Title: A Guide Through the Bureaucratic Jungle
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Title: A Guide Through the Bureaucratic Jungle
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Abstract: A Guide Through the Bureaucratic Jungle By: Ken Prest - REGfiles and Chris Bentley, Esq. - Rose, Sundstrom & Bentley January 18, 1996
General Note: Box 8, Folder 6 ( Vail Conference, 1996 - 1996 ), Item 43
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Full Text









A Guide through the Bureaucratic Jungle


Water Management:
A fresh approach for 1996

January 13 20, 1996
Vail, Colorado



Ken Prest
REGfiles
2003 Apalachee Parkway, Suite A
Tallahassee, Florida 32301
904/878-1285


Chris Bentley
Rose, Sundstrom & Bentley
2548 Blair Stone Pines Drive
Tallahassee, Florida 32301
904/877-6555


4.2.1







r A Guide through the Bureaucratic Jungle

Water Management:
A fresh approach for 1996

January 13 20, 1996
Vail, Colorado


Introduction

"Mental models" are deeply ingrained assumptions, generalizations,
or even images, that influence how we see and understand the world
and how we take action.

The "state government as a jungle" mental model is a good example.
It influences how we understand government and how we take action
f( in our relationships with the people and agencies of the state. It's
particularly fashionable now to consider this analogy disparagingly.
Is this a realistic mental model?

Consider these two sets of beliefs. To the uninformed and
unprepared visitors, a natural jungle can be a fear-inspiring, complex
tangle of impenetrable vegetation and deadly predators.

To the ecologically knowledgeable and prepared visitors, that same
jungle can be seen as an awe-inspiring, complex system of animals
and plants in purposeful, balanced relationships with their
environment.

It's striking that we can hold two such opposing portrayals of the
same jungle. But, it's even more significant when we realize that
these beliefs, when translated into action, set the stage for radically
different consequences.
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The beliefs of the first group of visitors prompt a reaction to avoid,
flee from, or destroy the jungle particularly if it stands in the way
of their getting what they want.

The beliefs of the second group of visitors prompt an entirely
different reaction. Their reaction is to learn more about the jungle
and to discover the secrets that enable individual needs for freedom
and autonomy to exist in context of organizational needs for
prediction and control. They see the jungle as a way of getting more
than they ever dreamed, not just what they want.

Think about it: Two different sets of beliefs. Two dramatically
different reactions based on those beliefs. The same jungle.


The Need for a New Mental Model of State Government

We've observed that the greater the rate of Florida's population
growth, the greater the population diversity, the greater the
competitive pressure on our state's natural resources, the more
expansive and rapidly changing our knowledge base, the greater the
complexity of our lives, the more we recognize that our current
beliefs about how we govern ourselves no longer enable us to get
what we want.

The commonly held beliefs of "state government as jungle" as held
by the first group of visitors is encumbering and inhibiting our
ability to effectively address the very real and complex social and
economic problems our state is facing.



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There is a pressing need for a different mental model of state
government which elicits a difference response; but what?

In 'The Fifth Discipline: The Art & Practice of the Learning
Organization, author Peter Senge identifies five fundamental
disciplines that are converging to enable the development of
organizations that are more effective, more efficient and more
enduring. These are system thinking, mental models, personal
mastery, shared vision, and team learning.

The first two, system thinking and mental models, address the "what"
or substance of organizational change. The others address the "how"
or process for achieving that change. While all are important, we've
cast this presentation in context of the "what."

Assuming the legitimacy of a state government that creates value in
our lives, our goal is to explore how such a purposeful organizational
system could be understood, structured and operated to that end.

To help us do this, we'll present our ideas as a "mental model"
because we believe, like 'Stephen Covey author of The 7 Habits of
Highly Effective People: "If we want to change a situation, we first
have to change ourselves. And to change ourselves effectively, we
first have to change our perceptions." Mental models can be
powerful tools for affecting that change.



'Senge, Peter M., The Fifth Discipline: The Art & Practice of the Learning
Organization. 1990. Doubleday/Currency. New York.
2Covey, Stephen R. The 7 Habits of Highly Effective People: Powerful Lessons in
Personal Change. 1989. Simon & Schuster/Fireside. Page 18.
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To put our thinking in perspective, we'll look first at what constitutes
an effective mental model. Then, we'll explore some general
characteristics of organizations as systems that have staying power.

Following this, we'll layout the rationale for our new mental model
of state government in the context of these parameters, draw
conclusions about how this model can help us get what we want from
state government and, finally, open it up for discussion.


Mental Models

3Rick Ross, writing in The Fifth Discipline Field Book, explains that
we live in a world of self-generating beliefs which remain largely
untested. Ross says we adopt these beliefs because they are based on
conclusions, which we infer from what we observe after those
observations are filtered through our experiences.

As a result, our ability to achieve the results we truly desire is
eroded by our feelings; first, that our beliefs are the truth and the
truth is obvious and, second, that our beliefs are based on real data
and the data we select are the real data.

Here's an example from a June 20, 1995, Tampa Tribune newspaper
article, "Panel to Target Paper Mountain." According to the article,
"In just one year, the governor's office estimates that the state
Department of Labor generates enough paperwork to form a



3Ross, Rick. "The Ladder of Inference," The Fifth Discipline Fieldbook: Strategies and
Tools for Building a Learning Organization. 1994. Doubleday, New York. Page 242.
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towering column of bureaucracy more than seven times the height of
the 22-story Capitol. And, that's just one division within the agency."

"Our businesses are drowning in a sea of time-consuming and costly
government forms, files and documents." says Lt. Governor MacKay
as he announces a task force charged with eliminating unnecessary
government paperwork. "This task force will help create a
government that is less intrusive by cutting unnecessary paperwork -
untying the hands of our businesses and returning power to our
communities."

From the article, the beliefs are: State government is intrusive
within the lives of its citizens, particularly businesses and
communities, because it requires extensive transactions and uses a lot
of paper in those transactions. By reducing the amount of paper,
government will reduce the number of transactions and become less
intrusive.

Based on these beliefs, here is the expected reaction: Government
will reduce the amount of paper by making reductions in the use of
paper within its agencies whether by eliminating documents and/or
by replacing paper documents with electronic ones.

Will this solve the problem? Not likely. In reality, we'll find that
attacking "paperwork" head-on, will not get us were we seek to be.
This is because "paperwork" is not the problem. It is the
consequence, not the cause, of government inefficiencies. It's the
consequence, not the cause, of public sector/private sector friction.

In time we'll find that "paperwork" is not the result of the use of
paper, but a reflection of increasing interpersonal interactions.

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"Paperwork" is driven by "peoplework." Peoplework, in turn, is
driven by an increasingly complex working environment that needs
focus, structure and an open, but disciplined flow of information.

Well find that the best way to reduce "paperwork" is not to
arbitrarily cut the use of paper per se, but to reduce the demand for
"peoplework" to reduce the need for actions and/or interactions.

Well also find that unless we change the underlying purpose and
processes of state agencies, replacing paper documents with
electronic ones will only automate, accentuate and accelerate the
existing problems. It will increase the costs of government operation
and exacerbate the existing inefficiencies.

As a pioneer in organizational psychology, 4Chris Argyris has taken
this construct and devised a "ladder of inference" which is helpful in
illustrating how this sequence of increasing abstraction can lead to
misguided beliefs and ultimately misguided action.

Referring to Figure 1, start at the bottom of the ladder. Here we
begin with observable "data" which each of us collects daily from
birth. As we grow, we select certain of these "data" and add meaning
based on our cultural and personal experiences. We next make
assumptions based on the meanings we add. We draw conclusions
based on these assumptions and adopt beliefs based on the
conclusions. Finally, we take action based on the beliefs.




4Argyris, Chris. Overcoming Organizational Defenses. 1990. Allyn and Bacon,
Needham, Massachusetts.
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When we impose a "reflexive loop" on this ladder, we are able to
draw two powerful conclusions: first, that our beliefs affect our
selection of "data" the next time around. Second, without our
purposeful, conscientious effort to the contrary, untested data,
meanings and assumptions will drive our actions.

Here's one more example of taking action on the basis of untested
beliefs. At about the same time the paperwork taskforce was
convened, Governor Chiles' announced an initiative to improve the
efficiency of state government by arbitrarily reducing the number of
rules by 50 percent by 1997.

This action appears to be based on the beliefs that the economic
problems Florida businesses are experiencing are directly
proportional to the number of interactions those businesses have with
state government which in turn is directly proportional to the
number of state agency rules. Consequently, if state government
reduces the number of rules it will reduce businesses' interactions
with state government and improve the economics of business in
Florida.

While the jury's still out on the effectiveness of the Governor's action,
we can anticipate that this, also, will not achieve the intended results.
In fact, unless the underlying purpose and processes are understood
and addressed, it too will ultimately have exactly the opposite effect.
That is, it will increase government inefficiency and do nothing for
enhancing the economic viability of the state.

What we can expect is that the action will increase uncertainty on
the parts of both government and citizen by decreasing the regulated
individual's willingness to act in voluntary compliance and

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potentially increasing the incidences of noncompliance and drive
up the costs of both public and private sector operations.

Indications that these unintended consequences are now occurring
were recently reported in a newspaper Sarticle from the Florida
Specijier. The article suggests that the Governor's mandate is already
driving important information i.e. "criteria" and "standards"
providing the basis for consistent agency decisionmaking and action
- off the record and onto uncontrolled internal memoranda the
interpretation of which is left to the individual in the field who is
responsible, but not accountable, for its implementation.

The reason for these unanticipated results is that rules and
rulemaking are not the resistance producing by-products they
appear. In reality, they are the oil that lubricates the processes of
government and facilitates the accomplishment of intended results.

Because we can't live our lives without adding meaning, making
assumptions and drawing conclusions, it's incumbent upon each of us
to continually improve our knowledge, understanding and
communications about government. We can do this by reflection,
advocacy and inquiry. We can do this by becoming more aware of
our own thinking and reasoning (reflection); by making our thinking
and reasoning more visible to others (advocacy); and by inquiring
into others' thinking and reasoning (inquiry).

This is where mental models come in. A useful mental model can
enable understanding beyond that which is otherwise possible and


sPreston, William D. and Gary K. Hunter. "DEP Internal Memo on Soil Cleanup Goals
Governing Staff Decisions." November 1995. Florida Specifier.
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help us anticipate the long term consequences as well as short term
results of our actions. To be beneficial, however, the model must
have certain 'characteristics.

It must be systemic. It must include all relevant concepts of the
relationships among purpose, participants (stakeholders), processes
and products (outcomes).

It must enable us to recognize and take time to test leaps of
abstraction that is, jumps in our thinking from observation to
generalization. If our observations don't reflect reality, neither will
our generalizations.

A useful mental model must enable us to articulate what we
normally do not say. Because of the complexity of our systems, it is
difficult, if not impossible, to keep all the details in mind much less
to communicate these details to others consistently and uniformly
over time.

Finally, it must provoke honest investigation balancing advocacy
and inquiry. It must enable us to face up to the distinctions between
espoused theories and theories-in-use; between what we say and what
we do.


Organizations as Systems

Senge has observed that perhapsas for the first time in history,
humankind has the capacity to create far more information than

'Senge, Peter M. ibid.
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anyone can absorb, to foster far greater interdependency than
anyone can manage, and to accelerate change far faster than
anyone's ability to keep pace. [T]he scale of complexity is without
precedent."

It's this scale of complexity that is dooming business as usual and
motivating us to seek alternative perspectives and to forge a new
understanding of the institution of government and its role in our
lives.

We can do this most effectively by striving to look at our problems
holistically through "system thinking." System thinking is a tool
helping us understand local relationships within the context of global
interrelationships and isolated snapshots in time within the context
of the integrating processes of change.

From this top-down point of view, we're motivated to step away from
our prejudices and to consider the merits of state government as an
enduring "system" to look for the essence of government which
enables it to be a purposeful tool for change, stability and renewal
rather than an object of disdain, discord and expense.

We're motivated to uncover those traits that are characteristic of
enduring systems; to give relevant meaning to that knowledge; to
create a new set of assumptions upon which we draw conclusions;
and to build a new set of beliefs that ultimately leads to our taking
a different course of action.





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This is the task that Margaret Wheatley set for herself when she
wrote 'Leadership and the New Science in her search for a simpler
way to lead organizations:

"[T]he ideas I have chosen to think about", she says, "focus on the
meta-issues that concern those of us who work in large organizations:
What are the sources of order? How do we create organizational
coherence, where activities correspond to purpose? How do we
create structures that move with change, that are flexible and
adaptive, even boundaryless, that enable rather than constrain? How
do we simplify things without losing both control and differentiation?
How do we resolve personal needs for freedom and autonomy with
organizational needs for prediction and control?"

sWheatley points out that in many systems, scientists now understand
that order, conformity and structure are created not by complex
controls, but by the presence of a few guiding principles. The
survival and growth of systems, whether those of large ecosystems or
tiny leaves, are made possible by the combination of these key
principles that expresses the system's overall identity and its
autonomy for individual system members.

If applicable to tiny leaves and large ecosystems, why not state
government? As generalized from Wheatley's work, there seem to
be five principles for systems that endure:



7Wheatley, Margaret. 1992.Leadership and the New Science: Learning about
Organization from an Orderly Universe. Berrett-Koehler Publishers, Inc., San Francisco, CA.
*Wheatley, Margaret, ibid. Page 11.
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(1) an "established identity," hallmarked by a clear sense of
the "ideal" defined generally as the core values and
vision of the organization that guides the system's
operation;

(2) "flexibility" which honors neither present form nor
function, but focuses on core competencies so the system
can adapt and respond to changing needs;

(3) "self-reference," which allows the system to change in an
orderly manner consistent with itself in the environment -
it retains a memory of its evolutionary path;

(4) "stability over time" hallmarked by the paradox of
engendering both freedom and order and reflected in the
ability of the system to maintain its integrity by
supporting the independent activities of its members in
context of a strong frame of reference; and

(5) the "organizing role of information" that gives order,
prompts growth and defines life.


A New Mental Model of State Government

While all five principles are reflected within our new mental model
of state government, the fifth or "the organizing role of information"
is the most telling for it raises the stakes for the role of regulatory
documents.



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It elevates information from the concept of a "thing" currently
characterized as burdensome paperwork to the force which
organizes matter into form and creates physical structure.

Wheatley's observations and conclusions about the real role of
information reinforce our feelings and observations: It's not the
structure of state government that creates the flow of regulatory
documents, but the flow of regulatory documents that creates the
structure of state government.

'"For a system to remain alive, writes Wheatley, for the universe to
move onward, information must be continually generated. If there is
nothing new, or if the information that exists merely confirms what
is, then the result will be death. Isolated systems wind down and
decay, victims of the laws of entropy. The fuel of life is new
information novelty ordered into new structures. We need to
have information coursing though our systems, disturbing the peace,
imbuing everything it touches with new life. We need, therefore, to
develop new approaches to information...."

In sum, by taking time to understand and get our arms around the
flow of government information, we can create a framework for a
new mental model of state government which can lead to a new
structure, to new function and to new results.

Our rationale for a documents-centric model is straight forward. To
have an effective, efficient and enduring state government, we must
begin with a set of meaningful ideals to which the majority of


'Wheatley, Margaret, ibid. Page 104.
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citizens subscribe. These ideals must then be communicated openly
and acted on consistently and decisively.

In turn, meaningful ideals, consistent communication and decisive
action are enabled by effective writing. (They are also inhibited or
encumbered by ineffective writing.) Effective writing is best
expressed through a disciplined process, focused on purposeful
documents and employing consistent terminology.

Documents are purposeful, not for what they are, but for what they
do. That is, for their ability to transfer data and information and
share knowledge; to initiate action; and to record decisions made and
actions taken. Consequently, documents are defined in a specific
context to a specific end.

If we clearly articulate the results we want to attain, develop
documents purposefully, make them readily available, easily
accessible and clearly understandable, and create and nurture
opportunities for feedback during the application of the information
they contain, well underwrite major system change.


The Four P's of a State Government System: Purpose, Participants,
Processes and Products

To improve communications, we've defined our model in the context
of the four "P's" of a state government system.

The first P is purpose. While Florida's constitution doesn't speak
clearly to the substantive aspects of state government this is an
area where some serious clarification and articulation is needed it

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does allude to ideals of sustaining "public health, safety and welfare;
"conserving and protecting natural resources; and preserving 12due
process of law.

Given that the citizens of our state value the natural resources and
scenic beauty of the state and recognize the worth of commonly held
public health, safety and welfare ideals and the necessity of due
process to adjudicate differences, the purpose of state government
becomes one of "facilitator" or "orchestrator" helping us get what we
want.

From the point of view of the people working within state
government, this purpose is to "...steer, pilot, direct or guide"
behavior consistent with the shared ideals for public health, safety
and welfare; conservation and protection of natural resources; and
due process which citizens have proclaimed.

From the point of view of the people benefiting from the services of
state government, the government's purpose would be to enable
voluntary compliance with the laws of the state which are designed
to facilitate attainment of these ideals.

The second P represents participants. The principle participants of
state government are the Legislature, the Administration, the



"lArticle I, Declaration of Rights, Florida Constitution.
"Section 7, Natural Resources and Scenic Beauty, Article II, Florida Constitution.
1"Section 9, Due Process, and Section 24, Access to public records and meetings,
Article I, Declaration of Rights, Florida Constitution.
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Judiciary and the People. (For purposes of simplifying the present
discussion, we have not included the People component of the model.)

The third P represents process. There are four fundamental
processes or "core competencies" of state government through which
information flows. These are Lawmaking, Rulemaking, Licensing and
Noncompliance monitoring & enforcement.

Finally, the fourth P stands for products or outputs. The products
of state government are the "packages" of information that enable
information flow that is, the variety of interrelated documents
whose functions are to:

(1) communicate intended compliance goals;

(2) guide, direct and/or enable voluntary compliance with
these goals;

(3) establish when the goals have not been achieved;

(4) provide the predicate for adjudication, decision and
enforced compliance to achieve the goals; and

(5) enable the system to change as needs, knowledge, skills
and tools change. (In particular, reference to needs,
knowledge, skills and tools refers to the needs of Florida's
population; the knowledge of the ideals of public health,
safety and welfare, conservation of natural resources, and
operation of due process of law; and the skills and tools
for communicating and facilitating information flow.)


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The core process diagrams and accompanying legend in the
Appendix, illustrate the model with a view of the relationships among
participants, processes and products for each core process.

Note the interacting relationships among the three branches of
government occurring through the various activities. Note how the
document outputs of one process become inputs to the next; how
individual processes individually and collectively are purposeful.

Following the flow of information, participants interact purposefully
through processes which

(1) translate ideals into general compliance goals (laws);

(2) reduce these goals into "cookbooks" of objectives, activities
and tasks (rules);

(3) establish recognition when the results have been achieved
(licenses);

(4) monitor noncompliance;

(5) provide enforced compliance when stated results are not
being achieved; and

(6) provide mechanisms for

a. adjudicating and resolving disputes at intervals
throughout the process, and



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b. enabling the system to change as the needs of
Florida's population change; as knowledge of
public health, safety and welfare, of natural
resource conservation, of due process, and of
agency decision-making change; and as the
tools and skills for communicating and
facilitating information flow.

Note that opportunities for critical feedback do exist within each core
process and serve to integrate all four processes. And, that these can
be used to create new information, amplify existing information or
act as a damper to restrain.

Tremendous benefits of people, time, and money can accrue from
understanding state government in this systems context, then taking
action on this new understanding. Some of these are:

(1) State agency staff can more clearly understand the
purpose of their jobs, locally and globally; they can be
instructed what to do and how to do it to get the desired
results; and they can be given the freedom within this
context to do their jobs more efficiently.

(2) State agency inter-division staff can work together in the
functions of Lawmaking, Rulemaking, Licensing and
Noncompliance monitoring & enforcement; they can see
themselves as both "customers" and "suppliers" of
information within the overall process; and they can
experience both vertical and horizontal opportunities for
personal and professional career development and
advancement. These processes can also be institutionalized

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and taught to improve their effectiveness and efficiency.

(3) The system can become more open. Compliance
requirements can be anticipated by both state agency staff
and the public. The ability to anticipate rule changes by
12 to 24 months, for example, can free us to choose how
we spend our time whether participating in rulemaking
proceedings, preparing for or committing to voluntary
compliance, or both.

(4) Licensing the authorization for activities can be carried
out more effectively and efficiently. A purposeful licensing
process

a. enables early determination of what is
acceptable and what is not, while opening
options for performance-based, as well as
prescription-based compliance;

b. recognizes the legitimate role of an
administrative adjudicatory process for
resolving differences, for benefiting from lessons
learned and for moving the process forward;
and

c. rightfully forces the search for solutions
"upstream" to Lawmaking and Rulemaking
when problems arise at the point of Licensing.

(5) Noncompliance monitoring becomes more focused when
tightly coupled with effective enforcement and carried out

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in a manner which encourages voluntary compliance and
discourages violations and noncompliance.

(6) Ultimately, because there is only one cost that of the total
system we'll all more clearly understand how decisions
made and actions taken at the beginning of the process -
Lawmaking are related to the outcomes as consequences
later in process. And, from that understanding gain
insight into how interrelationships and processes work to
enable or constrain our ability to get the results we
choose.


Summary

A change in behavior begins with a change in beliefs. There is an
alternative to the traditional mental model of our state government
as an entrenched, entangled "bureaucratic jungle."

That alternative is of government as a dynamic, self-organizing,
system a "natural biological jungle" if you will in purposeful
relationship with other public and private sectors of Florida's society
and economy.

As Peter Senge has written: "Structures of which we are unaware
hold us prisoner. Conversely, learning to see the structures within
which we operate begins a process of freeing ourselves from
previously unseen forces and ultimately mastering the ability to work
with them and change them."


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Perhaps the mental model of state government as a jungle is really
a fitting analogy. Now wouldn't that be a paradox?































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UFigure 1: Ladder of Inference


I ke actm
base on my


based o


1 the mean


r
I


n
liefs


s
Id
usions






o ans
as I add


I dd meaning
both cultural and p sonal


I select data
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I col ct observable "ta"
d experience


"From Ross, Rick. "The Ladder of Inference," The Fifth Discipline Fieldbook. Page
243.


41.23


I dopt beli
ab ut the wo
based n my con


I draw
Inclusion


1 T i ra acawe


Loop


!







APPENDIX

A Guide through the Bureaucratic Jungle
Water Management:
A fresh approach for 1996
January 13- 20, 1996
Vail, Colorado

What are the sources oforder? How do we create structures that move with change, that are
flexible and adaptive, even boundaryless, that enable rather than constrain? How do we
simplify things without losing both control and dfferentiation? How do we resolve personal
needs for freedom and autonomy with organizational needs for prediction and control?

In new science, the underlying currents are movement toward holism, toward understanding
the system as a system and giving primary value to the relationships that exist among
seemingly discrete parts.
Margaret J. Wheatley
Leadership and the New Science


Structures of which we are unaware hold us prisoner. Conversely, learning to see the
structures within which we operate begins a process of freeing ourselves from previously
unseen forces and ultimately mastering the ability to work with them and change them.
Peter M. Senge
The Fifth Discipline:
The Art & Practice of the Learning Oranization


ABSTRACT

Viewed from the bottom up, the variety of frequently changing documents of state government Le.,
bills, laws, statutes, rules, notices of intended agency action and agency orders appears overwhelming,
an impenetrable jungle, a just candidate for the Governor's machete and other "paperwork" clear-
cutting efforts.

However, viewed systematically from the top down, structures, functions and relationships emerge
describing paths and destinations which can impart meaning, guide choices and enable decisive action in
regulatory compliance. It's a view which creates a paradox. Rather than the venom of a deadly predator,
could documents really be the camouflaged antidote that catalyzes productive change, lubricates the
process of state government and facilitates the accomplishment of intended results?

This presentation explores and maps the bureaucratic jungle of state government Venture into a new
"mental model" of state government that can "enable rather than constrain" cost-effective compliance.
Learn why lawmaking, rulemaking, licensing & noncompliance monitoring are fundamental, core
processes of state government; why documents, the "products" of state government, are critical to its
operation; and why the solution to current problems is more structural than functional.


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Legend for Core Process Diagrams

Generalized Descriptions of Activities (A) which Produce Documents (D)
for Understanding the Structures and Functions of State Government
as Diagramed in the Core Processes of
Lawmaking, Rulemaking, Licensing and Noncompliance Monitoring & Enforcement


Symbol Activity and Document Descriptions


LAWMAKING

Lawmaking is carried out by a bicameral Legislature in the State of Florida. The
Senate is composed of 40 members and the House of Representatives is composed
of 120 members.

Al The Senate creates "proposed laws" or Senate Bills (D1) which are passed by vote
of the Senate membership.

D1 A Senate Bill is a version of proposed law that originates in the Senate. It is
identified by the prefix "SB-" followed by a number, ie. SB-1390.

A2 The House of Representatives creates "proposed laws" or House Bills (D2) which
are passed by vote of the House membership.

D2 A House Bill is a version of proposed law that originates in the House of
Representatives. It is identified by the prefix "HB-" followed by a number, ie.
HB-1499.

Ala/A2a Each Senate Bill or House Bill must be passed by its "sister" chamber. Senate
Bills (D1) must be passed by the House (A2a) and returned to the Senate (D3a).
Likewise, House Bills (D2) must be passed by the Senate (Ala) and returned to
the House (D3b).

D3a/D3b When a Bill is returned to its chamber of origin, it is ordered "enrolled"; ie.
Enrolled Senate Bill (D3a) and Enrolled House Bill (D3b). This is the Bills final
version with any and all amendments incorporated. The Enrolled Bill is then
signed by the officers of the Senate and House and presented to the Governor
(A3). An Enrolled Bill is identified typically by its House or Senate origin, Le. SB-
1390 or HB-1499, and the word "ENROLLED."



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A3 The Governor signs each Enrolled Bi (D3a and D3b) into law (D4a) (or vetoes it)
within 7 days of its presentation if the Legislature is in session or within 15 days
of its presentation if the Legislature has adjourned. An Enrolled Bill will become
law automatically if the Governor takes no action within the time allotted.

Da Enrolled Bills which have become law (D4a) are sent to the Department of State
for numbering.

A4 The Department of State assigns to each Law (D4a) a chapter number beginning
with a prefix representing the last two digits of the year of the legislative session,
Le. 95-295 for a Law passed by the 1995 Legislature. The Department of State is
vested by the Florida Constitution with the responsibility for keeping the records
of the official acts of the Legislature and the executive (Administration)
departments.

D4b The numbered document now referred to as a Session Law (D4b) (but also called
"Pamphlet Law," or just "Law") represents the final output of the legislative
session. In general, a Session Law becomes effective on the 60th day after
adjournment sine die of the session of the legislature in which enacted or as
otherwise specified in the Session Law.

AS Because of the number and diversity of Session Laws created each legislative
session, the Legislature through its Joint Legislative Management Committee
organizes the Laws into categories. The Joint Legislative Management Committee
classifies Laws of Florida as "general," "special" or "general laws of local
application.' It also recodifles all general laws as Florida Statutes and maintains a
permanent and continuous statutory revision plan. [11.148(21), (23)(c);
11.242(4),(5) F.S.]

D5/D6 The Session Laws in their entirety are the Laws of Florida (D5). The Florida
Statutes (D6), a subset of the Laws of Florida, represent a recodification (or
repackaging) by subject of those selected laws of "a general and permanent
nature which are of general application throughout the state." This recodification
is designed to make the information within these Laws easier to find, access and
apply.







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Legend for Core Process Charts
of State Government


'RULEMAKING

Rulemaking is carried out by the state agency to whom the responsibility and
authority has been delegated by the Legislature.

A6 In response to the Legislative mandates set out in the Laws of Florida (D5) or in
the Florida Statutes (D6), the state agency begins the process of implementing and
interpreting the Law through rulemaking by preparing the initial, draft version of
text of a Proposed Rule, then preparing and issuing a Notice of Rule Development
(D7). This notice is voluntary it is not required by law. [120.54(1)(c) F.S.]

D7 The Notice of Rule Development is an early notice which may be given to identify
the subject area which will be addressed by rule development. It includes the
purpose and effect of rule development, the specific authority for rule
development, and the preliminary text (workshop draft version) of the Proposed
Rule. [120.54(1)(c), F.S.]

A7 On the basis of the Notice of Rule Development, the agency initiates and holds one
or more informal public workshops for purposes of gathering information and
developing the scope, applicability and specific language of the Proposed Rule
(D8).

D8 The Proposed Rule represents that version of text language expected to create a
new Rule or to amend or repeal an existing Rule.

AS The agency files the language of the Proposed Rule (D8) with the Department of
State's Bureau of Administrative Code (BAC). The BAC publishes a Notice of
Intended Agency Action (D9) within the Florida Administrative Weely. [120.54
F.S.]

D9 The Notice of Intended Agency Action is a mandatory notice given prior to the
adoption, amendment or repeal of any Rule and setting out, among other items,
an explanation of the purpose and effect of the Proposed Rule and the specific
legal authority under which its adoption is authorized and providing notice of the


1The discussion and chart demonstrate the rulemaking process as initiated by a state agency. Any person
regulated by an agency or having a substantial interest in an agency rule may petition the agency to adopt,
amend, or repeal a rule. [120.54(5), F.S.) Also, any person substantially affected by an agency statement which
implements, interprets, or prescribes law or policy, which agency statement has not been adopted as a rule, may
invoke the provisions of section 120.535, F.S. for an administrative determination of a violation of that section
requiring that rules be adopted by the rulemaking procedures of section 120.54, F.S.
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opportunity for a public hearing. The notice is given when filed with the BAC
and published in the Florida Administrtive W kl [120.54(1); 120.55(1)(b), F.S.]

A15 The Adminstrative Procedures Committee generally known as the Joint
Administrative Procedures Committee or "JAPC" is composed of three members
each from the House of Representatives and the Senate. It provides a "legislative
check on legislatively created authority" through ongoing reviews of the statutory
authority upon which Proposed Rules are based and through reviews of the text of
Proposed Rules, Emergency Rules, and Adopted Rules, including accompanying
materials. JAPC reports its findings in two types of documents: an Annual Report
to the Legislature and an Objection to Agency Action. [11.60; 120.545, F.S.]

D16a JAPC's Annual Report to the Legislature recommends legislation or other action in
response to findings regarding the invalidity or inconsistency of any Proposed
Rule, Emergency Rule, or Adopted Rule. [11.60(f), F.S.]

D16b As a "legislative check on legislatively created authority," JAPC may object to
any Proposed Rule, Emergency Rule or Adopted Rule by filing with the Speaker of
the House of Representatives, with the President of the Senate, and with the state
agency whose Rules are subject of review, a certified Objection to Agency Action
detailing its objections. [120.545, F.S.]

A9 If a "substantially affected" person feels that a Proposed Rule is an "invalid
exercise of delegated legislative authority," that person may challenge the
language of the Proposed Rule by seeking, within 21 days after publication of the
Notice of Intended Agency Action, an administrative determination from an
independent hearing officer from the Division of Administrative Hearings
(DOAH). If the challenge is settled prior to the action of the hearing officer, a
Settlement Agreement (D10b) between the agency and the challenger is produced.
Otherwise, the DOAH hearing officer's determination, in the form of a Final
Order (DlOa) represents "final agency action" on the matter. [120.54(4) F.S.]

DlOa The Final Order of the DOAH Hearing Officer is the result of an adjudicated
challenge by a "substantially affected" person to the language of the Proposed
Rule on the ground that the Proposed Rule is "an invalid exercise of delegated
legislative authority." The DOAH Hearing Officer's order represents "final agency
action" on the matter. [120.54(4), F.S.]

D10b The Settlement Agreement is an alternative to the Final Order (D10b) of the
DOAH Hearing Officer resolving a challenge by a "substantially affected" person
to the language of the Proposed Rule. The resolution of the challenge through a
Settlement Agreement aborts the formal administrative adjudication process as the

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agency and the challenger agree on the resolution of the dispute. This may occur
at any time prior to the issuance of the Final Order. If a substantial change in the
Proposed Rule results from the settlement, a notice of change is published in the
Elorida Adminitrath Weekl.

A10 If the challenge to the Proposed Rule is not resolved, the DOAH hearing officer's
Final Order (D10a) may be appealed to the Judiciary. All proceedings for judicial
review are instituted by a petition filed in the District Court of Appeal in the
appellate district where the agency maintains its headquarters or where the party
resides. [120.68, F.S.]

Dlla/Dllb The Opinion (Dlla) is the document setting out the judicial determination of the
District Court of Appeal in action on the Final Order (DlOa) of the DOAH
hearing officer. As an alternative to the court Opinion (Dlla) if the parties
resolve their differences independent of judicial action, the record of the result
would be the Settlement Agreement (Dlb).

All As described in the Notice of Intended Agency Action, the agency provides the
opportunity for a public hearing and makes the material presented at the public
hearing part of the record of the 'rulemaking proceeding. Based on this record,
the agency makes 'final changes to the text language of the Proposed Rule and
prepares these changes and supporting materials for certified filing with the
Department of State's BAC. [120.54(3)(a)]

D12 The Certification Copy of Proposed Rule represents the final version of Proposed
Rule text before it becomes an Adopted Rule. The Certification Copy of Proposed
Rule includes three certified copies of the Proposed Rule text and any documents
adopted by reference, a summary of any hearings held on the Proposed Rule, and
a detailed written statement of the facts and circumstances justifying the Proposed
Rule. [120.54(11)(b), F.S.]

A12 The agency's Certification Copy of Proposed Rule (D12) represents the final step in
the formal rulemaking process. The language of the Proposed Rule is adopted on
being filed with the Department of State and, with a couple of exceptions,
becomes effective as an Adopted Rule or Rule 20 days after being filed. The BAC


2The Secretary of the Department of Environmental Protection must submit any Proposed Rule
containing standards to the Environmental Regulation Commission for approval, modification or disapproval. [95-
295, s. 4, Laws of Florida]
'If the final changes to the Proposed Rule are substantially different from the language included in the
Notice of Intended Agency Action, a new publication of notice may be required.
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publishes the Adopted Rule in the Florida Admlinra Mive Code. Once an Adopted
Rule becomes effective it may be repealed or amended only through regular
rulemaking procedures. [120.54(13) and 120.55, F.S.]

D13 The text of the Adopted Rule or Rule is the version of the Proposed Rule contained
in the Certlfication Copy of Proposed Rule. The Adopted Rule is published in a
permanent compilation called the Florida Administrative Code. [120.54(13) and
120.55(1)(a), F.S.]

A13 If a "substantially affected" person feels that an Adopted Rule (D13) is an "invalid
exercise of delegated legislative authority" that person may challenge the language
of the Adopted Rule by seeking an administrative determination from an
independent DOAH hearing officer. If the challenge is settled prior to the action
of the hearing officer, a Settlement Agreement (D14b) between the agency and the
challenger is produced. Otherwise, the hearing officer's determination in the form
of a Final Order (D14a) represents 'final agency action" on the matter. [120.56
F.S.]

D14a The Final Order of the DOAH hearing officer is a result of a challenge by a
substantially affected person to the language of the Adopted Rule on the ground
that the Adopted Rule is "an invalid exercise of delegated legislative authority."
The DOAH hearing officer's order represents "final agency action" on the matter.
[120.56(5), F.S.]

D14b The Settlement Agreement is an alternative to the Final Order (D14a) of the
DOAH hearing officer resolving a challenge by a "substantially affected" person
to the language of the Adopted Rule. Resolution of the challenge through a
Settlement Agreement aborts the formal administrative adjudication process as the
agency and the challenger agree on the resolution of the dispute. This may occur
at any time prior to the issuance of the Final Order (D14a).

A14 If the challenge to the Adopted Rule is not resolved, the DOAH hearing officer's
Final Order (D14a) may be appealed to the Judiciary. All proceedings for judicial
review are instituted by a petition filed in the District Court of Appeal in the
appellate district where the agency maintains its headquarters or where the party
resides. [120.68, F.S.]

D15a/D15b The Opinion (D15a) of the court is the document setting out the judicial
determination of the District Court of Appeal in action on the Final Order (D14a)
of the DOAH hearing officer. As an alternative to the court Opinion (D15a) if the
parties resolve their differences independent of judicial action, the record of the
result is the Settlement Agreement (D15b).

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LICENSING

Licensing is carried out by the state agency to whom the responsibility and
authority has been delegated by the Legislature.

A16 In particular, Licensing refers to the issuance, denial, renewal, revocation,
suspension, annulment, withdrawal or amendment of a License (D21) or
imposition of terms for the exercise of a License. The standards and
requirements are set out in the Laws of Florida (DS), the Florida Statutes (D6)
and the Adopted Rules (D13) of the agency. The applicant provides documentation
containing information demonstrating compliance, or intent to comply, with the
standards and requirements of the particular License. Unless otherwise provided
by statute, the Licensing process is subject to the administrative provisions of
section 120.57, F.S. [120.60, F.S.]

D17 The state agency (A16) must give each applicant for a License (D21) notice either
personally or by mail that the agency intends to grant or deny, or has granted or
denied, the application for the License. This notice is referred to as a Notice of
Proposed Agency Action (D17). [120.60, F.S.]

A17 If there are ^"disputed issues of material fact," the applicant for a License (D21),
or other substantially affected persons, may challenge the proposed agency action
in an administrative hearing before an independent DOAH hearing officer.
[120.57(1)]

D18 The DOAH hearing officer will issue a Recommended Order (D18) which contains
findings of fact, conclusions of law and a recommendation to the agency. [120.57,
F.S.]

D19 Under 120.57, F.S. proceedings, the agency (A16) may adopt or, in certain
circumstances, reject the Recommended Order (D18) of the hearing officer as its
Final Order (D19) and "final agency action."

A18 If an applicant is adversely affected by "final agency action" as rendered in the
Final Order (D19), the applicant may seek judicial review by filing a petition in



41f there are no disputed issues of material fact with regard to the proposed agency action, the applicant
for a License, or other substantially affected persons, may seek an informal proceeding before the agency head.
[120.57(2)]
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the District Court of Appeal in the appellate district where the agency maintains
its headquarters or where the applicant resides.

D20a/D20b The decision of the court rendered as an Opinion (D20a), may be mandatory,
prohibitory or declaratory on the part of the agency or applicant. In lieu of the
court's decision, the applicant and agency may reach informal agreement on the
issue in the form of a Settlement Agreement (D20b).

D21 The end result of the Licensing process is a License which is defined to include a
franchise, permit, certification, registration, charter, or similar form of
authorization required by law. [120.52(9), F.S.]


NONCOMPLIANCE MONITORING & ENFORCEMENT

Noncompliance monitoring & enforcement is carried out by the state agency to
whom the responsibility and authority has been delegated by the Legislature.

A19 After granting a License (D21) or during the processing of Licensing, as required
by the Laws of Florida (D5), Florida Statutes (D6), and Rule (D13), the agency
engages in a process of noncompliance monitoring. Noncompliance monitoring
involves the discovery of violations through the processes of: (1) reviewing
periodic reports submitted by a licensee; (2) receiving a licensee's report of its
own violation; (3) receiving a report from a citizen; (4) inspecting by agency staff;
and (5) receiving a report from other local, state or federal agency personneL

Unless a violation is identified and documented, the licensee is assumed to be in
compliance and no further agency action is necessary. If a violation is detected,
the licensee is assumed to not be in voluntary compliance with the Laws of
Florida (DS), Florida Statutes (D6), and Rules (D13) and further enforcement
action is mandated. This action may be in the form of administrative
enforcement, judicial enforcement or both.

A20 The responsibility for enforcement rests with the agency's Office of General
Counsel or as otherwise delegated. Since the agency's goal is "voluntary
compliance" with state Laws and Rules, the administrative enforcement process is
generally initiated to secure voluntary compliance as quickly and efficiently as
possible. The judicial enforcement process is engaged to secure a judgment in the
state courts (Judiciary) for compliance.

D22 The administrative enforcement process begins with the issuance of a notice to
the party determined to be in noncompliance. A Notice of Noncompliance (D22) is

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the first response of an agency to a minor violation of a rule. It is issued by the
agency charged with enforcing the Rule to the person or business subject to the
Rule. It must identify the specific Rule that is being violated, provide information
on how to comply with the Rule, and specify a reasonable time for the violator to
comply with the Rule. [95-402 Laws of Florida]

Or, a Warning Letter or Warning Notice (D22) (an informal agency tool without
statute or rule origin) is used by the agency to serve notice on a respondent of a
violation and to request a conference. It is normally used when the violation is
significant and the agency intends to pursue a Consent Order (D26) or penalties.

D23 If voluntary compliance is not achieved in response to these notices, a formal
Notice of Violation (D23) is filed and an administrative determination is sought.
The Notice of Violation initiates the formal process of enforcement. This
document really represents three documents: a Notice of Violation, including
findings of facts and conclusions of law; the Orders for Corrective Action; and the
Notice of Rights.

D25 Resolution of a situation of noncompliance as described in a Notice of Violation
(D23) may be achieved through negotiation with the agency. The results of these
negotiations are recorded in a Stipulation, a Settlement Agreement (D25) or a
Consent Order (D26).

D26/D27 Resolution of a situation of noncompliance through a Consent Order (D26) or a
Final Order (D27) binds the respondent to certain acts to comply with the law.
When the party complies with the terms of the Consent Order or Final Order no
further action is required. A Consent Order may be entered into at any stage of
the process, including before or after the filing of a Notice of Violation (D23).
Like the Notice of Violation, the Consent Order contains findings of fact,
conclusions of law, Orders for Corrective Action and a Notice of Rights.

A21 During the administrative enforcement process, if there are S'disputed issues of
material fact," a party whose 'substantial interests" are determined by the final
action of an agency may seek formal administrative adjudication through an
independent hearing officer. [120.57(1), F.S.]




sIf there are no disputed issues of material fact, the party whose substantial interests are determined by
the agency, or other substantially affected persons, may seek an informal proceeding before the agency head.
[120.57(2)1
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D24a/D24b


A22


D28aMD28b


In a formal administrative proceeding, the hearing officer renders a
Recommended Order (D24a) which the agency may, or may not, adopt as its Final
Order (D27) which becomes its "final agency action." Alternatively, the
administrative adjudication may be resolved at any time by Settlement Agreement
(D24b).

In the case of an agency's issuance of a Final Order (D27), following either a
formal or informal proceeding, a party adversely affected by this action may seek
judicial review. All proceedings for judicial review are instituted by a petition
filed in the District Court of Appeal in the appellate district where the agency
maintains its headquarters or where the party resides. [120.68, F.S.]

The adjudication is resolved by Opinion (D28a) of the court or by Settlement
Agreement (D28b).


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