a b o u t an i n c r e a s e o r d e c r e a s e o f pow er and a l t e r th e w e ig h t t h a t one s e t o f c o n s i d e r a t i o n s w i l l h av e o v e r a n o th e r i n p o l i c y d e l i b e r a t i o n s . B ut w h e th e r t h e r e s u l t i s b e t t e r o r w orse p o l i c y d epends on y o u r p o i n t o f v ie w , on whose i n t e r e s t s a r e b e in g g iv e n a d d i t i o n a l w e ig h t . Wh&t i s an ’ im p ro v e m e n t ' i n t h i s s e n s e t o one p e r s o n may n o t be t o a n o t h e r . " Roger H ilsm a n , To Move a N a t io n (Garden C i t y , New Y ork: D o u b led ay , 1 9 6 7 ) , p . 5 6 ? .

I t can be s e e n , t h e n , t h a t th e r e n d e r i n g o f

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

th e m a t t e r . As w i th t h e u l t i m a t e s o l u t i o n t o m ost

complex p r o b le m s , a d m i n i s t r a t i v e r e o r g a n i z a t i o n i n v o lv e s

v a lu e ju d g m e n ts . But so lo n g as t h e r e o r g a n i z a t i o n i s

c o n f in e d t o r e g r o u p in g s o f e x i s t i n g o r g a n i z a t i o n s , t h e

c o n f l i c t i s n o t l i k e l y t o become i n t e n s e . The c h an c es

o f s u c c e s s a r e i n c r e a s e d i f g r e a t c a r e i s t a k e n t o a v o id

th e a p p e a ra n c e o f c lo a k e d p o l i c y p r e f e r e n c e s o r o b l iq u e

b low s a t c u r r e n t p o l i c y .

U n f o r t u n a t e l y , some a d m i n i s t r a t i v e r e f o r m e r s

do n o t s e e s in g le m in d e d n e s s a s th e t a p r o o t o f s u c c e s s

and o c c a s i o n a l l y w ander o f f on f l i g h t s o f p o l i c y

re v a m p in g . They s e e k to a c h ie v e t h e im p o s s ib le o v e r ­

n i g h t . 2^

P r o p o s a l s f o r l a r g e - s c a l e a d m i n i s t r a t i v e r e o r g a n i ­

z a t i o n ough t t o be d i r e c t e d a t i n c r e m e n t a l im provem ents

i n t h e e x i s t i n g o r d e r r a t h e r th a n co m p reh en s iv e c h a n g e .

I t i s one t h i n g t o g roup a g e n c ie s h a v in g r e l a t e d m is s io n s

i t i s q u i t e a n o t h e r , f o r e x am p le , t o a p p e a r t o e s t a b l i s h

I n so d o in g , th e y a r e t y p i c a l l y A m erican . T o c q u e v i l l e e a r l y r e c o g n iz e d t h i s p e c u l i a r l y A m erican q u i r k i n t h e p e r s o n a l r e a lm : 11 . . . I t i s s t r a n g et o s e e w i th what f e v e r i s h a r d o r t h e A m ericans p u r s u e t h e i r own w e l f a r e , and t o w a tch t h e vague d re a d t h a t c o n s t a n t l y to rm e n ts them l e s t th e y s h o u ld n o t have c h o sen th e s h o r t e s t p a th w hich may l e a d t o i t . " T o c q u e v i l l e , Democracy i n A m erica , o p . c i t . , Volume 2 , p . 144 .

176

t h e r e l a t i v e im p o r ta n c e o f t r a n s p o r t a t i o n modes i n th e

same p r o p o s a l th ro u g h t h e a p p l i c a t i o n o f in v e s tm e n t

s t a n d a r d s . I t would seem a l s o t h a t th e d r a f t e r s o f

p r o p o s a l s f o r a d m i n i s t r a t i v e r e o r g a n i z a t i o n s h o u ld w iden

t h e i r h o r i z o n s and i n c o r p o r a t e m o d i f i c a t i o n s t o p r e f e r r e d

s o l u t i o n s s o t h a t p o w e r fu l e m o t io n a l and i r r a t i o n a l

r e a c t i o n s a r e p r e v e n t e d . A f t e r t h e main g o a l h a s b een

a c h i e v e d , l a t e r p r o p o s a l s can d e a l w i th any p o c k e ts o f

u n f i n i s h e d b u s i n e s s .

W ith t h e s i z a b l e number o f p a r t i c i p a n t s i n a

l a r g e - s c a l e a d m i n i s t r a t i v e r e o r g a n i z a t i o n , i t i s f a i r l y

c e r t a i n t h a t any p a r t i c i p a n t f i n d i n g h i s p e r s o n a l o r

g ro up i n t e r e s t s a d v e r s e l y a f f e c t e d w i l l f i n d i t p o s s i b l e

t o a t t r a c t sym pathy f o r h i s p o s i t i o n and e i t h e r o b s t r u c t

th e p r o p o s a l o r , i n some c i r c u m s ta n c e s , e f f e c t i t s d e m ise .

The Am erican p o l i t i c a l s y s te m , w i th i t s e m p h a s is on

n o n o p p r e s s iv e p o l i c i e s to w a rd any p a r t o f t h e p l u r a l i s t i c

s p e c t ru m , p ro m o tes su ch b e h a v i o r . Those who a t t e m p t

t o r e c t i f y a l l e v i l s ( a s th e y v iew them ) on t h e f i r s t

a t t e m p t and a d v o c a te d r a s t i c s u g g e s t io n s f o r c h a n g e ,

p a r t i c u l a r l y i n t h e p o l i c y a r e a , a r e c o u r t i n g c o n f l i c t ;

i n some i n s t a n c e s , th e r e s u l t i n g c o n t r o v e r s y may e n g u l f

n o t o n ly t h e to u c h y i s s u e s b u t t h e e n t i r e r e o r g a n i z a t i o n

p r o p o s a l . The p o t e n t i a l l y added p r o f i t s im p ly does

n o t j u s t i f y t h e r i s k i n v o lv e d .

To say t h i s does n o t mean t h a t t h e r e i s no room

i n th e s t r a t e g y o f b a r g a i n i n g f o r u s in g d i v e r s i o n a r y

177t a c t i c s , t h a t i s , i n c o r p o r a t i n g n o n - e s s e n t i a l f e a t u r e s

t o draw th e h e a t away from th e v i t a l e le m e n ts o f t h e

p r o p o s a l . Such s o p h i s t i c a t e d t a c t i c s a r e p o s s i b l e ,

ho w ev er , o n ly u n d e r c e r t a i n c o n d i t i o n s . Those em ploy in g

th e s t r a t e g e m must be s u r e t h a t a b lo c k o f p a r t i c i p a n t s

does n o t p e r c e i v e th e " r e d h e r r i n g " t o r e p r e s e n t t h e

o v e r a l l i n t e n t o f th e p r o p o s a l . Above a l l , th e decoy

m ust be so c o n t r i v e d t h a t i t does n o t change th e c o n f l i c t

from one b a s e d on m ean s-en ds t o 'o n e o f g o a l c o n f l i c t .

When su c h an i n t e r p r e t a t i o n i s made by a body o f p a r t i c i ­

p a n t s , t h e a t t a c k on th e decoy may be e n la r g e d t o en v e lo p

th e e n t i r e p r o p o s a l o r key p o r t i o n s o f i t . B l u f f i n g , i n

sum, i s a s t r a t e g e m t h a t o u gh t t o be u se d s p a r i n g l y i n

a d m i n i s t r a t i v e r e o r g a n i z a t i o n s ; i t r e q u i r e s th e n i c e s t

s e n s e o f t im in g and e s t i m a t i o n o f th e b e l i e f s and

e x p e c t a t i o n s o f a l l th e p a r t i c i p a n t s .

Even when an a s p e c t o f th e p r o p o s a l i s n o t i n t e n d e d

a s a s t r a t e g e m , i f some o f th e p a r t i c i p a n t s a re l e d t o a

m is u n d e r s ta n d in g o f i t s n a t u r e o r i t s c o n se q u e n c e , th e

p r o p o s a l a s a whole o r i n p a r t may be j e o p a r d i z e d by an

i n t e n s i f i c a t i o n o f th e c o n f l i c t . A t ta c k s on p o l i c y

p ro b le m s , stem m ing from p e r f e c t i o n i s t i c c o m p u ls io n s ,

i l l - c o n c e i v e d s t r a t e g e m s , o r m is r e a d i n t e n t i o n s a l l can

p ro d u ce a d v e rs e r e a c t i o n s t o p r o p o s a l s f o r l a r g e - s c a l e

a d m i n i s t r a t i v e r e o r g a n i z a t i o n .

In summary, th e c a r d i n a l l e s s o n o f th e fo r m a t io n

o f th e D epartm ent o f T r a n s p o r t a t i o n a p p e a r s t o b e :

178When em barked upon a m a jo r a d m i n i s t r a t i v e r e o r g a n i z a t i o n ,

a v o id s im u l ta n e o u s a t t a c k s on p o l i c y p ro b le m s .

The f i n a l s e c t i o n s a r e i n t h e n a t u r e o f an

e p i lo g u e t o t h e s t u d y . The fo r m a t io n o f t h e D epartm en t

o f T r a n s p o r t a t i o n was a p o l i t i c a l phenomenon w h ic h , i n

i t s own r i g h t , was im p o r ta n t and a f f e c t e d t h e v i t a l

i n t e r e s t s and a f f a i r s o f t h e A m erican p e o p le . I t a l s o

p r o v id e d a g l im p se i n t o t h e macrocosm o f t h e Am erican

p o l i t i c a l p r o c e s s . The o r g a n i z a t i o n a l p r o d u c t t h a t

em erged from th e e v e n t grew o u t o f t h e a c t i o n s and

r e a c t i o n s o f a complex m a t r ix o f g ro u p s and power

s t r u c t u r e s . The i n t e n t a t t h i s p o i n t i s t o p ro d u c e some

t e n t a t i v e g e n e r a l i z a t i o n s on p o l i c y d e c i s i o n m aking on

a d m i n i s t r a t i v e r e o r g a n i z a t i o n from t h e d a t a p r o v id e d• >

by t h e D ep artm en t o f T r a n s p o r t a t i o n ex am p le . Does

p ro b lem s o l v i n g d u r in g a d m i n i s t r a t i v e r e o r g a n i z a t i o n

h av e a n y th in g i n common w i th r a t i o n a l d e c i s i o n m aking

o f t h e econom ic v a r i e t y ? 2^ Were t h e r e any s i g n i f i c a n t

d i f f e r e n c e s i n th e d e c i s i o n m aking p r o c e s s d u r i n g th e

v a r io u s s t a g e s o f th e b i l l ’s e v o lu t i o n ?

The d a t a i n t h i s i n s t a n c e s u g g e s t t h a t t h e outcome

o f t h e r e o r g a n i z a t i o n c o n f l i c t b a s i c a l l y was n o t d e t e r ­

m ined by means o f d i s c r e t e a n a l y t i c a l t e c h n iq u e s d e s ig n e d

27 As an a i d t o t h o s e s e e k in g a d d i t i o n a l b a c k ­g ro u n d on th e s u b j e c t , a s u rv e y o f d e c i s i o n t h e o r y i s I n c lu d e d as A ppendix C.

t o e f f e c t an optimum s o l u t i o n . I n s t e a d , t h e f i n a l

s o l u t i o n , th e d a t a im p ly , was a c h ie v e d p re d o m in a n t ly

th ro u g h b a r g a i n i n g . 2® T h is t e n t a t i v e c o n c lu s io n i s n o t

a t a l l s u r p r i s i n g when a p p l i e d t o C ong ress i n v iew o f

th e a r r a y o f i n t e r e s t s in v o lv e d and t h e p r e s s u r e s

o p e r a b l e d u r in g l e g i s l a t i v e p h a se o f t h e r e o r g a n i z a t i o n

c o n f l i c t s . On th e o t h e r h a n d , t h e d e t e r m i n a t i o n may

be r e v e a l i n g when a s c r i b e d t o th e b u r e a u c r a t i c d e c i s i o n

m aking in v o lv e d i n a d m i n i s t r a t i v e r e o r g a n i z a t i o n . F o r

r a t i o n a l i t y c l a s s i c a l l y i s deemed t o be one o f th e

b a s i c c h a r a c t e r i s t i c s o f t h e b u r e a u c r a c y . 2^

I n a fo re w o rd t o a book by S o r e n s e n , P r e s i d e n t

Kennedy re m a rk e d : "T here w i l l a lw ays be th e d a rk and

t a n g l e d s t r e t c h e s i n t h e d e c i s io n - m a k in g p r o c e s s —

m y s te r io u s even t o th o s e who may be m ost i n t i m a t e l y

i n v o lv e d . . . . " 3 ° He was r e f e r r i n g , o f c o u r s e , t o

d e c i s i o n m aking w i t h i n th e E x e c u t iv e B ran ch . P r e s i d e n t

2 8"The b a r g a i n e r . . . o f f e r s a d e a l , n o t an a p p e a l . A p u b l i c r e a c t i o n i s t o be a v o id e d , n o t s o u g h t .A d e c i s i o n i s t o b e made th ro u g h an exchang e o f q u id p r o q u o s , n o t th ro u g h a r a t i o n a l s t r u c t u r i n g o f p re m is e s so a s t o m axim ize o r s a t i s f y v a l u e s . I t i s a p r e r e q u i s i t e t o b a r g a i n i n g t h a t v a lu e s be i n c o m p a t i b l e , n o t s h a r e d . " M urray E delm an, The Sym bolic Uses o f P o l i t i c s (U rb a n a , I l l i n o i s : U n i v e r s i t y o f I l l i n o i s ,1 9 W , P . 1*»6.

29See Appendix "A ", p p . f o r a

d e s c r i p t i o n o f t h e c h a r a c t e r i s t i c s o f a b u r e a u c r a c y .

•20T heodore C. S o re n s e n , D e c is io n -M a k in g i n th e W hite House (New Y ork: C olum bia U n i v e r s i t y , 1963)*

180

Kennedy c o u ld e a s i l y have a d d r e s s e d h i s rem ark s s p e c i ­

f i c a l l y t o t h e d e c i s i o n m aking s u r r o u n d in g th e f o r m a t io n

o f th e D epartm en t o f T r a n s p o r t a t i o n . The ensem ble o f

d e c i s i o n s made i n t h e E x e c u t iv e B ranch d u r in g t h a t

c o n f l i c t may be d i f f i c u l t t o u n r a v e l c o m p le t e ly , b u t

t h e d a t a a v a i l a b l e do n o t s u g g e s t e v i l c l i q u e s a t w ork .

The p ro b lem l i e s , e s s e n t i a l l y , i n th e i n t r i c a t e

i n t e r p l a y o f p e o p l e ' s v a lu e s and i n t e r e s t s and t h e

g e n e r a l s e c r e c y t h a t c lo a k s t h e o p e r a t i o n s o f th e

E x e c u t iv e B ranch i n any a d m i n i s t r a t i o n and e s p e c i a l l y i n

t h e Jo h n so n A d m i n i s t r a t i o n . 3 1 Mr. Jo h n so n l i k e s s u r p r i s e s .

He a l s o p l a c e s a h ig h premium on c o n se n s u s and a p u b l i c

show o f solidarity.32 As a r e s u l t , even a s an e v e n t

m erges i n t o h i s t o r y and t h e v e i l i s more e a s i l y l i f t e d ,

a c e r t a i n h a z i n e s s r e m a in s .

One co n seq u en ce i s t h a t i n t e r e s t g ro u p s had a lm o s t no r o l e i n t h e e a r l y p h a se o f t h e r e o r g a n i z a t i o n c o n f l i c t . A Task F o rc e p a r t i c i p a n t a d m i t te d t h a t " th e i n d u s t r y p e o p le w ere p r e t t y much i n t h e d a rk b e f o r e t h e b i l l was i n t r o d u c e d . "

The b e h a v io r may be more p ro n o u n c e d , b u t i t i s n o t p e c u l i a r t o th e Jo h n so n A d m i n i s t r a t i o n . "A n o th e r p s y c h o l o g i c a l a s p e c t o f b i g o r g a n i z a t i o n i s t h e i l l u s i o n o f u n a n im i ty among i t s mem bers. D i f f e r e n c e s o f i n t e r e s t and o p in io n a r e ig n o r e d i n an e f f o r t t o p r e s e n t a p u b l i c image o f d i s c i p l i n e and u n i t y t h a t w i l l enhance o r g a n i z a ­t i o n ' s c o m p e t i t iv e c h a n c e s . D i s s e n t i s c o n f in e d w i t h i n t h e o r g a n i z a t i o n . Once a d e c i s i o n h a s b e e n hammered o u t , e v e ry o n e m ust a c c e p t i t , s i n c e f u r t h e r d i s c u s s i o n would im p a i r th e d e s i r e d s o l i d a r i t y . " R o b e r t V. P r e s t h u s , "Toward a Theory o f O r g a n i z a t i o n a l B e h a v io r , " o£ . c i t . , p . 6 l .

181

The B ureau o f t h e B udget i s th e hub o f d e c i s i o n

m aking w i t h i n th e E x e c u t iv e B ranch i n any a d m i n i s t r a t i v e

r e o r g a n i z a t i o n . ^ The im p e tu s f o r change may o c c a s i o n a l l y

come from o t h e r s o u r c e s , b u t th e fo rm a l d e c i s i o n t o

i n i t i a t e th e a c t i o n i s made w i t h i n th e BOB. As m ig h t

be e x p e c te d from an o r g a n i z a t i o n c r e a t e d t o im p a r t

r a t i o n a l i t y t o g o v e rn m e n ta l o p e r a t i o n s , d e c i s i o n m aking

w i t h i n t h e BOB i s c e n t r a l i z e d .

I n t h e deve lopm en t o f th e memorandum i n i t i a l l y

p r o p o s in g th e new D e p a r tm e n t , t h e s y n o p t i c m ethod o f

d e c i s i o n m aking a p p ro x im a te s th e mode em p loyed . The

a c h ie v e m e n t o f econom ic r a t i o n a l i t y i n t r a n s p o r t a t i o n

was th e r e a l aim o f th e a d m i n i s t r a t i v e r e o r g a n i z a t i o n

from th e BOB v ie w p o in t ; t h e d e c i s i o n p r o c e s s u se d w i t h i n

t h e BOB t o r e a c h t h e g o a l was i n c o n c e p tu a l harmony

w i th i t . C e r t a i n l y , th e d e c i s i o n m ethod was n o t

c l a s s i c a l l y c o r r e c t — a l l t h e p o s s i b l e a l t e r n a t i v e s were

n o t exam ined and w e ig h ed . N e i t h e r was d e c i s i o n m aking

a t t h i s j u n c t u r e o f a d m i n i s t r a t i v e r e o r g a n i z a t i o n w h o lly

v a l u e - f r e e . ^ The B ureau i s n o t m o n o l i t h i c and i n t e r n a l

33The BOB i s n o t u n l i k e t h e " t e c h n o s t r u c t u r e 11 o f th e m a tu re c o r p o r a t i o n . G a l b r a i t h u s e s t h e te rm t o r e f e r t o anonymous, s e l f - p e r p e t u a t i n g b u r e a u c r a t s who make lm p e r s o n a l i z e d d e c i s i o n s . See Jo h n Kenneth G a l b r a i t h , The New I n d u s t r i a l S t a t e (B o s to n : HoughtonM i f f l i n , 1 9 6 7 ) , e s p e c i a l l y C h a p te r V I , "The T echno - s t r u c t u r e , " p p . 6 0 -7 1 .

3 4The e l i m i n a t i o n (b e c a u s e o f an a n t i c i p a t e d

f u r o r i n C o n g re ss ) a t t h e o u t s e t o f l a r g e p o r t i o n s o f

182

c o n f l i c t s to o k p l a c e on p o i n t s o f v a l u e . ^5 Yet h e r e ,

i f anywhere i n t h e c o u rs e o f t h e a d m i n i s t r a t i v e

r e o r g a n i z a t i o n c o n f l i c t , was c e n t r a l l y d i r e c t e d d e c i s i o n

m aking th e n o rm al mode.

P la c e d i n p r o p o s i t i o n s ] fo rm , t h e c o n c lu s io n i s :

D u r in g a l a r g e - s c a l e a d m i n i s t r a t i v e r e o r g a n i z a t i o n w i t h in

t h e E x e c u t iv e B ranch o f t h e f e d e r a l g o v e rn m e n t , d e c i s i o n

m aking w i t h i n th e B ureau o f th e B udget i s h i g h ly r a t i o n a l

and a p p ro x im a te s th e r a t i o n a l - c o m p r e h e n s iv e m ethod

n o rm a l ly a t t r i b u t e d t o t h e econom ic w o r ld .

The d e l i b e r a t i o n s w i t h i n th e BOB on t h e o r i g i n a l

p r o p o s a l i n v o lv e d o n ly a v e ry s m a l l number o f p a r t i c i p a n t s .

A p r o p o s a l d e v i s e d w i th o u t s e r i o u s o p p o s i t i o n depends

upon th e p e r s o n a l v a l u e s o f t h o s e who p r e p a r e i t . T h ere

w as , h o w ever , no e v id e n c e t h a t th e BOB d r a f t e r s a r r o g a t e d

t o th e m s e lv e s any s p e c i a l i n s i g h t i n t o w hat c o n s t i t u t e s

t h e p u b l i c i n t e r e s t . The e x i s t e n c e and n a t u r e o f t h e

p u b l i c i n t e r e s t on any g iv e n i s s u e i s d i f f i c u l t , i f n o t

i m p o s s i b l e , t o a s c e r t a i n . B u t , w h a te v e r i t i s , i t seems

more c a p a b le o f d i s c e r n m e n t by a f f o r d i n g th e p r o p o s a l

w id e r a t t e n t i o n and p e r m i t t i n g a l a r g e r c a s t o f a c t o r s

t o a s s e s s i t . V i s i b i l i t y a t l e a s t e n h a n c e s t h e p r o b a b i l i t y

th e Corps o f E n g in e e r s from c o n s i d e r a t i o n a s an i n t e g r a l p a r t o f t h e new D epartm en t i s an i n d i c a t i o n o f t h i s p o i n t .

35T here w as , f o r e x am p le , some d iv e r g e n c e o f o p in io n o v e r t h e p la c e m e n t o f u rb a n mass t r a n s i t .

183

t h a t any f a c e t s o f t h e p r o p o s a l w hich do n o t a p p e a r t o

be i n harmony w i th w id e ly s h a r e d v a lu e s w i l l be

v i g o r o u s l y exam ined .

The i n t e n t may n o t have been f u l l y c o n s c io u s on

th e p a r t o f i t s s p o n s o r s , b u t th e employment o f th e

Task F o rc e d e m o c ra t iz e d E x e c u t iv e B ranch p o l i t i c s

s u r r o u n d in g th e r e o r g a n i z a t i o n c o n f l i c t . The T ask F o rc e

e n c o u ra g e d th e p r o c e s s o f c o n v e r t i n g m odest d i s a g r e e m e n ts

i n t o a c t i v e c o n f l i c t . At t h i s s t a g e , t h e s t r u g g l e was

more i n t e n s e . The c o n f l i c t was more s o c i a l i z e d by th e

i n t r o d u c t i o n o f d i v e r g e n t i n t e r e s t s and v a l u e s , o r g a n i ­

z a t i o n a l and p e r s o n a l . I n th e Task F o r c e , t h e r e f o r e ,

a somewhat d i f f e r e n t p i c t u r e o f d e c i s i o n m aking em erged .

W ith in th e Task F o r c e , g roup d e c i s i o n m ak in g ,

i n th e fo rm o f b a r g a i n i n g , p r e v a i l e d . ^ A wide ra n g e

o f p r e f e r e n c e s had t o be t a k e n i n t o a c c o u n t . D e p a r t ­

m e n ta l p a r t i c i p a n t s found th e m s e lv e s r e s p o n s i b l e f o r

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

W ithou t t o t a l l y s a c r i f i c i n g i n s t i t u t i o n a l p r e f e r e n c e s ,

th e y g r a d u a l ly made m u tu a l a d ju s tm e n t s t o t h e i r p a r t i s a n

p o s i t i o n s . B ecause t h e ex ch ange o p t io n s a v a i l a b l e t o

th e p a r t i c i p a n t s w ere somewhat l i m i t e d , h o w ever , t h e

OgL indblom p r e f e r s t o c a l l i t " i n c r e m e n ta l

d e c i s i o n m aking th ro u g h p a r t i s a n m u tu a l a d ju s tm e n t . " C h a r le s E . L in d b lo m , The I n t e l l i g e n c e o f Democracy (New Y ork: F re e P r e s s , 1965)» p a s s i m .

m

b a r g a i n i n g te n d e d t o a p p ro a c h com prom ise— th e ag reem en t

s o u g h t was on t h e s o f t s i d e o f th e e q u a t io n be tw een th e

h a r d and s o f t v ie w s . When th e Task F o rc e was c o n f r o n te d

by h a r d c h o i c e s , t h e i r b e s t s o l u t i o n o f t e n became th e

lo w e s t common d e n o m in a to r o f com peting p o s i t i o n s . And

when th e p ro b lem s became to o d i f f i c u l t , th e T ask F o rc e

s im p ly was i n c a p a b l e o f s o l v i n g them .

The Task F o rc e was t h e g o v e rn o r o f th e E x e c u t iv e

B ran ch — l i m i t a t i o n s w ere p l a c e d on i n n o v a t i o n . In

e s s e n c e , t h e T ask F o rc e was a c o n s e r v a t iv e d e v i c e , a

com m ittee w i th a d e a d l i n e Im posed upon i t s d e l i b e r a t i o n s .

S in c e t im e was so s h o r t and th e s a n c t i o n s a v a i l a b l e so

p o w e r f u l , t h e r e was a p r e s s u r e to w a rd s a g re e m e n t . In n o ­

v a t i n g s o l u t i o n s w ere d i s c o u r a g e d i n T ask F o rc e o p e ra ­

t i o n s by t h i s p r e s s u r e .

The T ask F o rc e a l s o had a c r e a t i v e mode o f

e x p r e s s i o n . I n f a c t , t h e u s e o f t h e T ask F o rc e may have

been th e m ost f e l i c i t o u s a s p e c t o f th e E x e c u t iv e B ranch

s t r a t e g y . A lth oug h th e d e g re e o f c o n f l i c t was h e ig h te n e d

i n i t i a l l y by t h e a ssem bly o f agency r e p r e s e n t a t i v e s , s o ,

t o o , i n t h e lo n g r u n , was t h e r e a g r e a t e r d e g re e o f f i n a l

a c c e p ta n c e . The p r o c e s s o f e x p lo r in g th e i s s u e s had an

i n f l u e n c e on t h e i d e n t i f i c a t i o n o f th e p a r t i c i p a n t s . By

d i s c u s s i o n and r e c i p r o c a l a d ju s tm e n t o f d i f f e r e n c e s , t h e

i d e n t i f i c a t i o n o f t h e numbers o f th e Task F o rc e te n d e d

t o be e x te n d e d beyond i n d i v i d u a l o r agency g o a l s . The

g e n u in e p a r t i c i p a t i o n a f f o r d e d by th e Task F o rc e m echanism ,

185i t i s s u g g e s t e d , p ro m o tes a h i g h e r d e g re e o f a c c e p ta n c e

f o r a p r o p o s a l i n t h e E x e c u t iv e B ranch th a n do t h e more

t r a d i t i o n a l and fo rm a l p ro c e d u r e s o f c o o r d i n a t i o n .

In sum, th e p r o p o s i t i o n can be e x p r e s s e d : D u rin g

a l a r g e - s c a l e a d m i n i s t r a t i v e r e o r g a n i z a t i o n w here a Task

F o rc e i s u sed t o fram e th e b i l l , (1 ) d e m o c ra t ic p a r t i c i ­

p a t i o n i s o p t im iz e d ; (2 ) b a r g a i n i n g i s t h e method o f

d e c i s i o n m ak ing ; and (3 ) t h e m ost c o n t r o v e r s i a l i s s u e s

a r e s i d e s t e p p e d .

The d e c i s i o n p a t t e r n o f th e Task F o rc e was n a t u r a l

enough s i n c e t h a t body d id n o t r e p r e s e n t th e a r e n a o f

l a s t r e s o r t w i t h i n t h e E x e c u t iv e B ran ch . The to u g h e r

d e c i s i o n s c o u ld be f l o a t e d up t o t h e W hite House O f f i c e

(an d t o t h e P r e s i d e n t , i f n e c e s s a r y ) and so th e y w e re .

The b ra n d o f d e c i s i o n m aking a t t h e W hite House l e v e l

was s im p le and d i r e c t . The b a la n c e o f power be tw een th e

p a r t i c i p a n t s was u n e q u a l . The P r e s i d e n t , r e p r e s e n t e d

by h i s S p e c i a l A s s i s t a n t s , had a l l th e c a r d s . No new

a l t e r n a t i v e s were b ro u g h t f o r t h . R a th e r , a c l e a r - c u t

d e c i s i o n f a v o r i n g one o f two co m p e tin g a l t e r n a t i v e s

was made.

The p ro b a b le r e a s o n P r e s i d e n t Jo h n so n makes su ch

w ide u se o f t a s k f o r c e s i s a d e s i r e t o a v o id b e in g

made a c a p t iv e o f t h e b u r e a u c r a c y . Through th e medium

o f th e t a s k f o r c e , he i n s u r e s a th o ro u g h s i f t i n g o f

t h e f a c t s . C o n c o m ita n t ly , he p ro m o tes c o n f l i c t .

P a r a d o x i c a l l y , w h i le a v o id in g b e in g a c a p t i v e o f t h e

186few , t h e P r e s i d e n t r u n s th e r i s k o f b e in g a c a p t i v e o f

th e many. I n th e c a s e o f t h e D epartm en t o f T r a n s p o r t a ­

t i o n , l a c k i n g b o th t h e t im e and th e c a p a b i l i t y t o

re w e ig h t h e d a t a upon w hich th e g roup d e c i s i o n s were

b a s e d , he h a d v e ry few o p t io n s r e m a in in g . I n th e e n d ,

he was f o r c e d , I n th e m a in , t o r a t i f y th e g roup d e c i ­

s i o n s . ^ Those i s s u e s w hich th e Task F o rce evaded were

p e r e m p to r i l y d e c id e d by th e W hite House s t a f f members i n

t h e f u l l know ledge t h a t , w ere t h e i r d e c i s i o n s challenged, t h e P r e s i d e n t w ould c o n f i rm them . The d e c i s i o n m aking

a t t h i s l e v e l , u n d e r t h e s e c i r c u m s ta n c e s , h ad t h e

f l a v o r o f m i l i t a r y command.

I t i s d o u b t f u l i f t h e P r e s i d e n t had th e o p p o r t u n i t y

t o g iv e t h e d r a f t r e o r g a n i z a t i o n b i l l u n h u r r i e d and

t h o u g h t f u l s t u d y . He made t h e c r u c i a l d e c i s i o n t o se e k

t h e c r e a t i o n o f th e new D epartm en t a n d , h a v in g done s o ,

ch o se t o l e a v e t h e e x a c t p r o v i s i o n s o f th e p ro p o s e d l e g i s ­

l a t i o n t o b e w orked o u t i n i n t r a - d e p a r t m e n t a l p o l i t i c s .

He a d o p te d a s i m i l a r a lo o f n e s s to w a rd t h e b i l l d u r in g

th e l e g i s l a t i v e p r o c e s s .

The P r e s i d e n t i s n o t a s y n o p s i s t . He a p p e a rs

t o h av e made th e i n i t i a l d e c i s i o n on th e D epartm en t o f

37G a l b r a i t h p r o v id e s an I n s i g h t f u l a c c o u n t o f g roup d e c i s i o n m aking and t h e l i m i t a t i o n s i t p l a c e s on th e c h i e f e x e c u t i v e i n The New I n d u s t r i a l S t a t e , o p . c i t . , c h a p t e r V I.

^®None w ere c h a l l e n g e d .

187

T r a n s p o r t a t i o n on t h e b a s i s o f m erg in g h i s c o n t in u o u s

s e a r c h f o r a u n iq u e P r e s i d e n t i a l image w i th a c u r r e n t

r o o t need o f s o c i e t y . The m ethod he u se d t o a r r i v e a t

h i s d e c i s i o n was n o t a r b i t r a r y ; n e i t h e r was i t s c i e n t i f i c .

The b e s t e x p l a n a t i o n e x t a n t f o r th e m ethod i s p r o b a b ly

V i c k e r s ’ c o n c e p t o f " a p p r e c i a t i o n . " 3 9 V i c k e r s q u e s t i o n s

th e v a l i d i t y o f th e f a c t - v a l u e dichotomy**® a n d , c o n s e -Mlq u e n t l y , th e f o u n d a t io n s o f r a t i o n a l c h o ic e .

The P r e s i d e n t ’s c o n s t i t u e n c y , o f c o u r s e , was by

f a r t h e l a r g e s t and m ost d i v e r s i f i e d o f t h o s e a c t o r s

p a r t i c i p a t i n g i n th e f o r m a t io n o f t h e D e p a r tm e n t . Mr.

Jo h n so n made no p r e t e n s e o f d e te r m in in g a l l t h e a l t e r ­

n a t i v e c o u r s e s o f a c t i o n and t h e i r c o n s e q u e n c e s . He

s im p ly s e l e c t e d a h e u r i s t i c b e s t f i t o f h i s v iew o f th e

39 I t i s a more s c h o l a r l y e x p l a n a t i o n o f th e p o l i t i c i a n ’s " s i x t h s e n s e . "

i in F o r a good t r e a tm e n t o f t h e m a t t e r , se e H e r b e r t A. Sim on, Models o f Man: M a th e m a t ic a l E ssa y son R a t i o n a l Human B e h a v io r i n a S o c i a l S e t t i n g (New York: Jo h n W ile y , 1 9 5 7 ) , p a r t i c u l a r l y S e c t i o n IV.

in" . . . The r e l a t i o n b e tw een judg m en ts o f f a c t

and o f v a lu e i s c lo s e and m u tu a l ; f o r f a c t s a r e r e l e v a n t o n ly i n r e l a t i o n t o some judgm ent o f v a lu e and judgm en ts o f v a lu e a re o p e r a t i v e o n ly i n r e l a t i o n t o some c o n ­f i g u r a t i o n o f f a c t .

"Judgm ents o f v a lu e g iv e m eaning t o jud gm en ts o f r e a l i t y , a s a c o u rs e g iv e s m eaning t o a compass c a r d . ” S i r G e o f f r e y V i c k e r s , The A rt o f Judgm ents (New Y ork: B a s ic B ooks, 1 9 6 5 ) , p .~ W .

F r i t z M o rs te in Marx sounds a s i m i l a r n o te i n The A d m i n i s t r a t i v e S t a t e (C h ica g o : U n i v e r s i t y o fC h ic a g o , 1 9 5 7 ) , p . 37.

188

p u b l i c i n t e r e s t , h i s p e r s o n a l im a g e , h i s a s s e s s m e n t o f

C o n g r e s s io n a l r e a c t i o n , and t h e r e o r g a n i z a t i o n s u g g e s ­

t i o n s o f th e BOB. H is p o l i c y d e c i s i o n was s k i l l f u l and

i t was s u c c e s s f u l , i f a c c e p ta n c e o f th e l e g i s l a t i v e

p r o p o s a l i s th e c r i t e r i o n o f m easu rem en t.

I n p r o p o s i t i o n a l t e r m s : D uring a l a r g e - s c a l e

a d m i n i s t r a t i v e r e o r g a n i z a t i o n , (1 ) d i r e c t P r e s i d e n t i a l

d e c i s i o n m aking i s l i m i t e d t o t h e i n i t i a l c o re i s s u e o f

w h e th e r o r n o t to la u n c h th e r e o r g a n i z a t i o n ; and (2 )

P r e s i d e n t i a l d e c i s i o n m aking i s h e u r i s t i c r a t h e r t h a n

s y n o p t i c .

C o n g r e s s io n a l d e c i s i o n m ak in g , on t h e s u r f a c e ,ho

seems r e l a t i v e l y open t o p u b l i c v iew . However, a

p r e c i s e a s s e s s m e n t o f t h e e x a c t n a t u r e o f C o n g r e s s io n a l

d e c i s i o n m aking i s n o t made com parab ly v i s i b l e . W hatever

r a t i o n a l i t y C o n g r e s s io n a l d e c i s i o n s on th e D epartm en t

o f T r a n s p o r t a t i o n b i l l p o s s e s s e d m ust be a t t r i b u t e d t o

some s o u rc e o t h e r th a n th e s e q u e n t i a l a n a l y t i c a l p r o c e s s

o f econom ic o r i g i n . D e c i s io n m aking i n C on gress on t h e

p ro p o s e d a d m i n i s t r a t i v e r e o r g a n i z a t i o n r e f l e c t e d an

a t t e m p t t o s y n t h e s i z e th e i n t e l l e c t u a l p r o c e s s w i th t h e

The e x c e p t i o n s , o f c o u r s e , a r e a l l c o n fe r e n c e com m ittee s e s s i o n s and th e e x e c u t i v e s e s s i o n s o f s t a n d ­in g c o m m itte e s . A s tu d y by t h e C o n g r e s s io n a l Q u a r t e r l y showed t h a t f o r t y f i v e p e r c e n t o f a l l com m ittee m e e t in g s i n 1967 were h e l d i n c lo s e d s e s s i o n . W ash ing ton P o s t , A p r i l 1 9 , 1967. I n t h e c a se o f t h e h e a r i n g s on th e D epartm en t o f T r a n s p o r t a t i o n , h o w ev er , o n ly th e f i n a l e x e c u t i v e s e s s i o n o f b o th C om m ittees was c l o s e d .

189s o c i a l p r o c e s s . The b le n d e d r e s u l t h e a v i l y f a v o r e d th e

l a t t e r .

S o c i a l p l u r a l i s m i n A m erica and r a t i o n a l - c o m p r e ­

h e n s iv e d e c i s i o n m aking a r e fu n d a m e n ta l ly i n c o m p a t i b le .

R a t i o n a l p rob lem s o l v i n g i m p l i e s th e freedom t o choo se

b e tw een known a l t e r n a t i v e s . The c o m p le x i ty o f t h e

p o l i t i c a l I s s u e s in v o lv e d i n r e o r g a n i z a t i o n c o n f l i c t ,

th e f i n i s h e d n a t u r e o f t h e s u b m i t t e d b i l l , and th e

p r e s s u r e s o f c o n s t i t u e n t and s p e c i a l I n t e r e s t s a l l made

a p a r t i a l v iew o f th e D ep artm en t o f T r a n s p o r t a t i o n b i l l

i n e v i t a b l e . " P o l i t i c a l ” man i s n o t "econom ic" man.

V o t in g and c h o i c e , i n s h o r t , a r e t h e o u tw ard m arks o f

r a d i c a l l y d i f f e r e n t form s o f d e c i s i o n m aking .

C o n g r e s s io n a l d e c i s i o n m aking i n a d m i n i s t r a t i v e

r e o r g a n i z a t i o n i s t i e d t o t h e i n c r e m e n t a l a p p ro a c h to

c h a n g e . G iven th e Am erican p l u r a l i s t i c s y s te m , m u tu a l

a d ju s tm e n t o f c o n f l i c t i n g v iew s on a d m i n i s t r a t i v e r e o r ­

g a n i z a t i o n i s i n e s c a p a b l e w i t h i n C o n g re s s . But t h i s i s

n o t t o sa y t h a t C o n g r e s s io n a l d e c i s i o n m aking i n

a d m i n i s t r a t i v e r e o r g a n i z a t i o n i s n o t r a t i o n a l . I t i s

t r u e t h a t C o n g r e s s io n a l d e c i s i o n m aking d o e s n o t conform

t o t h e c r i t e r i a o f r a t i o n a l i t y e s t a b l i s h e d o r i g i n a l l y

by econom ic t h e o r i s t s and l a t e r b o rrow ed by p ro p o n e n ts

o f s c i e n t i f i c d e c i s i o n m aking . I t i s p o s s i b l e t h a t

th e d e f i n i t i o n o f r a t i o n a l i t y u s e d by a d v o c a te s o f

s c i e n t i f i c d e c i s i o n m aking r e p r e s e n t s a form o f r e i f i c a ­

t i o n and t h a t a s i m p l i s t i c m odel has been s u b s t i t u t e d

190

f o r r e a l i t y .

C o n g re s s , Immersed i n th e r e a l i t i e s o f th e

w o r ld , r i g h t l y o r w rong ly b a s e s i t s d e c i s i o n s on

a d m i n i s t r a t i v e r e o r g a n i z a t i o n on i t s know ledge o f th e

w o r ld a s i t i s r a t h e r th a n on w hat i t o u g h t t o b e . I t

i s c o n ce rn e d w i th an i n t u i t i v e c a l c u l a t i o n o f th e

e q u i t i e s a s w e l l a s th e e f f i c i e n c y and economy o f th e

p r o p o s a l .

The p r o p o s i t i o n t h a t em erges from t h i s e x p o s i t i o n

i s : D u r in g a l a r g e - s c a l e a d m i n i s t r a t i v e r e o r g a n i z a t i o n ,

th e m ethod o f C o n g r e s s io n a l d e c i s i o n m aking i s b a r g a i n ­

i n g ; and ( 2 ) t h e r e i s an u n w r i t t e n p r o v i s o t h a t no s i n g l e

a f f e c t e d i n t e r e s t w i l l be t r e a t e d t o o h a r s h l y .

I f g o v e rn m e n ta l d e c i s i o n m aking on a d m i n i s t r a t i v e

r e o r g a n i z a t i o n i s n o t r a t i o n a l i n th e c l a s s i c a l econom ic

s e n s e , t h e r e i s no r e a s o n t o c o n c lu d e t h a t i t i s e i t h e r

i r r a t i o n a l o r i n e f f i c i e n t . I t rem a in s t o be p ro v ed t h a t

s c i e n c e o f f e r s a co m p le te a c c o u n t o f l i f e . A s o l i d

argum ent h a s n o t b e e n made t h a t a p a r t i c u l a r i n d i v i d u a l

w i th dom inan t d i r e c t i o n o v e r th e p o l i c y p r o c e s s r e l a t e d

t o a d m i n i s t r a t i v e r e o r g a n i z a t i o n c o u ld d e v i s e a s t r u c t u r e

b e t t e r a b le t o cope w i th a b a s i c s o c i e t a l p ro b lem th a n

th e sp e c t ru m o f a c t o r s p a r t i c i p a t i n g i n t h e c o n f l i c t s

a r i s i n g o u t o f th e p l u r a l i s t i c sy s te m . B e t t e r s o l u t i o n

o r n o , th e d e m o c ra t ic i d e a l i s b e t t e r s e r v e d by th e

p a r t i c i p a t i o n o f a m u l t i p l i c i t y o f e l e c t e d p u b l i c

O f f i c i a l s .

I n i t s many g u i s e s , b a r g a i n i n g i s a t t h e h e a r t

o f th e p o l i t i c s o f a d m i n i s t r a t i v e r e o r g a n i z a t i o n .

B a r g a in in g g u a r a n t e e s t h a t v a lu e s w i l l be i n c o r p o r a t e d

i n t o th e d e c i s i o n p r o c e s s e s a f f e c t i n g a d m i n i s t r a t i v e

r e o r g a n i z a t i o n . I t a l s o e n s u r e s t h a t a s i n g l e v a lu e

w i l l n o t w in o u t w i th o u t h a v in g i t s m e r i t s t e s t e d

a g a i n s t t h o s e o f o t h e r r e l e v a n t v a l u e s . The p u b l i c

i n t e r e s t , I n t h e f i n a l a n a l y s i s , may w e l l be fo u n d

i n a d e c i s i o n m aking p r o c e s s w h e re in r a t i o n a l i t y i s

tem p ered w i th a c o n c e rn f o r j u s t i c e f o r a l l t h o s e

a f f e c t e d by a d m i n i s t r a t i v e r e o r g a n i z a t i o n .

SELECTED

BIBLIOGRAPHY

A. BOOKS AND MONOGRAPHS

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B e r t a l a n f f y , Ludwig Von and A n a to l R a p o p o r t ( e d s . ) . G e n e ra l S y s te m s : Y earbook o f t h e S o c i e t y f o rG e n e ra l System s R e s e a r c h . New Y ork : S o c i e ty f o rG e n e ra l System s R e s e a r c h , 1956 (an d a n n u a l l y ) .

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D a v id so n , R oger H . , D avid K ovenock, and M ich ae l O’L e a ry . C on gress i n C r i s i s : P o l i t i c s and C o n g r e s s io n a lReform . B e lm o n t, C a l i f . : Wadsworth (H a w th o rn B o o k s ) ,1 9 5 F T

195D e a k in , Jam es , The L o b b y i s t s . W a sh in g to n , D. C . :

P u b l i c A f f a i r s P r e s s , 1956.

D e a r in g , C h a r le s L. and W i l f r e d Owen. N a t io n a l T r a n s p o r t a t i o n P o l i c y . W a sh in g to n , D. C .:B ro o k in g s I n s t i t u t i o n , 1949 .

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D ru c k e r , P e t e r F . M anaging F o r R e s u l t s : EconomicT a sk s and 'R is k -T a k in g D e c i s i o n s . New York:H a r p e r , 1964.

E a s to n , D av id . A Framework f o r P o l i t i c a l A n a l y s i s . Englewood C l i f f s , N. J . : P r e n t i c e - H a l l , 1965 .

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E delm an, M urray . Sym bolic Uses o f P o l i t i c s . U rb a n a , 1 1 1 . : U n i v e r s i t y o f I l l i n o i s , 1964.

E l l u l , J a c q u e s . The T e c h n o lo g ic a l S o c i e t y . New Y ork: K nopf, 1965.

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E nke, S te p h en ( e d . ) . D e fen se Management. Englewood C l i f f s , N. J , : P r e n t i c e - H a l l , 1 9 6 7 .

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F e s t i n g e r , Leon. A T heory o f C o g n i t iv e D is s o n a n c e . E v a n s to n , 1 1 1 . : Rowe, P e t e r s o n , 1957.

Fo lsom , M arion B. E x e c u t iv e D e c is io n M aking. New Y ork: M cG raw -H ill, 1 9 6 ^

G a l b r a i t h , Joh n K en n e th . The New I n d u s t r i a l S t a t e . B o s to n : Houghton M i f f l i n , 1967•

G allo w ay , George B. H i s t o r y o f t h e House o f R e p r e s e n t a t i v e s . New Y ork: C ro w e l l , 1961.

G e n d e l l , Murray and Hans L. Z e t t e n b e r g . A S o c i o l o g i c a l Almanac f o r t h e U n i te d S t a t e s . New Y ork:S c r i b n e r fs , 1964 (2nd e d . ) .

196G e r th , Hans H, and C. W righ t M i l l s ( t r a n s . and e d s . ) .

From Max W eber: E s s a y s on S o c i o lo g y . New York:O x fo rd U n i v e r s i t y P r e s s I ^ a l a x y B o o k s ) , 1946.

G o lem b iew sk i, R o b e r t T . B e h a v io r and O r g a n i z a t i o n .C h icag o : U n i v e r s i t y o f C h ic a g o , 1962.

G o lem b iew sk i, R o b e r t T. The S m a ll G ro up . C h icag o : U n i v e r s i t y o f C h ic a g o , 1965^

G ore , W il l ia m J . A d m i n i s t r a t i v e D e c i s io n M ak ing : AH e u r i s t i c ModeTi New Y ork: W ile y , 1964.

G ore , W il l ia m J . and J . W. Dyson. The Making o f D e c i s i o n s . New York: F re e P r e s s , 1964.

G ottm an , J e a n . M e g a lo p o l i s . New Y ork: T w e n t ie thC en tu ry F und , 1961.

G o u ld n e r , A lv in . P a t t e r n s o f I n d u s t r i a l B u r e a u c r a c y . G le n c o e , 1 1 1 . : F r e e P r e s s , 1954 .

Hammond, P a u l Y. O rg a n iz in g f o r D e f e n s e : The A m ericanM i l i t a r y E s t a b l l s h m e n t i n t h e T w e n t ie th C e n tu r y . P r i n c e t o n , N. J . : P r i n c e t o n U n i v e r s i t y , 1961.

H a re , A. R. Handbook o f S m all Group R e s e a r c h . G le n c o e , 1 1 1 . : F re e P r e s s , ” 1962.

Hawley, C laude E . and Ruth G. W e in tra u b ( e d s . ) .A d m i n i s t r a t i v e Q u e s t io n s and P o l i t i c a l A nsw ers . P r i n c e t o n , N. J . : Van N o s t r a n d , 1966 .

H e c h s c h e r , A u g u s t. The P u b l i c H a p p in e s s . New Y ork: Atheneum, 1962 .

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H i t c h , C h a r le s J . D e c i s i on-M aklng f o r D e f e n s e . B e rk e le y and Los A n g e le s : U n i v e r s i t y o f C a l i f o r n i a , 1965•

Homans, George C. The Human G ro u p . New Y ork: H a r c o u r t ,B ra c e , and W orld , 1950.

Homans, George C. S o c i a l B e h a v i o r : I t s E le m e n ta ryF orm s. New Y ork: H a r c o u r t , B r a c e , and W orld , 1961.

H o p k in s , T e re n c e K. The E x e r c i s e o f I n f l u e n c e i nS m all G ro u p s . Totow a, N. J . : B e d m in s te r P r e s s , 1964 .

197Ja m es , W il l ia m . P r i n c i p l e s o f P s y c h o lo g y . C h icag o :

E n c y c lo p a e d ia B r i t a n n i c a T T h e G re a t B o o k s ) , 1952 ,V o l . 53 .

J o n e s , W il l ia m D. On D e c i s io n Making i n L arge O rg a n iz a ­t i o n s . S a n ta M onica , C a l i f . : Rand, 1964.

K a to n a , G eo rg e . P s y c h o l o g i c a l A n a ly s i s o f Economic B e h a v io r . New Y ork: M cG raw -H ill, 1951.

K e l l e r , J a m e s , M.M. You Can Change t h e W orld . GardenC i t y , N. Y .: Garden C i ty B ooks, 194BT

K e p n e r , C h a r le s H. and B enjam in B. T re g o e . The R a t i o n a l M anager . New York: M cG raw -H ill, 1965*

Key, V. 0 . J r . P o l i t i c s , P a r t i e s , and P r e s s u r e G ro u p s .New Y ork: C ro w e l l , 1964 ( 5 t h e d . ) .

K o o n tz , H a ro ld ( e d . ) . Toward a U n i f i e d Theory o fM anagem ent. New Y ork: M cG raw -H ill, 1964.

K r u tc h , Jo s e p h Wood. Human N a tu re and t h e Human C o n d i t i o n .New Y ork: Random H ouse , 1959 .

L a h r , Raymond and J . W il l ia m T h e i s . C o n g r e s s : Powerand P u rp o se on C a p i t o l H i l l . B o s to n : A l ly n & B acon ,19&7.

L a n d s b e r g e r , Henry A. The S o c i a l T h e o r ie s o f T a l c o t t P a r s o n s . Englewood C l i f f s , N. J . : P r e n t i c e - H a l l ,1961.

L e a v i t t , H a ro ld J . ( e d . ) . The S o c i a l S c ie n c e o fO r g a n i z a t i o n s . Englewood C l i f f s , N. J . : P r e n t i c e -H a l l , 1963.

L e r n e r , D. and H. L a s s w e l l ( e d s . ) . The P o l i c y S c i e n c e s . S t a n f o r d , C a l i f . : S t a n f o r d U n i v e r s i t y , 1951.

L indb lom , C h a r le s E. The I n t e l l i g e n c e o f D em ocracy.New Y ork: F re e P r e s s , 1965.

M aass, A r t h u r . Muddy W a te r s . C am bridge , M a ss . :H a rv a rd U n i v e r s i t y , 1951 .

M a c h i a v e l l i , N ic o lo . The P r i n c e . C h ica g o : E n c y c lo p a e d iaB r l t a n n l c a (The G re a t B ooks) , 1952 , V o l . 2 3 .

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198Mahood, H. R. P r e s s u r e Groups I n A m erican P o l i t i c s .

New Y ork : S c r i b n e r ’s , 1967.

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M a r r i s , R o b in . The Econom ic Theory o f ’M a n a g e r i a l ’ C a p i t a l i s m . New Y ork: F re e P r e s s , 19647

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M e rto n , R o b e r t K . , e t a l . ( e d s . ) . R ead e r i n B u r e a u c ra c y . G le n c o e , 1 1 1 . : “F r e e P r e s s , 1952.

M e rto n , R o b e r t K . , e t a l . ( e d s . ) . S o c io lo g y T o d ay :P ro b lem s and P r o s p e c t s . New Y ork: B a s i c B ooks,1959.

M i l l , Jo h n S t u a r t . On L i b e r t y . C h icag o : E n c y c lo p a e d iaB r i t a n n i c a (The G re a t B o o k s ) , 1 9 5 2 , V o l . 43 .

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M i l l e t t , Jo h n D. Government and P u b l i c A d m i n i s t r a t i o n .New Y ork: M cG raw -H ill, 1959.

M i t c h e l l , W il l ia m C. The A m erican P o l i t y . New York:F re e P r e s s , 1962.

Mumford, L ew is . The Myth o f t h e M ach in e . New York: H a r c o u r t , B r a c e , and W orld , 19677

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199Nimmo, Dan D. and Thomas D. Ungs. A m erican P o l i t i c a l

P a t t e r n s . B o s to n : L i t t l e , Brown, 1967.

N o v ic k , D avid ( e d . ) . Program B u d g e t in g , P rogram A n a l y s i s , and t h e F e d e r a l B u d g e t . C am bridge, M a ss . : H a rv a rdU n i v e r s i t y , 1965.

P a r s o n s , T a l c o t t . The S o c i a l S y s te m . G le n c o e , 1 1 1 . :F r e e P r e s s , 1951.

P r e s t h u s , R o b e r t V. B e h a v io r a l A pproaches t o P u b l i c A d m i n i s t r a t i o n . U n i v e r s i t y , A l a . : U n i v e r s i t y o fA labam a, 1965.

P r e s t h u s , R o b e r t V. The O r g a n i z a t i o n a l S o c i e t y . New Y ork: K nopf, 19627”

R euck , Anthony de and J u l i e K n ig h t ( e d s . ) . C o n f l i c t i n S o c i e t y . B o s to n : L i t t l e , Brown, 1966.

R i c h a r d s , Max D. and W il l ia m A. N ie la n d e r ( e d s . ) .R ead in g s i n M anagem ent. C i n c i n n a t i : S o u th -W e s te rn ,1963 ( 2nd e d i t i o n ) .

R i p l e y , R a n d a l l B. ( e d . ) . P u b l i c P o l i c i e s and T h e i r P o l i t i c s : T e c h n iq u e s o f Government C o n t r o l .New York: N o r to n , 19657

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R o u ssea u , Joh n J a q u e s . On t h e O r ig in o f I n e q u a l i t y .C h icag o : E n c y c lo p a e d ia B r i ta n n ic a ~ T T h e G re a t B o o k s ) ,1 952 , V o l. 38.

R u b e n s t e in , A l b e r t H. and Chadwick J . H a b e r s t r o h ( e d s . ) .Some T h e o r i e s o f O r g a n i z a t i o n . Homewood, I l l i n o i s : D orsey P r e s s and R ic h a rd D. I r w i n , I9 6 0 .

S c h l a i f f e r , R o b e r t . P r o b a b i l i t y and S t a t i s t i c s f o r B u s in e s s D e c i s i o n s . New Y ork: M cG raw -H ill, 1959 .

«

S c o t t , Andrew M. and M a rg a re t A. H u n t , C ong ress andL o b b ie s : Image and R e a l i t i e s . C hapel H i l l , N. C . :U n i v e r s i t y o f N o rth C a r o l i n a , 1966 .

S c o t t , W il l ia m G. Human R e l a t i o n s i n M anagem ent. Homewood, I l l i n o i s : I r w i n , 1962.

200

S c o t t , W il l ia m G. O r g a n iz a t i o n T h e o ry : A B e h a v io r a lA n a ly s i s f o r M anagement. Homewood, I l l i n o i s : I r w i n ,lWf.

S e id e n b e r g , R o d e r ic k , Anatomy o f th e F u t u r e . C hapel H i l l , N. C .: U n i v e r s i t y o f N o rth C a r o l i n a , 1961.

S e l z n i c k , P e t e r . L e a d e r s h ip I n A d m i n i s t r a t i o n .E v a n s to n , 1 1 1 . ! Rowe, P e t e r s o n , 1957 .

Sim m el, G eorg . C o n f l i c t and The Web o f Group A f f i l i a t i o n s . G le n c o e , I l l T ! F re e P r e s s , 1955.

Sim on, H e r b e r t A. A d m i n i s t r a t i v e B e h a v io r . New York: M cM illan , 1947.

Sim on, H e r b e r t A. Models o f Man: M a th e m a t ic a l E s sa y son R a t i o n a l Human B e h a v io r i n a S o c i a l S e t t i n g .New York: W ile y , 1957 .

Sim on, H e r b e r t A. The New S c ie n c e o f Management D e c i s i o n . New Y ork: H a r p e r , i 9 6 0 .

Sim on, H e r b e r t A. P u b l i c A d m i n i s t r a t i o n . New York:K nopf, 1950 .

S m ith , F ra n k E. The P o l i t i c s o f C o n s e r v a t i o n . New Y ork: P a n th e o n B ooks, 1 9 6 6 .

S o r e n s e n , T heodore C. D ec ls io r t-M ak ln g i n t h e W hite H ouse. New Y ork: C olum bia U n i v e r s i t y , 1963 .

S t e i n , H a ro ld ( e d . ) . P u b l i c Adminls t r a t i on and P o l i c y D e v e lo p m en t: A Case B ook . New Y ork: H a r c o u r t ,B r a c e , and W orld , 1952.

S t e i n e r , G i l b e r t Y. The C o n g re s s io n a l C o n fe ren ce C o m m ittee : S e v e n t i e t h t o E i g h t i e t h C o n g r e s s e s .U rb a n a , 1 1 1 . ! U n i v e r s i t y o f I l l i n o i s , 1951 .

T h i b a u l t , J . W. and H. H. K e l l e y . The S o c i a l P sy cho lo gy o f G ro u p s . New Y ork: W ile y , 1959 .

-J'ot - f T b c q u e v i l l e , A le x is d e . Democracy i n A m e ric a . New Y ork:0 V in ta g e B ooks, 1945 , Volumes I and I t .

Truman, D avid B. ( e d . ) . The C ongress and A m e ric a ’sF u t u r e . Englewood C l i f f s , N. J . : P r e n t i c e - H a l l , 1965.

Truman, D avid B. The G overnm en ta l P r o c e s s . New York: K nopf, 1951.

201

U llm e r , S . S idn ey ( e d . ) . I n t r o d u c t o r y R ead ings i nP o l i t i c a l B e h a v io r . C h icago : Rand M cN ally , 1961.

V i c k e r s , S i r G e o f f r e y . The A rt o f J u d g e m e n t .New York: B a s ic B ooks, 1965 .

Von Neuman, Jo h n and O skar M o rg e n s te rn . Theory o f Games and Economic B e h a v io r . P r i n c e t o n , N. J . : P r i n c e t o n U n i v e r s i t y , 1947 , (2nd e d i t i o n ) .

W eber, Max. The T heory o f S o c i a l and Economic O r g a n i z a t i o n . T r a n s , by A. M. H end erso n and T a l c o t t P a r s o n s ; e d . by T a l c o t t P a r s o n s .New Y ork: O xford U n i v e s r i t y P r e s s , 1947 .

W e in e r , N o r b e r t . The Human Use o f Human B e in g s .B o s to n : Houghton M i f f l i n , l2!T0.

W h ite , W il l ia m S. C i t a d e l . New Y ork: H a r p e r , 1957*

W h ite , W il l ia m S. Home P l a c e . B o s to n : HoughtonM i f f l i n , 1965.

W h ite h e a d , A l f r e d N o r th . S c ie n c e and t h e Modern W o rld .New York: M acM illan (M entor B o o k s ) , 1964 ( f i r s tp u b l i s h e d i n 1 9 2 5 ) .

W ild a v sk y , A aron . The P o l i t i c s o f t h e B u d g e ta ry P r o c e s s . B o s to n : L i t t l e , Brown, 1964 .

W il l ia m s o n , O l i v e r E . The Econom ics o f D i s c r e t i o n a r y B e h a v io r : M a n a g e r ia l O b j e c t i v e s I n a Theory o ft h e F irm . Englewood C l i f f s , N. J . : P r e n t i c e - H a l l ,T5F4.

W ils o n , Woodrow. C o n g r e s s io n a l G overnm ent. B o s to n : Houghton M i f f l i n , 1885.

W o lin , S h e ld o n S. P o l i t i c s and V i s i o n . B o s to n :L i t t l e , Brown, i9 6 0 .

W o ll , P e t e r . A m erican B u re a u c ra c y . New Y ork: N o r to n ,1963 .

Young, R o lan d . The American C o n g r e s s . New York:H a r p e r , 1958.

Young, S t a n l e y . Management: A System s A n a l y s i s .G lenv iew , 1 1 1 . : S c o t t , F o re sm a n , 1966.

Z i e g l e r , Harmon, I n t e r e s t G roups i n Am erican S o c i e t y . Englewood C l i f f s , N. J . : P r e n t i c e - H a l l , 1964 .

202

B. U. S . GOVERNMENT PUBLICATIONS

C o n g r e s s io n a l R e c o rd , V o l . 1 1 2 , No. 2 , J a n u a r y 1 2 , 1966 .

C o n g r e s s io n a l Re c o r d , V o l . 1 1 2 , No. 1 3 9 , August 2 2 , 1966 .

C o n g r e s s io n a l R e c o rd , V o l . 1 12 , No. l 4 l , August 2 4 , 1966 .

C o n g r e s s io n a l R e c o rd , V o l. 1 12 , No. 1 44 , A ugust 2 9 , 1966 .

C o n g r e s s io n a l R e c o rd , V o l . 1 1 2 , No. 1 4 5 , A ugust 2 0 , 1 9 6 6 .

C o n g r e s s io n a l R e c o rd , V o l. 112 , No. 1 6 5 , S ep tem b er 2 9 , 1966 .

C o n g r e s s io n a l R e c o r d , V o l . 1 1 2 , No. 1 7 6 , O c to b e r 1 3 , 1966 .

P r e s i d e n t ’s Commission on Economy and E f f i c i e n c y .R e p o r t o f t h e Com m ission . W ash in g to n , D. C . : U. S.Government P r in t in g " O f f i c e , 1912 .

P r e s i d e n t ’ s Com mittee on A d m i n i s t r a t i v e Management.R e p o r t o f t h e Com mittee w i th S t u d i e s o f A d m i n i s t r a t i v e Management i n t h e F e d e r a l G overnm ent. W a sh in g to n ,D. C . : U. S . Government P r i n t i n g O f f i c e , 1937.

S e l e c t Com mittee on Government O r g a n i z a t i o n . Remarks o f t h e S e l e c t Committee' on Government O r g a n i z a t i o n . W a sh in g to n , D. C . : U. S . Government P r i n t i n gO f f i c e , S ep tem b er 6 , 1937 .

U. S. C o ast G uard . Commandant’s B u l l e t i n , No. 1 9 -6 6 ,A p r i l 1966.

U. S. Commission on O r g a n iz a t i o n o f t h e E x e c u t iv e B ranch o f t h e G overnm ent. T ask F o rc e R e p o r t on T r a n s p o r t a t 1 on and t h e N a t i o n a l G overnm ent. W ash in g to n , D. C , :U. S . Government P r i n t i n g O f f i c e , 1948 .

U. S. House o f R e p r e s e n t a t i v e s , C r e a t in g a D epartm en t o f T r a n s p o r t a t i o n . H e a r in g s on H. R. 13200 , 8 9 th C o n g re s s , 2nd S e s s i o n . W ash in g to n , D. C . : U, S .Government P r i n t i n g O f f i c e , 19 66 . P a r t s I and I I .

U. S. House o f R e p r e s e n t a t i v e s . House Document No. 3 9 9 .89t h C o n g re s s , 2nd S e s s i o n . W ash in g to n , ft. £7 :U. S. Government P r i n t i n g O f f i c e , 1 9 6 6 .

U. S. House o f R e p r e s e n t a t i v e s , R e p o r t No. 1 8 4 . 89t h C o n g re s s , 1 s t S e s s io n . W ash in g to n , D. C . : U. S.Government P r i n t i n g O f f i c e , March 1 7 , 1965*

203U. S . House o f R e p r e s e n t a t i v e s . R e p o r t No. 1 7 0 1 .

89t h C o n g re s s , 2nd S e s s io n . W ash in g to n , D, C .:U. S. Government P r i n t i n g O f f i c e , 1966 .

U. S . House o f R e p r e s e n t a t i v e s , R e p o r t No. 223 6 .89t h C o n g re s s , 2nd S e s s io n , W a sh in g to n , D, C . :U. S. Government P r i n t i n g O f f i c e , 1966.

U. S . S e n a te . E s t a b l i s h a D epartm ent o f T r a n s p o r t a t i o n . H e a r in g s on S . 3010 , B 9 th C o n g re s s , 2nd S e s s io n . W a sh in g to n , D. C ,: U. S . Government P r i n t i n g O f f i c e ,1966. P a r t s 1 , 2 , 3 , and 4 .

U. S . S e n a te . N a t i o n a l T r a n s p o r t a t i o n P o l i c y . R e p o r t o f t h e Committee on Commerce by i t s S p e c i a l S tudy Group. W ash in g to n , D. C . : U. S . Government P r i n t i n gO f f i c e , 1961 .

U. S . S e n a te . O rg a n iz in g f o r N a t io n a l S e c u r i t y . S t a f f r e p o r t s and reco m m endations s u b m i t t e d t o t h e Committee on Government O p e r a t io n s by i t s Subcom m ittee on N a t io n a l P o l i c y M a ch in e ry . W a sh in g to n , D. C , :U. S . Government P r i n t i n g O f f i c e , 1961.

U. S . S e n a te . R e p o r t No. 1 0 5 7 « 8 8 th C o n g re s s , 2nd S e s s io n . W a sh in g to n , D. C . : U. S . GovernmentP r i n t i n g O f f i c e , 1964 .

U. S. S e n a te . R ep o r t No. 1 5 4 . 89t h C o n g re s s , 1 s t S e s s io n . W ash in g to n , D. C . : U. S. GovernmentP r i n t i n g O f f i c e , March 3 , 1965.

U. S, S e n a te . R e p o r t N o. 1 6 5 9 . 89t h C o n g re s s , 2nd S e s s io n . W ash in g to n , D. C . : U. S. GovernmentP r i n t i n g O f f i c e , i 9 6 0 .

C. PERIODICALS AND NEWSPAPERS

B a n f i e l d , Edward. "The D e c i s io n Making Schem a,"P u b l i c A d m i n i s t r a t i o n R eview , V o l . 1 7 , Autumn 1957 , p p . 278^ 285^

C o p l in , W il l ia m D. " I n t e r - N a t i o n S im u la t io n and C ontem porary T h e o r ie s o f I n t e r n a t i o n a l R i g h t s , " A m erican P o l i t i c a l S c ie n c e R ev iew , V o l . LX, No. 3 , S ep tem b er 1 9 6 6 , p p . 5 62 -5 7 8 .

D a v is , O t to A . , M, A. H. D em p ste r , and Aaron W lld av sk y . "A T heory o f th e B u d g e ta ry P r o c e s s , " Am erican P o l i t i c a l S c ie n c e R eview , V o l. LX, No. 3 , S ep tem b er 1966 , p p . 5 2 9 -5 4 7 .

Edelm an , M urray . "Government O r g a n iz a t io n and Group P o l i c y , " P u b l i c A d m l n l s t r a t i o n R ev iew , V o l. X I I ,No. 4 , Autumn 1952 , p p . 276- 2 8 3 .

F u l l e r , R, B u c k m in s te r . " V is io n 65 Summary L e c t t i r e , " A m erican S c h o l a r , V o l . 3 5 , No. 2 , S p r in g 1 966 , pp." 206-2X57--------

Heady, F e r r e l v "The R e o r g a n iz a t i o n Act o f 1 9 4 9 ,"P u b l i c A d m i n i s t r a t i o n R eview , V o l . 9 , Summer 1949 , p p . l 62= I F f :

L indb lom , C h a r le s E. "The S c ie n c e o f ’m udd ling t h r o u g h ' P u b l i c A d m ln is t r a t1 on R ev iew , V o l . 1 9 , 1959 , p p . 79 -

M e rto n , R o b e r t K. " B u r e a u c r a t i c S t r u c t u r e and P e r s o n a l i t y , " S o c i a l F o r c e s , V o l . 17 , 1940 ,p p . 5 6 0 -5 6 8 .

M i l l e t t , J . D. and L. R o g e rs . "The L e g i s l a t i v e V eto and t h e R e o r g a n iz a t io n Act o f 1 9 3 9 ," P u b l i c A d m i n i s t r a t i o n Review , V o l . I , W in te r 1941 , p p . 1 7 6 -1 8 9 .

O d egard , P e t e r H. "A Group B a s i s o f P o l i t i c s : A NewName f o r an A n c ie n t M yth ," W este rn P o l i t i c a l Q u a r t e r l y , V o l . X I , S ep tem ber 1 958 , p p . 6 8 9 -7 0 2 .

Owen, W i l f r e d . " G a la c t i c V i s i t o r s F in d E a r t h B a r e ly A i r b o r n e , " W ash in g ton P o s t , F e b ru a ry 1 2 , 1967•

P r e s t h u s , R o b e r t V. "Toward a T heory o f O r g a n i z a t i o n a l B e h a v io r , " A d m i n i s t r a t i v e S c ie n c e Q u a r t e r l y ,V o l . 3 , Ju n e 19$a , p p . 4 8 -7 2 :

R o b in so n , James A. "T ea ch in g With I n t e r - N a t i o nS im u la t io n and Case S t u d i e s , " A m erican P o l i t i c a l S c ie n c e R eview , V o l . LX, No. 1 , M arch , 1965 , p p . 53 -

S a y r e , W allace S. " P re m ise s o f P u b l i c A d m i n i s t r a t i o n : P a s t and E m e rg in g ," P u b l i c A d m i n i s t r a t io n Review , V o l. X V III , S p r in g 1958 , p p . 1 0 2 -1 0 5 .

W aldo, D w ight. " O r g a n iz a t io n T h eo ry : An E le p h a n t in eP ro b le m ," P u b l i c A d m i n i s t r a t i o n R ev iew , V o l. XXI, Autumn 1961 , p p . 2 1 0 -2 2 5 .

W en tw orth , E f tic , " P la n n e r s W ith in P l a n n e r s F e s to o nth e O ld P ork B a r r e l , " W ash in g to n P o s t , May 1 4 , 1967.

205W ild avsk y , Aaron. "The P o l i t i c a l Economy o f E f f ic ie n c y :

C o s t -B e n e f it A n a ly s is , System s A n a ly s is , and Program B u d g etin g ," P u b lie A d m in istra tio n R eview , V o l. 26 , No. 4 , December 1 9 66 , pp . 2 9 2 -3 1 0 .

" C a l i f a n o S ees Need f o r R e o r g a n i z a t i o n , " F e d e r a l T im e s , May 3 , 1967.

"The Agony o f G e ttin g Anywhere," Newsweek, January 9 , 1 9 6 7 , pp . 4 3 -4 8 .

"Can th e Great S o c ie ty Be B u i l t and Managed?" T im e, January 2 0 , 1 967 , pp . 1 6 -2 2 .

"M arit im e P o l i c y A s s a i l e d , " W ash ing ton P o s t , O c to b e r 8 , 1965 .

"LBJ S h e lv e s Merger o f Labor, Commerce," W ashington P o s t , March 1 8 , 1967 .

"Study D is c lo s e s N early O ne-H alf o f S e s s io n s on’H ill* Were S e c r e t ," W ashington P o s t , A p r il 1 9 ,1 967 .

"M arit im e P r o p o s a l Due S o o n ," W ash ing ton P o s t ,O ctober 2 , 1967 .

D. INTERVIEWS

The p o s i t i o n g iv e n i s t h e one h e ld by th e

i n d i v i d u a l d u r in g th e p e r i o d 1 J a n u a r y 1966 -

15 O c to b e r 1966.

P e r s o n a l i n t e r v i e w w i th :

B a s n ig h t , A rv in 0 . A s s o c ia te A d m i n i s t r a t o r f o r P ro g ra m s , F e d e r a l A v ia t io n Agency. A p r i l 9 , 1967.

Dean, Alan L. A s s o c ia t e D i r e c t o r f o r A d m i n i s t r a t i o n , F e d e r a l A v ia t io n Agency; member o f I n t e r a g e n c y Task F o rc e ( t o draw up th e d r a f t l e g i s l a t i o n f o r th e D epartm en t o f T r a n s p o r t a t i o n ) . March 9 , 1967.

Goode, C e c i l E. O f f i c e o f E x e c u t iv e M anagement, B ureau o f t h e B u d g e t. J a n u a ry 2 5 , 1967.

200

Harwood, Richard. Washington Post Staff Writer.J a n u a r y 3 1 , 1967.

H o l i f i e l d , C h e t . Member o f C o n g re s s ; A c t in g Chairm an o f t h e E x e c u t iv e and L e g i s l a t i v e R e o r g a n iz a t i o n S u b co m m ittee , Committee on Government O p e r a t i o n s , House o f R e p r e s e n t a t i v e s , May 1 2 , 1967.

K a l l e n , A r th u r . S e n io r Management A n a l y s t , Government O r g a n iz a t io n B ra n c h , B ureau o f t h e B u d g e t; member o f I n t e r a g e n c y Task F o rc e ( t o draw up l e g i s l a t i o n f o r t h e DOT). O c to b e r 2 4 , 1966 , F e b ru a ry 1 , 1967 , J u l y 5 , 1967.

M urray , Gordon M. A s s i s t a n t C h ie f , Commerce and H ousing D i v i s i o n , B ureau o f t h e B u d g e t; member o f I n t e r a g e n c y Task F o rc e (on im p le m e n ta t io n o f l e g i s l a t i o n e s t a b l i s h i n g a D epartm ent o f T r a n s p o r t a t i o n ) . F e b ru a ry 1 , 1967.

Nobleman, E l i . P r o f e s s i o n a l S t a f f Member, Committee on Government O p e r a t i o n s , U. S . S e n a te .January 2 0 , 1 9 67 .

Nupp, B yron . A s s i s t a n t D i r e c t o r f o r E conom ics ,D i r e c t o r f o r P o l i c y D evelo pm en t, U n d e r s e c r e ta r y o f Commerce f o r T r a n s p o r t a t i o n . March 2 1 , 1967•

O 'K e e fe , D a n ie l . A s s i s t a n t G e n e ra l C ounse l f o r T r a n s p o r t a t i o n , D epartm en t o f Commerce; member o f I n t e r a g e n c y Task F o rc e ( t o draw up l e g i s l a t i o n f o r DOT). March 2 1 , 1967*

Owen, W i l f r e d . S e n io r F e l lo w . The B ro o k in g s I n s t i t u t i o n . March 20 , 1 9 6 7 .

R oback, H e r b e r t . S t a f f D i r e c t o r , M i l i t a r y O p e r a t io n sS u b co m m ittee , Committee on Government O p e r a t i o n s ,U. S . House o f R e p r e s e n t a t i v e s . ( A s s i s t a n t t o Mr. H o l i f i e l d , 2nd Hoover C om m ission ).F e b ru a ry 1 4 , 19 67 .

S c h n o r r , Howard. C h ie f , Government O r g a n iz a t i o n B ra n c h ,A s s i s t a n t D i r e c t o r f o r Management and O r g a n i z a t i o n , B ureau o f t h e B u d g e t. O c to b e r 26 , 1966.

Sem er, M i l to n P. C ounse l t o t h e P r e s i d e n t , The W hite House O f f i c e . A p r i l 2 0 , 1967.

20(T

Sender, Stanton P. Staff Counsel, Committee onCommerce, U. S. Senate; detailed to Committee on Government Operations during consideration of DOT legislation. February 1 0 , 1967*

Sundquist, James. Senior Fellow. The Brookings Institution. January 1 1 , 1967.

Weithoner, Charles. Special Assistant to Associate Director for Administration, Federal Aviation Agency. March 9 , 1967.

Weiss, Ernest. Assistant Managing Director, Interstate Commerce Commission; member of the Interagency Task Force (to draw up legislation for DOT). March 1 4 , 1968.

Young, John D. Assistant to the Director, Bureau of the Budget. April 1 8 , 1967.

Zwick, Charles J. Assistant Director, Bureau of the Budget; Co-chairman of the Interagency Task Force (to draw up legislation for DOT).February 13» 1967.

APPENDICES

APPENDIX A

REVIEW OF THE THEORIES OF ORGANIZATION

A rn o ld Toynbee c h a r a c t e r i z e s t h e m odern age a s

t h e c h a n g e o v e r s t a g e from t h e t e c h n i c a l p e r i o d t o t h e

p e r i o d o f o r g a n i z a t i o n . 1 Going a s t e p f u r t h e r , E t z i o n i

l a b e l s s o c i e t y to d a y a s an o r g a n i z a t i o n a l s o c i e t y .* *

B u t , i f s o c i e t a l commitment t o o r g a n i z a t i o n a n d i t s

r a p i d g row th i n r e c e n t d e c a d e s a r e f a i r l y w e l l u n d e r s to o d ,

t h e u n d e r l y i n g t h e o r y i s v e r y much a r e s e a r c h f r o n t i e r .

M erely c a t e g o r i z i n g t h e v a r i e t i e s o f t h e o r i e s

o f o r g a n i z a t i o n g e n e r i c a l l y becomes d i f f i c u l t b e c a u s e

a c o n s i d e r a b l e r a n g e o f i n t e r p r e t a t i o n s h a s b e e n o f f e r e d

o v e r t h e y e a r s . And t h e s e i n t e r p r e t a t i o n s h av e b een

g iv e n v a r i o u s names by b o th t h e a u th o r s th e m s e lv e s and

by t h o s e s u r v e y in g t h e f i e l d o f t h e o r y . N o n e t h e l e s s ,

t h e r e i s g row ing a g re em e n t a s t o b r o a d g r o u p i n g s .3

iS e e J a c q u e s E l l u l , oj>. c i t . , p . 11.

2A m ita i E t z i o n i , Modern O r g a n iz a t io n s (Englewood C l i f f s , N. J . : P r e n t i c e - H a l l , 1 9 6 4 ) , p . 1 . And,in d e e d , R o b e r t P r e s t h u s h a s e n t i t l e d a book p r e c i s e l y t h a t way (R o b e r t V. P r e s t h u s , The O r g a n i z a t i o n a l S o c i e ty New Y ork: K nopf, 1 9 6 2 ) . " . . . o u r s i s c l e a r l y as o c i e t y made up o f o r g a n i z a t i o n s and o f i n d i v i d u a l s l i v i n g i n and th ro u g h o r g a n i z a t i o n s . " B a z e lo n , oj>_. c i t . , p . 11 .

^G o u ld n er h a s p r o v id e d p r o b a b ly th e b r o a d e s t c l a s s i f i c a t i o n . He c o n c e iv e s two m a jo r m o d e ls : t h er a t i o n a l m odel and t h e n a t u r a l - s y s t e m m od el. G o u ld ner p o se d t h e s e two ty p e s n o t a s r e a l w o r ld m o d e ls , b u t a s i d e a l t y p e s u s e f u l a s a g u id e t o i n d i c a t e t h e g e n e r a l

21-0

A lth o u g h t h e r e i s a c e r t a i n c h r o n o l o g i c a l t h r e a d t o t h e

l i s t i n g , th e o r d e r i s n o t m eant t o im p ly t h a t c r j g ro u p in g

came t o t h e f o r e f r o n t upon t h e dem ise o f t h e p r e c e d i n g

s c h o o l o f t h o u g h t . T here i s a g r e a t d e a l o f o v e r l a p p in g

i n t im e p e r i o d s and i t i s s a f e t o say t h a t e a c h s c h o o l ,

r e g a r d l e s s o f i t s r e l a t i v e im p o r ta n c e i n t h e e y e s o f

t h e o r i s t s , h a s a l a r g e body o f a d h e r e n t s a t p r e s e n t i n

management c i r c l e s .

P ro b a b ly t h e m ost u s e f u l breakdow n h a s been

p r o v id e d by Dwight W a ld o .1* He d e s c r i b e s t h e m ain con­

c e p t u a l schem es o f o r g a n i z a t i o n a s c l a s s i c a l , n e o ­

c l a s s i c a l , and m odem . C l a s s i c a l t h e o r y had i t s

modern o r i g i n s ^ i n t h e w r i t i n g s o f F r e d e r i c W. T a y lo r

s t r e s s o f a g iv e n m ode l. A lv in W. G o u ld n e r , " O r g a n i z a t i o n a l A n a l y s i s , " i n R o b e r t K. M e r to n , e t a l . , ( e d s . ) , S o c io lo g y T o d ay ; P rob lem s and P r o s p e c t s (New York: B a s ic B ooks, 1 9 5 9 ) .

See C om para tive A d m i n i s t r a t i o n G roup , The S tu d y o f O r g a n lz a t1o n a l B e h a v i o r : S t a t u s , P ro b le m s ,an d T re n d s . P a p e rs i n C o m p a r a t i v e P u b l i c A d m in is t r a ­t i o n , S p e c i a l S e r i e s , No. 8 (W ash in g to n , D. C .:A m erican S o c ie ty f o r P u b l i c A d m i n i s t r a t i o n , 1 9 6 6 ) , "T heory o f O r g a n iz a t i o n : S t a t u s and P ro b le m s ,"p p . 1 -2 8 . See a l s o Dwight W aldo, " O r g a n iz a t io n T heo ry : An E le p h a n t in e P ro b le m ," P u b l i c A d m ln ls t r a t 1'onR ev iew , V o l. XXI (Autumn 1 9 6 1 ) , p p . 210-22 'H W il l ia m G. S c o t t a l s o makes u se o f t h i s c l a s s i f i c a ­t i o n sy s te m i n Human R e l a t i o n s i n Management (Homewood, I l l i n o i s : I r w i n , 1 9 6 2 ) .

Of c o u r s e , o r g a n i z a t i o n , b r o a d ly s p e a k i n g , i s a s o ld a s human s o c i e t y i t s e l f . I t s t r u e g e n e s i s can be t r a c e d a lm o s t b a ck t o G e n e s is o f t h e Old T e s ta m e n t . The B ib le r e c o u n t s , f o r ex am p le , i n Exodus 1 8 :1 7 -2 6 how M oses ' f a t h e r - i n - l a w a d v is e d him how t o d e l e g a t e

20.1

and h i s f o l lo w e r s i n t h e e a r l y 19 00 ’s . The h ig h noon

o f i t s o r th o d o x y was i n t h e m i d - t h i r t i e s . No book

r e f l e c t s i t s o r i e n t a t i o n b e t t e r t h a n P a p e rs on t h e

S c ie n c e o f A d m i n i s t r a t i o n $ a work s e t t i n g f o r t h t h e

v ie w s , i n t e r a l i a , o f L u th e r G u l ic k on a t h e o r y o f

o r g a n i z a t i o n . G u l ic k c o in e d t h e w e ll-k n o w n scroiSygiy,

POSDCORB, t o i d e n t i f y t h e f u n c t i o n s o f a m anager and

d i s t i n g u i s h e d o r g a n i z a t i o n by p u r p o s e , p r o c e s s , c l i e n t e l e ,

and p l a c e .

C l a s s i c a l t h e o r y i s c l o s e l y i d e n t i f i e d w i t h th e

o r g a n i z a t i o n a l c h a r t . I t s e m p h as is i s on econom y,

e f f i c i e n c y , and h i e r a r c h i c a l c o n t r o l . ^ P ro p o n e n ts o f

and d e p a r t m e n t a l i z e . H is a d v ic e p r o b a b ly c o n s t i t u t e d t h e f i r s t r e c o r d e d exam ple o f t h e d i v i s i o n o f l a b o r and management by e x c e p t i o n , key t e n e t s o f c l a s s i c a l t h e o r y .

R u b e n s te in and H a b e r s t r o h o b s e rv e t h a t " f o r th o u s a n d s o f y e a r s , i n t e r e s t e d i n d i v i d u a l s have o b s e rv e d t h e p r a c t i c e o f management ( o r a d m i n i s t r a t i o n ) and a t t e m p te d t o f o r m u la te s y s t e m a t i c d e s c r i p t i o n s o f w hat th e y o b s e rv e d a s p r e s c r i p t i o n s o f how t h e y th o u g h t t h i s a r t s h o u ld be p r a c t i c e d . . . . I t i s o n ly w i t h i n th e p a s t few d e c a d e s , h o w ev er , t h a t th e s tu d y o f o r g a n i z a ­t i o n s and t h e way i n w hich p e o p le b eh av e i n o r g a n i z a t i o n s h a s become a 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 . " A lb e r t H. R u b e n s te in and Chadwick J . H a b e r s t r o h ( e d s . ) , Some T h e o r i e s o f O r g a n iz a t io n (Homewood, I l l i n o i s : “ D orsey P r e s s and R ic h a rd D, I r w i n , I 9 6 0 ) , p . 1 .

^ L u th e r G u l ic k and L. Urwick ( e d s . ) , New Y ork: I n s t i t u t e o f P u b l i c A d m i n i s t r a t i o n , Colum bia U n i v e r s i t y , 1937.

^B ecause o f t h e a c c e n t on t h i s l a t t e r f a o & t ,March and Simon c a t e g o r i z e t h i s movement a s " th e model o f t h e em ployee a s an i n s t r u m e n t . " Jam es G. March and H e r b e r t A. Sim on, O r g a n iz a t i o n s (New Y ork: W ile y ,1 9 5 9 ) , p . 7.

212

this style of thinking tend to support the rationalist concept of management, that is, the belief that the goal-seeking characteristics of individuals can be

oconsciously directed toward organizational ends.0The second major grouping is classified as

neoclassical by Waldo. Most writers refer to the theory as the "human relations approach" because its distinctive quality is its emphasis upon the human dimension in organization. The neoclassical theory grew, in the main, out of the research by social psychologists on organizations. The most heralded findings are those of Roethlisberger and Dickson (the so-called Hawthorne studies) and those found in the writings of Elton Mayo,

gE t z i o n i f u r t h e r d i v i d e s t h e c l a s s i c a l t h e o r y

i n t o (1 ) c l a s s i c a l m o t i v a t i o n a l t h e o r y ( S c i e n t i f i c M anagem ent), r e p r e s e n t e d by T a y l o r , G i l b r e t h , and t h e i r d i s c i p l e s ; (2 ) c l a s s i c a l o r g a n i z a t i o n a l t h e o r y , ( o f t e n r e f e r r e d t o a s A d m i n i s t r a t i v e Management) r e p r e s e n t e d by G u l i c k , U rw ick , S h e ld o n , Brownlow,Mooney, and o t h e r s ; and (3 ) d e c i s i o n m aking t h e o r y , r e p r e s e n t e d , e s p e c i a l l y by t h e c o n c e p ts o f March and Sim on. E t z i o n i , 0 £ . c i t . , p p . 2 0 -5 7 . Waldo p r e f e r s t o subsume t h e M arch-Slmon m odel u n d e r h i s "Contem­p o r a r y M o d e ls ."

F o r a v e ry d e t a i l e d r e v ie w o f th e c l a s s i c a l a p p ro a c h , s e e J o s e p h L. M a s s ie , "Management T h eo ry " i n Jam es G. March ( e d . ) , Handbook o f O r g a n iz a t io n s (C h ic a g o : Rand M cN ally , 1 9 6 5 ) , P P • 3 8 7 -3 2 2 . M ass ieu s e s t h e l a b e l o f n e o c l a s s i c a l i n a d i f f e r e n t s e n s e t h a n W aldo. He r e s e r v e s t h e u sa g e f o r t h o s e who I n t e g r a t e t h e t e n e t s o f t h e t r a d i t i o n a l c l a s s i c a l a p p ro a c h " w ith t h e r e s u l t s o f e m p i r i c a l r e s e a r c h f lo w in g from o t h e r d i s c i p l i n e s . " H is n e o c l a s s i c a l c o n t i n g e n t , h o w e v er , i s r a t h e r s e l e c t i v e ; he I n c l u d e s W il l ia m H. Newman, C h a r le s E . Summer, E r n e s t D a le , and P e t e r D ru c k e r .

213K u rt L ew in , and C h e s t e r B a r n a r d . ^ o u t o f t h i s t h e o r y

came t h e n o t i o n t h a t , w i t h i n a fo rm a l o r g a n i z a t i o n ,

t h e r e e x i s t s an i n f o r m a l a p p a r a t u s b o rn o f an d s u s t a i n e d

by t h e e m o t io n a l and s o c i a l a s p e c t s o f t h e human p e r s o n a l i t y .

N e o c l a s s i c a l t h e o r y r e p r e s e n t e d a s t r o n g r e a c t i o n

t o t h e m e c h a n i s t i c a p p ro a c h o f t h e " s c i e n t i f i c management"

s c h o o l a n d , i f i t d id n o t s p e c i f i c a l l y eschew r a t i o n a l i s m ,

t e n d e d t o shy away from th e s t r u c t u r a l o r i e n t a t i o n i n

f a v o r o f t h e a f f e c t i v e and m o t i v a t i o n a l a p p ro a c h . O rg a n i ­

z a t i o n was r e g a r d e d n o t so much a s an i n s t r u m e n t a s a

n a t u r a l sy s te m t h a t h a d , i n a s e n s e , a l i f e o f i t s own

and was n o t s u s c e p t i b l e t o d i r e c t m a n i p u l a t i o n . T h is

a p p ro a c h was m arked by i n t e r d i s c i p l i n a r y e f f o r t s .

The t h i r d phase-1-0 i n t h e e v o l u t i o n a r y deve lopm en t

9See F r i t z R o e t h l i s b e r g e r and W. J . D ic k so n ,

Management and t h e W orker (C am b rid g e , M a ss . : H a rv a rdU n i v e r s i t y , 193977 E l t o n Mayo, Human P ro b lem s o f an I n d u s t r i a l C i v i l i z a t i o n (New York: M acM illan , 1 9 3 3 ) ;K u rt Lew in,""R e so lv in g S o c i a l C o n f l i c t s (New York: H a r p e r , 1 9 4 8 ) ; and C h e s te r I . B a r n a rd , The F u n c t io n s o f t h e E x e c u t iv e (C am bridge , M a s s a c h u s e t t s : H a rv a rdU n i v e r s i t y , 1 9 3 # ) .

10C a r l S to v e r f e e l s t h a t t h e r e a r e two a d d i t i o n a l movements i n t h e t r e n d , a s h e s e e s i t , from f o l k l o r e t o s c i e n c e i n o r g a n i z a t i o n t h e o r y : t h e h i s t o r i a n sand d e s c r i b e r s o f management ( f o r e x am p le , L eo n a rd D. W hite and Jo hn G a u s) ; a n d , r a t h e r t h a n a m odern m o d e l , management s c i e n c e . S to v e r v iew s management s c i e n c e a s t h e c u lm in a t io n o f t h e e v o l u t i o n . W a ld o 's f i n a l g r o u p in g , h o w e v e r , seems t o a c c o rd p r o p e r em p h asis t o d i s c r e t e m odels w h ic h , ev en i n b r o a d e s t t e r m s , c o u ld n o t be c a p t io n e d management s c i e n c e . See C a r l F . S t o v e r , "C hanging P a t t e r n s i n t h e P h i lo s o p h y o f M anagem ent," i n A d m i n i s t r a t 1ve Q u e s t io n s and P o l i t i c a l

21*1

o f o r g a n i z a t i o n a l t h e o r y i s a l t e r n a t e l y r e f e r r e d t o by

Waldo a s m odern o r c o n te m p o ra ry . The g ro u p in g l a c k s

t h e g e n e r a l h o m o g en e ity o f t h e e a r l i e r tw o , b u t p ro b a b ly

i s a s u s e f u l an u m b r e l la f o r t h e f u l l p a n o p ly o f e x t a n t

t h e o r i e s a s c o u ld be d e v i s e d . F o r t h e r e i s no o t h e r

common d e n o m in a to r t h a t a p p e a r s a d e q u a te ly t o d e s c r i b e

t h e sp e c t ru m o f d i s p a r a t e t h e o r i e s . 11

March and Sim on, a l t h o u g h i n c lo s e ag reem en t

w i th Waldo on t h e f i r s t two e r a s , d e f i n e t h e t h i r d model

a s " e m p h a s iz in g t h e r a t i o n a l and i n t e l l e c t i v e a s p e c t s

o f o r g a n i z a t i o n a l b e h a v i o r ."12 The d e s c r i p t i o n may be

p a r t i c u l a r l y a p t f o r t h e s p e c i f i c model t h e y o f f e r ,

b u t i t does n o t s u f f i c e a s w e l l a s W aldo’s e i t h e r t o

Answers e d i t e d by C laude E. Hawley and R uth G. W e in tra u b ( P r i n c e t o n i N. J . : D. Van N o s t r a n d , 1 9 6 6 ) ,p p . 9 6 -1 0 6 .

A m a jo r r e a s o n f o r t h i s d i s p a r i t y i s th e d i v e r s i t y o f r e s e a r c h b e in g c o n d u c te d on t h e s u b j e c t . R u b e n s te in and H a b e r s t r o h e x p l a i n t h a t " t h e r e i s n o t a s i n g l e , w e l l - d e f i n e d community o f s c h o l a r s w i th r e s p o n s i b i l i t y f o r r e s e a r c h i n o r g a n i z a t i o n t h e o r y , a s t h e r e i s f o r p h y s i c s , p s y c h o lo g y , o r e co n o m ic s . T h u s , we f i n d many p e o p le w o rk in g i n f i e l d s a s d i v e r s e a s n e u r o lo g y , m a th e m a t ic s , a n im a l s o c i o l o g y , and p h i lo s o p h y who may be c o n t r i b u t i n g i n d i r e c t l y , b u t i m p o r t a n t l y , t o an u l t i m a t e t h e o r y o f o r g a n i z a t i o n a l b e h a v i o r . O th e r c o n t r i b u t i o n s come from f i e l d s t h a t a r e o b v io u s ly d i r e c t l y c o n c e rn e d w i th im p ro v in g t h e a r t o f m anagem ent: human r e l a t i o n s , o p e r a t i o n s r e s e a r c h , management s c i e n c e , o c c u p a t i o n a l p s y c h o lo g y , and management i t s e l f . Some w o rk e rs i n s o c i o l o g y , s o c i a l p s y c h o lo g y , p o l i t i c a l s c i e n c e , and a n th r o p o lo g y a r e d i r e c t l y c o n c e rn e d w i th t h e deve lopm en t o f o r g a n i z a t i o n t h e o r y f o r i t s own s a k e . " A l b e r t H. R u b e n s te in and Chadwick J . H a b e r s t r o h , 0£ . c i t . , p . 2 ,

12March and Simon, loc. cit.

2 1 5

encom pass a l l t h e c u r r e n t m odels o r t o e x c lu d e th e

m odels o f th e e a r l i e r e r a s . -*-3

Waldo d i s c e r n s f o u r m a jo r m odels i n t h e con­

te m p o ra ry s c e n e : t h e d e c i s i o n m aking m odel; t h e sy s te m

m odel; t h e b u r e a u c r a c y m od el; and th e s o c i a l sy s te m

m odel. H e r b e r t Simon f i r s t p o s i t e d th e i d e a t h a t

a d m i n i s t r a t i v e p r o c e s s e s a r e d e c i s i o n a l p r o c e s s e s i n

1947I 4 and (som etim es i n c o n ju n c t i o n w i th C y e r t o r

March) h a s f o l lo w e d up t h i s th o u g h t i n a vo lum inous

s e r i e s o f p u b l i c a t i o n s

A r a t h e r s p i r i t e d c o n t r o v e r s y o v e r t h e d e g re e o f

r a t i o n a l i t y i n d e c i s i o n m ak in g , e s p e c i a l l y i n th e

g o v e rn m e n ta l e n v iro n m e n t , h a s sp ru n g up i n r e c e n t y e a r s

and t r i g g e r e d s u f f i c i e n t d iv e r g e n c e o f o p in io n t o

w a r r a n t th e em ergence o f a new body o f t h e o r y s p e c i ­

f i c a l l y d e v o te d t o d e c i s i o n .

13As w i t h S t o v e r , t h e y seem t o n a rro w th e

c o n tem p o ra ry f i e l d t o management ( o r o c c a s i o n a l l y , a d m i n i s t r a t i v e ) s c i e n c e . I n l i k e m ann er , E t z i o n i , a f t e r g e n e r a l l y s e c o n d in g W aldo’ s e a r l i e r c l a s s i f i c a ­t i o n s , v iew s t h e s t r u c t u r a l i s t a p p ro a c h (one o f W a ld o 's f o u r m a jo r m odern m o d e ls ) a s t h e u n i t a r y c o n v erg en ce i n th e m odern e r a o f e a r l i e r t h e o r i e s .

In A d m i n i s t r a t i v e B e h a v io r (New Y ork: M acM illan , 1 9 W ) .

C h ie f among them a r e Models o f Man (New York: John W ile y , 1 9 5 7 ) ; w i th James G. M arch,O r g a n iz a t io n s (New Y ork: John W ile y , 1 9 5 8 ) ; andThe New S c ie n c e o f Management D e c is io n (New York: H a r p e r , i 9 6 0 ) ,

216

The se co n d o f t h e c o n te m p o ra ry t h e o r i e s i s t h e

sy s te m m o de l. I n t h i s m o d e l , t h e t e n e t s o f g e n e r a l

sy s te m t h e o r y — Ludwig Von B e r t a l a n f f y I s p e rh a p s t h e

l e a d i n g p ro p o n e n t i n t h e f i e l d 1^— a r e a p p l i e d t o t h e

o r g a n i z a t i o n a l r e a lm . A sy s te m i s u n d e r s to o d t o be an

e n t i t y composed o f p a r t s t h a t c o n ta in m u tu a l ly d e p e n d e n t

v a r i a b l e s . The t h e o r y h o ld s t h a t sy s te m s as sy s te m s

p o s s e s s g e n e r i c a t t r i b u t e s and t h e g e n e r a l aim i s t o

s u b j e c t d i s c r e t e sy s te m s t o a n a l y s i s i n o r d e r t o u n c o v e r

t h e s e g e n e r i c u n d e r p in n in g s . I n sy s te m s a n a l y s i s , t h e

o r g a n i z a t i o n i s v iew ed i n i t s t o t a l i t y and d e t e r m i n a t i o n

o f th e i n t e r r e l a t e d n e s s o f t h e p a r t s i s a key c o n s i d e r a t i o n .

The sy s te m m o d e l, i n i t s b r o a d e s t r e a c h , c o n c e iv ­

a b ly c o u ld em brace a w ide v a r i e t y o f s p e c i a l i z e d co n cep ­

t i o n s , su c h a s t h e s o c i a l s y s te m , c o m m u n ica tio n s ,

e q u i l i b r i u m , c y b e r n e t i c , and b i o l o g i c a l m o d e ls . The

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

s u i g e n e r i s and w ould p ro b a b ly a rg u e t h a t t h e s i m i l a r i t y

t o t h e g e n e r a l sy s te m m odel i s i s o m o r p h ic . The g e n e r a l

sy s te m m o d e l, a t any r a t e , sy m b o l iz e s t h e sy s te m s

a p p ro a c h i n i t s p u r e s t fo rm . The a d u m b ra t io n s o f W il l ia m

G. S c o t t a r e r e p r e s e n t a t i v e o f t h e a p p l i c a t i o n o f t h i s

See Ludwig Von B e r t a l a n f f y and A n a to l R ap o p o rt ( e d s . ) , G e n e ra l S y s te m s : Yearbook o f th eS o c ie ty f o r G e n e ra l System s R e se a rc h (New Y ork: S o c i e tyf o r G e n e ra l System s R e s e a r c h , 1956 and su b s e q u e n t y e a r s ) .

217m odel t o t h e s tu d y o f o r g a n i z a t i o n s , x '

W aldo’s t h i r d modern model i s th e b u re a u c r a c y

p a ra d ig m . Max Weber p i o n e e r e d t h e developm en t o f t h i s1 8t h e o r y o f o r g a n i z a t i o n e a r l y i n t h i s c e n t u r y . H is

c o n t r i b u t i o n was a s y n t h e s i s o f a h ig h o r d e r . Weber

was t r a i n e d i n i t i a l l y i n j u r i s p r u d e n c e , b u t th e m a jo r

o r i e n t a t i o n o f h i s th o u g h t was s o c i o l o g i c a l . A ltho ugh

h i s m ethod d i d n o t in v o lv e e m p i r i c a l v e r i f i c a t i o n ,

Weber b ro u g h t t o t h e s o c i a l d i s c i p l i n e s th e c o n c e p t o f

g e n e r a l i z e d a n a l y t i c a l c o n c e p ts and p r o p o r t i o n s a s

opposed t o i d i o g r a p h i c c o n c e p t u a l i z a t i o n s .

17 See W il l ia m G. S c o t t , Human R e l a t i o n s i n M anagem ent, o p . c i t . , and h i s O r g a n iz a t i o n T h e o r y : A B e h a v io r a l A n a ly s i s f o r Management (Homewood, I l l i n o i s : R ic h a rd D. I r w i n , 1 9 6 7 ) . E a s to n , i n r e c e n t y e a r s , h a s a p p l i e d sy s te m s t h e o r y t o t h e p o l i t i c a l p r o c e s s .See D avid E a s to n , The P o l i t i c a l System (New Y ork:K nopf, 1953) and e s p e c i a l l y , A Framework f o r P o l i t i c a l A n a ly s i s (Englewood C l i f f s , N. J 7 ! P r e n t i c e H a l l ,19 65 )• F o r an i n t e r e s t i n g m odel com bin ing sy s te m s th e o r y and d e c i s i o n t h e o r y , s e e S t a n l e y Young, Managem ent: A System s A n a ly s i s (G len v ie w , I l l i n o i s :S c o t t , F o resm an , 1 9 6 6 ) ,

P r o b a b ly t h e b e s t sum m ation o f h i s v iew s on b u re a u c r a c y can be g a th e r e d from C h a p te r V I I I , " B u r e a u c r a c y ,” i n From Max W eber: E ssa y s on S o c i o lo g y ,Hans H. G e r th and C, W righ t M i l l s ( t r a n s . and e d s . ) , (New Y ork: O xford U n i v e r s i t y P r e s s (G alaxy B o o k s ) ,19^6 . W eber’ s v iew s can be p u r s u e d f u r t h e r i n h i s The T heory o f S o c i a l and Economic O r g a n i z a t i o n , T r a n s . A. M. H enderson and T a l c o t t P a r s o n s , e d . T a l c o t t P a r s o n s (New York: O xford U n i v e r s i t y , 1 9 4 7 ) . Fora m odern v e r s i o n from a c o n t i n e n t a l v i e w p o i n t , s e e M ich e l C r o z i e r , The B u r e a u c r a t i c Phenomenon (C h ica g o : U n i v e r s i t y o f C h ic a g o , 1 9 6 4 ) , e s p . p p . 1 4 5 -2 1 2 ,

238

The te rm " b u r e a u c r a c y " , i n th e W eb erian s e n s e ,

i s n o t m eant t o have any i n v i d i o u s c o n n o t a t i o n s , 1^ b u t

r a t h e r , i s a t e c h n i c a l te rm r e f e r r i n g t o a p a r t i c u l a r

o r " i d e a l " o r g a n i z a t i o n a l fo rm . W eber’ s i n t e n t was m e re ly

t o d e s c r i b e t h e i n s t i t u t i o n o f b u r e a u c r a c y f a c t u a l l y .

I n h i s v ie w , t h e u n i v e r s a l t r e n d o f s o c i e t y i n c r e a s i n g l y

was to w a rd f u n c t i o n a l r a t i o n a l i t y ( b u r e a u c r a t i z a t i o n ) .

As th e s p e c i a l i z a t i o n o f f u n c t i o n s i n c r e a s e d , so d i d t h e

s e p a r a t i o n o f t h e i n d i v i d u a l from c o n t r o l o v e r t h e

o r g a n i z a t i o n o f w h ich he was a p a r t .

W eber’ s c o n c e p t io n o f b u r e a u c r a c y , i n e f f e c t , i s

a r i g o r o u s v e r s i o n o f e a r l i e r c l a s s i c a l t h e o r y ; i t i s

c h a r a c t e r i z e d by a h i e r a r c h i c a l s t r u c t u r e , w i th a u t h o r i t y

l e v e l s c l e a r l y d e f i n e d . The i n d i v i d u a l i s c i r c u m s c r ib e d

by e f f i c i e n c y n o rm s, s p e c i a l i z a t i o n , and r a t i o n a l i z a t i o n .

B u r e a u c ra c y , Weber a s s e r t s — t h e a s s e r t i o n i s m eant t o

r e f l e c t f a c t , n o t a v a lu e ju d g m e n t20— i s t h e most e f f i c i e n t

ty p e o f o r g a n i z a t i o n .

The W eberian t h e o r y o f o r g a n i z a t i o n h a s h ad a

m a jo r im p a c t upon A m erican s o c i o l o g i c a l t h i n k i n g , p a r t ­

i c u l a r l y s i n c e W orld War I I . Among o t h e r s , M erto n ,

19 I n f a c t , Weber was t h e l e a d i n g p r o p o n e n t o f t h e d o c t r i n e o f " v a lu e - f re e d o m " i n t h e s o c i a l s c i e n c e s .

o n H is c o n c lu s io n s w ere b a se d upon a th o ro u g h c o m p a ra t iv e a n a l y s i s o f d a t a c o l l e c t e d from a compre­h e n s iv e s u rv e y o f p a s t and c o n te m p o ra ry g o v e rn m e n ta l , r e l i g i o u s , s o c i a l , e co n o m ic , and l e g a l i n s t i t u t i o n s .

219G o u ld n e r , S e l z n i c k , and P r e s th u s have d e v e lo p e d s c h o l a r l y

f o r m u la t i o n s a lo n g t h e m ain l i n e s o f W eber’s t h o u g h t ,

b u t h ave q u a l i f i e d i t t o t h e e x t e n t t h a t t h e s o c i o -

e m o t io n a l a s p e c t s o f b u re a u c ra c y have been a c c o rd e d

g r e a t e r a t t e n t i o n . The d y s f u n c t i o n a l co n seq u e n ce s o f

b u r e a u c r a c y have b e e n e s p e c i a l l y em p h a s ize d by t h e s e

a u t h o r s . 21

Waldo a g r e e s w i th B la u an d S c o t t ’s c o n c lu s io n

t h a t W eber’ s c o n c e p t io n o f b u r e a u c r a c y r e p r e s e n t s

"u n d o u b te d ly t h e m ost im p o r ta n t g e n e r a l s t a t e m e n t onPPfo rm a l o r g a n i z a t i o n .

The f i n a l m a jo r m odel2^ i n t h e modern breakdow n

p r o v id e d by Waldo i s th e s o c i a l - s y s t e m m o de l. As w i th

t h e b u r e a u c r a t i c m o d e l , i t s f o u n d a t io n s a r e i n s o c i o lo g y .

21 R o b e r t K. M e r to n , " B u r e a u c r a t i c S t r u c t u r e and P e r s o n a l i t y , " S o c i a l F o r c e s , V o l . 1 7 , 1940 , p p . 5 6 0 -5 6 8 ; R o b e r t K. M e rto n , e t a l , ( e d s . ) , R ead e r i n B u re a u c ra c y (G le n c o e , I l l i n o i s : F re e P r e s s , 1 9 5 2 ) ; A lv in G o u ld n e r , P a t t e r n s o f I n d u s t r i a l B u re a u c ra c y (G le n c o e , I l l i n o i s : F re e P r e s s , 1 9 5 4 ) ; P e t e r S e l z n i c k , L e a d e r s h ip i n A d m i n i s t r a t i o n (E v a n s to n , I l l i n o i s : Rowe, P e t e r s o n ,1 9 5 7 ) ; and R o b e r t V. P r e s t h u s , "Toward a Theory o f O r g a n i z a t i o n a l B e h a v io r , " 0£ . c i t . , p p . 4 8 -7 2 .

22W aldo, o £ . c i t . , p . 9«

23O th e r im p o r ta n t m odern m odels e n jo y in g l e s s e r

f o l l o w in g s a r e t h e com m unica tion sy s te m m o d e l, t h e b i o l o g i c a l sy s te m m o d e l, t h e e q u i l i b r i u m m o d e l , and t h e c y b e r n e t i c m odel.

220

T a l c o t t P a r s o n s I s I t s p r im a r y sp o k e sm a n .21* T h is

m odel h a s o v e r to n e s o f b o th th e b u r e a u c r a t i c and

sy s te m m o d e ls . U n l ik e t h e sy s te m m o d e l , h o w ever , t h e

a c c e n t i s on t h e s o c i a l o u t l o o k , on th e g o a l - s e e k in g

o r i e n t a t i o n o f o r g a n i z a t i o n s . And, i n c o n t r a d i s t i n c t i o n

t o t h e b u r e a u c r a t i c m o d e l , t h e s o c i a l sy s te m model does

n o t em ph as ize th e d e p e r s o n a l i z a t i o n o f t h e i n d i v i d u a l

i n modern complex o r g a n i z a t i o n s . I n s t e a d , t h e g r e a t e r

v a r i e t y o f c h o ic e p e r m i t t e d by modern s o c i e t y i s s t r e s s e d .

T here a r e v a r i a t i o n s o f t h e P a r s o n ia n m odel.

E t z i o n i ’s m o d i f i c a t i o n 2^— he r e f e r s t o i t a s th e

s t r u c t u r a l i s t a p p ro a c h — e m p h a s ize s t h e c o n t r o l a s p e c t s ;

B la u 2^ a d a p t s exchange t h e o r y 2? t o t h e m ode l.

I t seems a p p a r e n t t h a t , d e s p i t e a g row ing

i n t e r e s t i n s y s t e m a t i c r e s e a r c h i n t o o r g a n i z a t i o n ,

t h e r e does n o t now e x i s t a u n i f i e d t h e o r y o f

24See T a l c o t t P a r s o n s , The S o c i a l System

(G le n c o e , I l l i n o i s : F re e P r e s s , 1 9 5 1 ) ; a l s o Henry A.L a n d s b e r g e r , " P a r s o n ’s T heory o f O r g a n i z a t i o n , "The S o c i a l T h e o r ie s o f T a l c o t t P a r s o n s (Englewood C l i f f s , N. J . : P r e n t i c e - H a l l , 1 9 6 1 ) .

E t z i o n i , o]D. c i t . , p p . 20-59 and p a s s im .

26Peter Blau, Exchange and Power in Social Life (New York: Wiley, 1964), passim.

27F o r a d e t a i l e d e x a m in a t io n o f th e t h e o r y

o f b a r g a i n i n g and e x c h a n g e , s e e George Homans, S o c i a l B e h a v io r : I t s E le tn e n ta ry Forms (New York:H a r c o u r t , B r a c e , and W orld , 1 9 6 1 ) .

221.o r g a n i z a t i o n from w hich p r i n c i p l e s o f management can

be e x t r a c t e d . S m a ll g roup s t u d i e s have d o m in a ted th e

r e s e a r c h s c e n e . S i g n i f i c a n t , im p r e s s iv e p r o g r e s s h a sP 8b e en made i n t h i s a r e a . I t re m a in s t o be d e m o n s tr a te d

t h a t g e n e r a l i z a t i o n s drawn from e m p i r i c a l r e s e a r c h on

s m a l l g roup b e h a v i o r can be e x t r a p o l a t e d t o f i t t h e

l a r g e , complex o r g a n i z a t i o n . 29

T here i s a d m ira b le s c h o l a r s h i p e v id e n t i n th e

w orks o f th e a d h e r e n t s o f t h e W eberian and P a r s o n ia n

m odels and y e t even t h e s e m odels g iv e no p r a c t i c a l

g u i d e l i n e s t o o r g a n i z a t i o n a l p l a n n e r s c l a d w i th th e

r e s p o n s i b i l i t y f o r d e v i s i n g s t r u c t u r a l a r r a n g e m e n ts f o r

S e e , f o r e x am p le , R o b e r t G o lem biew sk i, The S m a ll Group (C h ica g o : U n i v e r s i t y o f C h ica g o , 1 9 6 2 ) ;George C. Homans, The Human Group (New Y ork: H a r c o u r t ,B ra c e , and W orld , 1 9 5 0 ) ; A. R. H a re , Handbook o f S m all Group R e se a rc h (G le n c o e , I l l i n o i s : F re e P r e s s ,1 9 6 2 ) ; and E. A. S h i l s , "The S tudy o f th e P r im ary Group" i n D. L e r n e r and H. L a s s w e l l ( e d s . ) , The P o l i c y S c ie n c e s ( S t a n f o r d , C a l i f o r n i a : S t a n f o r d U n i v e r s i t y ,1 9 5 1 ) , PP. 4H-69.

29W olin f e e l s t h a t t h e o r g a n i z a t i o n i n a r e s t r i c t e d fo c u s o f s m a l l g ro u p in g s h a s been o v e r ­s t r e s s e d , th e r e b y m ask ing t h e g r e a t e r im p o r ta n c e a c c r u i n g t o t h e s u b j e c t o f o r g a n i z a t i o n a p p l i e d t o s o c i e t y a s a w h o le . S h e ld o n S. W olin , P o l i t i c s and V i s io n (B o s to n : L i t t l e , Brown, I 9 6 0 ) , p p . 4 2 9 -4 3 ^ -andp a s s i m .

L i t t l e o f t h e e m p i r i c a l d a t a t h a t i s a v a i l a b l e , u n f o r t u n a t e l y , i s a c q u i r e d from r e s e a r c h i n t h e g o v e rn ­m e n ta l e n v iro n m e n t . P r e s th u s t h i n k s t h a t " th e s i z e , s c o p e , and c o n t i n u i t y o f governm ent p rog ram s i n v i t e b e h a v i o r a l r e s e a r c h , " b u t t h e " i n v i t a t i o n " h as n o t been r e a d i l y a c c e p te d by r e s e a r c h e r s . See R o b e r t V. P r e s t h u s , B e h a v io r a l A pproaches t o P u b l i c A d m in i s t r a t io n ( U n i v e r s i t y , Alabama: U n i v e r s i t y o f Alabam a, 1 9 6 5 ) ,P . 137.

222

c a r r y i n g o u t g o v e rn m e n ta l p ro g ra m s . To s a y , a s one

a u th o r d o e s , t h a t one n e e d n o t choose one m odel o v e r

a n o th e r b e c a u se " th e s c i e n t i f i c s tu d y o f o r g a n i z a t i o n s

o f f e r s a f i e l d p a r e x c e l l e n c e f o r p o l y - p a r a d ig m a t i c

p r o g r e s s "3° may p r e s e n t a s t i m u l a t i n g i d e a t o t h e

t h e o r i s t , b u t i t p r o v i d e s s c a n t s o l a c e t o t h e p l a n n e r

who h as t o t a c k l e a r e a l w o r ld p ro b lem i n o r g a n i z a t i o n a l

d e s i g n . As M a r t in Landau p u t s i t : "P arad igm s a r e n o t

handbooks f o r m a n a g e rs ,"^1

O r g a n iz a t i o n i s a p r a c t i c a l a r t a n d , a s s u c h ,

i t i s im p o r ta n t t h a t t h e o r y and p r a c t i c e keep p a c e one

w i th a n o t h e r . A f t e r a r e v ie w o f th e l i t e r a t u r e , h o w ev er ,

P e t e r D r u c k e r 's o b s e r v a t i o n t h a t "we have i n f a c t no

r e a l l y w o rk a b le , t e a c h a b l e t h e o r y o f o r g a n i z a t i o n f o r

l a r g e s c a l e p u r p o s e s " 3 2 r i n g s t r u e . 33 Theory o f

30G lenn P a i g e , C om para tive A d m i n i s t r a t i v e G roup , o p . c i t . , p . 5 7 .

31C om para tive A d m i n i s t r a t i o n G roup, l o c . c i t . , p . 50. C e c i l Goode f e e l s t h a t "we need t o c o n c e n t r a t e more a t t e n t i o n on t h e b i g p ro b lem o f how t o t r a n s l a t e t h e f i n d i n g s o f b e h a v i o r a l r e s e a r c h i n t o p r a c t i c e . " C e c i l Goode, " P u t t i n g O r g a n i z a t i o n a l R e se a rc h t o U se ," i n Raymond V. Bowers ( e d , ) , S t u d i e s on B e h a v io r i n O r g a n iz a t io n s (A th e n s , G e o rg ia : U n i v e r s i t y o f G e o rg ia ,1 9 6 6 ) , p . 356.

32Quoted by P a u l Van R i p e r , " O r g a n iz a t i o n s :B a s ic I s s u e s and a P ro p o sed T y p o lo g y ," i n B ow ers, o p . c i t . , p . 45.

33Waldo p l a c e s t h e blam e upon " th o s e whose o f f i c i a l p o s i t i o n i t i s t o d e a l w i th g e n e r a l p o l i t i c a l

223

o r g a n i z a t i o n re m a in s an amorphous s u b j e c t , a lo o s e t e rm

e m b ra c in g b o th c o n c e p ts o f human b e h a v io r and c o n c e p ts

o f fo rm a l o r g a n i z a t i o n . T h e o r ie s o f i n f o r m a l g ro u p s and

t h e o r i e s o f p sy c h o lo g y a r e a l i k e i n v e s t e d w i th th e l a b e l

o f t h e o r y o f o r g a n i z a t i o n ,

Landau would l i k e t o im pose bo un d a ry c o n d i t i o n s

on t h e t h e o r y and t r e a t i t a s "an o r d e r e d s y s t e m ^ w hich

f i x e s upon s e l e c t e d a s p e c t s o f r e a l i t y a s i t i g n o r e s

o t h e r s . " He f e e l s t h a t l a r g e , complex o r g a n i z a t i o n s

"may be t r e a t e d a s s e t s o f i n v a r i a n t r e l a t i o n s . But

i t i s n o t v e ry l i k e l y t h a t L a n d a u 's l i m i t e d p a ra d ig m

w i l l be u n i v e r s a l l y o r even w id e ly a c c e p te d a s t h e

r e s e a r c h i n s t r u m e n t ,36 F o r i t a p p e a rs t h a t t h e r e i s no

and s o c i a l t h e o r y , " r e g a r d i n g them a s n o t b e in g " f u l l y s e n s i t i v e and r e s p o n s i v e t o th e e x i s t e n c e and i m p l i c a ­t i o n s o f o r g a n i z a t i o n and a d m i n i s t r a t i o n i n o u r day" and o f n o t p e r f o rm in g t h e f u n c t i o n o f r e l a t i n g t h e s e phenomena t o t h e " g e n e r a l p o l i t i c a l d im e n s io n ." C om p ara tive A d m i n i s t r a t i o n G roup, 0£ . c i t . , p . 19.

34More o r l e s s , a m o d ern ized v e r s i o n o f W eb e r 's

" i d e a l " b u r e a u c r a c y .

35 C om para tive A d m i n i s t r a t i o n G roup , 0£ . c i t . ,p . 50 .

36K o o n tz ’s f e e l i n g s c o n c e rn in g management t h e o r y

i n g e n e r a l w ould t e n d t o s u p p o r t t h i s c o n c lu s io n :" I s t i l l c a n n o t e s c a p e th e f e e l i n g t h a t t h e a r e a o f management t h e o r y i s somewhat a J u n g le o f c o n fu s in g s e m a n t i c s , v a r y in g c o n c e p ts o f t h e f i e l d o f m anagem ent, u n w i l l i n g n e s s and i n a b i l i t y t o u n d e r s t a n d and f a i l u r e t o a p p r e c i a t e th e u s e f u l n e s s and n a t u r e o f a w o rk in g c o n c e p tu a l schem e, o r t h e o r y . " H a ro ld Koontz ( e d . ) , Toward a U n i f i e d Theory o f Management (New York: M cG raw -H ill, 1 9 6 4 ) , p . 251 . ( summary com m ents).

2?4d i s c e r n i b l e c o n t r o l mechanism f o r c o o r d i n a t i n g t h e

e f f o r t s o f t h e co m p e tin g s c h o o l s o f th o u g h t o r f o r

im p o s in g a c c e p te d s t a n d a r d s o f p r e c i s i o n . " R e se a rc h i n

o r g a n i z a t i o n re m a in s an a r t o f advocacy as w e l l a s

a n a l y s i s ."3 7

The c o n c lu d in g t h e s i s o f Waldo i s t h a t "any t h e o r y

o f o r g a n i z a t i o n i s e i t h e r an a rgum en t f o r o r a g a i n s t

so m e th in g — so m e th in g s o c i a l , p o l i t i c a l , e t h i c a l . " H is

a rgum ent i s t h a t " t h e r e i s i n f a c t no way ' s i m p l y ’ t o

s tu d y i t , a p a r t from t h e v a lu e s i t em bodies and to w a rd

w hich i t can be d i r e c t e d . " ^ A dvancing a lo n g s i m i l a r

l i n e s , S a y r e a v e r s t h a t :

O r g a n iz a t io n t h e o r y i n p u b l i c a d m i n i s t r a t i o n i s a p ro b lem i n p o l i t i c a l s t r a t e g y ; a c h o ic e o f o r g a n i z a t i o n s t r u c t u r e i s a c h o ic e o f w hich i n t e r e s t o r w hich v a lu e w i l l have p r e f e r r e d a c c e s s o r g r e a t e r e m p h a s is . O r g a n iz a t io n i s , t h e r e f o r e , a d e te r m in a n t i n b a r g a i n i n g . 39

I f t h e s e p r e m is e s a re e s s e n t i a l l y c o r r e c t , t h e y

oug h t t o r e i n f o r c e t h e e f f o r t , i n e x am in in g t h e f o r c e s

and f a c t o r s t h a t make up th e a d m i n i s t r a t i v e r e o r g a n i z a t i o n

37W il l ia m P.. D i l l , " D e s e g re g a t io n o r I n t e g r a t i o n ? Comments a b o u t C ontem porary R e s e a rc h on O r g a n iz a t io n s " i n W. W. C ooper, e t a l ( e d s . ) . New P e r s p e c t i v e s i n O r g a n iz a t i o n R e se a rc h (New Y ork: W iley , 19k4 ) ,p . 50.

^ C o m p a r a t iv e A d m i n i s t r a t i o n G roup, o £ . c i t . , p p . 1 9 , 2 0 .

39W allace S . S a y r e , " P re m is e s o f P u b l i c A d m in is t r a ­t i o n : P a s t and E m e rg in g ," P u b l i c A d m i n i s t r a t io n Review ,Volume X V III , S p r in g 1 9 5 ° , p p . 10 4 -105 .

225

p r o c e s s , t o a s c e r t a i n th e t h e o r y o f o r g a n i z a t i o n , i f

a n y , t h a t i n f l u e n c e s th e a c t i o n s o f t h e p a r t i c i p a n t s .

APPENDIX B

CHANGE AND HUMAN RESPONSE

P a t t e r n o f Change

The w o r ld I s i n a s t a t e o f v a s t s o c i a l and t e c h ­

n o l o g i c a l ch an g e . The e n t i r e sy s te m o f t h i n g s i s one

g ra n d sc en e o f p e r p e t u a l ch an g e . The t w e n t i e t h c e n tu r y

h a s u s h e r e d i n an e r a o f u n p re c e d e n te d a c t i v i t y i n a l l

a s p e c t s o f l i f e — i n s c i e n c e and t e c h n o lo g y , i n e d u c a t i o n ,

i n i n d u s t r y , and i n p o l i t i c s . Change i s t h e h a l lm a r k

o f o u r t im e .

Man a p p e a re d on t h e e a r t h a b o u t a m i l l i o n y e a r s

a g o . Yet a t t h e c lo s e o f t h e M iddle A ges, t h e c o n d i t i o n

o f man re m a in e d v i r t u a l l y u n c h an g ed . B e g in n in g w i th

t h e I n d u s t r i a l R e v o lu t io n , h ow ever, t h e human way o f

l i f e h a s b een t r a n s f o r m e d . S in c e t h e end o f th e

e i g h t e e n t h c e n t u r y , m an k in d ’s advancem ent h a s b e en

a t a r a p i d p a c e .

The tempo o f change h as a c c e l e r a t e d a t a

s t a g g e r i n g r a t e s i n c e W orld War I I . And t h e p a ce o f

t e c h n o l o g i c a l change i s e v e r - a c c e l e r a t i n g . To August

H e c k s c h e r , c i v i l i z a t i o n h a s " th e a p p e a ra n c e o f a lo n g

s im m e r in g , c l im ax e d i n t h e p r e s e n t g e n e r a t i o n by

n o t h in g l e s s t h a n an e x p l o s i o n ." 1 The g e o g r a p h ic a l

August Heckscher, 0£. cit., p. 9«

227f o c u s o f t h a t e x p lo s io n i s t h e U n i te d S t a t e s .

In few a r e a s h a s t h e im p a c t o f p e l l - m e l l t e c h ­

n o l o g i c a l i n n o v a t i o n b e en more p r o fo u n d t h a n i n t h e

f i e l d o f t r a n s p o r t a t i o n . W ith t h e a d v e n t o f th e

r a i l r o a d , t h e U n i te d S t a t e s was t r a n s f o r m e d from a

n a t i o n h u g g in g t h e A t l a n t i c s e a c o a s t t o one o f

c o n t i n e n t a l sweep i n t h e sp a c e o f f i f t y y e a r s . 2

Today t h e sp e e d and c o m p le x i ty o f t r a n s p o r t a t i o n

i s a lm o s t beyond b e l i e f . J e t s s t r e a k a c r o s s t h e n a t i o n

a t o v e r 600 m i le s p e r h o u r . W ith in a d e c a d e , th e

s u p e r s o n i c t r a n s p o r t , w i th sp e e d s up t o 2 ,00 0 m i l e s an

h o u r , w i l l be i n r e g u l a r s e r v i c e . S ev en ty m i l l i o n

c a r s do t t h e A m erican h ig h w a y s . To accommodate th em ,

some 1 .5 m i l l i o n m i le s o f p av ed ro a d s and h ighw ays have

been b u i l t . Twenty m i l l i o n t r u c k s and b u se s compete

w i th th e a u to m o b i le s f o r t h e u se o f t h e s e r o a d s . D i e s e l

add e l e c t r i c e n g in e s have b e en a d a p te d t o t h e n e ed s o f

a huge r a i l t r a n s p o r t n e tw o rk . 1 0 0 ,0 00 p r i v a t e and

com m erc ia l a i r c r a f t swarm i n t h e s k i e s .

The sc e n e p o r t r a y e d r e f l e c t s a v o r t e x o f change

t h a t h a s p ro v o k e d an e x h i l a r a t i n g g row th i n t h e A m erican

economy and b r o u g h t e x c e p t i o n a l m o b i l i t y t o th e

2F o r a d e t a i l e d and f a s c i n a t i n g a c c o u n t o f

t h i s p a t t e r n o f c h a n g e , se e H a r r i s o n Brown, The C h a l le n g e o f M an 's F u tu r e (New Y ork: V ik in g , 1 9 5 4 ) . See a sw e l l , A r th u r 6 . C l a r k e , P r o f i l e s o f t h e F u tu re (New York: H a rp e r , 1 9 6 2 ) , e s p e c i a l l y C h a p te r 3 , '‘TheF u tu r e o f T r a n s p o r t . "

228

Am erican f a m i ly . The w a n d e r lu s t t h a t s e i z e d t h e

A m erican i n p i o n e e r days h a s n e v e r r e a l l y l e f t h im .

Save f o r t h e nom adic t r i b e s , no p e o p le changes abodes

so o f t e n , so q u i c k l y , and w i t h su ch e a s e . W ith t h e

p l e t h o r a o f t r a n s p o r t a t i o n modes a t i t s beck and c a l l ,

no p e o p le i n d u lg e s i t s u rg e f o r t r a v e l w i th such

abandon and on such an a s to u n d in g s c a l e . C o n s ta n t

m o tio n i s u n c o n s c io u s ly a c c e p te d as p a r t o f t h e r o u t i n e

o f l i v i n g .

F o r a l l h i s m o b i l i t y a b o u t t h e huge A m erican

c o n t i n e n t , t h e Am erican h a s a lw ays h a d th e f e e l i n g o f

b e in g c row ded . The p l a i n t o f t h e f r o n t i e r s m a n i s

ech o ed w i t h f a r more b a s i s i n f a c t by th e modern u rb an

A m erican . The A m erican , n o t p o s s e s s i n g t h e s t r o n g

s e n s e o f p l a c e o f h i s f o r e b e a r s , n e v e r r e a l l y d e v e lo p e d

v i l l a g e s i n t h e E uropean s e n s e — t h e g e n e r a l t r e n d was

t o s c a t t e r e d fa rm homes and t o c i t i e s . The m ech an iza ­

t i o n o f t h e fa rm h as a c c e l e r a t e d t h e move t o t h e

c i t i e s .

Today A m erica i s n o t o n ly u r b a n iz e d b u t , i n

some a r e a s , t h e c i t y d o m in a te s t h e l a n d s c a p e . Gottman

h as c o in e d t h e te rm " m e g a lo p o l i s " t o c a t e g o r i z e t h e

man-made sc e n e t h a t s t r e t c h e s a lo n g t h e E a s t e r n

s e a c o a s t . The A m erican p o p u l a t i o n more and more i s

c o n c e n t r a t i n g i n t h i s and s e v e r a l o t h e r d e v e lo p in g

c i t y s c a p e s h u n d re d s o f m i l e s i n l e n g t h . The m e g a lo p o l i s

229

se em in g ly i s p a r t o f t h e i n e s c a p a b l e a c c o u tr e m e n ts o f•3

modern i n d u s t r i a l c i v i l i z a t i o n .

P aradox o f Change

Phenomenal change h a s sp a rk e d e x c e p t i o n a l p r o ­

g r e s s i n t h e s t a n d a r d o f l i v i n g . A s s u r e d ly , n e v e r

b e f o r e i n h i s t o r y has any p e o p le en jo y e d th e u n p a r a l l e l e d

m a t e r i a l b e n e f i t s p o s s e s s e d to d a y by th e Am erican p e o p le .

No c i v i l i z a t i o n has b een b l e s s e d w i th su ch an a r r a y o f

p o s s e s s i o n s and t h e p r o d u c t s o f m an 's i n g e n u i t y . But

th e r a t e o f m a t e r i a l p r o g r e s s h a s n o t been an unmixed

b l e s s i n g . ^ M e te o r ic t e c h n o l o g i c a l p r o g r e s s h a s had i t s

u n in te n d e d c o n se q u e n c e s . An u n s o u g h t , unw anted accom­

pan im en t o f a n o v e l p a c e o f p r o g r e s s i s a u n i v e r s a l

t e n s i o n . The w i ld r u s h o f change has h ad i t s e f f e c t

m a n i f e s t e d i n a v a r i e t y o f w ays.

S o c i a l d i s o r g a n i z a t i o n i s one o f th e form s i n

w hich th e im p a c t o f change has d i s p l a y e d i t s a d v e r s e

s i d e . R io ts i n t h e c i t i e s , d i s a f f e c t i o n and w i th d ra w a l

o f th e y o u th , and an a la rm in g grow th i n c rim e a re

^See J e a n G o t tm a n 's s e m in a l c o n t r i b u t i o n , M e g a lo p o l is (New York: T w e n t ie th C en tu ry Fund,1 9 6 1 ) . p a s s im .

1}Lewis Mumford h a s w r i t t e n a t l e n g t h on

th e p e r n i c i o u s a s p e c t s o f m a t e r i a l p r o g r e s s .See e s p e c i a l l y h i s The Myth o f th e Machine (New York: H a r c o u r t , B ra c e , and W orld , 1 9 6 7 ) .

230

t r a c e a b l e , a t l e a s t i n p a r t , t o t h e im p a c t o f t e c h n o lo g y

on human l i f e .

P e rh ap s t h e m ost d r a m a t ic and f r u s t r a t i n g fa c e

o f change r e v e a l s i t s e l f i n t h e t r a n s p o r t a t i o n r e a lm .

M o b i l i t y and dem ograph ic t r e n d s have had ominous s i d e -

e f f e c t s . The grow ing s t a g n a t i o n o f th e Am erican t r a n s ­

p o r t a t i o n sy s te m h as been w e l l - p u b l i c i z e d . ^ New

su p e rh ig h w ay s and e x p re ssw a y s a r e i n a d e q u a t e by t h e

t im e th e y a r e c h r i s t e n e d . A irways a r e s t a c k e d w i th

p l a n e s , o r b i t i n g i n l a n d i n g p a t t e r n s , a w a i t in g t h e i r

t u r n t o l a n d . H o rse -d raw n b u g g ie s c o u ld wend t h e i r

way th r o u g h New York C i ty o r C hicago a t t h e t u r n o f th e

c e n tu r y a t a f a s t e r a v e ra g e r a t e t h a n can t h e 200 p l u s

h o rse p o w e r c a r o f t o d a y .^ T r a v e l l e r s t a k e h o u rs t o

g e t t o and from a i r p o r t s i n o r d e r t o b o a rd p l a n e s t h a t

can w h isk them h u n d re d s o f m i le s i n m i n u t e s . ?

5S e e , f o r e x am p le , "The Agony o f G e t t i n g

A nyw here ," Newsweek, J a n u a ry 9 , 1 967 , p p . 4 3 -4 8 ,

^"No one w an ts t o t r a v e l down F i f t h Avenue a t th e v e l o c i t y o f so u n d , b u t many New Y o rk e rs w ould be happy i f th e y c o u ld a lw ays be s u r e o f d o in g so a t th e sp e e d o f a s t a g e c o a c h . " A r th u r C, C la r k e , 0£ . c i t . , P . 23 .

7I n a t o n g u e - i n - c h e e k (b u t f a c t u a l l y c o r r e c t )

view o f th e c u r r e n t A m erican s c e n e , W i l f r e d Owen h a s e x t r a t e r r e s t i a l v i s i t o r s r e p o r t i n g on t h e i r f i n d i n g s o f e a r t h . One e x c e r p t from t h e n o te b o o k o f t h e v i s i t o r s from o u t e r sp a c e r e a d s : "Thus th e w o rs ta s p e c t o f a i r t r a n s p o r t i s g round t r a n s p o r t . I n th e n o r t h e a s t e r n c o r r i d o r o f th e U n i te d S t a t e s d u r in g th e

231I n a s e n s e , m an i s i m p r i s o n e d b y h i s m a r v e l o u s

c r e a t i o n s . H i s l i f e i s a w o r l d o f m o t i o n b u t h e f i n d s

i t d i f f i c u l t t o g e t w h e r e h e h a s t o g o o n t i m e . And

h e h a s n o a l t e r n a t i v e . E x c e p t a s a f o r m o f r e c r e a t i o n

i n d u l g e d i n b y a h a n d f u l o f t h e p o p u l a t i o n , w a l k i n g

i s a l o s t c a u s e .

W ere t h e f r u s t r a t i o n o f p o w e r l e s s n e s s i n a n

a g e o f m e c h a n i c a l m i g h t n o t e n o u g h , t h e n ew e r a o f

i n s t a n t p r o g r e s s h a s w i t n e s s e d a f r i g h t e n i n g r i s e i n

a c c i d e n t s i n t h e t r a n s p o r t a t i o n m o d e s . 5 0 , 0 0 0 p e r s o n s

a y e a r d i e o n A m e r i c a n h i g h w a y s — a l m o s t h a l f t h e t o t a l

o f a l l a c c i d e n t a l d e a t h s . D e a t h s i n v o l v i n g a u t o m o b i l e s ,

1 . 5 m i l l i o n v i c t i m s , e x c e e d t h e t o t a l n u m b e r o f men

k i l l e d i n c o m b a t i n a l l t h e w a r s A m e r i c a h a s f o u g h t .

A p p r o x i m a t e l y 3 , 0 0 0 A m e r i c a n s d i e e a c h y e a r i n b o a t s ,

s h i p s , a n d p l a n e s . A n o t h e r 2 , 3 0 0 d i e i n a c c i d e n t s

i n v o l v i n g r a i l r o a d s . S u c h c a r n a g e i s n o t l e v e l l i n g

o f f ; i t i s a m o u n t i n g n a t i o n a l m e n a c e .

F i n a l l y , u n p r e c e d e n t e d c h a n g e h a s d e e p e n e d

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

m an s i n c e t h e b e g i n n i n g o f r e c o r d e d t i m e . A c c o r d i n g

p a s t f i v e y e a r s , t r a v e l t i m e i n t h e a i r h a s b e e n r e d u c e d 5 0 p e r c e n t w h i l e t r a v e l t i m e t o a n d f r o m t h e a i r p l a n e h a s i n c r e a s e d 50 p e r c e n t . T he r e s u l t , k now n a s b a l a n c e d t r a n s p o r t a t i o n , h a s l e d t o p r o p o s a l s f o r a su b w a y f r o m New Y o r k t o W a s h i n g t o n . T h i s i s s o m e t h i n g o u r p e o p l e w o u l d n o t d i g . " W i l f r e d O w en , " G a l a c t i c V i s i t o r s F i n d E a r t h B a r e l y A i r b o r n e , " W a s h i n g t o n P o s t , F e b r u a r y 1 2 , 1 9 6 7 .

232t o W h ite h e a d , one f i n d s "two p r i n c i p l e s i n h e r e n t i n

th e n a t u r e o f t h i n g s , r e c u r r i n g i n some p a r t i c u l a r

em bodim ents w h a te v e r f i e l d we e x p l o r e — t h e s p i r i t o fQ

c h a n g e , and t h e s p i r i t o f c o n s e r v a t i o n . " I n e a c h

a g e , man has had t o w r e s t l e anew w i th t h i s p ro fo u n d

c le a v a g e i n h i s p s y c h e . But th e r e s o l u t i o n o f t h i s

c o n f l i c t i s becom ing e x c e e d in g ly more d i f f i c u l t ev en f o r

t h e s u p e r b ly a d a p t a b l e a n im a l t h a t man i s . S e id e n b e rg

f e e l s t h a t " th e s c i e n t i f i c r e v o l u t i o n h a s th e u n iq u e

d i s t i n c t i o n o f a d d in g a new d im e n s io n t o th e f u l l n e s s

o f l i f e w h i le a t t h e same t im e u n d e rm in in g and d e s t r o y ­

in g lo n g n u r t u r e d e le m e n ts o f t h e p r e v i o u s o r c h e s t r a ­

t i o n o f o u r r e s p o n s e s . "9

The ove rw h elm in g m ass o f m ankind su c c e e d s i n

m aking t h e accom m odation . They do so by o p t i n g f o r

e i t h e r one s p i r i t u a l p o l e o r t h e o t h e r , J e s u i t T i e l h a r d

de C h a rd in , t h e l a t e d i s t i n g u i s h e d F re n c h p a l e o n t o l o g i s t ,

b e l i e v e d t h a t , i n f a c t , t h e r e a l d i v i s i o n o f m ankind

i s b e tw een t h o s e who welcome th e f u t u r e and t h o s e who

A l f r e d N o r th W h ite h e a d , S c ie n c e and t h e Modern W orld (New York: M acM illan (M entor B ooks) , 196*1,f i r s t p u b l i s h e d i n 1 9 2 5 ) , p . 179.

9R o d e r ic k S e id e n b e r g , Anatomy o f t h e F u tu r e

(C h ap e l H i l l , N. C . : U n i v e r s i t y o f N o r th C a r o l i n a ,1 9 6 1 ) , p p . 1 9 , 20.

233f e a r i t , 10 John S t u a r t M i l l came t o a s i m i l a r c o n c lu s io n

much e a r l i e r . He saw an e v e r l a s t i n g c o n f l i c t be tw een

custom and th e s p i r i t o f im provem en t, s t a t i n g t h a t

" th e c o n t e s t b e tw een t h e two c o n s t i t u t e s t h e c h i e f

i n t e r e s t o f t h e h i s t o r y o f m a n k in d ." 11 The o p p o s in g

p o l e s d i s p l a y th e m s e lv e s i n e v e ry d a y l i f e : on t h e one

h a n d , i n cu s to m , h a b i t , and r e s i s t a n c e t o c h a n g e ; on

t h e o t h e r , i n t h e c o n c e p t o f s e l f - im p ro v e m e n t and an

a b id i n g b e l i e f i n t h e n o t i o n o f p r o g r e s s .

I d e a o f P r o g r e s s

In s p i t e o f t h e p ro b lem s a r i s i n g o u t o f t h e

g row ing c o m p le x i ty o f modern l i f e w i th i t s s o c i a l d i s ­

a r r a y and t e c h n o l o g i c a l "b o o m era n g s ," man h a s r e t a i n e d

h i s f a i t h i n t h e i d e a o f p r o g r e s s . Man’s d i s t i n c t i v e n e s s

from o t h e r a n im a ls r e s t s upon h i s c a p a c i t y t o t h i n k .

T i e l h a r d h i m s e l f was f i r m l y i n t h e camp o f t h e fo rm e r . See T i e l h a r d de C h a rd in , The Phenomenon o f Man (New York: H a rp e r (T orchbook E d i t io n ) V 1 9 6 1 ) , p a s s im .M i l l , i n a s i m i l a r v e i n , o b s e r v e d , "T here a r e , we know, some m inds i n w hich c a u t i o n , and o t h e r s i n w hich b o l d n e s s , p r e d o m in a te s : i n som e, t h e d e s i r e t o a v o id i m p e r i l l i n gwhat i s a l r e a d y p o s s e s s e d i s a s t r o n g e r s e n t im e n t th a n t h a t w hich p rom p ts t o im prove t h e o l d and a c q u i r e new a d v a n ta g e s ; w h i le t h e r e a r e o t h e r s who l e a n th e c o n t r a r y way, and a r e more e a g e r f o r f u t u r e t h a n c a r e f u l o f p r e s e n t g o o d ." John S t u a r t M i l l , R epre s e n t a t 1 ve Government (C h icag o : E n c y c lo p a e d ia B r i t a n n i c a (The G re a t B o o k s ) ,V o l. 4 3 , p . 336.

■^John S t u a r t M i l l , On L i b e r t y (C h icag o : E n c y c lo p a e d ia B r i t a n n i c a (The G re a t B o o k s ) , 1 9 5 2 ) ,V o l. 43 , p . 300.

234

Only man h a s t h e a b i l i t y t o make c h o ic e s and t h e freedom

t o a c t upon th o s e c h o i c e s . M a n n o t o n ly r e a c t s t o

c h a n g e , he o r d e r s c h an g e , R o u sse a u , i n com p arin g men

and b r u t e s , h e ld t h a t t h e r e i s a "v e ry s p e c i f i c q u a l i t y

w hich d i s t i n g u i s h e s , and w hich w i l l adm it o f no d i s p u t e .

T h is i s t h e f a c u l t y o f s e l f - im p ro v e m e n t w h ic h , by th e

h e lp o f c i r c u m s ta n c e s , g r a d u a l l y d e v e lo p s a l l t h e r e s t

o f o u r f a c u l t i e s , and i s i n h e r e n t i n t h e s p e c i e s a s i n

th e i n d i v i d u a l . . . . " !3

T o o q u e v i l l e t r a c e d t h e i d e a o f th e i n d e f i n i t e

p e r f e c t i b i l i t y o f man t o t h e s p r e a d o f e q u a l i t y b o rn

o f t h e A m erican R e v o lu t io n :

A lthoug h man h a s many p o i n t s o f re s e m b la n c e w i th t h e b r u t e s , one t r a i t i s p e c u l i a r to h i m s e l f : he im p ro v e s ; t h e y a r e i n c a p a b l e o fim p ro v e m e n t. Mankind c o u ld n o t f a i l t o d i s ­c o v e r t h i s d i f f e r e n c e from t h e b e g in n in g .The i d e a o f p e r f e c t i b i l i t y i s t h e r e f o r e as o ld a s th e w o r ld ; e q u a l i t y d i d n o t g iv e b i r t h t o i t . b u t h a s im p a r te d t o i t a new c h a ra c te r , !* *

12 A d le r b e l i e v e s t h a t th e q u e s t i o n o f how man d i f f e r s s t i l l r e m a in s u n a n sw e red . He f e e l s , ho w ever , t h a t t h e t im e w i l l soon a r r i v e when man can d e v i s e an e x p e r im e n t w hich w i l l c o n c l u s i v e l y d e c id e t h e a n c i e n t p h i l o s o p h i c a l i s s u e o f w h e th e r o r n o t man i s r e a l l y d i f f e r e n t . See M ortim er J , A d le r , The D i f f e r e n c e o f Man and th e D i f f e r e n c e I t Makes (New Y ork: H o l t , R in e h a r t and W in s to n , 1 9 ^ 7 ) .

• ^ J e a n J a c q u e s R o u sseau , On t h e O r ig in o f I n e q u a l i t y (C h ica g o : E n c y c lo p a e d ia B r i t a n n i c a(The G re a t B o o k s ) , 1 9 5 2 ) , V o l . 3 8 , p . 338.

Tooqueville, 0£. cit., Vol. II, p. 3^.

235He sums up t h i s human d r i v e to w a rd p e r f e c t i b i l i t y i n

d r a m a t ic t e r m s ;

. , . T h u s , f o r e v e r s e e k i n g , f o r e v e r f a l l i n g t o r i s e a g a i n , o f t e n d i s a p p o i n t e d , b u t n o t d i s c o u r a g e d , he t e n d s i n c r e a s i n g l y to w a rd s t h a t unm easu red g r e a t n e s s so i n d i s t i n c t l y v i s i b l e a t t h e end o f t h e lo n g t r a c k w hich h u m an ity has t o t r e a d . 15

O th e rs have g iv e n t h e im p u lse t o p e r f e c t i b i l i t y

a d e c id e d ly s c i e n t i f i c c a s t . Man, R. B u c k m in s te r

P u l l e r s u g g e s t s , i s th e a n t i e n t r o p i s t : h i s a c t i o n s

a r e d i r e c t e d to w a rd s lo w in g down t h e i n e x o r a b l e movement

o f t h e u n i v e r s e to w a rd s d i s i n t e g r a t i o n . D e v is in g t e c h ­

n iq u e s t o c o n t r o l t h e s o c i a l , b u s i n e s s , and p o l i t i c a l

e n v iro n m e n ts i s , a s F u l l e r s e e s i t , one o f t h e most

im p o r t a n t a n t i e n t r o p i c f u n c t i o n s o f m an .1**

W hatever o r w henever i t s g e n e s i s , t h e i d e a o f

human p r o g r e s s h a s b een a p e r s i s t e n t o n e . Man h as

a t t e m p te d c o n s i s t e n t l y t o r e a c h a h i g h e r i d e a l o f human

15I b i d . , p . 35.

P u l l e r ’ s e n u n c i a t i o n o f t h i s theme i s c o n ta in e d i n " V is io n 65 Summary L e c t u r e , " A m erican S c h o l a r , V o l . 35 , No, 2 , S p r in g 1966 , p p . 20 6 -218 . N o rb e r t W einer a d v an ced a s i m i l a r t h e s i s i n The Human Use o f Human B e ings (B o s to n : Houghton M i f f l i n ,1 9 5 0 ) , C h a p te r I . The s c i e n t i f i c o v e r to n e s a r e new, b u t t h e i d e a i s q u i t e o l d . M i l l a rg u e d t h a t "were t h e r e no im provem ent t o be hoped f o r , l i f e w ould n o t be t h e l e s s an u n c e a s in g s t r u g g l e a g a i n s t c a u s e s o f d e t e r i o r a t i o n ; a s i t ev en now i s . " He adds t h a t " p o l i t i c s , a s c o n c e iv e d by th e a n c i e n t s , c o n s i s t e d w h o l ly i n t h i s . " M i l l , R e p r e s e n t a t i v e G overnm ent, o p . c i t . , p . 335.

236

l i f e . I n c r e a s i n g l y , he h a s so u g h t i n r e c e n t t im e s t o

f a s h i o n s o c i e t a l s t r u c t u r e s t o g a in t h a t e n d . " In

c o n t r a s t t o e a r l i e r s o c i e t i e s , " E t z i o n i t e l l s u s ,

"modern s o c i e t y h a s p l a c e d a h ig h m o ra l v a lu e on

r a t i o n a l i t y , e f f e c t i v e n e s s and e f f i c i e n c y . Modern

c i v i l i z a t i o n depends l a r g e l y on o r g a n i z a t i o n s a s t h e

m ost r a t i o n a l and e f f i c i e n t form o f s o c i a l g ro u p in g

kn ow n .1,1 ̂

A p ro fo u n d a d m i r a t i o n f o r economy and e f f i c i e n c y

i s d e e p ly r o o t e d i n th e A m erican e t h o s . P a r t o f t h e

w i d e ly - s h a r e d A m erican v a lu e sy s te m i s a b e l i e f i n

A m erican "know-how"— f a s t e r and more e f f i c i e n t work

m e th o d s . I n t h e n o rm a t iv e A m erican o u t l o o k , t h e "one

b e s t way" foun d a r e a d y r e c e p t i o n .

B ut t h e chang es w rou gh t i n t h e s o c i a l e n t i t i e s

and i n t h e p o l i t y , a s a r e s u l t o f e a r l y work f e r v o r and

s l o g a n e e r i n g , had a h id d e n e f f e c t . P la n n e d change

b e g o t u n in te n d e d c h an g e . "The a b s o l u t e s i z e o f o r g a n i ­

z a t i o n s h a s b e e n i n c r e a s i n g r a p i d l y i n t h e m odern w o rld

u n d e r t h e combined i n f l u e n c e s o f p o p u l a t i o n g ro w th ,

u r b a n i z a t i o n , and t h e r e f in e m e n t o f com m unica tion and

r e c o r d k e e p i n g . " 1 ® A l l o f t h e s e i n f l u e n c e s w ere

17A m ita i E t z i o n i , o £ . c i t . , p . 1 .

T RT heodore Caplow , Oja. c i t . , p p . 3^» 35.D oro thy Emmet d e t e c t s a l i lc e t r e n d i n th e m odern w o r ld : "L arge o r g a n i z a t i o n s a r e p ro b a b ly t h e m ost c h a r a c t e r i s t i c

237unprogrammed r e s u l t s o f t h e work e t h i c and f r e n e t i c

i n d i v i d u a l i s m .

S e i d e n b e r g 's v iew on t h i s t r e n d i s num bing ly

s o b e r :

. , . F o r we l i v e i n a w o r ld t h a t i s m ov ing , i r r e v e r s i b l y i t w ould seem , to w a rd s a c o n d i t i o n o f t o t a l o r g a n i z a t i o n .

T h is e n co m p ass in g d r i f t to w a rd s o r g a n iz e d p r o c e d u r e s t h u s s p r e a d s th ro u g h o u t t h e w id e r a r e a o f s o c i a l l i f e i n an i n c r e a s i n g tem po i n r e s p o n s e t o p e r p e t u a l l y r e c u r r i n g s o c i a l dem ands.

E veryw here t h e c o n s c i o u s , d e l i b e r a t e p u r p o s iv e a s p e c t s o f l i f e o v e r t a k e u s , t r a n s f o r m i n g e x i s t e n c e i n t o an e l a b o r a t e p a t t e r n o f s e r v i c e d means and p la n n e d p r o c e d u r e s .19

A lthou gh many w ould be i n c l i n e d t o t r e a t t h i s p e s s i m i s t i c

a p p r a i s a l a s somewhat o v e rd ra w n , th e h u m a n i s t s , i n l a r g e?0n um bers , s h a r e S e i d e n b e r g 's s e n t i m e n t s .

A lth o u g h n o t r e f u t i n g S e i d e n b e r g 's l a r g e r

t h e s i s , Caplow s e e s an i n t e g r a t i v e s i d e t o t h e t r e n d

f e a t u r e o f co n tem p o ra ry s o c i e t y , a t any r a t e w e s t e r n s o c i e t y , and th e y i n c r e a s i n g l y im p inge on th e way we l i v e o u r l i v e s . " D o ro th y M. Emmet, R u l e s , R o les and R e l a t i o n s (London: M acM illan ( S t . M a r t i n ' sP r e s s ) , 1 9 6 6 ) , p . 1 8 3 .

19S e id e n b e r g , o £ . C i t . , p p . 4 4 -4 5 .

20R e p r e s e n t a t i v e o f t h i s g e n e r a l communion

i s J o s e p h Wood K r u t c h ' s Human N a tu re and t h e Human C o n d i t io n (New Y ork: Random H ouse , 1959)*

238

t o w a r d h u g e o r g a n i z a t i o n s :

. . , A l t h o u g h t h e e v i d e n c e i s i n c o m p l e t e , t h e r e a r e g o o d t h e o r e t i c a l r e a s o n s f o r s u p p o s i n g t h a t t h e s t a b i l i t y a n d s i z e o f o r g a n i z e d g r o u p s m u s t a l w a y s b e c o r r e l a t e d . 2 1

C a p lo w a l s o f i n d s t h a t t h e " m o s t i n t e r e s t i n g f e a t u r e

o f m a s s o r g a n i z a t i o n i s t h a t i t t e n d s a l w a y s t o w a r d a

s t a n d a r d f o r m , " 22 O ne m ay q u e s t i o n t h e r e l a t i v e e a s e

w i t h w h i c h t h e a d v e r b " a l w a y s " i s e m p l o y e d , b u t t h e

b o d y o f e v i d e n c e s e e m s t o s u p p o r t C a p l o w f s g e n e r a l i z a ­

t i o n s .

S e e d s o f C o n f l i c t

T h o s e m en who w e lc o m e d c h a n g e a n d n u r t u r e d t h e

i d e a o f p e r p e t u a l p r o g r e s s h a v e s e t i n m o t i o n a p r o c e s s

t h a t c a n n o t b e r e v e r s e d . 2 3 Y e t t h e m any o f t h e e a r t h

r e a c t a m b i v a l e n t l y t o t h e new o r d e r o f t h i n g s . I n t h e

a b s t r a c t s e n s e , t h e y w e lc o m e c h a n g e a s a t e c h n o l o g i c a l

a d v a n c e d e s i g n e d t o p r o m o t e t h e r e s p e c t e d w a t c h w o r d s ,

e c o n o m y a n d e f f i c i e n c y .

B u t m o v e s t o c o n t r o l p h y s i c a l d i s r u p t i o n a n d

s o c i a l d i s a r r a y o f t e n a l s o p o s e a d i r e c t t h r e a t t o

23-Caplow , o]3. c i t . , p . 35 .

2 2 I b i d .

2 ^ I n a p r e s c i e n t p a s s a g e , W h i t e h e a d c o n c l u d e d t h a t t h e " w o r l d i s now f a c e d w i t h a s e l f - e v o l v i n g s y s t e m , w h i c h i t c a n n o t s t o p . " W h i t e h e a d , o g .. c i t . , p . 183.

239t h e I n d i v i d u a l o r a t l e a s t r e p r e s e n t y e t a n o th e r

e n c ro ach m en t on i n d i v i d u a l i s t i c p u r s u i t s i n s o c i e t y .

Sometimes th e i n t e r e s t s o f s p e c i f i c g ro u p s a re

t h r e a t e n e d o r so th e y v iew i t . T h is n o rm a t iv e p a ra d o x

i s a s u r f a c e r e f l e c t i o n o f th e r o o t p s y c h o l o g i c a l

p a ra d o x w i t h i n man h i m s e l f . The l i f e o f man i s

c h an g in g r a d i c a l l y w h i le t h e n a t u r e o f man re m a in spii

e s s e n t i a l l y u n c h an g e d .

Seen i n t h i s l i g h t , p o l i t i c a l i s s u e s a r e b u t a

m i r r o r o f i n d i v i d u a l p s y c h o l o g i c a l c o n f l i c t . 25 U n t i l

t h e r e i s a b a s i c r e s o l u t i o n o f t h e c o n f l i c t be tw een

change and s t a b i l i t y w i t h i n man h i m s e l f , p o l i t i c a l

c o n t e n t i o n o v e r change w i l l r e m a in . F o r group and

s o c i e t a l p a t t e r n s o f h a b i t a r e t h e a g g r e g a t i o n o f

i n d i v i d u a l r e s i s t a n c e t o c h an g e . "H ab it i s , " W il l ia m

Jam es comm ents, " t h e enormous f l y - w h e e l o f s o c i e t y ,

i t s m ost p r e c i o u s c o n s e r v a t i v e a g e n t . " 2^

? itS e id e n b e rg b e l i e v e s , h o w e v er , t h a t man i s e v o lv i n g . H is " p o s t h l s t o r i c " man w i l l have l o s t t h e e s c h a t o l o g i c a l v i s i o n and succum bed t o an o r i e n t a t i o n n o t f a r rem oved from t h e s o c i a l I n s e c t s . He r e a s o n s :" . . . The c u m u la t iv e d r i f t to w a rd s i n c r e a s e d o r g a n i ­z a t i o n , a d v a n c in g i n s i l e n t c o m p u ls io n i s t o b e t r a c e d t o th e same d e e p - s e a t e d r e o r i e n t a t i o n w i t h i n t h e d e l i c a t e l y b a la n c e d p s y c h ic a p p a r a t u s o f man t h a t h a s a l r e a d y b o rn e f r u i t i n h i s s c i e n c e and h i s m achine t e c h n o lo g y . " S e id e n b e r g , o p . c i t . , p . 46 .

^ " P o l i t i c s , " s a y s B a z e lo n , " i s t h e p u r p o s e f u l e f f o r t f o r o r a g a i n s t c h a n g e ." B a z e lo n , o £ . c i t . , p . 11.

2^W illiam Ja m es , P r i n c i p l e s o f P sy ch o lo g y

2H0

The s t a n d a r d b e a r e r s o f c h a n g e , th e a r c h i t e c t s

( u n w i t t i n g o r no) o f b i g o r g a n i z a t i o n , a r e i n v a r i a b l y

a t odds w i th t h o s e u p h o ld in g p e rm a n en c e . Out o f t h i s

fu n d a m e n ta l a n t i t h e s i s come d i s p u t e s o v e r t h e n e c e s s i t y

o f o r g a n i z a t i o n a l ch an g e . When t h e f i r s t b a t t l e i s

l o s t by th e d e f e n d e r s o f p e rm a n e n c e ,a new d e f e n s iv e

s t a n c e i s t a k e n on th e q u e s t i o n o f t im i n g . A f i n a l

s t r u g g l e t a k e s p l a c e on th e q u e s t i o n s o f p ro c e d u re

f o r c h a n g e .27

I n s t i t u t i o n a l i z a t i o n o f C o n f l i c t

F o r t u n a t e l y f o r th e f a b r i c o f s o c i e t y , d e v ic e s

have been d e v e lo p e d t o b l u n t t h e a c e r b i t y o f t h e

s t r u g g l e s a r i s i n g o u t o f t h i s p ro fo u n d c l e a v a g e . " In

complex s o c i e t i e s , p r o c e d u r e s o f c o n f l i c t management

a r e n o rm a l ly i n s t i t u t i o n a l i z e d . " 2 ® A cco rd in g to

M i t c h e l l , "Democracy i t s e l f may v e ry w e l l be r e g a r d e d

(C h ica g o : E n c y c lo p a e d ia B r i t a n n i c a (The G re a t B o o k s ) ,V o l . 5 3 , P* 79. As a r e s u l t o f p r o f e s s i o n a l h a b i t ,James s a y s , "You se e t h e l i t t l e l i n e s o f c le a v a g e r u n n in g th ro u g h t h e c h a r a c t e r , t h e t r i c k s o f t h o u g h t , t h e p r e j u d i c e s , t h e ways o f t h e s h o p , i n a w ord , from w hich t h e man can b y -a n d -b y no more e s c a p e th a n h i s c o a t - s l e e v e can su d d e n ly f a l l i n t o a new s e t o f f o l d s . " L o c . c l t .

27T h is b a s i c a n t i t h e s i s c r e a t e s su c h a p a t t e r n o f o r g a n i z a t i o n a l b e h a v io r t h a t Caplow i s a b le t o c o n c lu d e : "T here i s u s u a l l y some l a p s e o f t im e be tw eent h e moment when t h e need f o r r e o r g a n i z a t i o n a p p e a rs and when i t i s u n d e r t a k e n . " Caplow, oj>. c l t . , p . 3 6 3 ,

2®Dan D, Nimmo and Thomas D. Ungs, American P o l i t i c a l P a t t e r n s (B o s to n : L i t t l e , Brown, 1 9 6 7 ) , p . 7 .

2 k1

a s a s e t o f norms t o i n s t i t u t i o n a l i z e c o m p e t i t io n i n

t h e p o l i t i c a l arena,"2^ I n A m erica , c o n f l i c t i n

t h e p o l i t y i s i n s t i t u t i o n a l i z e d i n th e p o l i t i c a l p r o c e s s .

C o n f l i c t i s t h e c e n t r a l p ro b lem o f o u r t im e .

The F ound ing F a t h e r s , h a v in g a c q u a in t e d th e m s e lv e s

w i t h t h e a b s t r a c t u t o p ia n s o l u t i o n s o f H obbes, L ocke ,

and R o u sse a u , ch ose i n s t e a d t h e m id d le g round t h e o r y

o f M i l l and M o n tesq u ieu upon w hich t o b u i l d a p o l i t i c a l

sy s te m i n th e c o n te x t o f c o n f l i c t and com prom ise. I n

s e e k in g t o a t t a i n some s e n s e o f r a t i o n a l good f o r t h e

f l e d g l i n g Am erican n a t i o n , th e y s t r o v e t o a v o id a

p o l i t i c a l fram ew ork i n w hich t e r m i n a l c o n f l i c t s c o u ld

emerge.3° They v iew ed man a s one who, th o u g h l e s s th a n

e s s e n t i a l l y g ood , c o u ld y e t be p e r s u a d e d t o f o l lo w a

c o u rs e o f accom m odation and r e s t r a i n t .

The dynamic and complex p o l i t i c a l o r d e r w hich

th e y f a s h io n e d tem p ere d i d e a l i s t t h e o r y w i th p ra g m a t ic

u n d e r p in n in g s . The r e s u l t o f t h e i r d e l i b e r a t i o n s

i s a p o l i t i c a l p r o c e s s o f th e m id d le r e a lm w h e re in

29W il l ia m C. M i t c h e l l , The A m erican P o l i t y

(New Y ork: F re e P r e s s , 1 9 6 2 ) , p . 2 8 9 .

F o r an e x c e l l e n t e x p o s i t i o n o f t h e modes o f c o n f l i c t and t h e i r c h a r a c t e r i s t i c s , s e e Caplow, o p . c l t . , C h a p te r N in e .

c o n t in u o u s c o n f l i c t ® 1 f l o u r i s h e s and se e m in g ly

i r r e c o n c i l a b l e e x tre m e s a r e c o n ta in e d and h a rm o n iz e d .

Caplow r e g a r d s c o n t in u o u s c o n f l i c t a s t h e "most i n t e r e s t i n g , t h e m ost u n i v e r s a l , and t h e l e a s t u n d e r s to o d form o f t h e c o n f l i c t s i t u a t i o n . " Caplow, o p . c l t . , p . 3 ^7 .

APPENDIX C

SURVEY OF DECISION MAKING CONCEPTIONS

The s t y l e s and p o i n t s o f em p h asis s h i f t from

tim e t o t im e i n th e f i e l d o f management and i n t h e

s o c i a l s c i e n c e s . D i v i s i o n o f l a b o r , sp a n o f c o n t r o l ,

l e a d e r s h i p , and com m unica tions have e ac h had t h e i r

t im e i n t h e l i m e l i g h t a s t h e fo c u s o f r e s e a r c h . The

fo c u s to d ay i s on d e c i s i o n m aking a s a u n i t o f

a n a l y s i s . 1

The t r e n d to w a rd i n t e n s i v e r e s e a r c h i n t o d e c i s i o n

m aking began a b o u t t h e c lo s e o f W orld War I I . C h e s t e r

B a r n a r d 's e f f o r t s t o b r i n g more a t t e n t i o n t o d e c i s i o n

m aking se e m in g ly w ere s h o r t - c i r c u i t e d by W orld War I I .

H e r b e r t A. Simon c a s t d e c i s i o n m aking i n a s t a r r i n g r o l e

i n h i s A d m i n i s t r a t i v e B e h a v io r ( p u b l i s h e d i n 19*17) and

t h i s t im e t h e s u g g e s t i o n t h a t d e c i s i o n m aking was th e

p i v o t a l a d m i n i s t r a t i v e a c t to o k f i r m h o l d . By I9 6 0 ,

Simon h i m s e l f was u n a b a sh e d ly t r e a t i n g d e c i s i o n m aking

E a s to n s t a t e s t h a t " d e c i s i o n m aking h a s become t h e m ost g e n e r a l i z e d new c o n c e p t i n p o l i t i c a l r e s e a r c h . " In a rg u in g f o r a sy s te m s a p p ro a c h , h o w e v er , he f e e l s t h a t " th e d e c i s i o n a l o r i e n t a t i o n h a s begun t o l o s e i t s o r i g i n a l I m p e tu s . . . . " E a s to n c o n ce d es t h a t t h i s l o s s i s " n o t b e c a u se i t h a s p ro v e d u n e q u a l t o i t s t a s k s b u t r a t h e r b e c a u se i t s p o i n t s o f m a jo r v a lu e have been l a r g e l y a b s o rb e d i n t o th e m a in s t re a m o f p o l i t i c a l r e s e a r c h . " In s h o r t , i t i s no l o n g e r a v a n t g a rd e t o employ t h i s m ethod . David E a s to n , A Framework f o r P o l i t i c a l A n a l y s i s , o p . e f t . , p . 21 .

2442

" a s synonymous w i th m a n a g in g ." S idney Ulmer drew

v i r t u a l l y th e same a n a lo g y i n 1961 f o r p o l i t i c a l s c i e n c e

i n s a y in g t h a t " th e s c i e n c e o f p o l i t i c s i s som etim es

d e s c r i b e d as t h e s c i e n c e o f m aking p o l i t i c a l decisions. Some s c h o l a r s b a lk a t a c c o rd in g such an a l l - e n c o m p a s s in g

ijs t a t u s t o d e c i s i o n m ak ing , b u t few would q u e s t i o n a t

t h i s t im e i t s g e n e r a l im p o r ta n c e i n t h e o v e r a l l scheme

o f t h i n g s .

D e c is io n m aking t h e n i s one o f th e m a jo r a p p ro a c h e s

t o th e s tu d y o f p o l i t i c s . I n c o n t r a s t t o t h e power and

e l i t e t h e o r i s t s , a n d , t o a l a r g e e x t e n t , t h e g roup

t h e o r i s t s , t h e d e c i s i o n m aking a p p ro a c h c o n c e n t r a t e s

more on "why" r a t h e r th a n on "w ho." O b v io u s ly , su c h a

n e a t l i n e o f d e m a rc a t io n can n e v e r be a c h ie v e d n o r i s

i t d e s i r a b l e t h a t a c l e a n b r e a k be made. T here i s a

g r e a t a r e a o f s p i l l - o v e r a n d , i n f a c t , i t i s s a f e t o say

t h a t t h e d e c i s i o n m aking a p p ro a c h , t o a d e g r e e , depends

on th e e a r l i e r s t u d i e s o f t h o s e engaged i n t h e d e t e r ­

m in a t io n o f who made t h e d e c i s i o n s .

2See H e r b e r t A. S im on, The New S c ie n c e o f

Management D e c i s i o n , o p . c i t . , p . 1 .3

See p r e f a c e ( p . 255) t o C h a p te r S ix (D e c is io n Making) o f I n t r o d u c t o r y R ead in gs i n P o l i t i c a l B e h a v io r e d i t e d by S . S id n ey Ulmer (C h icag o : Rand M cN ally , 1 9 6 1 ) .

itAmong them a r e R o b e r t D u b in , K e i th D a v i s , and

P r e s t o n Le B r e to n . See H a ro ld K o on tz , o £ . c l t . , p p . 112 -1 1 9 . Note a l s o "The D e c i s io n Making Schema" by Edward B a n f i e ld i n P u b l i c A d m in i s t r a t io n R eview ,V o l . 1 7 , Autumn 19 57 , p p . 2 1 & Z W .

D e c is io n m aking i s n o t p e c u l i a r t o p o l i t i c s .

I n d e e d , d e c i s i o n m aking i s one o f t h o s e f u n c t i o n s t h a t

i s p a r t and p a r c e l o f e v e ry d a y man. But i t i s i n th e

i n s t i t u t i o n a l s e n s e t h a t d e c i s i o n m aking i s a p r im e

t a r g e t o f s tu d y . S in ce t h e s u c c e s s f u l a s s a u l t upon t h e

p o l i t i c s - a d m i n i s t r a t i o n d ichotom y i n th e a f t e r m a t h o f

t h e Second W orld W ar,5 p u b l i c a d m i n i s t r a t i o n i s now

r e g a r d e d a s one o f th e m a jo r p o l i t i c a l p r o c e s s e s , d e s e r v ­

in g e q u a l a t t e n t i o n w i t h th e t r a d i t i o n a l i n s t i t u t i o n s

o f t h e C o n g re s s , th e P r e s i d e n c y , and th e C o u r t s . A

g row ing body o f l i t e r a t u r e , b a s e d upon t h i s a p p ro a ch i s

b e in g made a v a i l a b l e t o t h o s e i n t e r e s t e d i n t h e p o l i t i c a l

p r o c e s s . U n f o r t u n a t e l y , as y e t , t h e r e seems t o be no

common t h r e a d o f t h e o r y i n t h e i n c r e a s i n g number o f d e c i s i o n

s t u d i e s . I t w i l l be t h e aim i n e n s u in g p a g e s t o exam ine

t h e v a r i o u s t h e o r i e s an d t h e i r a p p l i c a t i o n t o t h e

p o l i t i c a l p r o c e s s .

I n s i m p l i f i e d t e r m s , one can d i v id e th e t h e o r i e s

now p r e v a l e n t i n t o two m a jo r c l a s s e s : (1 ) t h e o r i e s t h a t

t r e a t d e c i s i o n m aking a s a r a t i o n a l sy s te m o f a c t i o n ;

and (2) t h e o r i e s t h a t view d e c i s i o n m aking e s s e n t i a l l y

a s a s o c i a l p r o c e s s w i t h d e c id e d ly n o n - r a t i o n a l e le m e n ts

im bedded i n i t . T here a r e , n a t u r a l l y , o t h e r ways t o

^Led by A pp leby , Sim on, and S t e i n . See W allaceS . S a y r e , "P re m ises o f P u b l i c A d m i n i s t r a t i o n : P a s t andE m e rg in g ," P u b l i c A d m i n i s t r a t i o n R ev iew , V o l. X V III ,S p r i n g , p p . 102-105 .

2 46

c l a s s i f y t h i s d u a l i t y . One p a i r o f a u th o r s u s e s t h e

t e r m in o lo g y o f " c lo s e d " and "open" m o d e ls .^ The r a t i o n a l

m odel had i t s o r i g i n s i n econom ic t h e o r y w i th i t s c o n c e p t

o f "econom ic" man. I t i s t h e p r e f e r r e d — one c o u ld a lm o s t

say s o l e — model i n b u s i n e s s a d m i n i s t r a t i o n t o d a y . The

a d a p t iv e ^ m odel i s t h e o u tg ro w th o f b e h a v i o r a l t h e o r y

i n t h e s o c i a l s c i e n c e s and i s t h e g e n e r i c model p r e f e r r e d

by m ost p o l i t i c a l s c i e n t i s t s to d a y .

N a t u r a l l y e n o u g h , t h o s e who s u b s c r i b e t o th e

e l i t i s t c o n c e p t , a c c e p t t h e s i n g l e - g o a l o r i e n t e d model

o f t h e f u l l r a t i o n a l t y p e . T h e i r d e s c r i p t i v e model

f a i t h f u l l y m i r r o r s t h e n o rm a t iv e model o f t h e a v e ra g e

b u s i n e s s man i n w hich d e c i s i o n m aking i s a u n i t a r y o r

o l i g a r c h a l a c t . Group t h e o r i s t s on t h e o t h e r h a n d ,

p r e f e r t h e a d a p t iv e m odel w hich p r o v i d e s f o r t h e a c t o f

c h o ic e s p a n n in g many d im e n s io n s o f b e h a v i o r . The

p l u r a l i s t i c a p p ro a c h i n p o l i t i c s i s s u p p o r t e d by t h e i r

C h a r le s Z. W ilso n and M arcus A l e x i s , "B a s ic Frameworks f o r D e c i s io n s " i n R e ad in g s i n Management by Max D. R ic h a rd s and W il l ia m A. N i e l a n d e r ( e d s . ) ( C i n c i n n a t i : S o u th -W e s te rn , 2nd e d i t i o n , 1 9 6 3 ) ,p p . 2 1 3 -2 1 4 . But t h e "open" h e r e se e m in g ly means r a t i o n a l w i t h a to u c h o f r e a l i s m th ro w n i n t o i n d i c a t e t h a t t h e r e i s a human e le m e n t i n t h e d e c i s i o n p r o c e s s a f t e r a l l .

7" A d a p t iv e " i s u s e d i n p r e f e r e n c e t o n o n -

r a t i o n a l ; i n t h i s m o d e l , t h e r e i s a b l e n d o f l o g i c a l and n o n - r a t i o n a l f a c t o r s .

24.7s t u d i e s .

T here a r e t h o s e who r e p r e s e n t a r c h e ty p e s o f each

s o r t , b u t , a s w i l l be e v id e n t from t h e d i s c u s s i o n o f

t h e s p e c i f i c t h e o r i e s , t h e sp e c t ru m i s v e ry w ide and

a l lo w s f o r many sh a d e s o f p e r s u a s i o n . At one en d o f t h e

con tinuu m w ould be g roup t h e o r i s t s who, i n O d e g a rd ’ s

b i t i n g words "have a l l b u t b a n is h e d r e a s o n , k n o w le d g e ,

and i n t e l l i g e n c e from t h e g o v e rn m e n ta l p r o c e s s . . . .

The n o t i o n o f t h e d e c i s i o n m aker a s a r a t i o n a l c r e a t u r e

". . . i s r e g a r d e d a s a r e s i d u e o f t h e r o m a n t ic H eavenlyQ

C i ty o f t h e e i g h t e e n t h - c e n t u r y p h i l o s o p h e r s . " At t h e

o t h e r end w ould be t h o s e so c a p t i v a t e d by t h e com puter

and th e v i s i o n o f "program m ing man" t h a t p ro b le m s o l v i n g

becomes a v i r t u a l l y dehum anized sy s te m w i th co m pu te r9" t a l k i n g " t o c o m p u te r .

Under su c h c i r c u m s ta n c e s , d e f i n i t i o n o f d e c i s i o n

m aking i s an u n re w a rd in g a t t e m p t — t h e t h e o r e t i c a l con­

c e p t io n o f t h e i n d i v i d u a l i s b u i l t i n t o th e d e f i n i t i o n . 10

QP e t e r H. O d eg ard , "A Group B a s i s o f P o l i t i c s :

A New Name f o r an A n c ie n t M yth ," W es te rn P o l i t i c a l Q u a r t e r l y , V o l . X I, S ep tem b er 1 95$ , PP* 6 8 9 -7 0 2 .

9See W il l ia m D. J o n e s , On D e c is io n Making i n

L arge O r g a n iz a t io n s ( S a n ta M onica , C a l i f . : Rand,

A f t e r a q u ic k c h e c k , t h e r e does n o t a p p e a r t o be any d i s c e r n i b l e p a t t e r n be tw een t h e u se o r a b se n c e o f t h e hyphen and t h e g e n e r i c t h e o r y o f d e c i s i o n m aking h e ld !

248

F o r e x a m p le , G ore , an a d a p t iv e sy s te m a d v o c a t e , d e f i n e s

d e c i s i o n m aking as " a p a t t e r n o f I n t e r a c t i o n s be tw een

I n d i v i d u a l s th ro u g h w hich t h e s o c i a l m echanism s t h a t

s u s t a i n e f f e c t i v e c o l l e c t i v e a c t i v i t y a r e d e v e lo p e d

and m a i n t a i n e d . 1111 The a u th o r s o f The R a t i o n a l M anager,

h o w ev er , e q u a te d e c i s i o n m aking w i th p ro b le m s o l v i n g

and d e f i n e th e l a t t e r a s " a p r o c e s s t h a t f o l lo w s a

l o g i c a l s e q u e n c e .

A d i s t i n g u i s h i n g f e a t u r e o f t h e r a t i o n a l th e o r y

i s i t s a c c e p ta n c e o f a s y n o p t i c s e t o f i d e a l p r o c e d u r e s .

They may v a ry i n num ber and somewhat i n n a t u r e d e p e n d in g

upon th e s p e c i f i c t h e o r y , b u t t h e i r c o m p reh en s iv e

c h a r a c t e r re m a in s v i r t u a l l y intact.^I n th e f o l lo w in g s e c t i o n , v a r i o u s r a t i o n a l c o n c e p ts

w i l l be ex am in ed . As th e y d e p a r t from t h e s t r i c t r a t i o n a l

i d e a l , t h e y a p p ro a c h th e s t r i c t e r v e r s i o n s o f t h e s o c i a l

p r o c e s s s c h o o l . No c la im i s made t o d e v e lo p in g a f i r m

W ill ia m J . G o re , A d m i n i s t r a t i v e D e c i s io n ,M ak ing : A H e u r i s t i c Model (New Y o rk : Jo h n W ile y , 1 9 6 4 ) , p . 130. Gore a d m its t h a t a f t e r n in e y e a r s o f r e s e a r c h , he i s s t i l l n o t s a t i s f i e d w i th h i s d e f i n i t i o n .

12C h a r le s H. K epner and B enjam in B. T re g o e ,The R a t i o n a l M anager (New Y ork: M cG raw -H ill,T 9 F 5 ) , p . 18 .

13As a r e s u l t , some a u th o r s a r e wont t o l a b e l t h e r a t i o n a l c o n c e p t a s " i d e a l " t h e o r y and a d a p t iv e t h e o r y a s " e m p i r i c a l " t h e o r y . A p e j o r a t i v e f l a v o r i s im p o r te d t o th e fo rm e r u n d e r t h i s sy s te m o f l a b e l l i n g .

249

taxonomy o f t h e o r i e s ; t h e breakdow n i s o n ly a c o n v e n ie n c e ,

a b i s e c t i o n o f t h e co n tin u u m f o r t h e p u r p o s e s o f e x p o s i t i o n .

By a l l o d d s , t h e m ost r i g o r o u s a p p l i c a t i o n o f t h e

r a t i o n a l - d e d u c t i v e t h e o r y o f d e c i s i o n m aking i s t h a t

s tem m ing from econom ic t h e o r y . The e a r l i e s t c o n c e p ts o f

t h e t h e o r y o f t h e f i r m w ere d e v e lo p e d i n t h e e r a o f

" e n t r e p r e n e u r i a l " c a p i t a l i s m . The e s s e n c e o f t h i s t h e o r y

was t h e u n i f i c a t i o n o f t h e r i s k t a k i n g , p r o f i t t a k i n g ,

and d e c i s i o n m aking i n one I n d i v i d u a l . R ule I o f t h e

r u l e s o f t h e game was p r o f i t m a x im iz a t io n . I n t h i s

i d e a l m o d e l , p e o p le d i d n o t c o u n t e x c e p t a s i n s t r u m e n t

o f p r o d u c t i o n . 11* The a c t u a l d e c i s i o n s w ere made i n t u i ­

t i v e l y by t h e ty c o o n s (and w o u ld -b e ty c o o n s ) i n t h e

e a r l y d a y s .

A lth o u g h few f i r m s w ould ad m it t o f u l l

s c a l e a d h e re n c e t o t h e s t r i c t m o d e l, t h e r e l i a n c e on

o p e r a t i o n s r e s e a r c h t e c h n iq u e s by th e b u s i n e s s w o r ld

g i v e s c o n v in c in g e v id e n c e t h a t many f i r m s a r e hew ing

r a t h e r c l o s e l y t o t h e t r a d i t i o n a l fo rm . Most o f t h e

m a th e m a tic m odels a r e n o rm a t iv e p r e s c r i p t i o n s f o r im­

p r o v in g t h e o p e r a t i o n s o f t h e f i r m , t h a t i s , i n c r e a s i n g

A lth o u g h m i l i t a r y d e c i s i o n m aking w i l l n o t be exam ined i n t h i s p a p e r , i t seems p r o b a b le t h a t d e c i s i o n m aking I n t h e t h e o r y o f t h e f i r m i s an o f f s h o o t o f t h e t im e -h o n o re d m i l i t a r y c o n c e p t . Long b e f o r e th e s y n o p t i c i d e a l was a d a p te d t o t h e b u s i n e s s w o r ld , t h e m i l i t a r y e x p e r t h ad h i s d e c i s i o n "M anual" d r i l l e d i n t o him a t L eavenw orth and a t N ew port: d e f i n i t i o n o f t h e p ro b le m ,a n a l y s i s o f t h e c u r r e n t s i t u a t i o n , p o s s i b l e a l t e r n a ­t i v e s , c o n se q u e n c e s o f t h e c o u r s e s o f a c t i o n , and recommended c o u rs e o f a c t i o n .

250

p r o f i t s . 1 -* Bayes d e c i s i o n t h e o r y and s u b j e c t i v e

p r o b a b i l i t y a r e n o t h in g more t h a n ad vanced m a th e m a t ic a l

t e c h n iq u e s (u n d e r c e r t a i n t y w i th many c h o ic e s ) f o r

im p ro v in g upon t h e o l d i n t u i t i v e m ethod by u s i n g

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

R e v is io n s o f t h e t h e o r y o f th e f i r m a s a r e s u l t

o f p o s i t i v e (o r d e s c r i p t i v e ) s t u d i e s have n o t been

s u b s t a n t i a l . The " b e h a v i o r a l " t h e o r y o f t h e f i r m

d e v e lo p e d by C y e r t and March1** (a d e c i s i o n - o r i e n t e d

w ork) r e s u l t s i n an a p p ro a c h t h a t recommends s e t t l i n g

f o r l e s s th a n maximum p r o f i t s a s th e g o a l . R a t i o n a l i t y

r e m a in s , n e v e r t h e l e s s , t h e i n t e n t i o n , and a d a p t a t i o n i s

r e g a r d e d , more o r l e s s , a s an u n a v o id a b le e v i l .

O th e r p o s i t i v e a n a ly s e s have t a k e n m o t i v a t i o n

more d i r e c t l y I n t o a c c o u n t . M a n a g e r ia l d i s c r e t i o n

i n t h e s e t t i n g o f b u s i n e s s g o a l s and th e im p a c t o f th e

m a n a g e r’ s p e r s o n a l g o a l s on t h e com pany 's g o a l s and

on d e c i s i o n m aking a r e r e c o g n i z e d . 1*̂ G ordon, P a p a n d re o u ,

15 See R o b e r t S c h l a i f f e r , P r o b a b i l i t y and S t a t i s t i c s f o r B u s in e s s D e c i s io n s (New Y ork: McGraw H i l l , 1959)»S c h l a i f f e r fs c o n t r i b u t i o n s t o t h e management symposium, K o o n tz , o £ . c i t . , p p . 9 7 -9 9 , a l s o b e a r o u t t h i s c o n c lu s io n .

■^R. M. C y e r t and J . G. M arch, A B e h a v io r a l Theory o f th e F irm (Englewood C l i f f s , N. J . : P r e n t i c e - H a l l l196377

17C y e r t and March c i t e t h e a v o id a n c e o f r i s k and u n c e r t a i n t y ( w i th r e s u l t a n t " o r g a n i z a t i o n a l s l a c k " ) a s a h a l lm a rk o f modern m a n a g e r i a l b e h a v i o r . Such b e h a v io r seems t o be a b u s i n e s s i n s t i t u t i o n a l v e r s i o n

251Simon and Kaysen^ a l l have p o i n t e d up th e n e e d f o r a

r e a l i s t i c v iew o f m a n a g e r i a l m o t i v a t i o n s . The b u s i n e s s

w o r ld h a s r e l u c t a n t l y a c c e p t e d ( l a r g e l y a s a r e s u l t o f

S im on’ s e m p h a s is ) t h e n e e d f o r r e c o g n i t i o n o f t h e p e r ­

s o n a l g o a l s o f m a n a g e rs . R a t i o n a l i t y h a s been m o d i f ie d

t o accommodate m a n a g e r i a l s e l f - i n t e r e s t ; h o w e v er ,

s u g g e s t i o n s t o s e e k l e s s t h a n m ax im iz in g a s s u m p t io n s have

b e e n f i r m l y r e j e c t e d . A c co rd in g t o a r e c e n t com prehen­

s i v e s t u d y , t h e n o t i o n s o f s o c i a l c h o ic e and g roup

c o n s e n s u s — th e y w i l l be t r e a t e d i n e n s u in g p a r a g r a p h s —

have f a l l e n on d e a f e a r s i n t h e b u s i n e s s e n v iro n m e n t .

Group t h e o r y h a s no a p p a r e n t s t a t u s h e re and t h e r e

a p p e a r s t o be l i t t l e " h a rd " e v id e n c e t o s u p p o r t i t s

i n c l u s i o n i n t o t h e t h e o r y o f t h e f i r m . 1®

The m o d i f i c a t i o n s t o t r a d i t i o n a l econom ic t h e o r y

o f H a rry S ta c k S u l l i v a n ’s i n t e r p e r s o n a l p s y c h i a t r y ( a v o id a n c e o r r e d u c t i o n o f a n x i e t y ) and Leon P e s t l n g e r ’s c o g n i t i v e d i s s o n a n c e ( a v o id a n c e o r r e d u c t i o n o f d i s s o n a n c e ) . See R o b e r t V. P r e s t h u s , "Toward a T heory o f O r g a n i z a t i o n a l B e h a v io r , " o p . c l t . and Leon F e s t i n g e r , A T h eo ry o f C o g n i t iv e D isso n an c e (E v a n s to n , 1 1 1 . : Row, P e t e r s o n , 1 9 5 7 ) . T here i ssome c o n s i s t e n c y i n t h e a s s i g n a t i o n o f t h i s b e h a v io r o f t h e m a n a g e r i a l c o l l e c t i v e s . Bentham a n d M i l l s had h e l d t h a t t h e g o a l o f human a c t i o n was t o s e e k p l e a s u r e and a v o id p a i n .

1 QSee O l i v e r E. W il l ia m s o n , The Econom ics o f

D i s c r e t i o n a r y B e h a v i o r : M a n a g e r ia l O b j e c t i v e s I na T heory o f t h e F irm (Englewood C l i f f s . N. j-.:F r e n t i c e - H a l l , 1 9 6 4 ) , e s p . p p . 10 -27 and p p . 1 6 3 -1 7 ^ .

252

a p p e a r t o be a r e s u l t o f t h e em ergence o f " m a n a g e r ia l

c a p i t a l i s m . " The c l a s s i c a l ty p e model h a s g iv e n way t o

t h e " s a t i s f i c i n g " model r a t h e r g r u d g in g ly a s f a r a s19p o s i t i v e a n a l y s t s a r e c o n c e rn e d . * I t I s p o s s i b l e t h a t

th e m o t i v a t i o n a l - b a s e d t h e o r i e s o f t h e f i r m a r e b e in g

l a r g e l y ig n o r e d and t h a t th e t r a d i t i o n a l m a n a g e r ia l

t h e o r i e s , u p d a te d by t h e new t o o l s o f management s c i e n c e ,

a r e s t i l l t h e n o rm al g u id e t o d e c i s i o n m aking i n b u s i n e s s .

The c o n t in u in g p o p u l a r i t y o f t h e "what t o do"

books o f P e t e r D ru c k e r seems t o l e n d c re d e n c e t o t h i s

s u p p o s i t i o n . I n a r e c e n t b o o k , t h e r e i s no e v id e n c e

a t a l l t h a t he eschew s p r o f i t m a x im iz a t io n . The t h e s i s

o f h i s book i s t h a t "econom ic p e r fo rm a n c e . . . i s t h e

s p e c i f i c f u n c t i o n and c o n t r i b u t i o n o f b u s i n e s s e n t e r -POp r i s e , and th e r e a s o n f o r i t s e x i s t e n c e . " D ru c k e r ,

ho w ev er , p o i n t s up t h e need t o r e c o g n iz e t h e s e l f -

i n t e r e s t o f th e m an a g e rs :

The im p o r t a n t econom ic d e c i s i o n s to d a y a r e m a in ly made by e x e c u t i v e s . . . . They a r e no l o n g e r made by th e e n t r e p r e n e u r — an i n d i v i d u a l o p e r a t i n g i n d e p e n d e n t l y , f o r h i m s e l f and by h i m s e l f .

^See Robin M a r r i s , The Economic Theory o f ’M a n a g e r i a l* C a p i t a l i s m (New Y o rk : F r e e P r e s s ) , 1964; s e e a l s o Henry L a t a n e , "The R a t i o n a l i t y Model i n D e c i s io n Making" i n The S o c i a l S c ie n c e o f O r g a n i z a t i o n s , H a ro ld J . L e a v i t t ( e d . ) (Englewood C l i f f s , N. J . : P r e n t i c e - H a l l , 1 9 6 3 ) , e s p . p p . 1 3 4 , 135 .

20P e t e r F . D ru c k e r , M anaging F o r R e s u l t s :Economic T asks and R is k -T a k in g D e c i s io n s (New Y ork: H a r p e r , 1 9 6 4 ) , p . IX.

253

O rg a n iz e d b u s i n e s s h a s become t h e e n t r e ­p r e n e u r i a l c e n t e r o f m odern economy and s o c i e t y . The econom ic d e c i s i o n s i t makes o r f o r e g o e s l a r g e l y d e te rm in e t h e l e v e l , d i r e c t i o n , and c o u rs e o f i n d u s t r i a l econom y.21

D ru c k e r makes i t p a t e n t l y c l e a r t h a t t h e "im age"

may be changed b u t t h e o l d r u l e s h o ld :

T here i s a g r e a t d e a l o f s t r e s s to d a y on t h e s o c i a l r e s p o n s i b i l i t i e s o f t h e m anager.

But t h e f i r s t s o c i a l r e s p o n s i b i l i t y o f t h e m anager to d a y i s t o make u n d e r s t a n d a b le t o t h e laym en . . , w hat i t i s t h a t b u s i n e s s d o e s , can do and s h o u ld d o , and w hat i t i s t h e m anager i s d o in g .

Only when e n t r e p r e n e u r s h i p i s p r e s e n t e d a s a d i s c i p l i n e and p r a c t i c e d as t h e s p e c i f i c t a s k t h a t s y s t e m a t i c a l l y d i r e c t s r e s o u r c e s t o econom ic p e r fo rm a n c e and r e s u l t s , w i l l an e d u c a te d layman be a b le t o u n d e r s t a n d w hat b u s i n e s s . . . i s t r y i n g t o do . . . . Only t h e n can s o c i e t y t r u l y a c c e p t t h a t b u s i n e s s i s a r a t i o n a l p u r s u i t and t h a t t h e e x e c u t i v e i n b u s i n e s s h a s an im p o r ta n t c o n t r i b u t i o n t o m ak e .22

I t can be o b s e r v e d , t h e r e f o r e , t h a t t h e r e i s

r a t h e r c o m p le te harmony b e tw ee n t h e p o s i t i v e a n a l y t i c ,

n o rm a t iv e m a th e m a t i c a l , an d n o rm a t iv e p r e s c r i p t i v e

m odels f o r d e c i s i o n m aking i n t h e b u s i n e s s m i l i e u . T here

a p p e a r s t o be l i t t l e e v id e n c e t h a t t h e s o c i o l o g i c a l

c o n c e p ts o f g roup ex ch an g e and b a r g a i n i n g and th e

p s y c h o l o g i c a l c o n c e p ts o f m o t i v a t i o n (w i th t h e e x c e p t io n

21I b i d . , p . 225.

22I b i d . , p . 226.

254

o f m a n a g e r i a l m o t i v a t i o n ) have b e en i n t e g r a t e d , t o any

a p p r e c i a b l e d e g r e e , i n t o t h e d e c i s i o n m aking schem a o f

t h e b u s i n e s s w o r ld . The r a t i o n a l - d e d u c t i v e , i d e a l t h e o r y

may be o n ly a s e l f - f u l f i l l i n g p ro p h e c y , b u t i t i s t h e

a c c e p te d t h e o r y a t t h e moment.

" S u b - o p t i m i z a t i o n , " " s a t i s f i c i n g , " and "bounded

r a t i o n a l i t y " a r e c o n c e s s io n s n o t a t a l l b a s e d upon

e m p i r i c a l s o c i o l o g i c a l s t u d i e s . R a th e r th e y r e p r e s e n t

an a d m is s io n t h a t t h e i d e a l o f p r o f i t m a x im iz a t io n i s

u n a t t a i n a b l e b e c a u s e o f t h e in a d e q u a c y o f c u r r e n t t o o l s

f o r e c o n o m ic a l ly o b t a i n i n g c o m p le te i n f o r m a t i o n and s e a r c h ­

in g a l t e r n a t i v e s . The f u l l r a t i o n a l i t y o f K enneth B o u ld ln g

and th e l i m i t e d " b e h a v i o r a l " r a t i o n a l i t y o f H e r b e r t Simon

a r e n o t t h a t f a r a p a r t . And R a i f f a , J . M arsch ak , S c h l a i f f e r

and a h o s t o f o t h e r m a th e m a t ic ia n s a r e b e n t upon n a r ro w in g

th e gap be tw een w hat th e y c o n c e iv e t o be t h e u l t i m a t e

g o a l and p r e s e n t r e a l i t y , I n t h e b u s i n e s s w o r ld , w i th

i t s e v e r - f i x e d s t a r o f p r o f i t s , t h e r a t i o n a l a p p ro a c h

seems n a t u r a l enou gh . But r a t i o n a l t h e o r y a l s o h a s been

a p p l i e d (by some o f t h e same t h e o r i s t s ) t o th e g o v e rn m e n ta l

sc en e a s w e l l . I n t h e n e x t s e c t i o n , t h e g o v e rn m e n ta l

p a ra d ig m s b a s e d upon r a t i o n a l t h e o r i e s w i l l be d i s c u s s e d . ^

23F o r an i n t e r e s t i n g a p p l i c a t i o n o f m a r g in a l a n a l y s i s t o t h e g o v e rn m e n ta l p r o c e s s ( o b t a i n e d from an a n a l y s i s o f b u d g e ta r y d e c i s i o n s ) , s e e Anthony Downs,An Economic Theory o f Democracy (New Y ork: H a r p e r , 1 9 5 7 ) .

255

H e r b e r t Simon h a s p la y e d a l e a d i n g r o l e i n

a p p ly in g t h e r a t i o n a l m odel o f d e c i s i o n m aking t o t h e

g o v e rn m e n ta l p r o c e s s . I n b o th A d m l n i s t r a t i v e B e h a v io r

and P u b l i c A d m i n l s t r a t i o n , he s p e c i f i c a l l y r e l a t e d t h e

c o n c e p t o f "bounded r a t i o n a l i t y " t o governm ent i n g e n e r a l

and p u b l i c a d m i n i s t r a t i o n i n p a r t i c u l a r . S im o n 's p r e f e r ­

en ce f o r r a t i o n a l i t y i s a id e d by h i s v iew o f d e c i s i o n

m aking b o th i n b u s i n e s s and i n governm ent a s b a s i c a l l y

s i n g l e g o a l i n n a t u r e . H is i n d u c e m e n t s - c o n t r i b u t i o n s

th e o r y (ad v an ced f i r s t by B a rn a rd ) assum es a s i n g l e s e t

o f g o a l s , b u t a l lo w s f o r m u l t i p l e d e c i s i o n - m a k e r s . I t

i s , t h e r e f o r e , an advance o v e r th e t r a d i t i o n a l h i e r a r c h a l

r i g h t c o n c e p t , b u t a r e l a t i v e l y m odest a d v an c e . "Admin­

i s t r a t i v e " man, w h a te v e r S im o n 's d i s c l a i m e r s ( se e

A d m i n i s t r a t i v e B e h a v io r , p . 1 9 8 ) , seems m ere ly a c o u s in

on ce-rem oved o f "econom ic" man.

I n a s e n s e , t h e i n d u c e m e n t s - c o n t r i b u t i o n s t h e o r y

i s s i m i l a r t o th e b u r e a u c r a t i c t h e o r y o f W eber, e s p e c i a l l y

a s m o d i f ie d by P a r so n s and M erto n . Both a r e s i n g l e

g o a l - o r i e n t e d and b o th a l lo w f o r m u l t i p l e d e c i s i o n

m a k e rs . S im o n 's c o n t r i b u t o r w ould o p t o u t o f t h e o r g a n i ­

z a t i o n i f h e d e te rm in e d t h a t t h e p ay b ack was n o t w o rth

h i s e f f o r t . W eb e r 's i d e a l b u re a u c r a c y assum es t h a t

24H e r b e r t A. S im on, A d m i n i s t r a t iv e B e h a v io r and P u b l i c A d m i n i s t r a t i o n , o p . c l t .

256m echanism s w ould e x i s t f o r e l i m i n a t i n g n o n - c o n t r i b u t o r y

( d y s f u n c t i o n a l , i n M erton and P r e s t h u s t e rm in o lo g y )

b e h a v i o r . The in d u cem en t i n t h e i r schem es w ould be

t e n u r e . B ecause o f t h e i m p r e c i s i o n o f th e t h e o r i e s ,

n e i t h e r h a s a t t r a c t e d a w ide f o l lo w in g among p r a c t i t i o n e r s

i n e i t h e r governm ent o r i n d u s t r y a s a n o rm a t iv e g u i d e l i n e .

T h e i r a s s u m p t io n s o f a s i n g l e g o a l , m o re o v e r , have n o t

b e e n v e r i f i e d by e m p i r i c a l r e s e a r c h , a l th o u g h th e y have

b e en so i n t e n d e d .

A n o rm a t iv e m a th e m a t ic a l m odel (b a s e d upon r a t i o n a l

t h e o r y ) , c o s t - u t i l i t y a n a l y s i s , h a s r e c e i v e d w id e s p re a d

a p p l i c a t i o n i n g o v e rn m e n t. D eve loped by Rand C o r p o r a t i o n ,

i t was a d o p te d by t h e D efense D ep ar tm en t i n 1961 and was

e x te n d e d th ro u g h o u t th e E x e c u t iv e B ranch i n 1965 . T h is

m ethod a l lo w s f o r m u l t i p l e g o a l s , b u t p r e s u p p o s e s a

s i n g l e d e c i s i o n m ak e r . I t i s b a s e d upon a l i m i t e d

r a t i o n a l i t y o u t lo o k a n d , i n i t s c o m p a r iso n o f g o a l s ,

s u b - o p t i m i z a t i o n i s e x p e c te d . The m ethod may be v a l i d

f o r a s i n g l e e le m e n t o f t h e governm en t ( t h e E x e c u t iv e

B r a n c h ) , b u t i t s c a r c e l y s e r v e s a s an a c c e p t a b l e model,

o f t h e g o v e rn m e n ta l p r o c e s s a s a w hole w hich de J u r e and

de f a c t o h a s m u l t i p l e d e c i s i o n m a k e rs . Even w i t h i n th e

- E x e c u t iv e B ra n ch , t h e r e r e m a in s t h e p o s s i b i l i t y t h a t

s p u r i o u s g o a l s a r e i n t r o d u c e d i n o r d e r t o s u p p o r t , i n

" r a t i o n a l " f a s h i o n , a p r e - s e l e c t e d g o a l .

P ro b a b ly t h e m ost complex t h e o r y o f a r a t i o n a l

257.o r d e r w h ich h a s b e e n a d a p te d t o t h e g o v e rn m e n ta l p r o c e s s

i s t h e fo rm a l a p p ro a c h b a s e d on t h e t h e o r y o f games

d e v i s e d by Von Neuman and M o r g e n s t e r n . G a m e t h e o r y

i s a p p l i c a b l e t o d e c i s i o n u n d e r r i s k . D e c i s io n u n d e r

r i s k i s d e c i s i o n u n d e r c e r t a i n t y — t h e o b j e c t i v e s o f e a c h

p l a y e r a r e known t o t h e o t h e r s — b u t a t l e a s t one o f t h e

a l t e r n a t i v e s l e a d s t o a s e t o f c o n se q u e n c e s w i th more

t h a n one member, t h e c o n seq u e n ce s b e in g m u tu a l ly

e x c l u s i v e ; t h a t i s , w hat one g a i n s , t h e o t h e r l o s e s .

Game t h e o r y i s n o rm a t iv e and u s u a l l y d e a l s w i th

t h o s e d e c i s i o n s i t u a t i o n s i n w hich t h e d e c i s i o n m aker

h a s an op p o n en t o r o p p o n e n ts . H is d e c i s i o n , ^ t h e r e f o r e ,

i s c o n t i n g e n t upon what one o r more o p p o n e n ts d o . The

c o n c e p t o f s t r a t e g y i s i m p o r t a n t — t h e o b j e c t i v e b e in g to

f i n d w h ich s t r a t e g y i s o p t i o n a l i n a g iv e n s i t u a t i o n .

Two p e r s o n ze ro -su m games a r e t h e s i m p le s t v e r s i o n .

When more th a n two p e r s o n s a r e i n v o l v e d , h o w e v er , t h e

d i f f i c u l t i e s m ount. I n th o s e games I n v o l v in g t h r e e o r

more p l a y e r s , c o a l i t i o n s may be fo rm ed and s i d e paym ents

made. These p o s s i b i l i t i e s i n c r e a s e t h e d i f f i c u l t y o f

f i n d i n g s o l u t i o n s f o r n - p e r s o n gam es. R ic h a rd S n yder

and K a r l D eu tsch have a t t e m p te d t o a p p ly game t h e o r y

t o t h e a n a l y s i s o f p o l i t i c a l b e h a v io r i n r e c e n t y e a r s .

^John Von Neuman and O skar M o rg e n s te rn , Theory o f Games and Economic B e h a v io r ( P r i n c e t o n , N. J . : P r i n c e t o n t J n i v e r s i t y , 1 9 ^ 7 , 2nd e d . ) .

25826The r e s u l t s have n o t b e en e s p e c i a l l y s i g n i f i c a n t .

I n d e c i s i o n u n d e r u n c e r t a i n t y , t h e d e c i s i o n

m aker i s ev en l e s s c o m p le te ly in fo rm e d t h a n t h e d e c i s i o n

m aker u n d e r r i s k , f o r he l a c k s know ledge o f t h e

p r o b a b i l i t i e s o f s p e c i f i c o u tco m es . As i n d i c a t e d

e a r l i e r , s u g g e s t i o n s h av e b e e n made (by Luce and R a i f f a ,

by J . M arschak , and by S c h l a i f f e r ) f o r c e r t a i n n o rm a t iv e

a p p ro a c h e s t o su c h d e c i s i o n s i n econom ic b e h a v i o r .

D e s c r i p t i v e t h e o r y i n t h e econom ic a r e a i s n o t w e l l

d e v e lo p e d ; i n t h e p o l i t i c a l r e a lm , i t i s v i r t u a l l y

n o n - e x i s t e n t .

The t h i n k i n g o f many l e a d i n g p o l i t i c a l s c i e n t i s t s

h a s been t h a t , a l t h o u g h t h e s i m p l i c i t y o f t h e l s o l a b l e

sy s te m w i t h i n th e s c i e n t i s t ’s c o n t r o l l e d l a b o r a t o r y

e n v iro n m e n t i s n o t a v a i l a b l e t o t h e g o v e rn m e n ta l d e c i s i o n

m ak e r , t h e b a s i c e p i s t e m o l o g i c a l a s su m p t io n s a r e n o ne­

t h e l e s s t h e sam e. T h e i r c u r r e n t r e s e a r c h e f f o r t s have

26See U lm er, o £ . c i t , , p p . 271-276 and p p . 289-296

f o r r e p r e s e n t a t i v e s a m p le s . H a ro ld Guetzkow and h i s a s s o c i a t e s have a l s o made u se o f game t h e o r y i n t h e i r I n t e r - N a t i o n S im u la t io n M odel. See W il l ia m D. C o p l in , " I n t e r - N a t i o n S im u la t io n and C ontem porary T h e o r ie s o f I n t e r n a t i o n a l R i g h t s , " Am erican P o l i t i c a l S c ie n c e R ev iew , V o l. LX, No. 3 , S ep tem b er 1966 , pp . 5 6 2 -5 7 8 .T h is t y p e o f d e v i c e , a l th o u g h n o t y e t so e f f e c t i v e a s many o f i t s p r o p o n e n ts c l a im , i s a u s e f u l t e a c h i n g and t r a i n i n g d e v ic e and h a s a g r e a t p o t e n t i a l f o r d e te r m i n i n g t h e n a t u r e o f d e c i s i o n m ak ing . See Jam es A. R o b in so n , e t a l . , "T each in g w i th I n t e r - N a t i o n S im u la t io n and Case S t u d i e s , " APSR, V o l . LX, No. 1 (March 1 9 6 6 ) , p p . 53M>5.

259r e f l e c t e d t h a t fram e o f m ind . Yet o t h e r s c h o l a r s have

b e en l e s s t h a n s a t i s f i e d w i th th e outcom e o f th e a p p l i c a ­

t i o n fc<5 t h e p o l i t i c a l p r o c e s s o f t h e t h e o r y o f games

and s o l u t i o n s f o r d e c i s i o n u n d e r u n c e r t a i n t y . M a r t in

S h u b ick f e e l s t h a t , even w i t h i n t h e econom ic r e a lm , t h e

"work o f Von Neuman and M o rg e n s te rn h e lp e d t o c r e a t e

many more p ro b lem s th a n i t s o l v e d . " 2? He f e e l s t h a t

r a t i o n a l man h as t o be r e p l a c e d by "a much l e s s s u r e ,

more com plex , and f l e x i b l e i n d i v i d u a l whose b e h a v io r

and p ro b lem s a r e c l o s e r t o t h o s e t h a t we r e c o g n iz e i n2 8t h e w o r ld a ro u n d u s . "

George K atona q u e s t i o n s w h e th e r o r n o t t h o s e who

make a p r i o r i a s s u m p t io n s a b o u t th e r a t i o n a l b e h a v io r

o f man have t a k e n s u f f i c i e n t n o t i c e o f t h e e m p i r i c a l

f i n d i n g s w hich t e n d t o m odify su ch an a s su m p t io n :

s t r o n g m o t i v a t i o n a l f o r c e s ; g roup b e lo n g in g and g roup

r e i n f o r c e m e n t ; 29 a n d , i n g e n e r a l , t h e p s y c h o l o g i c a l

27 M a r t in S h u b ik , "D e c is io n -M a k in g R e le v a n t t o t h e F i r m ," i n W il l ia m J , Gore and J . W. Dyson ( e d s . ) , The Making o f D e c is io n s (New Y ork: F re e P r e s s , 1 9 6 4 ) ,P . 3^1

28 I b i d . , p . 50.

29S e e , e s p e c i a l l y , t h e work o f J . W. T h ib a u l t

and H. H. K e l l e y , The S o c i a l P sy ch o lo g y o f Groups (New York: W ile y , 1 9 5 9 ) . The a u t h o r s , a s w i thNorman M a ie r , a r e a d v o c a te s o f g roup p ro b lem s o l v i n g . T h e i r c o n c l u s i o n s , a l th o u g h s i m i l a r i n s u b s ta n c e t o t h o s e o f M cGregor, A r g y r i s , B akke, and L i k e r t , a r e r i g o r o u s l y d e s c r i p t i v e a n d , t h e r e f o r e , e v e n t u a l l y may be a c c e p t a b l e t o even a n t i - g r o u p p r a c t i t i o n e r s .

26$c h a r a c t e r i s t i c s o f men and t h e i r s o c i a l e n v i r o n m e n t .3 °

I n th e f o r e g o in g p a r a g r a p h s , i t was a t t e m p te d t o show

t h a t K a to n a 's v iew s a re s u b s t a n t i a l l y c o r r e c t . A l l

th e m odels p r e s e n t e d a r e b a sed i n i t i a l l y ( a n d , ev en i n

m o d i f ie d fo rm , p r e p o n d e r a n t l y ) on t h e t h e o r y o f t h e

f i r m . I n s i t u a t i o n s i n v o lv i n g m u l t i p l e d e c i s i o n m akers

w i t h m u l t i p l e g o a l s i n a complex and u n c e r t a i n e n v i r o n ­

m e n t , t h e s e m odels have n o t f a r e d a t a l l w e l l . C ra ig

L undberg f e e l s t h a t th e model "w hich d e p i c t s a r a t i o n a l -

l o g i c a l p e r s o n a p p ly in g a s e r i e s o f s t e p s q u i c k l y and

c o n s i s t e n t l y t o m axim ize so m e th in g i s p a t e n t l y f a l s e , "3^

H is c o n c lu s io n i s a c c e p t e d by o t h e r s a n d , i n th e

p a r a g r a p h s w hich f o l l o w , th e f o c u s w i l l be on t h e i r

t h e o r i e s and s o l u t i o n s .

A r th u r B e n t le y was p r o b a b ly t h e f i r s t p ro m in e n t

p o l i t i c a l s c i e n t i s t t o advance t h e t h e o r y o f t h e

g o v e rn m e n ta l p r o c e s s as one o f a c o a l i t i o n o f g ro u p s

w i th c o n f l i c t i n g goals.32 But t h e r e w ere few t a k e r s

30George K a to n a , P s y c h o l o g i c a l A n a ly s i s o f Economic B e h a v io r (New York: M cG raw -H ill , 195177

31C r a ig C. L u n d b erg , " A d m i n i s t r a t i v e D e c i s io n s : A Scheme f o r A n a l y s i s , " i n G o re , The Making o f D e c i s i o n s , o £ , c l t . , p . 29.

32A r th u r P . B e n t l e y , The P r o c e s s o f Government

(C h icago : U n i v e r s i t y o f C h ica g o , I 9 0 8 ) . The work o fHomans and Z a le z n lk i n I n t e r p e r s o n a l r e l a t i o n s and Lewis A. C o s e r , Thomas S c h e l l i n g , and Georg Simmel i n c o n f l i c t r e s o l u t i o n i s e x t r e m e ly a p p l i c a b l e t o a c o n c e p t b a s e d upon s o c i a l p l u r a l i s m .

261

f o r h i s t h e o r y f o r many y e a r s . D avid B. Truman

r e v i t a l i z e d t h e c o n c e p t i n 1951^ and th e t h e o r y h as

f l o u r i s h e d i n s u b s e q u e n t y e a r s . R o b e r t D ahl and

C h a r le s L indblom made a com p reh en s iv e a n a l y s i s o f

s o c i o - p o l i t i c a l d e c i s i o n m aking I n 1 9 5 3 . ^ The

d e s c r i p t i v e a n a l y s e s o f P e t e r B lau have te n d e d t o p u t

a crim p i n t h e r a t i o n a l m o d e l ,35 The work o f R o b e r t

G olem biew skl on g ro u p s h as p ro d u c e d d a t a t h a t js&ve

weakened th e f o u n d a t io n s o f " r a t i o n a l man" t h e o r y . 3^

But th e f r o n t a l a t t a c k on " r a t i o n a l man" c o n c e p ts has

been l e d by L indblom and G ore.

L indblom h a s d e l i v e r e d an a t t a c k on t h e s y n o p t i c

c o n c e p t io n o f p ro b lem s o l v i n g a d v o c a te d by t h e a d h e r e n t s

t o t h e r a t i o n a l - d e d u c t i v e t h e o r y . 37 H is a p p ro a c h was

33D avid B. Truman, The G overnm en ta l P r o c e s s (New York: K nopf, 1 9 5 1 ) .

34R o b e r t A. D ahl and C h a r le s E. L indb lom ,

P o l i t i c s , E cono m ics , and W e lfa re (New Y ork: H a r p e r ,1 9 5 3 ) .

35P e t e r M, B la u , The Dynamics o f B u re a u c ra c y (C h ica g o : U n i v e r s i t y o f C h ic a g o , 1955T; w i th W. R.S c o t t , Form al O r g a n iz a t i o n s (San F r a n c i s c o : C h a n d le r ,1962 ) ,

^ R o b e r t T. G o lem b iew sk l, The S m all G roup , o p . c l t . ; B e h a v io r and O r g a n iz a t io n ( C h ic a g o : U n i v e r s i t y o f C h ic a g o , 1962)7

3 7 p a v id B rayb rook e and C h a r le s E . L indb lom ,A S t r a t e g y o f D e c is io n (New Y ork: F re e P r e s s , 1 9 6 3 ) .B ra y b ro o k e ’s c o n t r i b u t i o n i s an e t h i c a l t h e o r y com plem entary t o L in d b lo m ’s i d e a s .

2 62

i r o n i c a l l y r e m i n i s c e n t o f H e r b e r t S im on’ s a t t a c k on

t h e " p ro v e rb s o f a d m i n i s t r a t i o n . " L indb lom c o n c e iv e s

p o l i c y e v a l u a t i o n a s a s o c i a l p r o c e s s . He d e s c r i b e s

p o l i t i c a l d e c i s i o n m aking a s a " s t r a t e g y o f d i s j o i n t e d

i n c r e m e n t a l i s m . " By t h i s p h r a s e , L indb lom means a s e t

o f p r a c t i c e s t h a t r e p r e s e n t a p o i n t o f c o n v e rg en c e f o r

p o l i c y a n a l y s t s i n t h e i r a d a p t a t i o n s t o t h e d i f f i c u l t i e s

o f p ro b lem s o l v i n g . I n t h i s t h e o r y , no p re s u m p t io n i s

made o f any know ledge ( i n any d e t a i l o r w i th any d e g re e

o f i n t im a c y ) o f how men t h i n k .

L in d b lo m 1s t h e o r y p u r p o r t s t o be d e s c r i p t i v e ,

b u t i t h a s b een s c a t h i n g l y c r i t i c i z e d by R oger W. Jo n e s

( f o r m e r ly Chairm an o f t h e U. S . C i v i l S e r v i c e Com m ission ,

l a t e r a s e n i o r o f f i c i a l w i th t h e B ureau o f t h e B u d g e t ) .

Jo n e s c o n s i d e r s t h a t t h e t h e o r y h a s no r e l a t i o n t o

r e a l i t y , 3® And r e a l i s m was t h e v e ry e s s e n c e o f

L in d b lo m ’ s c o n c e p t . Peabody and R o u rk e , on t h e o t h e r

h a n d , h o ld t h a t "L in d b lo m ’s m odel o f s u c c e s s iv e l i m i t e d

c o m p a r i s o n s ,39 i n c o n t r a s t t o t h e r a t i o n a l m eans-end

R oger W, Jo n e s comments a r e c o n ta in e d i n a symposium p r e s e n t e d i n P u b l i c A d m i n i s t r a t i o n R ev iew ,V o l. 2 5 , No. 3 (S e p tem b er 196>5T^ L in d b lo m ’s l a t e r a s s ig n m e n t a s a s e n i o r S t a t e D ep artm en t o f f i c i a l p l a c e d him i n a su p e rb p o s i t i o n t o s u b j e c t h i s t h e o r y t o e m p i r i c a l v e r i f i c a t i o n .

^ A n e a r l i e r synonym f o r d i s j o i n t e d in c r e m e n ta l i s m u se d i n L in d b lo m ’s a r t i c l e , "The S c ie n c e o f ’m u d d lin g t h r o u g h ’ , " a p p e a r in g i n t h e P u b l i c A d m i n i s t r a t i o n R ev iew , V o l. 1 9 , 1959 , p p . 79- 8 8 ,

m o d el, I s r i c h i n t h e o r e t i c a l i m p o r t . " 1*̂

G o re ’s p o s i t i o n i s t h a t t h e r e a r e two d e c i s i o n

s y s te m s : t h e r a t i o n a l and t h e h e u r i s t i c . The r a t i o n a l

s y s te m , he f e e l s , i s l i m i t e d t o a c h i e v i n g s o l u t i o n s i n

programmed d e c i s i o n s ( o r a s he p r e f e r s t o c a l l them ,

r o u t i n e d e c i s i o n s ) . He f e e l s t h a t w here t h e r e i s a

d e l i b e r a t e a t t e m p t t o d e a l w i th an i n t o l e r a b l e c o n f i ­

g u r a t i o n o f t e n s i o n s f r o n t a l l y , " i n n o v a t i v e " d e c i s i o n s

(S im on’ s non-program m ed d e c i s i o n s ) a r e n e c e s s a r y . U nder

t h e s e c i r c u m s ta n c e s , o n ly t h e h e u r i s t i c model i s c a p a b le

o f e f f e c t i n g a s o l u t i o n .

G o re ’s model i s a d e s c r i p t i v e o n e , b a s e d upon

p o s i t i v e a n a ly s e s o f p u b l i c s e r v i c e o r g a n i z a t i o n s . The

model accommodates m o t i v a t i o n a l t h e o r y , com m unica tions

t h e o r y , and e q u i l i b r i u m t h e o r y . O r g a n i z a t i o n s , t o G ore ,

a r e " m o b i l e - l i k e s o c i a l o rg a n is m s 2,1 som etim es p lu n g in g

f o r w a r d , som etim es r e e l i n g o b l i q u e l y to w ard an o f t e n

i n d i s t i n c t d e s t i n y . D e c is io n s a r e a p r im e i n s t r u m e n t ­

a l i t y f o r d i r e c t i n g t h e u n p r e d i c t a b l e movements o fU pt h e s e o r g a n i s m s ." H is complex m odel v iew s man as

i|0R o b e r t L. Peabody and F r a n c i s E. R o u rk e ," P u b l i c B u r e a u c r a c ie s " i n James G. March ( e d , ) ,Handbook o f O r g a n i z a t i o n s , o p . c i t . , p . 807.

4 l The d e b t t o M e rto n , S e l z n i c k , and G o u ld n e r i s acknow ledged e a r l y i n t h e book .

U p W ill ia m J . G ore , A d m i n i s t r a t i v e D e c is io n Making A H e u r i s t i c M odel, o p . c i t . , p . 179.

264

" s o c i a l ” man, and n e i t h e r assum es man i s o r s h o u ld be

r a t i o n a l . In f a c t , t h e e m o t io n a l s i d e o f h i s n a t u r e i s

e x p e c te d t o make h i s d e c i s i o n s n o n - r a t i o n a l i n many

i n s t a n c e s . F o r G ore , f e e l i n g , n o t r e a s o n , i s o f t e n

d o m in a n t . G o re ’s t h e o r y i s q u i t e s i m i l a r t o L in d b lo m ’s ,

w i th th e e x c e p t io n t h a t h i s t h e o r y g i v e s more w e ig h t

t o th e e m o t io n a l component o f t h e i n d i v i d u a l t h a n i t

does t o th e c o l l e c t i v e a s p e c t s o f g roup b e h a v i o r .

Aaron W ildavsky h a s p e r fo rm e d a p o s i t i v e a n a l y s i s

o f t h e f e d e r a l b u d g e ta ry p r o c e s s t h a t f i t s i n r a t h e r

w e l l w i th t h e G ore-L indb lom t h e s i s . 1̂ W ildavsky s t a t e s

t h a t t h e b u d g e ta r y p r o c e s s i s t h e outcom e o f s t r a t e g i c

m an eu v er in g among g ro u p s o f p e o p le who have w id e ly

v a r y in g m o t iv e s . He s e e s i n c r e m e n t a l change a s t h e

l a r g e s t f a c t o r i n th e p r o c e s s . ^ W ild a v s k y 's s t u d y ,

ho w ev er , r e p r e s e n t s one o f t h e few e m p i r i c a l s t u d i e s

a v a i l a b l e t h a t d e p i c t th e p o l i t i c a l p r o c e s s a s e s s e n t i a l l y

n o n - r a t i o n a l ( i n th e econom ic s e n s e ) . The b u lk o f t h e

m a t e r i a l on t h e g o v e rn m e n ta l p r o c e s s i s n o rm a t iv e ( w i th in

43 Aaron W ild av sk y , P o l i t i c s o f t h e B u d g e ta ry P r o c e s s , o]D, c i t .

44W ildavsky l a t e r c o l l a b o r a t e d w i th O t to A. D avis

and M. A, H, D em pster t o d e v e lo p a m a th e m a t ic a l model o f h i s s t u d y . See "A Theory o f th e B u d g e ta ry P r o c e s s , " Am erican P o l i t i c a l S c ie n c e R ev iew , V o l . LX, No. 3 , S ep tem ber 1966 , p p . 52 9 -5 4 7 .

265an i n c r e a s i n g l y m a th e m a t ic a l fram ew ork) and th e

r e l a t i v e l y s m a l l number o f e m p i r i c a l l y - b a s e d w orks

seem t o l e n d s u p p o r t t o t h e " n o n - r a t i o n a l " a p p ro a c h .

W hether d e c i s i o n m aking i s e q u a t a b l e t o th e

e n t i r e p o l i t i c a l and a d m i n i s t r a t i v e p r o c e s s and w h e th e r

d e c i s i o n m aking as an a p p ro a ch t o th e s tu d y o f p o l i t i c s

h a s been o v e r t a k e n by th e sy s te m s a p p ro a c h a r e b o th

d e b a t a b l e p o i n t s . I t i s c l e a r , n e v e r t h e l e s s , t h a t

d e c i s i o n m aking i s an im p o r ta n t and a b s o r b in g e le m e n t

i n th e p o l i t i c a l p r o c e s s . T here seem t o be s e v e r a l

r e a s o n s f o r t h e I s s u e ' s b e in g s u r ro u n d e d by so much

c o n f u s io n and so much c o n t r o v e r s y .

At th e to p o f th e l i s t o f p ro b lem s i s th e

u n r e s o lv e d q u e s t i o n o f t h e fu n d a m e n ta l c h a r a c t e r o f

t h e d e c i s i o n i t s e l f : I s d e c i s i o n m aking i n t h e

p o l i t i c a l p r o c e s s e s s e n t i a l l y r a t i o n a l o r n o n - r a t i o n a l ?

The q u e s t io n i s n o t s im p ly one o f t i d y i n g up an academ ic

d i s p u t e . F o r n o rm a t iv e t h e o r i e s , su c h a s t h e t h e o r y

o f th e f i r m , o p e r a t i o n s r e s e a r c h ( o r sy s te m s a n a l y s i s ) ,

and th e t h e o r y o f games ( i n i t s p r e s c r i p t i v e a p p l i c a ­

t i o n s ) , a r e l a c k i n g i n s e n s e and a re u s e l e s s i f t h e

a c t u a l b e h a v i o r o f man i s f u n d a m e n ta l ly n o n - r a t i o n a l .

The p o s s i b i l i t y t h a t a m a g n i f i c e n t s u p e r s t r u c t u r e h a s

b e en b u i l t upon an e x t r e m e ly weak f o u n d a t io n has n o t

b een r u l e d o u t . The n o rm a t iv e m a th e m a t ic a l m odels as

y e t a w a i t e m p i r i c a l v e r i f i c a t i o n . The t h e o r i s t s

d e v e lo p in g t h e s e m odels have n o t a s c e r t a i n e d w h e th e r

266o r n o t th e d e c i s i o n m aker i n th e r e a l w o r ld a c t u a l l y

a s s i g n s numbers t o u t i l i t i e s b e f o r e p r e s c r i b i n g su ch

a sy s te m . T ech n iqu e may have o u t r u n t h e o r y .

A n o th e r u n r e s o l v e d a r e a i s c o n c e rn e d w i th t h e

f a c t - v a l u e d ich o to m y . Are means and en ds c l e a r l y

s e p a r a b l e o r a r e th e y so I n t e r r e l a t e d t h a t i t i s im pos­

s i b l e t o s e p a r a t e them ? I s d e c i s i o n m aking c l o s e l y

r e l a t e d t o th e r e s o l u t i o n o f c o n f l i c t r a t h e r th a n a

s t e a d y p r o g r e s s i o n to w a rd c o n c r e t e ends?

Yet a n o th e r p ro b lem a r e a c o n c e rn s t h e a c t u a l

p a r t i c i p a n t s t o th e d e c i s i o n m aking p r o c e s s , be i t

r a t i o n a l o r n o n - r a t i o n a l . Are d e c i s i o n s made by I n d i ­

v i d u a l s o r by g ro u p s? Does a f i n a l d e c i s i o n r e p r e s e n t

a s e r i e s o f i n d i v i d u a l v a lu e s o r a d i s t i n c t g roup v a lu e ?

I s t h e r e a c o e r c iv e a s p e c t t o d e c i s i o n m aking w i t h i n

g ro u p s? I s a c o n se n su s r e a l l y p o s s i b l e ? Does v o t in g

r e p r e s e n t i n d i v i d u a l c h o ic e ?

Many o f th e answ ers t o t h e s e q u e s t i o n s c o n c e iv a b ly

c o u ld be found w ere t h e r e more and b e t t e r r e s e a r c h i n t o

th e g o v e rn m e n ta l p r o c e s s . T h ere i s a r e l a t i v e p a u c i t y

o f r i g o r o u s r e s e a r c h on th e g o v e rn m e n ta l p r o c e s s and

t h e r e a r e s e v e r a l r e a s o n s f o r t h i s b e in g s o : t h e g o a ls o f

g o v e rn m e n ta l b o d ie s a r e o f t e n am o rp h o u s; t h e p ro b lem s f o r

a r r a n g i n g a c c e s s f o r r e s e a r c h e r s a r e f o r m id a b le ( p a r t i c u ­

l a r l y a t th e f e d e r a l l e v e l ) ; a n d , f i n a l l y , t h e r e i s an

a p p a re n t u n w i l l i n g n e s s o f g o v e rn m e n ta l b o d ie s t o p r o v id e

267

fu n d s f o r c a r r y i n g o u t th e l a r g e - s c a l e r e s e a r c h r e q u i r e d

on p ro b lem s o f t h i s s c o p e . T h ere may be o t h e r ev en more

p e r t i n e n t r e a s o n s f o r th e l e v e l and q u a l i t y o f g o v e rn ­

m e n ta l r e s e a r c h , b u t t h e n e t r e s u l t i s t h a t t h e r e i s n o t

a m u tu a l ly p r o d u c t i v e r e l a t i o n s h i p o b t a i n i n g b e tw een t h e

s c h o l a r s and t h e p r a c t i t i o n e r s .

I n t h e a b se n c e o f a p r o d u c t i v e n e x u s , th e

a d m i n i s t r a t o r i s f o r c e d t o a c t upon t h e l i m i t e d amount

o f know ledge a v a i l a b l e . I n t u i t i o n b o rn o u t o f e x p e r i e n c e

can and does e n a b le him t o a v o id g r o s s e r r o r s , b u t i t

does n o t g iv e him a t r u e b a s i s o f k n ow ledge . Such

know ledge i s g a in e d o n ly a s a r e s u l t o f t e s t i n g e x p l i c i t l y

f o r m u la te d p r o p o s i t i o n s . M arlon B. F o lso m , Gordon C la p p ,

and D av id L i l i e n t h a l , among o t h e r s , have done f o r t h e

g o v e rn m e n ta l w o r ld w hat G re e n e w a lt and K appel have done

f o r t h e b u s i n e s s w o r ld — s e t down i n p r i n t t h e i r i d e a s

o f d e c i s i o n m aking a r i s i n g o u t o f a s y n t h e s i s o f t h e i r

lo n g e x p e r i e n c e . ^5 G e n e ra l p r i n c i p l e s o r h e u r i s t i c

d e v i c e s , s i m i l a r t o t h o s e stem m ing from i n t u i t i o n , can

be g a th e r e d from t h e w r i t i n g s o f t h e s e d i s t i n g u i s h e d men,

b u t t h e i r c o n c lu s io n s have b e en d e r i v e d n e i t h e r from

c o n t r o l l e d e x p e r i m e n t a t io n n o r have th e y been t h e o r y -

45 S e e , f o r e x a m p le , M arion B. F o lsom , E x e c u t iv e D e c i s io n Making (New Y ork: M cG raw -H ill,1 96 2 ) .

268

o r i e n t e d . The b u rd e n o f t h e i r a rgum ent i s p r a g m a t i c .

As w i th t h e t h e o r y o f o r g a n i z a t i o n , d e c i s i o n

t h e o r y i s a m a n y -s p le n d o re d t h i n g . F e d e r a l a d m i n i s t r a t i v e

r e o r g a n i z a t i o n a p p e a r s t o be a s u i t a b l e c r u c i b l e f o r

t e s t i n g t h e s e v e r a l c o n c e p t s .

APPENDIX D

INTERVIEW GUIDE

When did you first become involved In the events leading to the formation of the Department?

What was the nature of your participation?Why do you think the proposal was brought forth

at this time? What stimulated the reorganization?Who were the leading actors behind the original

proposal? How was the original draft put together?When did the President decide to propose the

formation of the Department?What were the circumstances surrounding his

decision?How was coordination of the proposal effected

within the Executive Branch?What were the areas of easy agreement? Why?Which issues created the most controversy? Why?How were the Issues resolved?Were any issues forwarded to the President for

resolution?Was there any interest group involvement during

consideration of the proposal within the Executive BranchWhat were the factors that caused the changes

to the draft bill in the Committees?

270

Were there different influences operating in the Senate Committee than in the House Committee?

To what extent did interest groups influence committee decision making?

What factors accounted for the changes on the House Floor? In Senate Floor action?

What might have been the rationale behind the Conference Committee's changes? Was there any evidence of new influences operating in this environment?

Overall, whose Interests were Reflected most by the final language of the legislation? Whose interests were served least?

Were any lessons for federal organizational planners to be found in the DOT episode?