Chapter 1. Understanding the State-Local Environment
The fundamentals of state-local relations
The state-local context for information systems is complicated and often poorly understood.
State agency staff tend to think of local governments as more or less similar operations. They
are not. Local officials tend to view state agencies as organizations with independent authority
to make decisions and act. They are not. Not long ago, local government participation in state
initiatives was often mandated by state law. Today that participation is more likely to be
voluntary. Once, state regional offices covered the landscape and were stepping stones on the
career ladder for both state and local officials. Today, state agency presence in localities is
greatly reduced as is the likelihood that a person will have both state and local work
experience.
Enormous variation in local conditions
It is easy to think of local government as a single kind of public entity operating in our
communities. Nothing could be further from the truth. There are many different kinds of general
purpose local jurisdictions. New York has 57 counties stretched from Lake Erie on the Canadian
border, to the isolated tip of Long Island; 62 cities ranging from little Sherrill with a
population of 2,864 to mammoth New York City, and 932 towns that are home to as few as 47 and
as many as 725,605 New Yorkers. There are also thousands of special districts that manage
schools, fire protection, sewers and water systems, transportation services, and other
specialized activities. Within each kind of local jurisdiction there is an infinite variety of
specific conditions:
- physical size and geography
- population size, density, and demographic characteristics
- degree of and trends in urbanization
- types of businesses and educational institutions
- economic conditions
- volume of service transactions
- mix of state and local services offered
- kind, number, and specialization of staff
- kind, amount, and sophistication of information technology
- degree of formalization in organizational structure and functions
- the way these characteristics combine and interact to produce specific local
conditions
In terms of mission, it is simplistic, but useful, to think of local government
agencies as falling into three categories:
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General purpose public service agencies (e.g., County, Town,
Village, and City Clerks) offering well-defined routine transactions initiated by citizens
(e.g., County Clerks recording real property transactions, Town Clerks issuing fishing
licenses).
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specialized program agencies (e.g., County Health
Departments, City Assessors, Highway Departments, Local Social Services Districts) carrying
out a dynamic set of related services that often involve ongoing relationships with customers
(e.g., conducting public health clinics, maintaining road systems, preparing the city
assessment rolls, determining eligibility for Food Stamps).
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administrative support offices (e.g., County Data Processing
Departments, City Purchasing Offices) conducting a variety of centralized support and
oversight functions (e.g., developing and operating various information systems or conducting
centralized procurement).
In addition, local agencies respond to an array of elected officials, some of
whom are department heads (such as the Clerks) and others who are responsible for overall
executive and legislative functions (such as Mayors, County Executives, County Legislators, and
Town Council Members). New York’s strong traditions of local autonomy and "home rule"
mean that these officials take seriously their authority to act independently of the State or
to exercise the options that state programs provide.
State agencies operate as specialists in the middle of the federal
system
State agencies have some common characteristics, but also many variations. They all belong
in some way to the Executive Branch of state government. With a few exceptions, such as the
separately elected State Comptroller, their chief executives are usually appointed by the
Governor, and most staff are appointed and compensated under the laws of the Civil Service
system. Their missions and programs are defined in state law, but many are decisively shaped by
federal requirements. Their budgets come from the annual appropriations process in which the
entire state budget is divided into many portions according to the policy agreements made
between the Governor and the Legislature. Some have special authority to generate revenue
through fees or other methods.
A number of state agencies carry out programs that place them squarely in the middle of
the federal system. Their programs are strongly influenced, if not wholly defined, by federal
laws and regulations. They turn federal requirements into statewide policies, programs and
procedures that have to work in all corners of the state Œ urban and rural; affluent
and poor; industrial and agricultural. They usually manage statewide implementation through
local governments as their agents. Each state agency tends to deal with one or very few kinds
of local counterparts throughout the state (the State Health Department deals mostly with
County Health Departments, the Office of Real Property Services deals mostly with City and Town
Assessors and County Real Property Directors). Few state agencies deal with local jurisdictions
in their totality.
State agency staff tend to be highly specialized in their professions. Although all
agencies have a cadre of general administrators and support staff, they are mostly made up of
people with specialized skills and training. They are somewhat removed from the "street level"
implications of programs, but highly focused on the statewide policy implications of their
decisions. In addition, state agency staff work in an environment of great political and
philosophical diversity and need to understand and deal with a wide variety of competing
preferences for how state programs are carried out.
Changes in the nature of intergovernmental authority and activities
Three trends are reshaping the nature of intergovernmental relations: public demand for
services that make sense and operate at reasonable cost, the shift of authority away from the
federal government to the states and localities, and movement away from mandated programs to
optional ones.
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Public demands for sensible, cost-effective services.
Increasingly, citizens and businesses demand that government programs make sense, work
predictably and efficiently, and show a consistent, intelligent face to the public. They
expect one-stop, same-day, customized services instead of the fragmented, duplicative, and
lengthy processes that have often characterized government operations. Often, separate
programs serve the same people, but without regard for the fact that they require the same
information, or impose conflicting requirements, or result in costly duplication of effort.
Programs that meet public demands for quality and effectiveness often require coordination,
collaboration, and integration among multiple units of state and local government as well as
private industry and non-profit service providers.
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Devolution of authority. Our recent political history has
seen a dramatic shift of focus away from Washington toward state capitals in such critical
public programs as Medicaid and Welfare Reform. These are the largest program devolutions in
a line of actions stemming from Model Cities and Revenue Sharing in the 1960s and 70s to the
block grants of the 1980s. The shift of authority for programs and services toward states in
many cases means a shift of responsibility to localities. As states redesign their welfare
programs, for example, they often give local governments a number of local program options.
This is an attempt to customize programs to local conditions at either the state or local
level or both. One effect is more local control. Another is even greater complexity due to
local variations in statewide programs.
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Mandates vs. voluntary local participation. As states take
up the responsibility of newly "devolved" programs, they are mindful of traditional and
growing local opposition to unfunded mandates. It is now common for local participation in
state initiatives to be voluntary in whole or in part. This philosophy has positive effects
on the localities and encourages the state to be more creative and responsive to local
conditions in order to attract local participation. However, voluntary participation also
leads to expensive parallel programs when some localities are willing to adopt a new way of
working while others stay with the old way.
Changes in the technology tools of public management
The decade of the 1980s introduced powerful new computing and communications technologies
to government operations. Today at the end of the 1990s, the old, rigidly structured,
inflexible technologies and systems of earlier decades are beginning to be joined or replaced
by more flexible systems that rely on networks, new methods of electronic communication,
industry and international standards, and very powerful hardware and software tools.
Technologies such as electronic imaging, electronic work- flow, e-mail, electronic data
interchange, and the World Wide Web make it possible to share and transport information in ways
that could not be imagined in the 1970s. These tools now make integrated programs technically
feasible, although by no means easy to design, implement, and operate. However, the electronic
revolution has not reached into every corner of our society or every government office that
serves local communities. The wide discrepancies in technical capacity from one place to
another severely limits the degree to which these new tools can be applied to program
management and information sharing goals.
