Citation
Boomtown in transition

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Title:
Boomtown in transition changing patterns of local decision making
Creator:
Chapman, Mary Margaret
Place of Publication:
Denver, CO
Publisher:
University of Colorado Denver
Publication Date:
Language:
English
Physical Description:
xiv, 486 leaves : illustrations, charts ; 29 cm

Thesis/Dissertation Information

Degree:
Doctorate ( Doctor of Philosophy)
Degree Grantor:
University of Colorado Denver
Degree Divisions:
School of Public Affairs, CU Denver
Degree Disciplines:
Public administration

Subjects

Subjects / Keywords:
Municipal government -- Case studies -- Colorado ( lcsh )
City planning -- Case studies -- Colorado ( lcsh )
City planning ( fast )
Municipal government ( fast )
Colorado ( fast )
Genre:
Case studies. ( fast )
bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )
Case studies ( fast )

Notes

Bibliography:
Includes bibliographical references (leaves 476-486).
Thesis:
Submitted in partial fulfillment of the requirements for the degree, Doctor of Public Administration, Graduate School of Public Affairs.
General Note:
Typescript.
General Note:
School of Public Affairs
Statement of Responsibility:
by Mary Margaret Chapman.

Record Information

Source Institution:
University of Colorado Denver
Holding Location:
|Auraria Library
Rights Management:
All applicable rights reserved by the source institution and holding location.
Resource Identifier:
10737854 ( OCLC )
ocm10737854
Classification:
LD1190.P86 1982d .C43 ( lcc )

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Full Text
UNIVERSITY OF COLORADO AT DENVER
BOOMTOWN IN TRANSITION:
. CHANGING PATTERNS OF
LOCAL DECISION MAKING
A DISSERTATION SUBMITTED TO
THE FACULTY OF THE GRADUATE SCHOOL OF PUBLIC AFFAIRS IN CANDIDACY FOR THE DEGREE OF
J
DOCTOR OF PUBLIC ADMINISTRATION BY
MARY MARGARET CHAPMAN
MARCH 1982


This Dissertation
for the
Doctor of Public Administration Degree
by
Mary Margaret Chapman has been approved for the Graduate School of Public Affairs
by
George M. Grkovic, Member
Date July, 1982


Ill
ABSTRACT
Boomtown in Transition:
Changing Patterns of Local Decision Making
By: Mary Margaret Chapman
Chairman: Floyd C. Mann, Ph.D.
Two forces have had major consequences for local governments in the ROcky Mountains. The installation of energy facilities has created management challenges for local officials. These challenges have been augmented often by urban-to-rural migration which has diminished local concensus on growth issues and weakened the legitimacy and authority of local governments.
These problems require new types of information and decision making skills. Little is known about the methods by which to strengthen such decision making.
This study addresses that void.
Five bodies of literature were reviewed. From this multi-disciplinary base, three types of decision making were identified: traditional; technocratic; and developmental, in which the emphasis was on usable
information.


In collaboration with officials in a Colorado boomtown, action research was used to test the relevance of this framework. Both the framework and methodology were found to be useful conceptual and process tools for dealing with two major issues faced by the town's officials.
These cases indicated that traditional decision making had limited the officals' options in responding to problems. Developmental decision makingwhich allowed personal values to be acknowledged and respected was found more effective.
Usable information arrived at through action research was found to be highly situational. It depended on the knowledge, values, and experiences of the individuals, the stage of the decision making process, and the nature of the issue.
It was also found that although these boomtown officials could change their style of decision making, it was not easy. Such changes required a reordering of personal values.
The form and content of this abstract are approved. I recommend its publication.


V
ACKNOWLEDGEMENTS
The completion of this dissertation has taken several years, and has involved many people to whom I extend my sincerest appreciation. Special acknowledgement and thanks are given to the appointed and elected officials of Casetown. It was their desire to learn how to best manage their town, which enabled this research. I am equally indebted to my Dissertation CommitteeBob Gage,
Skip Grkovic, and Phil Burgessfor their patient guidance, support, and constructive criticism throughout this project. Ed Marston, the local newspaper editor, played a significant role in this research project. His contribution is respected and appreciated. Appreciation is also extended to the Colorado Energy Research Institute for its financial support, and to its director, Martin Robbins, for his encouragement and continued interest in the topic. Sharon Althaus1 care and patience in manuscript preparation, as well as her personal friendship, have been essential to the completion of this dissertation. Audrey Morton and Margaret Benjamin of the Graduate School of Public Affairs, have contributed support of a similar nature and quality.


vi
The following people have provided humor, insight, and assistance throughout; they have also counselled me from one stage of dissertation idiocy to the next. They are:
Margaret and Vernon Chapman, my parents;
Don Chapman, my uncle;
Kathy Petersen, Deb Devereaux, Tina Kurowski, and Carol Beston;
and most especially my husband and friend,
Steve Schrock, who long ago dubbed this the "Gone-with-the-Wind" dissertation, but persevered with me anyway.
Finally, special acknowledgement and thanks are given to Floyd Mann, my chairman, advisor, work colleague and close personal friend for the past eight years. The influence and direction he has providednot only to this project, but to my personal and professional lifewill never be forgotten.


V1X
TABLE OF CONTENTS
Chapter
I. INTRODUCTION
The Research Setting The Research . What Is to Follow
Chapter
II. SURVEY OF LITERATURE
Introduction to the Chapter.............
Classical Theories of Societal Transition
The Theorists ........................
Ferdinand Toennies Max Weber Emile Durkheim Georg Simmel Robert Ezra Park
The Relationship of Classical Theories to Contemporary Rural, Small Town
Transition .........................
Modernization Theorists and Practitioners
Boomtown Writings ......................
Environmental Impact Statements .
Boomtown Studies ... .................
Boomtowns and Local Governments .
Decision Making Theory . ..............
Organization Theorists ...............
Simon and March
Lindblom, Braybook, and Wildavsky
Socio-Psychological Theories ...........
Irving Janis .........................
Consistency Theorists ................
Group Theory .........................
Summary of Literature Search ...........
4
8
9
12
13
13
20
23
28
28
30
35
42
44
48
48
49
50
52


V12.1
Chapter
III. FRAMEWORK
Introductory Discussion .................... 54
Assumptions upon Which the Decision
Making Framework Is Based ................ 54
Cursory Review of Relevant Literature. . 55
Ways of Deriving and Using Knowledge, and Their Relationship to Rural, Local Government Decision Making ............... 58
Four Ways of Deriving Knowledge .... 58
The Method of Tenacity The Method of Authority The A Priori Method The Method of Science -A Rudimentary Decision Making Framework
for Rural, Boomtown Governments .... 60
The Traditional Decision Making
Response Type.........................61
The Traditional Decision Making
Response Type and rural values A further examination of the concept of values
Rural small town values The Technocratic Decision Making
Response Type.........................70
Identification of the Technocratic Decision Making Response Type The Traditional Versus the Technocratic
Decision Making Response Type .... 73
Description of a Rural Boomtown Decision Making Environment from Which a Third
Response Type Emerges.................75
Description of Casetown
Casetown: Where it has been and where it is now The Casetown Local Government:
Between a rock and a hard place The Identification of Usable Information and the Emergence of the Developmental Decision Making Response Type .... 92
Usable Information The Developmental Decision Making Response Type
Summary of Framework Chapter
96


ix
Chapter
IV. CASE STUDIES: PART ONE
The Town Manager Issue........................102
Examination of the Forces Which Led
to This State of Community Crisis .... 102
The Events Which Led to the Hiring
of a Town Manager...................... 102
Urban to Rural Migration....................104
Development of the Coal Industry
and Boomtown Status .....................106
Casetown Hires a Manager......................107
The Informal Recruitment and Selection
of the Manager...........................107
The Manager's Early Years at Casetown,
. Circa 1976 . . 108
The Turning PointThe Local Election
of 1978 ................................ 109
Open Conflict Emerges ......................110
Impasse within the Council Results in the Formation of the Old-Time Coalition ......................... 112
The Manager gains increased discretionary power as part of the Old-Time Coalition The Old-Time Coalition results in a different type of decision making The Events Which Heralded the Town Manager
Crisis.....................................120
The Banking Error........................ 120
Reports of other management errors Community Reaction Results in the Label of
"Town Management Issue" .................. 125
The Trustees Undertake Deliberate Efforts
to Address Their Management Problems. . 126
Informal Work Session......................126
The Town Management Issue stimulates a combination of reactions from individual Trustees The outcome of the work session The council abandons the decision The Old-Time Coalition Seeks Alternative Methods of Addressing the Town Management
Problem...................................136
The Old-Time Coalition Lends Support to
an Action Research Project ................ 137
A Major Effort Is Again Undertaken:
The Action Research Project ............... 138


141
The Council Embarks on the First Stage of the Action Research Project: A Written
Report ...............................
The attributes of the report The effects of the report The Council Embarks on the Second
Stage: Interviews .................... 144
The nature of the interviews The effects of the interviews External Forces Work to Counter the Effects Effects of the Research Project .... 150
The Break-up of the Old-time Coalition . 152
Disagreement between the Manager
and the New Mayor Divide Council . 155
The Work Session Is Held to Address The
Council's Management Problems ............ 156
Planning the Work Session..................156
The Work Session...........................156
Presentation of technical information: The morning session
The effects of the technical session Presentation of information collected through interviews: The afternoon session
The effects of discussion The third topic of discussion: The Town Manager Issue
Presentation of further interview information
The Manager's reaction Further Effects of the Information Gener-
ated in the Work Session..............171
Open Conflict Between the Local Government and the Town Newspaper..............175
Other Problems Which Caused Community
Dissatisfaction......................180
Work Session with Other Town Managers . . 182
Planning the Session...................182
The Work Session .........................184
Questionnaire Generates Usable Information ...................................187
The purpose of the questionnaire Questionnaire results Worksheets for Job Descriptions Are
Drawn Up.............................192
The Job Descriptions Are Not Used. . 193
Environmental Forces Heighten the
Search for Alternatives................ . 202
An Executive Session Is Called to
Resolve the Town Management Issues . . . 204
An Important Decision Is Made............206


XI
Chapter
IV. CASE STUDIES: PART TWO
The Planning Dilemma.......................214
Examination of the Forces Which Led
to the Planning Dilemma..................214
Major Community Projects Which
Had Contributed to the Dilemma .... 215
The railroad The ditch system
Informal Social Service Network .......... 219
Recent Forces Which Have Contributed
to the Planning Dilemma....................223
The Urban-to-Rural Migration............. 223
The Increased Emphasis on Coal Production 225 Recognition of the Planning Dilemma Emerges
within the Casetown Council .............. 232
The Effects of Development on Casetown . 232
Problems Which Related to Planning . 236
The Council's Dilemma: Whether to
Undertake More Formalized Planning or
Continue as in the Past..................239
Forces and Activities Which Stimulate
Work on the Planning Dilemma...............241
Environmental Forces ..................... 241
The Dissertation Research Project .... 245
A written report Interviews
Planning a work session Participation in the work session Visit from State Officials and
Emerging Environmental Problems .... 262
A Review of the Decision to Plan ..... 271
The Project Continues According to the Straight-forward Format for Decision
Making...................................273
A Grant Proposal Is Written ............. 274
The Council Examines Planning from Briefings and written materials Site visits described
The effect of the visit on Casetown decision making


Xll
Chapter
V. A REFINED FRAMEWORK
Restatement of the General Problem Area .
Precautionary-Notes .......................
Original Formulation of a Framework . . .
Refined Framework ...... ..................
Usable Information .................... .
The character of usable information The types of usable information How usable information comes about How usable information works
Traditional Decision Making .............
Traditional Decision Making: New findings
Traditional Decision Making in a period of rapid transition
Traditional Decision Making: A further indication of its nature Traditional Decision Making: How it evolves
Traditional Decision Making: Concluding remarks
Developmental Decision Making Response
Type...................................
Developmental Decision Making Response Type: The original formulation Developmental Decision Making: Further findings
Developmental Decision Making: What it requires
Developmental Decision Making: How it occurs
Developmental Decision Making: Its relationship to values Developmental Decision Making: Its relationship to information Developmental Decision Making: Its relationship to time Developmental Decision Making: What it enables
Technocratic Decision Making ............
Conclusion.................................
288
289
292
293 293
301
309
320
322


Xlll
Chapter
VI. CONCLUDING REMARKS
Casetown's Local Government Remains an
Exception ..............................327
Reasons Why Casetown's Local Government
Remains an Exception .................... 330
A Manageable Growth Rate ................ 330
The Development of Necessary Management
Skills and Expertise....................331
Casetown officials acquired Developmental Decision Making skills Casetown officials developed greater confidence
Casetown officials learned to recognize
and deal with conflicting values Casetown officials developed greater trust in one another Practical Implications for Dealing with
Rural Boomtown Governments .............. 335
Underlying Values Should Be Made
Explicit................................335
Information Must Be Made Usable .... 337
Structuring the flow of information Decisions Made Without Local Imput will
be Resisted.............................339
Everyday Guidelines for Working with
Boomtown Local Governments ............ 340
Appendix
A. METHODS
The Problem................................346
The Purpose of the Study Project...........347
Action Research ............................. 347
An Overview..............................347
Brief History of Action Research , . . 348
General History of Action Research in
Community Settings ... ................. 353
Action Research: Differences between Small Town Political Settings and
Organizational Settings ............. . 355
Problem Identification .................... 357
The formal organizational setting The local government setting Entry and Contracting ......... 359
The formal organizational setting The local government setting Data Collection and Diagnosis: Separate
Conceptually but not in Practice . . . 369
The formal organizational setting


XIV
Appendix
Appendix
Appendix
The small town political situation Action Research as It Was Applied in
Casetown.................................384
The Entry Phase..........................384
Establishing contacts with the Trustees
An action research proposal is
formally brought before the council Preliminary Data Collection and
Diagnosis Phase ....................... 392
Literature review Semi-structured interviews with Trustees
Ethnomethodographic data collection
Preliminary Diagnosis .................400
The Town Manager Issue The Planning Dilemma Addressing the problems that had been identified and diagnosed The work session
Further Diagnosis and Action ...... 424
Interventions to secure the project-related changes
A conversation between the researcher and the Editor
The researcher plans a work session between the Casetown Trustees and other town managers The work session is held Further plans result from the work session
Further Diagnosis and Intervention by
the Researcher...........................435
A work session on job descriptions is held
Preparation for the session The Council Finally Resolves Its Town
Manager Problem ......................... 439
The Casetown Trustees Also Resolve the
Planning Dilemma ........................ 441
Conclusion................................443
B: WRITTEN REPORT ON STRUCTURAL
ALTERNATIVES...................... 444
C: QUESTIONNAIRE...........................464
D: WORK PAPER ON JOB DESCRIPTIONS..........4 67
References
476


CHAPTER ONE: INTRODUCTION
Part of the standard prescription has been for [boomtown] local governments to become "more professional, efficient, and bureaucratic." However, this "depersonalization" .isn't a solution and could be part of the problem. (Rocky Mountain News, January 6, 1982).
Energy-related development throughout the Rocky Mountain West has resulted in the rapid.growth of many of the rural communities of the region. Some of these "boomtOwns" have become widely known for their substandard living facilities and disproportionately high rates of crime, suicide, and divorce. Such social costs incurred by energy boomtowns have more than shocked the consciousness of the nation. They have also translated into greater economic losses for industry, whose costs of production have risen sharply as turnover and absenteeism have increased and worker productivity has decreased.
When the causes and remedies for such boomtown phenomena are sought, it becomes apparent that in our understanding, a gap exists. Researchers and theorists of the past two centuries have consistently characterized the rural, non-industrial society and its counterpart, the industrialized, urbanized state. Yet, they have not been equally adept in devising a framework for analyzing the


2
changes which occur as a community experiences greater industrialization,, or in providing a method for alleviating the social costs to the individuals whose lives are affected by such economic transformation. The advent of energy-related development of the Rocky Mountain West has shown that the more rapidly the growth occurs, the more acute the social costs to both the newcomers and oldtimers. Although research on the boomtown growth of the 1970's and the early 1980's has begun to examine in greater depth some of the "social costs" incurred by those who live in such communities, a gap in our understanding of the phenomenon remains. This gap becomes a void, when remedy as well as explanation is sought. In effect, the "boomtown" phenomenon is not completely understood, and a method has not been identified for alleviating some of its social costs.
This dissertation addresses that troublesome void by noting the implications of rapid growth on a rural local government, and by identifying a method for assisting its elected officials as they work to minimize the social costs. Relying on five different sets of literature which the researcher believes relevant to the topic of boomtown management, a framework for describing and examining boomtown local government decision making is developed. Three types of decision making are drawn from


3
these sets of literature. The first is called the Traditional Decision Making Response Type; the second, the Developmental Decision Making Response Type; and the third, the Technocratic Decision Making Response Type. Unique to each type is the kind of information used and the manner in which it is used in the decision making process. When the sixth set of literaturethat of action research--is addeid, the framework takes on new relevance. That is, it becomes a conceptual foundation upon which to base efforts to assist boomtown local governments in acquiring the information and decision making skills they need to make effective decisions in a period of "boom."
The relevance of this framework and methodology is tested against the experiences of a group of locally elected officials whose townhereafter referred to as Casetown is in the early stages of rapid energy-related growth.
The objectives and methods used in this research will be developed more fully once the reader has been introduced to Casetown, the place where the research was done.
The Research Setting
Casetown is a small town on the western edge of the Colorado Rocky Mountains. Although it is rural and geographically secluded, Casetown is nevertheless busy reacting to larger forces and processes. The first and most obvious of these has its basis in the geology of the


4
area. Quite simply, Casetown rests on undetermined, but very large deposits of high-grade, low sulfur coal, accessed only by the deep mining process.
Combined with this situation is the current increased demand for coala demand which is expected to continue in the coming decades. The exact nature of when, where, and how these coal reserves will be extracted remains unclear, despite complex and repeated attempts to predict them. Yet, regardless of which set of predictions one chooses, it is likely that Casetown and neighboring communities will continue to be affected by the industrial activities required to extract coal. Furthermore, the ability of their local governments to minimize the social costs of this growth will continue to be of concern and importance to both the energy industries and to the citizens who reside in the area. Thus, one major force which has affected the boomtown whose experiences this dissertation examines, was directly related to energy.
A second force was the wave of urban immigrants moving into the area during the same period of time residents were faced with energy-related growth. These "returned urbanites" together with "the hippie invasion" were part of a larger national urban-to-rural trend.
Often, the differences in values, lifestyles, and political skills among these urban-to-rural migrants, the new


5
citizens associated with the coal industry, and the long-time residents added considerably to the problems faced by the community.
It was not one or the other of these forces but the two combinedpopulation growth and population diversitywhich had created many of the problems Case-town's local officials faced at the time this research was undertaken. The influx of new money, new ideas, and new expectations created significantly different pressures than those for which a century of rural stability had prepared Casetown and its locally elected officials.
Casetown's local government, like other rural local governments, lacked modern governmental structure and administrative procedures. More modern organizational forms and processes had not been adopted, simply because in the past they had not been required. Yet, it was these structures and procedures which would have best equipped the Town and its elected officials for the growth-related problems they faced. Strategic planning processes, one of the most important of boomtown management tools, were not in place. Innovative financing mechanisms were unknown. Tax bases were grossly insufficient to finance water, sewer, and street improvements. To add to this burden, demands for services heretofore not provided by the Casetown local government in such areas as health and


housing were emerging, and expectations were growing that they would be provided by the local government.
Not only did such problems increase in number and complexity, they required Casetown's locally elected officials to address them differently. Industry, financial institutions, units of county, state, and federal government, and even some of the citizensmost especially the urban-to-rural migrantshad come to expect the Casetown Trustees to make decisions based on a different set of values. These values tended to emphasize objectivity, scorn criteria which could not withstand objective scrutiny, and challenge decisions which had not been arrived at through objective procedures. The Trustees, however, usually found it difficult to comply with these new expectations. In some instances, they lacked the information and the skills to incorporate the information into their decision making processes. In other instances, the values inherent in the rational solutions conflicted with their personal, deep-seated values and beliefs, thus blocking objective decision making. Finally, the fact that many of Casetown's citizens did not desire more rational and procedural local government decision making often complicated the situation.
Having described the setting for this research, it is helpful to note how the author became involved in this


7
research project. The author grew up in Casetown. She knew the Casetown of the 1950's and 1960's to be a geographically isolated, rural community of considerable charm. The twelve years preceding this research, however, she had spent outside the area. The author's parents and most of her extended family had remained in the community. During the 1970's the author viewed what Casetown and other towns of the region were experiencing from the vantage point of being both an "insider" and an "outsider." When the opportunity arose to undertake a doctoral project which would involve fieldworkdue to an extremely helpful and appreciated fellowship from the Colorado Energy Research Institutethe researcher decided to study rural, boomtown decision making. Since her academic and professional training had been in organization development and action research, she required a research setting which enabled direct, day-to-day contact with locally elected officials and the problems they faced. Casetown emerged as a town willing to undertake such a project, and therefore became the site for this action research study of boomtown decision making.
The Research
This dissertation will portray through two case studies how Casetown's elected officials set about the complicated task of making decisions during the town's


8
first years of rapid, energy-related growth1980 and 1981. As noted earlier, this research differs from prior research done on the boomtowns of the region. It will not only describe the phenomenon of rural, boomtown decision making, but it should provide to others who are interested in the boomtown phenomenon a means by which to better understand, and perhaps to strengthen, the decision making of rural boomtown officials.
The data obtained for this dissertation were collected through a variety of methods. All the methods employed are in common use in action research and are described fully in Appendix A. Action research methodology was seen as a method by which the locally elected officials, in conjunction with the researcher, could identify and acquire information they could use. This tended to be information arrived at through experiences, rather than written materials or other forms of policy analysis typically employed in more "urbanized" settings. The action research methodology employed not only brought about change that was an immediate help to the elected officials involved, but it provided insight into how information can be used to improve boomtown decision making.
What Is to Follow
Having established rural boomtown decision making
as the focus of this dissertation, and having noted the


9
unique nature of this piece of research, it is necessary to more clearly establish what is to follow. The next two chapters of this dissertation (Chapter II and Chapter III) further set the stage for the presentation of case study materials. Chapter II reviews five bodies of literature. Collectively, they address the phenomenon of industrial transition and provide the multi-disciplinary focus necessary to understand contemporary boomtown transition and local government decision making.
Chapter III sets forth a rudimentary framework for further examining and affecting, rural, boomtown decision making. The framework identifies three types of decision making. The first type is referred to as the Traditional Decision Making Response Type; the second, as the Developmental Decision Making Response Type; and the third, the Technocratic Decision Making Response Type. The concept of "usable information" acquired through the action research process, is identified as a tool for strengthening boomtown local government decision making.
The case studies of Chapter IV tell how the Casetown elected officials worked through two complicated issues in association with this research project. One was known as the "Planning Dilemma," and the other as the "Town Manager Issue. Interspersed in these chapters are brief statements which relate a particular event back to


10
some different elements of the framework presented in Chapter III.
In Chapter V, findings from the case studies are summarized and an attempt is made to pull together what was learned into a more refined framework for understanding, talking about, and affecting rural, local government decision making in a period'of rapid growth.
Chapter VI develops the implications these findings have for those who deal with rural boomtown governments. Again, the emphasis is upon usable information as a practical, accessible and inexpensive tool for assisting, boomtown elected officials.
Here.then is a story of how one rural, boomtown community and its locally elected officials dealt with two major issues. It is a story significant in its own right, but also indicative of the role that a special type of informationusable informationcan play in assisting boomtown officials.
The story has been told from the perspective of the citizens and the locally elected officials. It has been a contemporary story depicting the relatively old phenomenon of social transition of a geographically isolated, rural communitysmall enough to be studied in considerable detail, but changing so rapidly as to enable the researcher and the participants to see evidence of the


11
effects. Their story has been told against the broader lessons of general sociological theory, and socio-psychological decision making theoryand especially against a framework developed to further examine, explain, and affect boomtown decision making. The cases have been written to present as clearly as possible what the Case-town experience was in handling two important issues. It is believed that there are lessons that can be learned from Casetown's experiences that will be useful elsewhere. It was because of this expectation that this action research study was undertaken, the case studies written, and the findings presented in partial fulfillment of work towards a doctorate.


12
CHAPTER II: SURVEY OF LITERATURE
Introduction to the Chapter
The dissertation is about rural, local government decision making in a period of rapid energy-related growth, or boom. Therefore, necessary to this study are several bodies of academic literature. In order to establish a comprehensive theoretical base from which to examine boomtown transition, the early sociologists interested in industrialization will be reviewed. More contemporary theorists will also be reviewed. Once this has been accomplished, the recent studies of small towns and boomtowns will be addressed. The final pages of this chapter will be devoted to the various theories of decision making which are especially relevant to the topic of rural, boomtown decision making.
The overall purpose of this literature review is to provide both a sociological (structuralist) and psychological (behavioralist) perspective on boomtown local governments. This mixing of disciplines will build a
l-This report will use the phrase "boomtown" interchangeably with the more precise and lengthy phrase, "town undergoing rapid change due to the growth of mineral extraction industry," and the word "boom," to depict that phenomenon.


13
foundation.for the decision making framework to be developed and refined in subsequent chapters.
Classic Theories of Societal Transition
Relevant to understanding what happens to local values when rural, agricultural communities are impacted by major industrial growth are the contrasting social types of the classical social theorists. This body of theory is rooted in the Industrial Revolution of eighteenth century England, but has been extended to the recent urbanization experienced by the United States.
These writings describe the monumental effects of industrialization upon the social fabric and values of all who have experienced it. Since this dissertation is concerned with the importance that changing values have on local government decision making, the relationship between local values and decision making will be emphasized in the following review.
The Theorists
Ferdinand Toennies
The work of Ferdinand Toennies.in the 1880's ([1887,] 1963), although not the first of its kind, is nevertheless the most comprehensive starting point for understanding rural culturesbe they of the early nineteenth century or the late twentieth centuryand the changes they undergo as industrialization and


14
advanced technology occurs.^ Toennies used the concepts of Gemeinschaft ("community") and Gesellschaft ("society") as ideal types which existed to various degrees in all societies.
Gemeinschaft depicted a state in which human interactions were based in the "natural" or "essential" will. "Natural" or "essential" will in its pure form was characterized by interactions based on impulse, emotion or basic nature, and was, therefore, "of irrational volition" (Toennies, [1887], 1963, p. 16). The second state, that of "Gesellschaft," told of human associations based on "rational" will. The "rational" will was typified by linear thinking, or thinking which identified ends, and the means to accomplish those ends.
Gemeinschaft was characterized by Toennies as representing social actions based on "a priori and necessary unity." It depicted societies with a predominance of intimate, primary relationships, emphasizing tradition, consensus, informality, and kinship. In this societal state people remained psychologically united, although probably not conscious of this common bond. Of Gesellschaft, Toennies wrote that it was a social state in which
^Earlier, related works which stand out as examples include Bonald's differentiaton between industrial and agricultural types of families (1818); Hegel's contrasts of "family societies" and "civic societies" (1821); Maine's distinctions between status and contract law (1871).


15
"no actions, insofar as they are performed by the indi-vidual take place on behalf of those united with him here everybody is by himself and isolated, and there exists a condition of tension against all others" (Toennies, [1887], 1963, p. 174). Toennies did not believe any society matched an ideal type. Yet, Gesellschaft most closely epitomized urban societies, and Gemeinschaft, rural societies (Toennies [1887], 1963, p. 174) .
Max Weber
Max Weber ([1922], 1946), the German Scholar, further elaborated on the concepts of ideal types of societies. His major contribution to this body of theory was the association he made between industrialization and rationally-based authority and interaction. He wrote,
"The fate of our time is characterized by rationalization, intellectualization, and above all, by the disenchantment of the World" (Weber [1922], 1946, p. 155).
From Weber we derive that as people come to associate rationality with industrialization, they increasingly aspire toward more rational ways of thinking and behaving. As the value of rationality becomes more important, and in conflict with other less rational values (e.g., religious and moral values), the activities and relationships based on those former, less rational values are gradually lost. Interestingly, Weber was not without


16
remorse about what was lost when a society became more industrialized and rational in its activities. In reflecting on the growth of Calvinism, materialism,, and rationalism, he wrote:
For the last stage of this cultural development, it might truly be said: Specialists without spirit, sensualists without heart; this nullity imagines that it has attained a level of civilization never before achieved (Weber [1904], 1958, pp 181-182).
Emile Durkheim
Emile Durkheim ([1893], 1933) also contributed to the understanding of the two dichotomous states addressed by Toennies, and the transition from one state to another.
Durkheim depicted communities as moving from states, of "mechanical solidarity" to "organic solidarity." Communities typifying mechanical solidarity were fairly homogeneous and cohesive. Their citizens shared similar beliefs and values, and were intolerant of deviance. Communities which .reflected "organic solidarity" were characterized by specialization and division of labor. This enabled their members to attain greater levels of individuality, while fulfilling useful and acceptable roles as members of society. Accordingly, Durkheim believed that a certain amount of organic solidarity was good. It implied progress and allowed individuals to nurture more of what was their unique personality, while


17
still remaining' members of the social system (Durkheim, [1893]f 1933).
Durkheim1s writings over a period of years increasingly warned that the transition to organic solidarity was often stressful for those who experienced it. He also emphasized that organic solidarity could become so tenuous, complex, and impersonal that the individual could become lost, bewildered, and even pathologic. One pathology of special interest to Durkheim was the escalating suicide rate in France. After analyzing that phenomenon, Durkheim forewarned of the dangers of rapid social transition:
. . without knowing exactly of what they consist
[referring here: to the suicides], we may, begin by affirming that they result not from a regular evolution, but from a morbid disturbance which, while able to uproot the institutions of the past, has put nothing in their place; for the work of centuries cannot be remade in a few years (Durkheim [1897],
1951, pp. 367-369).
Durkheim1s work provided insight into the changes in social structures and the values that underpin them as societies evolve and become specialized to meet the needs of industrialization. He wrote of some negative social effects that can be expected to accompany this specialization process, and emphasized the difference between transition which evolves gradually and rapid transition. His attention to the phenomenon of rapid transition and its accompaniments is of special relevance in explaining


18
and anticipating the behaviors of rural boomtown officials in certain circumstances.
In concluding, these three classical theorists described the association between an increasingly industrialized society, the rational interaction necessary to maintain that industrialization, and the conflict in values which occurred.
These early writings were subsequently expanded by other social theorists. Although later writers were interested in the same transition phenomenon, they were more concerned with the contemporary phenomenon of urbanization.
Georg Simmel
Georg Simmel ( [1903] 1950) was one of the earliest and most distinguished of the sociologcal theorists to emphasize the positive nature of the urban state.
Simmel's urban state was Similar in description to the organic solidarity of Durkheim, the Gesellschaft of Toennies, and the rational or contract types of Weber. (Also see generally Maine, 1871? Hegel, 1821). However, his explanation was novel and was considered a significant contribution to the understanding of societal transition. Simmel emphasized that with greater urbanization and industrialization came more environmental stimuli, and more decisions to be made by individuals about the world


19
in which they lived. In order to accommodate the increasing number of decisions required of them, individuals tended to filter and categorize types of decisions, thus reducing them to manageable proportions. This filtering process, in turn, required that the individual use his intellect, because it was, as Simmel suggested, the "most adaptive of our inner forces. .
He responds with his head instead of his heart" (Simmel [1903], 1950, pp. 409-410).
Simmel was one of the earliest of the social writers to view the effects of industrialization and urbanization as ones to which people could adapt, and from which they could greatly benefit. He, like Durkheim, saw the forces of urbanization as enabling people more freedom of movement and individuality, while still retaining acceptance and membership in a larger, albeit less personal group.
Robert Ezra Park
Another of the societal transition writers to significantly influence contemporary understanding of community transition, and especially its relationship to community governance, was Robert Ezra Park (Park, 1925). Park wrote:
Social control arises, for the most part, spontaneously in direct response to personal influences and public sentiment. It is the result of personal accommodation, rather than the formulation of a rational and abstract principle (Park, 1925, p. 24).


20
However, Park noted that with industrialization, urbanization, and diversification, the informal controls associated with the tightly-knit groups, largely controlled by gossip, were weakened. Because of this, individuals found more opportunities and greater tolerance for deviance. As a result, in order to protect themselves from deviance and to preserve the social order, communities of this more urbanized state came to substitute law for custom. This shift toward more laws, and hence prescribed roles, required of people greater rationality in determining their day-to-day activities. The result was that the personal relationships evident throughout tightly-knit communities were gradually replaced by relationships controlled by a rational social order. Individuals would act in accordance with the legal procedures established to preserve that order. When related to the boomtown, local government setting, Park's work indicates both what is expected to occur and why.
The Relationship of Classical Theories to
Contemporary Rural, Small Town Transition
In review, the classical theorists described the phenomenon of industrialization or urbanization and contrasted its effects against the values, and social relationships characteristic of pre-industrialized or traditional societies. While extrapolation should be guarded, this body of theory sheds light on the social


21
fabric of today's rural communities, and the types of changes these communities undergo as a result of rapid industrialization.
Neither traditional societies referred to in the social transition literature, nor today's rural boomtown communities have encountered strong industrial and urbanization forces. As a result, these rural boomtowns likely foster behaviors largely determined by "old fashioned" values. These values have been conditioned by tradition and morality, rather than a calculated type of rationality. Furthermore, because less role differentiation or division of labor has been necessary, people in rural communities tend to share similar life experiences. These life experiences, in turn, assure that a similar set of values is developed by all. Social control associated with these types of communities is often informal and irregular. Furthermore, such social control is exerted in accordance with public sentiment, and may vary between one situation and another.
The slow pace, familiar atmosphere, and tightly knit values of these rural communities are likely mirrored in the actions of their local governments. This results in a type of government which may in fact be informal and not very professional by urban standardspreferring to address each situation according to its peculiarities. Often, consensus, is easily reached because the community


22
itself reflects a high degree of consensus on its most important problems.
In contrast, the society or community which has experienced industrialization and urbanization is described as being quite different from the traditional society depicted in the literature, or the rural boomtowns which are the concern of this dissertation. Once industrialization has occurred, the nature of human association and interaction within the community is transformed from one based on instinct, emotions, and kinship values to one based on rationalitywhere consideration of means and ends predetermines action. Furthermore, the specialization, division of labor, and differentiation of roles necessary for industrialization, result in mechanisms of centralized coordination and authority. The sheer number of social interactions and environmental factors which impinge on individual judgment requires that rationality be employed and the old moral order be replaced by more rationally-based methods of control. Hence, rules and regulations abound, along with the need for individuals to act through organizations and groups. The local government which accompanies the urbanized community is often more complex because the environment to which it must respond is more complex. Because urbanized commmunities are more heterogeneous and without the basic consensus that exists in rural communities, consensus diminishes as


23
the prime determinant of local government decision making. Rather, rational techniques of policy and administrative management take their place as a more equitable means of representing a diverse group of people.
The local governments of the urban society tend to perform more functions, have more authority, and rely more on professional expertise than their traditional, rural counterparts.
The social transition theorists who characterized these dichotomous states and the broad social forces which cause them to change from one state to another, have also identified some of the expected social costs and benefits. The benefits of industrialization and urbanization generally have included increased wealth, mobility, and a broader range of behaviors and values by which to identify the self. The negative effects have included a heightened sense of depersonalization and alienation, which in turn, have been associated with pathologies such as crime and suicide. Given the truncated span of time in which rural boomtowns have to change, it takes little to imagine some of the negative consequences which often accompany boom-town living.
Modernization Theorists and Practitioners
The classical theory of transition did not receive further refinement as a result of the "modernization"


24
efforts of the 1950's and 1960's, as might have been expected. Rather than developing additional insight into the transition process itself, the modernization work began with a "disarmingly simple set of assumptions" and resulted in an equally simple set of findings (McCurdy, 1977, p. 298). Nevertheless, these lessons "learned the hard way" have special relevance to both understanding and intervening in the rural boomtowns of the 1980's. Basically, modernization referred to a multidisciplinary focus on the transitions being experienced by developing nations, and to some extent the differences between urban and rural poor within the United Statesthe "backward" or "underdeveloped". Most of the sociologists, public administrators, and scholars associated with this movement assumed that the "backward" peoples of the United States and the world aspired to the economic and social conditions experienced by the middle and upper classes of the industrially advanced countries. (Even if these disadvantaged did not so aspire, it was assumed that they would if only they knew what modernization held for them.) These societies were seen as lacking in the resources and institutional mechanisms to attain modernizationa state conceptually similar to the pretransition state described by the classical sociologists. The goal was to provide the disadvantaged with the resources and mechanisms to accomplish the transition.


25
The resources believed needed to bring about modernization depended largely on the discipline from which the consultants on modernization came. Agriculturalists worked to develop more advanced farming tools and methods? urban sociologists often focused on matters of housing and public utilities; public administrators set about to inculcate the "universal" principles of good administration derived from administrative theory. What they found, "from the mountains of Chile to the hamlets of Vietnam, was frustration," and, it might be added, failure to bring about the reforms to which they aspired (McCurdy, 1977, p. 298). While the recipients of such modernization efforts were often glad to accept the physical resources and the money, they were less than enthusiastic about adopting the methods that were required for the full use of these new technologies.
The simplicity of assumptions employed by the proponents of modernization resulted in an equally simple and overriding conclusionthat what "worked" depended on local conditions. Neither theorists nor practitioners of modernization seemed to seriously question the degree to which their remedial programs complemented or conflicted with local values. It may well have been that their lack of concern or detailed attention to the social and personal consequences of modernization caused their failures. Since the initial assumptions and theories were so


26
tenuous, it has been difficult for the field of modernization to use its failures as a further test of theory, to add to the body of classical transition theory, or to be of assistance in explaining the transitional process experienced by small town local governments undergoing rapid change.
One exception among modernization theorists and practitioners has been the work of Fred Riggs (Riggs,
1965) Riggs developed a model of comparative administration which takes into account the failures generally attributed to the modernization movement. Riggs' model was based on a structural/functional analysis, in which functions necessary for a particular society to exist were identified and then matched with the structures which performed them. This model was similar to those depicted by the body of classic transitional theory in that it distinguished traditional societies from more advanced or modern forms. Riggs' method of classification was based on the number of structures which were evident in a given society. Traditional societies, for example, entailed only a few structures, such as the family and the chieftain or some other symbol of authority. These few structures carried out all the society's necessary functions. However, as a society cast off its old ways, the old structures were broken down and replaced by new, more specialized ones. A major concern of Riggs was that


27
methods be developed for integrating the operations of these new, more differentiated structures (Riggs, 1955).
Riggs, unlike many of the "modernization era writers," was also concerned with the process by which this transformation and differentiation occurred. At the heart of this model is the theory that societies undergoing transition may adopt new structures, but because these structures are neither autonomous, nor integrated, they continue to perform many of the functions associated with traditional society (Riggs, 1955). Riggs' work indicates that societies or even boomtown communities undergoing very rapid transition may give the most deceptive appearances of all. They may take on many new structures designed to perform new functions, but nevertheless remain unwilling or unable to abandon old functions. This may be, as the social theorists indicated, because the values underlying the function are slow to change, if they change at all.
Thus Riggs emerged as a noteworthy, but controversial, representative of the modernization group of scholars and practitioners whose work provided insight into the transition process. Nevertheless, he did not emphasize the social and personal change necessary for transition to occur.
The modernization literature may be more useful in identifying the mistakes typically made by outside


28
organizations in dealing with boomtowns than in delineating a useful theory of change that could be applied to boomtown transition.^ First, adding new structures to societies to make them more modern and differentiated does not mean that the necessary functions will be performed by these structures. Second, attempts to render communities "more developed.," or "more modern," without taking into account the underlying social values seldom work.
Boomtown Writings Environmental Impact Statements
At first look, the many and voluminous environmental impact statements prepared on boomtowns of the region appear to present a literature that is more relevant to the topic of this dissertationboomtown decision making. However, upon closer examination these materials are only slightly more helpful in understanding the forces that promote or preclude transition than those of the modernization era.
Environmental impact statements (EIS's) were mandated by the National Environmental Policy Act of 1969
^This researcher was not the only boomtown researcher to examine and dismiss the modernization literature as marginally relevant to the study of boomtown transition. For examples of others who arrived at a similar conclusion, see Freudenburg, 1979, p. 44; and Cortese and Jones, 1979, p. 3.


29
(NEPA). This law states that environmental impact statements must be made whenever there is a "major federal action significantly affecting the quality of the human environment." It is intended to "stimulate the health and welfare of man" and to "insure that presently unquantified environmental amenities and values be given appropriate consideration in decision-making along with economic and technical considerations" (PL 90-190; NEPA, 1969; Section 102 2b).
Despite the NEPA specifications for environmental impact statements, the vast majority of those reviewed by this researcher and others are concerned with the impact of people on service agencies, and air and water quality (e.g., Wilke and Cain, 1977, Freudenburg, 1979, pp. 16-18). They have little to do with the effects that rapid industrialization has on social structures and patterns of local influence and decision making. One researcher of boomtowns asserts that EIS's which claim to be concerned with the social consequences of rapid growth and change actually focus on "the mismatch between the physical and social infrastructure of the community and the perceived needs rather than the actual experiences and coping patterns of the residents" (Moen, et al, 1979, p. 3). This is because the bulk of the environmental impact assessments have been demographic predictions of the future, with little follow-up work done to determine


30
how accurate the initial predictions were. Environmental impact statements are, by law, required to be done before a project begins. Industry and even government agencies have not done follow-up studies. Consequently, the field of environmental impact statements has not produced the knowledge necessary for theory development or for the field of environmental impact, assessment to evolve beyond an assortment of "educated guesses."
The sheer magnitude of the demographic projections and their financial implications are relevant because they require the local units of government to have planning and financial management skills in place in order to analyze the EXS, and prepare accordingly.^ Their predominantly quantitative focus renders little assistance irt understanding the subjective or qualitative impacts that will need to be dealt with by the decision makers elected to manage the change.
Boomtown Studies
EIS's have not been the only studies done on.boom-towns in the last decade, although they comprise by far the largest part. Researchers from a variety of disciplines, especially sociology and anthropology, have studied the attitudes boomtown residentsboth the
^For examples of these types of research, see Crawford, et al, 1975; Maleki, 1978; Murdock, et al, 1978; and Weingert, 1978.


31
"newcomers" and the "oldtimers"--have towards development (Albrecht, 1972; Blevins, et al, 1974, pp. 62-63; Crowder, 1975, p. 5.; Jobes and Parsons, 1975, pp. 218-219; and Little, 1975). These studies show interesting fluctuations in attitudes toward change based on factors such as 1) attachment to the land and neighbors (the larger the land holding, for instance, the less attached the land-owner is to it and his neighbors); 2) poor economic conditions, which tend to correspond to attitudes supportive of industrialization and growth; and 3) religious affiliation, which in some instances affects attitudes toward development (Little, 1976).
Several studies have also included some measure of satisfaction with local services provided by boomtowns, but usually these have been a small part of a larger EIS (Gilmore and Duff, 1975, Appendix B; and Montana, 1974, pp. Ill, 863). These findings conclude that the newcomers to communities often come from urban areas accustomed to many social and municipal amenities, and are less satisfied than the oldtimers with the level of local government services.5
^It is this researcher's opinion that many of the "oldtimers" of boomtowns become less satisfied as the quantity or quality of services increases, preferring to preserve the "old," informal ways.


32
Some of the most astounding findings on boomtowns and the effects of rapid transition on its citizens have emerged from the boom experiences of Wyoming during the 1960's and 1970's. Gillette, a Wyoming strip-mining town which "boomed" primarily during the 1960's, is reported to have experienced extreme social disruption. At one point during the boom, the town had an alcoholism rate of one person in eight, a suicide rate of one person in 250; and escalated rates of school dropouts, child abuse, and prostitution. A clinical psychologist working in Gillette dubbed these factors the four "Ds"--depression, divorce, delinquency, and drunkennessas the "Gillette Syndrome" (Kohrs, 1974; Montana Energy Advisory Council, 1975;
Clack, 1976). Researchers who examined some of the social consequences of Rock Springs, Wyomingas it more than doubled in size over a period of four years (1970 to 1974)found that the social consequences were similar to those of Gillette (Kohrs, 1974). One unique study established that the social problems associated with the rapid growth of the energy industry resulted in economic costs to the industry itself (Gilmore and Duff, 1975, pp. 12-13). In this study, overall productivity in some of the mines dropped by 25 to 40 percent, while employee turnover escalated beyond 100 percent. Gilmore and Duff concluded that such social and economic disruptions could


33
be mitigated if growth rates did not exceed 5 percent per year. Yet, many boom areas grow in excess of 20 percent per year (Gilmore and Duff, 1975).
Other research has shown that within boomtowns, rapid transition results in a general decrease in the level of satisfaction with community life. The newcomers are often less satisfied with their new surroundings. The established residents, too, are less satisfied. They tend to perceive the community as changing so rapidly that they experience a sense of disorientation. Furthermore, they are displeased with the strain they believe the newcomers place on facilities and services provided by the town.
The result is that distrust, suspicion and increased antagonism often emerge between newcomers and old-timers in a boom situation (Bickert, 1973; Carnes and Friesma, 1974; Mountain West Research, 1976). The cause of emotional stress among the residents of Fairbanks, Alaska, a city which experienced rapid growth because of the pipeline construction in the 1970's, was attributed to more formal, less personal ways of conducting business which accompanied the growth (Dixon, 1978). The plight of newcomers, and especially the newcomers living in mobile homes, has been identified as more stressful for them, and possibly for the community as a whole, than would exist under conditions of more gradual growth.


34
An initial investigation into the effects of rapid energy development on the female population of three boom-town comunities tentatively concluded that women did not receive a "fair share" of the benefits offered by the industries causing the growth (Moen, et al, 1979, p. 204). The researchers noted that energy industries have relied on skills traditionally belonging to men. This bias, combined with the rural ethic that a woman's place is in the home, was identified as the primary reason for the plight of women in boomtowns. Furthermore, according to this study, the women of these boomtowns experienced a disproportionate amount of the costs of boomtown living. The authors concluded that the loss of social support, when combined with a lessened opportunity to make a living in a boomtown, "[reduced women's] capacity to help themselves, their families, and their community respond to growth and change in a positive way" (Moen, et al, 1979, p. 211).
Freudenburg recently finished a comprehensive ethno-methodographic study of four Western Colorado communities in various states of "boom." He found that individuals in communities undergoing substantial energy-related growth could adjust without a decline in their perceptions of personal well-being if they could maintain a circle of friends. Boomtown transition was found to be especially disruptive of the childhood socialization processes of its younger residentsa disruption that had previously been


35
identified as true only for the elderly. Increased deviance was associated with more opportunities for deviance and fewer and less effective social constraints characteristic of a boomtown environment. Freudenburg also found that the human support systems which operated informally in small stable communities disintegrated with rapid transition and diversification {Freudenberg, 1979, pp. 319-320).
In conclusion, fragmented findings have emerged from the various types of research done on boomtowns over the past ten to fifteen years. None of them tells the "whole story" of the social or socio-economic effects of rapid energy-related growth for the citizens who experience it. Enough of a picture emerges to claim, as has at least one other researcher, that "Every community affected by rapid expansion undergoes its own unique social and emotional stresses, but the results tend to be similar the cost is human wastage" (Kohrs, 1974, p. 6).
Boomtowns and Local Governments
The literature reviewed so far has described the general forces which boomtown elected officials may expect to face, and determined some of the social symptoms their community will experience when the transition is shortened into a period of several years or a decade. Yet, ironically, very little of this literature has focused on the


36
transitional processes experienced by local governments, the very group with formal responsibility for managing the growth of the community. Rather, local governments have tended to be stereotyped as "archaic or inefficient," and "inadequate" (Lassey, 1977, pp. 35-37); resistive of efforts to depoliticize and to instigate modern administrative procedures (Giles, et al, 1980, p. 28); and prone to displaying amateurism, informality, favoritism, and an "inadequate understanding of the problems and their possible solutions" (Cortese and Jones, 1979, pp. 7-8).
Although the literature which addresses boomtown local governments is prolific in its descriptive adjectives, it seldom addresses the causes for the supposed "lamentable" state of these units of government. When insight is provided, it is usually by means of cursory explanation of one particular facet of rural local government. For example, an assumption is made that locally elected officials prefer the least centralized and administratively inefficient operation. This is usually attributed to the elected official's desire for greater personal power and discretion in determining political decisions. Others attribute the "lamentable state" of local governments to the lack of education of the elected officials and thus their inability to undertake, or even appreciate, more sophisticated management techniques. Finally, writers often imply, if not directly state, that


37
locally elected officials choose to ignore problems rather than address them because they are somehow incapable of doing otherwise.
On the whole, this body of literature tends to attribute the problems of rural governments to the personal attributes and motives of locally elected officials. It presumes that the non-professional state of local governments is inappropriate, and it fails to recognize the broader values and beliefs being expressed by rural politicians and constituents alike. Furthermore, this literature ignores the possibility that "amateurish" local governments may be supported year after year because the voters prefer them to more professionally functioning governments.
In conclusion, the bulk of the literature on rural local governments addresses neither the underlying causes for the manner in which rural, local governments function, nor the processes by which they evolve. When applied to boomtown governments, most of the literature differs only in the degree of urgency implied: that these "nineteenth century governmental structures" are failing to meet twentieth century municipal demands made of them by rapid energy-related growth.
See generally, Giles, et al, 1980; Lassey, 1977; Torrence, 1974.


38
Two pieces of research stand out as worthy exceptions to be considered in greater detail. The first and most general of the two is the research of Cortese and Jones (Cortese and Jones, 1979). Cortese and Jones have identified the social and cultural consequences of energy-related development on three towns of various sizes and in various stages of growth. They suggest that the major problem incurred by boomtown local governments is not how to do more of what they were doing before, but how to do things differently. Cortese and Jones go on to note that for local governments to do things differently requires more than additional expertise, it requires a change in predominant local values. They write:
Local values have kept governmental units from engaging in many new activities (e.g., planning and zoning, seeking federal aid), while some governmental activities were clearly unnecessary in the past (e.g., intergovernmental and government-industry relations, creative taxation) (Cortese and Jones, 1979, p. 8).
Cortese and Jones also identify four alternative responses that residents make to the changes brought about by rapid energy development in a rural small town environment. They report that most people respond by trying to "take the changes in stride" in the name of progress.
They work longer hours, keep more businesslike records, and generally "spiff up" their operations (Cortese and Jones, 1979, p. 14).


39
A.second response which Cortese and Jones identified as common among boomtown citizens was to maintain the status quo and consequently risk the loss of one's position or business. If this person is an elected official, write Cortese and Jones, he "did not hire more staff to deal with new problems or pass more ordinances to regulate growth" (Cortese and Jones, 1979, p. 14). A third type of individual response identified by Cortese and Jones was denial of the need to change. They found this to be especially true when the pressures to change became excessive, noting that locally elected officials were particularly prone to this response. The final response identified was that of moving away from the town. This, Cortese and Jones report, is least common among "old-timers," and most common among "newcomers" (Cortese and Jones, 1979, p. 15).
For the purposes of this dissertation, equally important is Cortese and Jones' recognition that local values play a critical role in the ability of local government officials to meet the challenges imposed by rapid, energy-related growth.
A somewhat kinder and more specific analysis of the plight of locally elected officials in towns undergoing rapid change was provided by Freudenburg (1979) as the result of his study of the social effects of "boom" on four West Slope communities.


40
Of locally elected officials before the advent of
rapid, energy-related growth, he writes:
. the requirements of the job seemed relatively straightforward, for most of these officials genuinely did want to "do what's best for the community," and in times of stability, at least, officials seem able to get a high level of agreement on what that means. Because of the fairly high degree of consensus on the most salient issues, moreover, the communities' leaders tended to be chosen from among other persons with similar inclinations on the basis of personal acquaintanceship with the voters: "John is somebody I know I can trust."
In other words, the typical local government style in this region is one which is admirably suited to conducting business in a small, tightly-knit community. Decision making by consensus is extremely valuable when the number of people involved is small enough that consensus can be reached, especially since those decisions can be tailored to the peculiarities and even the personalities of a given situation. Furthermore, given the slow pace and close contact of a normal small town life, an urbanized kind of "competence" may in fact be far less important than is compatibility (Freudenburg, 1979, p. 182).
Freudenburg notes that although this style of local
government may be well suited for the stable, tightly knit
communities, it may not be for those undergoing rapid,
energy-related growth:
The situation presented by a boom is, to put it mildly, quite different from that faced by community leaders in the past; complexities multiply considerably, and the sheer number of new faces and forces can begin to preclude decision making that is based upon acquaintanceship, or compliance that is based on informal understandings. Searching for consensus no longer seems reasonable in a period of change in which there often is no consensus. At least according to advocates of formal planning, a more "urban" type of administrative ability becomes highly important in this situation, and advanced planning becomes virtually indispensable. Moreover, given the magnitude of the "front-end problem," even officials


41
and communities which have always prided themselves on self-sufficiency and "getting by" on the basis of ingenuity are effectively forced to look for outside help (Freudenburg, 1979, p. 183).
This, Freudenburg notes, is problematic for communities
which believe strongly in the importance of self-
reliance .
A category of problems which do not "have satisfactory solutions" includes those with which local values are in conflict. He continues:
But the particular irony of the criticism that officials receive from their fellow townspeople ("Why didn't they do something about this mess before it got to be this bad?") is that nearly the only way in which the local government could have effectively prevented the problems would have been through regulations to delay or discourage the developmentand those actions would nearly have been legal grounds for lynching in the eyes of many of the same critics.
In a region where residents have generally grown up knowing that new industries can strengthen an area's economy, and where they generally spend their adult lives as strong supporters of the free enterprise system and strong opponents of "government interference" the thought that the local government (in particular) might take steps to control the actions of an industry which had decided to locate in the area even when the alternative is a massive and as mixed of a blessing as is a boom-creating energy facilityis simply unthinkable (Freudenburg, 1979, p. 187).
Freudenburg goes on to mention the effects on locally elected officials:
Small town officials know they can expect long hours, low pay, and little gratitude for their endeavors, but at least they can generally feel the satisfaction of "seeing the job done right," or of "just trying to do something for my community," particularly since a high degree of consensus on salient issues can at least help that official to "know" that he is doing the "right thing."


42
In a boomtown, however, where many of the most pressing problems may not even have satisfactory solutions, officials may encounter some sense of having been cheated, robbed both of a personal feeling of satisfaction and of gratitude for their efforts from others, for in fact, rather than receiving credit for the difficulty of their jobs, these officials often find themselves becoming targets or even scapegoats (Freudenburg, 1979, p. 186).
Freudenburg1s discussion of the plight of locally elected officials is unique in that it places the locally elected official's behaviors in context with the broader forces and indicates that such individuals are affected by more than what is rational and obvious. They are affected by their own values, experiences, and skillsas well as those of the community. Prior writers failed to note that when values being expressed by the.community are in conflict, then it is difficult for the locally elected official to ascertain public sentiment. If the values being expressed by community sentiment are in conflict with those held by the elected officials, as often happens, then the dilemma is heightened considerably.
Most of the literature does not address the issue of value change and conflict within the community, and between the community and the local officials, as the serious barrier to local government reform that it is.
Decision-Making Theory
The literature reviewed thus far has indicated what to expect with the advent of rapid industrial development


43
such as that experienced by the rural boomtowns of the West, but it has not adequately identified the dynamics of that change. It does not, for instance, provide much understanding of how those who actually experience the transition are able to reorder the way they think about the world in lieu of the greater objectivity being expected of them. The question of how people change a manner of knowing about the world which is familiar, which has worked, and most importantly, which has become an integral part of their personality, remains unanswered. Understanding the plight of the boomtown resident who suddenly finds the structures of his community changing, his thought patterns challenged and his life transformed, is important in its own right. Understanding the dynamics of this transition for the boomtown locally-elected official, however, may be critical both to the community and to those who would deal with the local government during that time.
Transition literature has uncovered, but not examined, the dynamics by which rural people such as those of present-day boomtowns adapt their traditional methods of decision making to meet the urbanized requirements suddenly being asked of them by industry, other governments, and some of the citizens themselves.
To accomplish this, other decision making theories must
also be included.


44
Decision-making theories vary markedly according to the discipline of the theories, the complexity of the problems, and the organizations being studied. This, in turn, requires that a review of the literature be done selectively. For the purposes of understanding the dynamics of rural boomtown decision making, the researcher has chosen a few major works. However, extrapolation from this literature to the local government setting must be performed cautiously, since much of it was developed to explain decision making in complex organizations and urbanized environments.
Organization Theorists
Simon and March
The work of March and Simon (1958) sheds light on
the plight of boomtown locally-elected officials. Simon
and March were two prominent organization theorists who
rejected the notion of rationality as it had evolved from
the concept of economic man.? These authors preferred a
concept of "bounded rationality" to explain the context of
large organizations. Wrote Simon:
It is impossible for the behavior of a single isolated individual to reach any high degree of rationality.
?For the most thorough of the "rational man" proponents, but unfortunately the least readable theorist since Talcott Parsons, see Dror, Design for Policy Sciences, 1971; or Ventures in Policy Science, 1971).


45
The number of alternatives he must explore is is so great, the information he would need to evaluate them so vast, that even an approximation to objective rationality is hard to conceive (Simon, 1947, p. 79).
For March and Simon, the problems that decision makers face are so numerous and complicated, decision makers tend to understand only a few facets of the problem, and envision only a limited number of solutions. The ultimate effects of this decision making phenomenon in the context of large organizations are several.
One predominant effect is that "less than optimal" solutions are pursued, instead of solutions determined by the most objective analyses possible. Furthermore, decision makers tend to make one decision at a time, often not recognizing or investigating the effects it may have on other policies or decisions which must be made. Thus each decision deals with a restricted range of situations and consequences.
The concept of "bounded rationality" also meant for March and Simon that decision makers tended to limit the analysis of the problem according to the variables which could be easily controlled; only when these decisions proved inadequate were other alternatives considered.
This was especially true if new functions, or jurisdictional controls and responsibilities were required (March and Simon, 1958, pp. 137-142).


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Despite the fact that March and Simon wrote about decisions made in the confines of a formal organizational structure, their most prominent themes are of relevance to rural, local government decision making. These concepts explain why decision makers tend to handle one problem at a timein piecemeal fashion. They also demonstrate why certain problems may not be addressed until they have actually reached crisis proportions. Equally relevant for the purposes of this dissertation, March and Simon's work indicates that most decisions, not just those made at the rural, boomtown level of government, are limited in the rationality which is applied.
Lindblom, Braybook, and Wildavsky
The second group of decision making theorists whose work is useful in explaining the rural, local government decision making is that of Lindblom and Braybook (1963) and Wildavsky (1964). These authors took a similar approach to that of March and Simon (1958), but focused primarily on political decision making. Components of their works which are most relevant to the topic of local government decision making are included in the following synopsis.
o Because political decision makers are often
breaking new ground, or moving beyond the status quo in the decisions they are required to make, they are cautious.


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o In their need to be cautious, they restrict the number of alternatives they consider, the amount of change those alternatives entail, and the extent of the consequences of any given alternative. These alternatives are usually similar to what the governmental unit is already doing or has done in the past. The means of implementing a particular decision will also become a primary criterion or constraint in the decision making process.
o Decisions are made based on the decision makers' experiences and intuition more than on objective analysis.
o Decisions are expected to move a problem closer to resolution but not necessarily eliminate it.
o The ultimate evaluators of the decision are not the decision makers but their constituents. Evaluation is often fragmented, especially if the constituents are a diversified group of people with different values (Lindblom and Braybook, 1963; Wildavsky, 1964).
This body of decision making theory would indicate that the ease of governing is likely to be a primary determinant of decision making, and objective problem solving a secondary determinant.
The theories addressed thus far shed insight to the events depicted in the case studies of this dissertation. The transition theorists contributed to the general understanding to the phenomenon of industrial transition.
Their works indicated the fundamental change the decision makers could be expected to undergoi.e., from making decisions based on tradition and morality to decisions based on greater objectivity. However, their work did not adequately identify the human dynamics by which the transition to more objective decision making occurred. The


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decision making theorists addressed the barriers to objective decision making. Although socio-psychological factors emerged in their theories, further exploration of such factors was left primarily to the field of social psychology.
Socio-Psychological Theories Theories relating to the psychological aspects of thought processes are numerous, complicated, and in most cases, inappropriate for the purposes of determining a general framework for understanding local government decision making. However, several stand out as especially relevant and will be reviewed briefly. The first addresses inter-psychic conflict and its effect on the individual decision maker's thought processes. The second deals with the psychological effects of group interaction upon decision making.
Irving Janis
The effects of emotions on objectivity were identified and described by Irving Janis in 1959. Basically he noted that two types of emotions impaired objective decision making. The first type included emotionally-based biases of which decision makers were aware. The second type included emotions which stemmed from deeper defensive needs and represented emotions of which decision makers were not aware. Janis noted that these emotions


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resulted in "chronic emotional biases." Furthermore, these two types of emotions were believed to affect any stage of decision making. They could block the ability of individuals to recognize threatening or unpleasant facts; or they could distort the analysis of the problems (Janis, 1959, pp. 6-27).
Consistency Theorists
The most comprehensive explanation of the effects of human emotions on objective decision making comes from a group of psychological theorists (see especially Heider, 1958; Festinger, 1961). These theorists wrote about the conflict humans experienced when things learned through rational, objective processes were different from what was prescribed by their personal values. They noted that people strived to assure that such discrepancies did not occur; and if they did, attempts were made to eliminate them. In so doing, people either acted in ways which were consistent with their deep-seated values (regardless of the rationality of these values), or they tried to realign their values with what they had come to recognize from more factual types of information. It has been said that rats and people come to love the things for which they have suffered, much as a person who has chosen a course of action will become committed to it, even if he experiences unexpected problems as a result of the choice.


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The tendency for individuals to keep their values aligned with what they come to know through objectivity, or to distort objectivity to fit their values, affects both the decisions which evolve, and the psychological well-being of the decision maker. Research has shown that the greater the disparity between them, the more likely the decision maker is to establish an oversimplified black-and-white view of the problem, He is also more likely to close off objective information in favor of his basic values and subconscious biases (Rpkeach, 1973, p. 216) .
Thus the psychological literature dealing with the interaction between emotions and objectivity identifies why greater objectivity in decision making is difficult regardless of. whether the decision maker operates in an urban, professional environment or a boomtown local government. This is especially true when objectivity conflicts with strongly-held values and the disparity between the two affects the well-being of the individual.
Group Theory
Finally, a body of theory of special relevance to the rural, boomtown governments is that dealing with the effects which groups have on decision making. Several of the most cogent explanations of this phenomenon emerged


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from the works of Janis (1971) and Wilensky (1968). Wilensky's work was framed in a context more amenable to large organizations than small town rural governments, while the work of Janis was not. Therefore it is Janis' work which is addressed here.
Janis' (1971) major thesis was that although individuals had weaknesses that impaired objective thinking, the group setting often magnified those weaknesses, rather than alleviated them. Janis analyzed a number of foreign policy decisions which were later termed decision making "fiascos." He found these "fiascos" could not be adequately explained oh the basis of the personalities or intellects of the people involved. Janis identified the effects of the group on individual judgment and coined the phenomenon "groupthink." Distorted perception of unanimity and invulnerability within the group contributed to the certain identifiable defects in decision making.
o Early discussions of the issues were limited to too few options, resulting "from a lack of alternative proposals as from any compelling logic and their favor" (Janis, 1971, p. 102).
o Once a general course of action was identified, the group did not re-examine the thoroughness or validity of their basic assumptions, nor did they take a hard look at alternative courses of action.
o They were remiss in using information from
experts and any course of action that deviated from the one they had selected.
o They gave insufficient attention to the realities of implementing their decisions, or of establishing contingency plans (Janis, 1971, pp. 102-103).


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Summary of Literature Search A common characteristic of the varied body of liter ature on transition presented in this chapter is that com munities experiencing rapid industrial transition, like societies, are expected to become more objective in the decisions that are made. This transition toward greater objectivity in decision making requires a fundamental change in the methods of knowing or fixing beliefs which boomtown decision makers use as the basis for those decisions. No longer is it sufficient for decisions to be based on traditional definitions of right or wrong, but rather on what has been proven according to rational criteria, and established by due process. The social theorists of this chapter indicated that there were Struc tural and psychological consequences associated with changing toward a more objective means of governing, but did not explain the dynamics of the process by which it occurred. The modernization theorists and practitioners, after a considerable amount of effort to bring about tech nological and administrative development, found that providing the information necessary for greater objectivity did not necessarily produce more rational decisions. Finally, boomtown researchers emphasized the crucial role that objective decision making played, but failed to identify methods by which to do so, except to provide local decision makers with information of a prescriptive


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nature and hope for the best. The decision making theorists, on the other hand, tended to ignore the broader forces which induced change and required of their participants fundamental changes in the way they came to know and order their world. Rather, they focused on the effects that human and organizational characteristics had on objective decision making.
Thus these major areas of academic inquiry relevant to the topic of boomtown local government decision making yield perhaps one valid, overriding conclusion: that no single discipline can adequately explain the consequences of rapid social transition or its effects on local government decision making. They do, however, help in deciding where to look, while relying on the boomtown itself to fill in the information needed to better understand the actions of its local government.


CHAPTER III: FRAMEWORK Introductory Discussion
The literature presented in the previous chapter provided a multi-disciplinary, broad-based background for. looking at rural boomtown decision making. Identifying variables which suitably address rural, boomtown decision making has been difficult. Findings which would contribute to a comprehensive framework of boomtown local government decision making have been sketchy and rudimentary at best. Therefore, the framework developed in this chapter must be considered tentative, and in need of further refinement. That refinement will occur in subsequent chapters when the framework is examined in light of two case studies of rural, boomtown decision making.
Assumptions upon Which the Decision Making Framework Is Based
The framework presented in this chapter is based largely on findings and theories from different bodies of literature. These findings and theories are reviewed briefly, and should be considered as the conceptual base from which the framework is drawn.


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Cursory Review of Relevant Literature
The most established of the various theories considered in developing the framework are the theories of social transition. The works of the social transition theorists indicated that, among other things, as rural, non-industrialized areas became industrialized, their residents depended more on material objects and technological knowhow.1 as this occurred, there was a simultaneous change in the way people acquired and used information. The decisions they made were expected to be based increasingly on objective information, rather than tradition and morality.
The modernists whose work occurred at a much later period (the 1950's and 1960's) added further to our understanding of the relationship between social transition and decision making. Basically, they found that even when factual, objectively-based information was provided on development-related problems, the decisions that resulted were often neither objective nor predictable.
More recently boomtown researchers have addressed the phenomenon of rapid energy-related industrialization in rural areas. However, their subject matter differs
1-All of the literature referred to in these paragraphs has received fuller attention in the previous chapter. The purpose of this cursory review is to set the stage for the development of the decision making framework.


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because the transition they address is occurring so very rapidly when compared to the industrial-based transition of other times and places. These writers have identified local government as the most important community-based organization to apply greater objectivity to their decision making during rapid energy-related industrialization. However, they have, been more articulate, in warning of the consequences of "non-professional" decision making in the local government and business sectors, than in identifying how such decision making could be strengthened.
Finally, the decision making theorists reminded us that in order to change decision making processes which are entrenched in tradition, habit, and morality, more than just facts are required. These theorists note that even when decision making processes are established to assure greater objectivity, the process is always riddled by psychological, non-objective intrusions, and that these elements must be taken into account as well. Recently, several theorists have suggested that instead of providing information with the intention of producing the most objectively based decisions possible, information should instead have as its primary goal "usability." (See generally, Lindblom and Cohen, 1979.)
These various bodies of literature, drawn from different times and even different academic fields,


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nevertheless express a common theme. That theme has to do with how individuals acquire knowledge about their world, and how they use it in their decision making processes.
Individuals who come to know something as real about the world may have done so through different processes. Furthermore, their understanding of what is real may differ; one person's reality is not another person's reality. Just as this is so, so are the differences in the way those perceptions of reality have been formed.
The way an individual comes to know something about the world, and the belief, structures that accompany this knowing, become an intrinsic part of human personality. Adopting.another person's methods of knowing is hard, partly because the individual attempting to do so is a novice, but also because the individual simply may not want to. It may require that the individual give up too much of what he considers as his distinct personality.
Yet it is that fundamental change which is expected of the boomtown official who suddenly finds that he is expected to sign a legal contract instead of looking the "other guy" in the eye and shaking his hand to secure an agreement. Or, in another instance, when the state requires that a rural boomtown establish a comprehensive plan in order to qualify for grant money, even though its elected officials do not have the skills and information by which


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to do jso. Furthermore, they may believe that any form of government planning is probably wrong, if not downright
communistic I
Yet, they need the impact assistance money.
Ways of Deriving and Using Knowledge, and Their Relationship to Rural, Local Government Decision Making
Factors which explain local government decision making, especially in a rural context, will have to address the way local government officials come to know things about their world, and make decisions based on that knowledge.
It may be that local decision makers come to "know" something in a manner which remains significantly different from the "ways of knowing" employed by urbanized, modern-day organization decision makers. In order to further distinguish the ways rural, local decision makers acquire and use information, the original work of Charles Pierce is reviewed (Pierce, in Buchler; 1955).^
Four Ways of Deriving Knowledge The method of tenacity
Pierce identified four basic ways that human beings come to know something or, as he put it, "fix their
^pierce was an American philosopher who,in the 1920's and 1930's, contributed to our understanding of how people derive and use knowledge. Although his concepts do not comprise the framework of this dissertation, they do contribute to its inspiration. (For a synopsis of Pierce's writings, see Pierce in Buchler, 1955.)


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beliefs." The first is the method of tenacity (Pierce, in Buchler, 1955). This method is based on precedent, tradition and habit. Something is known to be true because it has always been true; green is green, wrong is wrong. Over time, the frequent application of this type of knowledge in one's day-to-day activities enhances its validity. Following on the consistency theorists of the previous chapter, people strive to make sure green stays green and wrong stays wrong, even in the face of clearly conflicting facts.
The method of authority
The second method of knowing or fixing beliefs identified by Pierce is the method of authority; If the Constitution says it is wrong, it is wrong. He points out that this method of knowing has been primarily responsible for civilized society, and is not necessarily unsound, although it may be under certain circumstances (Pierce, in Buchler, 1955).
The a priori method
The third method used by people to come to know something is the a priori method, or the method of intuition (Pierce, in Buchler, 1955). in this method, knowledge exists and is true because it is self-evident, "it stands to reason."


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The method of science
The fourth method of knowing is the method of
science. Of science Pierce says:
To satisfy our doubts, therefore, it is necessary that a method should be found by which our beliefs must be determined by nothing human. Its fundamental hypothesis is this; there are real things, whose characters are entirely independent of our opinions about them (Pierce, in Buchler, 1955, p. 18).
Rural boomtown elected officials may be using knowledge which has been derived from the first three methods identified by Pierce when what is expected is knowledge which has been derived by the fourth methodthat which is objectively based.
A Rudimentary Decision Making Framework
With Pierce's delineation in mind, the researcher identifies three types of decision making. Common to all three types is the way decision makers acquire knowledge, fix beliefs, and hence make decisions. These three types of decision making constitute a framework by which the description and examination of the activities of rural, local officials will occur in later chapters of this research. The first type will be referred to as the Traditional Decision Making Response Type; the second the Developmental Decision Making Response Type; and the third, the Technocratic Decision Making Response Type.
Further clarification of the Developmental Decision Making Response Type in the context of a rural,


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boomtown decision making setting becomes the central purpose of this inquiry.. Elaboration of the Traditional and Technocratic Response Types is also provided. Since the Traditional and Technocratic Response Types most closely represent the bulk of the literature, containing concepts with which the reader is likely familiar, they will be presented first.
The Traditional Decision Making Response Type
The Traditional Decision Making Response Type is based on a method of knowing or fixing beliefs which is moralistic and deeply imbedded in values. Often the information which underpins this response type is already known to the decision maker and is observable in his immediate, automatic reactions to problems. For example, the locally elected official who immediately opposes awarding a liquor license because "drinking is wrong" and he has always known it to be wrongis displaying a bias which is indicative of the Traditional Decision Making Response Type.
When the Traditional Decision Making Response Type occurs in a rural setting, the information used to make the decision is likely to have come from one of Pierce's (1955) first three methods of knowing or fixing beliefs.
The first method which is especially applicable to the rural decision making setting is Pierce's method of


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tenacity (Pierce*, in Buchler, 1955). Kerlinger notes, and Deutsch further explains, that people often cling to this type of knowledge in the face of clearly conflicting facts (Deutsch, 1973, pp. 37-38, 41; Kerlinger, 1973, p. 5). That is, in either a conscious or unconscious desire to maintain consistency in what they believe, people will ignore new information which, if acknowledged, would require them to change their beliefs, or to live with the inconsistency.
Examples of the method of tenacity are readily observed in land-use decisions made by rural, boomtown governments. For instance, let us assume that a group of boomtown officials annexes land for a proposed subdivision to provide housing for the growing population. Let us further assume that this land proves to be geologically unstable and the .houses built upon it have problems with cracking foundations. If these same officials annex more geologically unstable land, refusing to acknowledge the problems which have occurred developing the first parcel, then they are using knowledge based on Pierce's method of tenacity.
The second method of knowing or fixing beliefs which underpins the Traditional Decision Making Response Type is the method of authority. This is knowledge which is established and accepted because someone in authority has designated it. For example, the elected official who


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opposes issuing a parade license to a civic group because the parade is to be held on a Sunday, and the Bible says Sunday is a day of rest and not ribald celebration is using authoritatively derived knowledge.
The third type of knowledge to "stand out" for the rural, locally elected official is that which comes from the decision maker's intuition. Knowledge, exists and is true because it is self-evident; "it stands to reason," or "any fool can see you don't build an irrigation ditch going uphill from the source of water," for example.
The Traditional Decision Making Response Type and rural values
The existence of a discernable rural value structure makes the Traditional Decision Making. Response Type in a rural boomtown setting one which can be both recognized and understood in some depth. This occurs because of the predictable nature of rural values, and the manner by which those values are commonly translated into decision making.
The Traditional Decision Making Response Type used by rural decision makers will closely relate to local values for two reasons. First, the locally elected officials who are responsible for the ongoing translation of community values into government policies are likely not to remain in office if they fail to represent those values. If an issue evokes an emotional response from the


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community in general, then it is likely to elicit a Traditional Decision Making Response Type from the elected official. The elected official, however, may be reacting in a way indicative of the Traditional Decision Making Response Type, but not for the reasons the community assumes. For instance, the community may be reacting to a particular issue on the basis of tenacity: "This community has always done it this way, and there's ho reason to change." However, the locally elected official may be reacting more to the fact that the community, in a sense the "authority," is displaying an emotionally-based response, and therefore the locally elected official feels obliged to react in a similar manner.
The second reason that local values are important determinants of the Traditional Response Type is that the rural elected official has likely been raised in a rural, small town environment and has assimilated its values into his personality. It is the knowledge acquired from these deeply-held values that can be expected to emerge to guide the decisions and actions of such an official. This is especially true when a particular value is threatened, or the decision maker sees a clear opportunity to further confirm or solidify that value. In cases where a personal value of a decision maker is threatened, his reaction may be immediate and emotional and entail positions which cannot be articulated or rationally defended. For example, a


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locally elected official whose religious values dictate to to him that drinking is wrong may automatically seize the opportunity to revoke a liquor license, even though he knows his action to be irrational and that a court of law would likely find it arbitrary. This would be a clear example of what is meant by the Traditional Decision Making Response Type.
A further examination of the concept of values
The issues which rural government officials are likely to address using the Traditional Decision Making Response Type can be anticipated by knowing about rural values. However, to distinguish these rural values from values held by society as a whole requires further refinement of the meaning of values.
Values provide a basis for knowing or fixing beliefs, opinions, and attitudes. Values provide a "normative stand which guides human choice" (Berelson and Steiner, 1978, p. 23). Opinions are a type of knowing distinguished by being short-ranged and formed in response to more specific issues. Attitudes comprise a type of knowing which is longer lasting and broader than opinions, but less so than beliefs. Beliefs are basic sentiments which are based on values and are closest to values (Berelson and Steiner, 1978, pp. 23-25).


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Hornick and Enk describe six characteristics relevant to all values and the behavioral expression of those values.
o Neither beliefs, nor attitudes, can be
directly observed or measured; they must be inferred from a person's statements and/or behaviors.
o Although most people have a hierarchy which remains fairly stable, values within that hierarchy fluctuate somewhat.
o Values orient a person to his world, and help him act. They enable quick response to certain types of situations.
o Values differ according to an individual's
needs, environment, socialization, and social structure.
o Values can be found to be sound or unsound in terms of the consequences.they produce.
o Quite often, what is expressed verbally as a value is not equally evident in the actions and behaviors taken in relation to that value (Hornick and Enk, 1978, pp. 23-25).
The concept of values and the role values play as the predominant determinants of the Traditional Decision Making Response Type has been presented. How those values are structured and preserved in the rural, small town setting will be addressed.
Rural and Small Town Values. Recent studies portray rural, small towns as places in which tradition goes unquestioned; where values, norms, experiences, and lifestyles are similar, and the institutional structures


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which support them are simple; where narrow moral codes of behavior are enforced; where competition and open conflict are reserved for high school athletics; where religion provides a foundation for tolerating adversity; where taking.risks is not popular; and where the solidarity of solidarity of the community remains a predominant value (Clemente, ed., 1977).
The major identifiable influences on rural and small town values are its social institutions. These institutions include the family, the religious institutions, private enterprise, schools, and local governments. Each of these is credited with its own unique influence on the community's value structure, as well as the values of individual citizens (Swanson, et al, 1979, p. 56).
The family plays the primary role in influencing the personal values of rural citizens. Although these values are changing, they still tend to include adherence to sexual roles, privacy of the home, sanctity of womanhood, fulfillment of obligations (especially those based on one's word), rights of property, defense of one's honor, and resistance toward "intruders." It is the rural family which is attributed with instilling some of the most moral, inflexible, and unconscious values held (Swanson, et al, 1979, p. 56-58).
Religious institutions including those of the rural, small town, often strive to instill values of


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morality, transcendentalism, and sacredness above more objective methods of establishing beliefs. There is evidence to suggest that predominant values vary considerably from one religious doctrine to another (Lenski, 1961, pp. 343-344). However, for the purposes of this research, it is sufficient to note that the Protestant doctrine is thought to promote among its members a more rational and objective orientation toward the world, while Catholicism tends to emphasize greater acceptance of fatalism and authoritarianism (Lenski, 1961, pp. 343-344).
The values expressed not only in the realm of instruction, but in the policies of rural schools, have a strong effect on the values which predominate in rural, small towns. The tendency of many rural, local schools to enforce a strict authoritarian structure produces one set of values. The relative emphasis on certain academic pro-, grams over others, or on non-academic programs over academic programs, produces another set (Swanson, et_ al, 1979, pp. 56-58).
Currently, many rural, small town schools in general are grappling with a value dilemma. That dilemma is whether the policies of rural schools should emphasize educational programs which prepare students to live and work in the locality, or whether Students should be educated so that they may enjoy the broadest possible number of career alternatives, including those available


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outside the community. This value dilemma has heightened as rural migration trends of the past decade and a half have shown the better-educated of rural areas have migrated to more urban areas"thus leaving the locality with the bill for educating their young, but not the whole of the benefits" (Tweeten and Brinkman, 1977, pp. 74-75).
The effects of private enterprise on local values are significant. In small towns, where money has always been a cherished but scarce commodity, its control and distribution vis-a-vis private industry are major determinants of rural, growth-related values. Shifts in the dominance of certain industries often have far-reaching effects on local value structures. A common industrial-related shift is that as the numbers of small farms diminish, the traditional agrarian values toward individualism, family, austerity, and the land change. If farms are taken over by agribusiness, for instance, the values associated with unionization, wealth, and materialism tend to increase. Values toward the land also tend to change. Where previously the land was something to care for, with industries such as coal mining, the land may become valued as something to conquer (MacCannel, 1976, pp. 3-4).
The local institution responsible for translating rural, small town values into policies and services is the unit of government. Since the focus of this dissertation is rural, boomtown decision making, further attention is


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given to the effect rural values have on local government decision making.
The particular mix of values which emerges to affect the'rural small town government will, of course, depend on the particular town. However, recent .findings indicate that the values of rural, small towns remain remarkably similar to those typified by the traditional societies of the classical sociological theory (see generally Clemente, ed., 1977; Swanson, et al, 1979). The existence of this identifiable rural value structure may, in turn, be the single most important determinant of the predominant rural type of decision makingthat is, traditional decision making. This factor makes research on rural government decision making significantly different from research on decision making in more formalized and urbanized settings.
The Traditional Decision Making Response Type has been associated with methods of knowing or fixing beliefs which arise from rural values. Having described it, and delved into its meaning, it is necessary to move on to the second predominant type of decision making addressed in this dissertation.
The Technocratic Decision Making Response Type
A second Decision Making Response Type, one which is often described by the boomtown literature, is the


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Technocratic Decision Making Response Type. This typifies decision making which requires locally elected officials to use information based on Pierce's method of science (Pierce/ in Buchler, 1955). In this dissertation, such information is referred to as "objective information" and "objective knowledge." The Technocratic Decision Making Response Type requires that the decision maker's methods of knowing or fixing beliefs about issues are based on rational processes. These rational processes are meant to minimize distortions and enable the most unbiased generalizations possible at the time. When a local decision maker purposefully seeks information which he believes to be based on facts and not on biases, values, attitudes and emotions, he is exemplifying the Technocratic Decision Making Response Type.
The Technocratic Decision Making Response Type closely resembles what was associated with the urbanized or modernized state in the classic literature in sociology. It is also the response which most closely resembles that epitomized by Washington, Jefferson, and Franklin in their attempts to replace the traditional theory of hereditary sovereignty with the idea of building government institutions by rational and experimental processes (Price, 1954, p. 4). Finally, it is this response type which is most commonly prescribed by boomtown researchers as the only one which provides locally elected officials


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sufficient control over the transitions which their communities are experiencing.
Identification of the Technocratic Decision Making Response Type
The Technocratic Decision Making Response Type is exemplified at the institutional level by professionalism and respect for expertise, specialization, centralization, and bureaucracy, held together by rules and regulations. However, at the level of rural, boomtown decision making, other indicators of this response type are more appropriate.
In this dissertation research, a Technocratic Decision Making' Response Type was identified by the decision maker's commitment to follow five stages of problem solving. These stages included:
o acknowledgement of difficulty, usually as a result of immediate pressures on the decision maker;
o search for the most objective knowledge available within the time limits determined by the type of issue;
o analysis of the problem, leaving open the possibility to redefine the problem after further investigation into its nature;
o analysis of alternative solutions; and
o choice from among the alternatives (see
generally, Dewey, 1933, pp. 106-118).
Important to the Technocratic Decision Making Response Type is commitment to rationality over overt


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emotions and feelings. Furthermore, for this Response Type to be evident, deliberations must include consideration of two overriding responsibilities associated with elected officethey are procedural fairness and preservation of the common good. Procedural fairness refers to the "proper and consistent" abidance of written laws, ordinances, and decision making procedures established to assure fairness and avoid favoritism and corruption. Preservation of the common good refers to protecting commodities such as air, water and open space whose nature is such that no one can be excluded from their effects (Selznick, 1970).
The Traditional Versus the Technocratic Decision Making Response Type: A Metaphor
A metaphor is offered to illustrate the difference between a Traditional Decision Making Response and a Technocratic Decision Making Response as they apply to the rural, boomtown decision maker. Imagine that two large groups of people hiking in the mountains are informed that they will be required to cross a river. This information about a potential problem they face generates in one group a technocratic response. This group lays out topographic maps to chart the various paths which lead to the river. They anticipate the depth and strength of the current and chill factor of the water; they identify many possible methods of crossing the river. They make a decision,


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establish a plan, and one or two contingency plans. They further determine which members will be responsible for what activities. The group may even send people ahead to stock the materials they will need to accomplish the river crossing.
For the group of hikers whose actions typify a Traditional Decision Making Response to the problem, however, the warning of the impending river-crossing does not generate any advanced preparation. More likely, the group does not consider it a problem until they have hiked their pantlegs and are up to their knees in cold, fast-moving water. At that point they may stop midstream to briefly Hail Mary, and continue on, whilst testing their footing with each slippery rock. The hardiest make sure no one actually drowns. Furthermore, providing they do not encounter quicksand or crocodiles, they will probably arrive at the other side a more skilled, if not wiser group of riverwaders.
This metaphor illustrates two predominant styles of decision making. It suggests what happens when boomtown officials cling to the Traditional Decision Making Response Type, when what is required are decisions which are more solidly based on a Technocratic Decision Making Response Type.
The dilemma of a particular group of rural, local government officials is examined further in the following


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pages, in order that the third Decision Making Response Typethe Developmental Decision Making Response Type may be more clearly articulated.
Description of Rural Boomtown Decision Making Environment
This dissertation will further refine the concepts upon which the three types of decision making are based by examining case studies taken from the experiences of one particular boomtown local government. Therefore, a preliminary description of the boomtown {i.e., Casetown) and the manner in which its growth has affected its local government is now in order. The researcher's intent is to provide further insight into what occurs when a rural boomtown such as Casetown suddenly finds the Traditional Decision Making Response less effective than in the past. However it also finds the Technocratic Decision Making Response both unsuitable and difficult. The result is a type of decision making which does not fit into either category, but rather somewhere in the middle. This third category is called the Developmental Decision Making Response Type. A major determinant of this kind of decision making is a particular type of information, referred to in this study as "usable information."


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Description of Casetown
This section will provide general information about Casetown, its location, history, religion, economy, demographics, and finally, the value structure that molds it into the unique community it is. A more in-depth portrayal of those characteristics emerges in the descriptive case studies and the review of the methodology as it was applied (see Chapter IV and Appendix A). The purpose here is to provide the reader with an overview of' the environment in which these decision making response types were examined, and from which further elaboration of the third response type, the Developmental Decision Making Response Type, evolved.
Casetown: Where it has been and where it is now
Casetown is a "deep coal mining town" which experienced growth in the 1970's partly due to energy development, and partly due to other factors. Although designated during the 1970's by the Federal Energy Administration as a boomtown where the sources of impact are "most imminent," researchers, citizens and elected officials alike categorized it as "early-boom," roughly meaning that the growth was slow enough to be managed without serious problems.
During the 1970's, the coal mined in the Casetown area came primarily from six mines. Two of these mines


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were built during the 1970's; the remaining mines underwent expansion and renovation during roughly that same time period. These activities did not produce an energy "boom" as it is thought of today. Rather, Casetown experienced a modest population growth during the ten-year time span, from approximately 2,000 to 4,300 people, including the growth in the immediate.service area. However, as this dissertation is being written, Casetown is beginning to experience a rate of growth and industrial development well over 10 percent annually, thus placing it squarely in the "boom" category.
This imminent "boom" is not, however, the first for Casetown and the surrounding area. It has experienced several such periods of growth since its inception as an agricultural community in the early 1880's. Casetown is located on the western-most boundary of the Rocky Mountains where a river flows out of the mountains and on toward the Uncompaghre Plateau and the Great American Desert. The two features that made it especially attractive to early agriculturalists were its terrain and climate. Casetown and its immediate service area are protected on three sides by mountains, one which begins almost at the town limits and rises another 6,000 feet.
The U-shaped configuration of mountains protects the community from the harsh weather patterns which originate in the Gulf of Mexico to the southeast, while trapping the


78
more gentle weather and the moisture of the Pacific Gulf Coast from the southwest. The result is a long growing season and a mean temperature of 50 degrees Fahrenheit.
The moisture trapped by the mountains and delivered to Casetown through numerous streams, has more than accommodated its needs for water.
However, there have been features besides the climate and terrain which inspired a "boom" of early settlers to homestead the Casetown areanamely, virgin soil and the fact that no pests or diseases had found their way into the valley. These advantages were offset one decade later, and Casetown's first official "boom" became its first official "bust," attributed principally to insects, crop diseases, and non-local competition.
Then in 1912, the stamina of the Casetown residents was further challenged when a severe freeze killed both the year's fruit crop and the fruit-bearing trees as well.
The community, unlike many other early communities of the region, was able to persevere by placing greater emphasis on coal production and ranching. The railroad that had been built into the valley primarily for the exportation of fruit some ten years earlier became the community's chief means of exporting coal. As circumstances would have it, Casetown's endeavors to change its economic base resulted in another "boom" as immigrants from Italy, Yugoslavia, Wales, Czechoslovakia, Mexico,


79
Germany, and Sweden arrived primarily to work in the coal mines. Over the years, fruit production, ranching, and mining became equally prominent, partly because the custom of working the fields in the spring and summer, and mining in the winter, had carried over from the European immigrants.
Accompanying this "ethnic pluralism" and "economic pluralism" was a "religious pluralism," which resulted in a proliferation of small churches. By the 1950's, Case-town was reported in Ripley's Believe It Or Not to have more churches per capita than any other community its size in the United States. (At the time it had twenty-seven churches.) These churches all shared a common purposethey instilled the traditional values of hard work and large families, and may well have been the social institution most responsible for the peaceful co-existence and shared values manifest in the community.
Over the years the people of Casetown became accustomed to economic "booms" and "busts." In agriculture, weather factors were the primary cause, and in the case of coal, it was the external market. Throughout, the leading occupations have remained agriculture and mining, with agriculture only beginning to give way to mining during the latter part of the 1970's. As a citizen recently remarked to this researcher: "The fruit growers can't live with this inflation caused by the


80
energy boom. We'd lay a bet that there's been an orchard took out every month for the past nine months.
The economic "booms" and "busts" have not affected the long-term demographic patterns of the area. This has been partly because of the unusually strong "homing instincts" of the people who have lived in this tightly knit community. The population of the County, for instance, was 13,688 in 1910, and 15,286 in 1970. A more notable trend, however, has been seen in age distribution patterns. The 1980 statistical account showed a larger percent of the people in the over 65 category than in the 20-34 category, and the median age of the residents of the County to be 14 years older than the median ages for the state (the former being 40, and the latter 26) (Senesh, 1976).
The more short-term demographics of the past two decades have shown fluctuations in the migration patterns of the of the Casetown area. These fluctuations have, in turn, had a significant impact on Casetown's residents. During the 1950's and 1960's, the increasing growth in industry and population in other parts of the nation made it profitable for farmers and ranchers to sell their land and move to the less expensive, but geographically attractive land such as that which surrounded Casetown. While some of these new residents may have resumed their


81
farming, it was seldom full-fledged. Furthermore, by the 1980's most of these people had entered retirement.
In the late 1960's and the first half of the
1970's Casetown experienced a second influx, which has
since become a part of Casetown's contemporary folklore.
That was a "hippie invasion"people in early adulthood
seeking a subsistent way of life. They were resented by
Casetown residents for several reasons. First, many were
"trustfunders," individuals from wealthy families who
could buy land that had taken local residents a lifetime,
or even several generations, to acquire. Second, as
another researcher has noted:
Their alcohol and drug use, and their dedication to looking untidy and not taking baths were the final insult to a community accustomed to hard work and high standards of order and cleanliness (Moen, et. al, 1979, p. 34).
However, most of these newcomers failed at their agricultural pursuits, primarily because they were not knowledgeable about farming, or accustomed to the long hours of difficult work. These disadvantages were heightened by their unwillingness to use pesticides, or other mechanized implements. By 1978, most of the "hippie invaders" had retreated or had "cleaned their act up," and displayed the skills necessary to make their own living, usually as miners or craftsmensomething the local residents respected, albeit begrudgingly.


82
During the same period, the young people of Case-town became more likely to leave than stay after finishing high school because of the lack of jobs and the lack of capital to buy land or open businesses. This, in turn, heightened resentment not only toward the "counterculture" immigrants, but other young newcomers who were to arrive during the last half of the 1970's.
The third identifiable group of newcomers that came to the area in the 1970's continues to have a significant impact on the community. This group epitomizes the urban-to-rural migration. Most of them are middle-aged and well educated, looking for a simpler way of life.
They have come to the community partly because of its beautiful scenery and temperate climate, and partly because of the quaint, self-sufficient way of life, and the "charming community atmosphere" (Moen, e_t al, 1979, p. 32). These newcomers have mostly located in the immediate service area of Casetown, and not in Casetown proper, largely because the town has been built to its limits and there is little available housing.
By outward appearance, this last influx of newcomers has fit into the community very well. They have been industrious and have set up small businesses, many of which have been successful. They are clean and tidy, an important trait in Casetown; and they appear by all accounts to be conscientious parents and good, "solid


83
citizens." The reality has been, however, that they have not assimilated into the community to the degree that outward appearances would suggest, primarily because some of their values appear to threaten the social order of Casetown.
Because these newcomers have come to Casetown largely due to its beauty and its simple way of life, they understandably have a stake in preserving those qualities. As a result, they have largely opposed coal-related growth and development, some of which was already underway at the time of their arrival. The general stance these newcomers have taken toward growth and development is diametrically opposed to that of the older, established community, which has lived considerably below the national income average for generations in hope of greater economic prosperity. These residents have looked forward to the energy-related growth, believing that their children would be better able to make a living in the area. Similarly, most older businesses have been holding out "just one more year" for so many years that the economic growth and prosperity thought to accompany increased coal-mining activity is highly attractive. And, finally, a number of Casetown residents believe that accommodating energy development is their patriotic duty. Said one: "God put the coal there, and the U.S. needs energy, and we must give it to them."


84
The difference in attitudes between the long-term residents and the newcomers toward growth and development has created animosity between the two groups. This animosity has increased because, while the urban newcomers seem to want to maintain the simplicity of life they have found in Casetown, they have nevertheless employed very sophisticated and often complicated legal techniques to waylay further growth and development.
Undoubtedly the most significant example of this particular irony has been manifested by the local newspaper which this dissertion quotes extensively. The North Fork Times was begun in 1975 by a couple in their early thirties who had come on a temporary "retreat" from their New York City professions. He was a physicist, she a journalist. While in the Casetown area, they decided to start a local newspaper to fill their spare time intending for the venture to last only five or six months. However, they grew to like Casetown better than they had expected, and the newspaper was profitable, so as one local resident put it, "Gawd damned if they didn't stay!"
The flavor of the North Fork Times was markedly different than any of the local newspapers of Casetown's past. High school sports were no longer featured on the front pages on a regular basis, and reports of what various persons did on a weekly basis were dropped.
Rather, the North Fork Times investigated issues of local


85
concern. Usually, these investigations were reported over periods of weeks or months, thus educating the readers while piquing their interest at the same time. However, this drawn-out manner of investigative reporting caused those associated with particular issues to feel victimized by the Editor. The topics pursued by this paper were ones that had gone unexamined in the past, in part because there was no controversy over themrindustrial development was good; governmental interference and regulations Were bad; schools should operate as cheaply as possible, children should be taught the basics, as well as the difference "between right and wrong," even if it meant that punitive forms of discipline be applied (Freudenburg,
1979, pp. 277-278).
The North Fork Times analyses (or so they appeared to the layperson, both in content and tenor) often concluded that existing attitudes, policies and procedures were outdated, clearly irrational, or even illegal. Although these analyses seldom resulted in a realignment of basic community sentiment or policies, they did generate confusion, dissent, and on occasion, insight, which has played a significant role in Casetown's transition.
In Casetown, it has also been this last influx of migrantsthe "urban refugees"that has become a major impediment in the town's ability to agree on how to manage


86
its growth. This is because their preservationist values, combined with their insistence that rational decision making procedures be employed, threatened the basic values by which the majority of the local population has abided for generations. The result is a bifurcation of the community between newcomers and old timers, and extreme difficulty in agreeing on anything. This, by the way, is consistent with findings from other boomtowns. Writes Massey about Wheatland, Wyoming:
To be an insider, one must either have lived in the community all one's life, or have married an insider of good repute. It is possible for a person with a highly respected occupation to "move inside" after several years of careful grooming and a reputation for stability and commitment to the status structure. Both newcomers and long-term residents recognize this bifurcation of the community, though insiders are understandably less vocal or indignant about it than newcomers (Massey, 1977, pp. 22,48).
In conclusion, Casetown is a community which has experienced an influx of diverse peoples since its inception. Until the 1960's each wave of newcomers was assimilated readily into the community. However, the energy-related growth of the 1970's, when combined with the influx of urbanites, has created a situation in which rapid transition is imminent, but the values by which to guide that transition are no longer agreed upon and
shared.


Full Text

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UNIVERSITY OF COLORADO AT DENVER BOOMTOWN IN TRANSITION: CHANGING PATTERNS OF LOCAL DECISION MAKING A DISSERTATION SUBMITTED TO THE FACULTY OF THE GRADUATE SCHOOL OF PUBLIC AFFAIRS IN CANDIDACY FOR THE DEGREE OF J DOCTOR OF. PUBLIC ADMINISTRATION BY MARY MARGARET CHAPMAN MARCH 1982

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ii This Dissertation for the Doctor of.Public Administration -Degree by Mary Margaret Chapman has been approved for the Graduate Sthool of Public Affairs by George M. Grkovic, Member Date July, 1982

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ABSTRACT Boomtown in Transition: Changing Patterns of Local Decision Making By: Mary Margaret Chapman Chairman: Floyd C. Mann, Ph.D. Two forces have had major consequences for local governments in the Rocky Mountains. The installation of energy facilities has created management challenges for local officials. These challenges have been augmented often by urban-to-rural migration which has diminished local concensus on growth issues and weakened the legiti-macy and authority of local governments. These problems require new types of information and decision making skills. Little is known about the methods by which to strengthen such decision making. This study addresses that void. Five bodies of literature were reviewed. From this multi-disciplinary base, three types of decision making were identified: traditional; technocratic; and developmental, in which the emphasis was on usable information. iii

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iv In collaboration with officials in a Colorado boomtown, action research was used to test the relevance of this framework. the framework and methodology were found to be useful conceptual and process tools for dealing with two major issues faced by the town's officials. These cases indicated that traditional decision making had limited the options in responding to problems. Developmental decision making--which allowed personal values to be acknowledged and respected--was 'found more effective. Usable information arrived at through action re-search was found to be highly situational. It depended on the knowledge, values, and experiences of the individuals, the stage of the decision making process, and the nature of the issue. It was also found that although these boomtown officials could change their style of decision making, it was not easy. Such changes required a reordering of personal values. The form and content of this abstract are approved. I recommend its publication. Signed in charge of thesis

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ACKNOWLEDGEMENTS The completion of this dissertation has taken several years, and has involved many people to whom I extend my sincerest appreciation. Special acknowledgement and thanks are given to the appointed and elected officials of Casetown. It was their desire to learn how to best manage their town, which enabled this research. I am equally indebted to my Dissertation Committee--Bob Gage, Skip Grkovic, and Phil Burgess--for their patient guidance, support, and constructive criticism throughout this project. Ed Marston, the local newspaper editor, played a significant role in this research project. His contribution is respected and appreciated. Appreciation is also extended to the Colorado Energy Research Institute for its financial support, and to its director, Martin Robbins, for his encouragement and interest in the topic. Sharon Althaus' care and patience in manuscript preparation, as well as her personal friendship, have been essential to the completion of this dissertation. Audrey Morton and Margaret Benjamin of the Graduate School of Public Affairs, have contributed support of a similar nature and quality. v

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The following people have provided humor, insight, and assistance throughout; they have also counselled me from one stage of dissertation idiocy to the next. They are: Margaret and Vernon Chapman, my parents; Don Chapman, my uncle; Kathy Petersen, Deb Devereaux, Tina Kurowski, and Carol Beston; and most especiaily my husband and friend, Steve Schrock, who long ago dubbed this the 11Gone-with-theWind11 dissertation, bui persevered with me anyway. Finally, special acknowledgement and thanks are given to Floyd Mann, my chairman, advisor, work colleague and close personal friend for the past eight years. The influence and direction he has provided--not only to this project, but to my personal and professional life--will never be forgotten. vi

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TABLE OF CONTENTS Chapter I. INTRODUCTION The Research Setting 4 The Research 8 What Is to Follow 9 Chapter II. SURVEY OF LITERATURE Introduction to the Chapter. Classical Theories of Societal Transition The Theorists Ferdinand Toennies Max Emile Durkheim Georg Simmel Robert Ezra Park The Relationship of Classical Theories to Contemporary Rural, Small Town Transition Modernization Theorists and Practitioners Boomtown Writings ... Environmental Impact Statements Boomtown Studies Boomtowns and Local Governments Decision Making Theory Organization Theorists Simon and March Lindblom, Braybook, and Wildavsky Socio-Psychological Theories Irving Janis Consistency Theorists Group Theory Summary of Literature Search 12 13 13 20 23 28 28 30 35 42 44 48 48 49 50 52 vii

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Chapter I I I RK Introductory Discussion 54 Assumptions upon Which the Decision Making Framework Is Based 54 Cursory Review of Relevant Literature. 55 Ways of Deriving and Using Knowledge, and Their Relationship to Rural, Local Government Decision Making 58 Four Ways of Deriving Knowledge 58 The Method of Tenacity The Method of Authority The A Priori Method The Method of Science -A Rudimentary Decision Making Framework for Rural, Boomtown Governments 60 The Traditional Decision Making Response Type 61 The Traditional Decision Making Response Type and rural values A. further examination of the concept of values Rural small town values The Technocratic Decision Making Response Type . 70 Identification of the Technocratic Decision Making Response Type The Traditional Versus the Technocratic Decision Making Response Type 73 Description of a Rural Boomtown Decision Making Environment from Which a Third Response Type Emerges 75 Description of Casetown Casetown: Where ib has been and where it is now The Casetown Local Government: Between a rock and a hard place The Identification of Usable Information and the Emergence of the Developmental Decision Making Response Type 92 Usable Information The Developmental Decision Making Response Type Summary of Framework Chapter 96 viii

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Chapter IV. CASE STUDIES: PART ONE The Town Manager Issue 102 Examination of the Forces Which Led to This State of Community Crisis 102 The Events Which Led to the Hiring of a Town M4nager 102 Urban to Rural Migration 104 Development of the Coal Industry and Boomtown Status 106 Casetown Hires a Manager. 107 The Informal Recruitment and Selection of the Manager 107 The Manager's Early Years at Casetown, _Circa 1976 108 The Turning Point--The Local Election of 1978 109 Open Conflict Emerges 110 Impasse within the Council Results in the Formation of the Old-Time Coalition 112 The Manager gains increased dis-cretionary power as part of the Old-Time Coalition The Old-Time Coalition results in a different type of decision making The Events Which Heralded the Town Manager Crisis ................ 120 The Banking Error 120 Reports of other management errors Community Reaction Results in the Label of "Town Management Issue" 125 The Trustees Undertake Deliberate Efforts to Address Their Management Problems. 126 Informal Work Session 126 The Town Management Issue stimulates a combination of reactions from individual Trustees The outcome of the work session The council abandons the decision The Old-Time Coalition Seeks Alternative Methods of Addressing the Town Management Problem 136 The Old-Time Coalition Lends Support to an Action Research Project 137 A Major Effort Is Again Undertaken: The Action Research Project 138 ix

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The Council Embarks on the First Stage of the Action Research Project: A Written Report 141 The attributes of the report The effects of the report The Council Embarks on the Second Stage: Interviews 144 The nature of the The effects of the External ForcesWork to Counter the Effects Effects of the Research Project 150 The Break-up of the Old-time Coalition 152 Disagreement between the Manager and the New Mayor Divide Council 155 The Hork SessionIs Held to Address The Council's Management Problems 156 Planning the Work Session 156 The Session 156 Presentation of technical information: The morning session The effects of the technical session Presentation of information collected through interviews: The session The effects of disclission The third topic of discussion: The Town Issue Presentation of further interview information The Manager's reaction Further Effects of the Information Generated in the Work Session 171 Open Conflict Between the Local Govern-ment and the Town Newspaper 175 Other Problems Which Caused Community Dissatisfaction. 180 Work Session with Other Town Managers 182 Planning the Session 182 The Hork Session 184 Questionnaire Generates Usable Infor-mation The purpose of the questionnaire results Worksheets for Job Descriptions Are 187 Drawn Up 192 The Job Descriptions Are Not Used. 193 Environmental Forces Heighten the Search for Alternatives 202 An Executive Session Is Called to Resolve the Town Managemerit Issues 204 An Important Decision Is Made 206 X

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Chapter IV. CASE STUDIES: PART TWO The Planning Dilemma 214 Examination of the Forces Which Led to the Planning Dilemma 214 Major Community Projects Which Had Contributed to the Dilemma 215 The railroad The ditch system Informal Social Service Network 219 Recent Forces Which Have Contributed to the Planning Dilemma 223 The Urban-to-Rural Migration. 223 The Emphasis ori Coal Production 225 Recognition of the Planning Dilemma Emerges within the Casetown Council 232 The Effects of Development on Casetmvn 232 Problems Which Related to Planning 236 The Council's Dilemma: Whether to Undertake More Formalized Planning or Continue as in the Past 239 Forces and Activities Which Stimulate Work on the Planning Dilemma 241 Environmental Forces 241 The Dissertation Research Project 245 A written report Interviews Planning a work session Participation in the work session Visit from State Officials and Emerging Environmental Problems 262 A Review of the Decision to Plan 271 The Project Continues According to the Straight-forward Format for Decision Making 27 3 A Grant Proposal Is Written 274 The Council Examines Planning from Briefings and written materials Site visits described The effect of the visit on Casetown decision making xi

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Chapter V. A REFINED FRAMEWORK Restatement of the General Problem Area Precautionary,Notes Original Formulation of a Framework .. Refined Framework Usable Information The character of usable information The types of usable information How usable information comes about How usable information works Traditional Decision Making Traditional Decision Making: New findings Traditional Decision Making in a period of rapid transition Traditional Decision Making: A further indication of its nature Traditional Decision Making: How it evolves Traditional Decision Making: Concluding remarks Developmental Decision Making Response Type Developmental Decision Making Response Type: The original formulation Developmental Decision Making: Further findings Developmental Decision Making: What it requires Developmental Decision Making: How it" occurs Developmental Decision Making: Its relationship to values Developmental Decision Making: Its relationship to information Developmental Decision Making: Its relationship to time Developmental Decision Making: What it enables Technocratic Decision Making Conclusion ............... xii 288 289 292 293 293 301 309 320 322

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xiii Chapter VI. CONCLUDING REMARKS Appendix Casetown's Local Government Remains an Exception 327 Reasons Why Casetown's Local Government Remains an Exception 330 A Manageable Growth Rate 330 The Development of Necessary Management Skills and Expertise 331 Casetown officials acquired Develop-mental Decision Making skills Casetown officials developed greater confidence Casetown officials learned to recognize and.deal with conflicting values Casetown officials developed greater trust in one another Practical Implications for Dealing with Rural Boomtown Governments 335 Underlying Values Should Be Made Explicit 335 Information Must Be Made Usable 337 Structuring the flow of information Decisions Made Without Local Imput will be Resisted 339 Everyday Guidelines for Working with Boomtown Local Governments 340 A. METHODS The Problem 346 The Purpose of the Study Project 347 Action Research 347 An overview 347 Brief History of Action Research 348 General History of Action Research in Community Settings 353 Action Research: Differences between Small Town Political Settings and Organizational Settings 355 Problem 357 The formal organizational setting The local government setting Entry and Contracting 359 The formal organizational setting The local government setting Data Collection and Diagnosis: Separate Conceptually but not in Practice 369 The formal organizational

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The small town political situation Action Research as It Was Applied in Casetown 384 The Entry Phase 384 Establishing contacts with the Trustees An action research proposal is brought before the council Preliminary Data Collection and Diagnosis Phase 392 Literature review Semi-structured interviews with Trustees Ethnomethodographic data collection Preliminary.Diagnosis 400 The Town Manager Issue The Planning Dilemma Addressing the problems that had been identified and diagnosed The work session Further Diagnosis and Action 424 Interventions to secure the projectrelated changes A conversation between the researcher and the Editor The researcher plans a work session between the Trustees and other town managers The work session is held Further plans result from the \'lork session Further Diagnosis and Intervention by the Researcher 435 A work session on job descriptions is held Preparation for the session The Council Finally Resolves Its Town Manager Problem 439 The Casetown Trustees Also Resolve the Planning Dilemma 441 Conclusion 443 Appendix B: REPORT ON STRUCTURAL ALTERNATIVES Appendix C: QUESTIONNAIRE Appendix D: WORK PAPER ON JOB DESCRIPTIONS .. References 444 464 467 476 xiv

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CHAPTER ONE: INTRODUCTION Part of the standard has been for -[boomtown] local to "more professional, and bureaucratic." However, this "depersonalization".. isn t a solution and be of the (Rocky Mountain News, January 6, ). Energy-:-reiated throughout the Rocky Mountain West has resu1 ted in the rapid. growth of many of the rural communities of the. region Some of these "boomtowns" have become widely known for their. sub-standard living facilities and d{sproportioriately high rates of crime, and divorce. Such social c6sts incurred by energy boomtowns have more than shocked the consciousness of the natiori. They. also translated into greater economj.c losses for industry, wh_ose costs of production have sharply as turriover and absenteeism have increased and worker .productivity has decreased. When the causes and remedies for such boomtown phenomena are sought, it becomes apparent that in our understanding, a gap exists. Researchers and theorists of the past two centuries have consistentlY characterized the rural, non-industrial societyand its counterpart, the industrialized, urbanized state. Yet, they have not been equally adept in devising a framework for analyzing the

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2 changes which occur as a community experiences greater industrialization, or in providing a method for alleviating the social costs to the individuals whbse lives are affected by such economic transformation. The advent of energy-relateddevelopment of the Rocky Mountain West has shown that the more rapidly the growth occurs, the more acute the social costs to both the newcomers and oldtimers. Although research on the boomtown growth of the 1970's and the early 1980's has begun to examine in greater depth some of the "social costs" incurred by those who live in such communities, a gap in our understanding of the phenomenon remains. This gap becomes a void, when remedy as well as explanation is sought. In the 11boomtown11 phenomenon is not completely understood, and a method has not been identified for alleviating some of its social costs. This dissertation addresses that troublesome void by noting the implications of rapid growth on a rural local government, and by a method for assisting its elected officials as they work to minimize the social costs. Relying on five different sets of literature which the researcher believes relevant to the topic of. boomtown management, a frame\oiork for describing and examining boomtown local government decision making is developed. Three types of decision making are drawn from

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3 of literature. The first is called the Tradi-tional Decision Making Response Type; the second, the. Developmental Decision Making Response Type; .and the third, the Technocratic. Decision Making Response Type. Unique to type is the kind of information used the manner. in which it" is used. in the. decision making process. WhEm the sixth of li teratlire--that of action research--is added, the framework takes on new relevance. That is, it becomes upon which to base efforts to assist boomtowri local governments in acquiring the .. information and decision skills they need to make in a periqd of "boom." -The relevance of this framework and methodcdogy is tested against of a group of locally elected officials whose town--hereafter referred to as Casetown--is in the early stages of rapid energy-related The objectives ahd methods used in this research will be developed more ful"ly_ once the reader has been. introduced to Casetown, the place the research was done. The Research Setting Casetown is a small town on the western edge of the Colorado Rocky Mountains. Although it is rural and geographically secluded, Casetown is nevertheless busy reacting to larger forces and processes. The first and most obvious of these has its basis in the geology of the

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area. Quite simply, Casetown rests on undetermined, but very large deposits of high-grade, low sulfur coal, accessed only by the deep mining process. 4 Combined with this situation is the current increased demand for coal--a which is expected to continue in the corning decades. The exact nature of when, where, and how these coal reserves will be extracted remains unclear, despite complex .and repeated attempts to predict them. Yet, regardless of which set of predictions one chooses, it is likely that Case town and neighboring communities will continue to be affected by the industrial activities required to extract coal. Furthermore, the ability of their local governments to minimize the social costs of this growth will continue to be of concern and importance to both the energy industries and to the citizens who reside in the area. Thus, one major force which has affected the boomtown whose experiences this dissertation examines, was directly related to energy. A second force was the wave of urban immigrants moving into the area during the same period of time residents were faced with energy-related growth. These "returned urbanites" together with "the hippie invasion" were part of a larger national urban-to-rural trend. Often, the differences in values, lifestyles, and political skills among these urban-to-rural migrants, the new

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associated with the coal industry, and the long-time residents added to the f"aced by the community. It was not one or the of forces but the two. combined--population growth and .population 5 diver.si ty:..-which had created many of the problems Casetown's local offi.cials faced at the time this research was undertaken. The influx of new money, new ideas, and new expectations created significantly different than those for a 6f rural stability had prepared Casetown and its locally etected officials. Casetown's local government, like other rural local governments, lacked modern governmental structure . and administrative pr()cedures. More modern organizational forms and processes had not been adopted, simply because in the past they had not been required. Yet, it was structures and procedures which would have the Town and its elected officials for the growth-related .problems they faced. Strategic planning processes, one of the most important of boomtown management tools, were not in place. Innovative_ financing mechanisms unknown. Tax bases were grossly insufficient to finance water, sewer, and street To add to this burden, demands for services heretofore not provided by the Casetown local government in such areas as heaith and

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.6 housing were emerging, and expectations were growing that they would be provided by the local government. Not only did such problems increase in number and complexity, they required Casetown's locally elected officials to address them differently. Industry, financial institutions, units of county, state, and federal government, and even some of the citizens--most especially the urban-to-ruralmigrants--had come to expect the Casetown Trustees to make decisions based on a different set of values. These values tended to emphasize objectivity, scorn criteria which could not withstand objective scrutiny, and challenge decisions which had not been arrived at through objective procedures. The Trustees, however, usually found it difficult to comply with these new expectations. In some instances, they lacked the information and the skills to incorporate the information into their decision making processes. In other instances, the values inherent in the rational solutions conflicted with their personal, deep-seated values and beliefs, thus blocking objective decision making. Finally, the fact that many of Casetown's citizens did not desire more rational and procedural local government decision making often complicated the situation. Having described the setting for this research, it is helpful to note how the author became involved in this

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7 research project. The author grew up in Casetown. She knew the Casetown of the 1950's and 1960's. to be a geographically isolated,. rural community of considerable charm. The twelve years preceding this research, however, she had spent outside the area. The author's parents and most of her extended family had remained in the community. DQring the 1970's the author viewed what Casetown and other towns of the region were experiencing from the vantage point of being both an "insider" and an "outsider." When the opportunity arose to undertake a doctoral project which would involve fieldwork--due to an extremely helpful and appreciated fellowship from the Colorado Energy Research researcher decided to study rural, boomtown decision making. Since her academic and professional training had been in organization development and action research, she required a research setting which enabled direct, day-to-day contact with locally elected officials and the problems they faced. Casetown emerged as a town willing to undertake such a project, and therefore became the site for this action research study of boomtown decision making. The Research This dissertation will portray through two case studies how Casetown's elected officials set about the complicated task of making decisions during the town's

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8 first years of rapid, energy-related growth--1980 and 1981. As noted earlier, this research differs from prior research done on the boomtowns of the region. It will not only describe the phenomenon of rural, boomtown decision making, but it should provide to others who are interested in the boomtown phenomenon a means by which to better understand, and perhaps to strengthen, the decision making of rural boomtown officials. The data obtained for this dissertation were collected through a variety of methods. All the methods employed are in common use in action research and are described fully in Appendix A. Action research methodology was seen as a method by which the locally elected officials, in conjunction with the researcher, could identify and acquire information they could use. This tended to be information arrived at through experiences, rather than written materials or other forms of policy analysis typically employed in more "urbanized" settings. The action research methodology employed not only brought about change that was an immediate help to the elected officials involved, but it provided insight into how information can be used to improve boomtown decision making. What Is to Follow Having established rural boomtown decision making as the focus of this dissertation, and having noted the

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9 unique nature of this piece of research, is necessary to more clearly establish what is to follow. Thenext two chapters of this dissertation (Chapter II and Chapter III). further set the stage for .the presentation of case study materials. Chapter II reviews five bodies of literature. Collectively, they address the phenomenon of industrial transition and provide the multi-disciplinary focus necessary to understand contemporary boomtown transition and local government decision making. Chapter III sets forth a -rudimentary framework for further examining and affecting. boomtown decision making. The framewOrk identifies three types of decision making. The first type is referred to as the Traditional Decision Making Type: the second, as the Developmental Decision Makihg Response Type: and.the third, the Technocratic Decision Response Type. concept of information" acquired through the action research process, is identified as a tool for strengthening. boomtown local government dec isiori making The case studies of Chapter IV tell how the Casetown elected officials worked through two complicated issues in association with this research project. One was known as the "Planning Dilemma," and the other as the "Town Manager Issue." Interspersed in these chapters are brief statements which relate a particular event back to

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some different elements of the framework presented in Chapte.r III. 10 In Chapter V, find-ings from the case studies are summarized and an attempt is made to pull together what was learned into a more refined framework for understanding, talking about, and affecting _rural, local government dec is ion making in_ a p_e-riod 'of rapid growth. Chapter VI develops the implications these findings have for those who deal with rural boomtown governments. Again, theis l1POn usable information as a practical, accessible and tool for aisisting_ boomtown elected officials. Here_then is a storyof how on:e rural, boomtown community and its locally elected officials dealt with two major issues. It-is a story significant in its own right, but also indicative of the role that a type of information--usable information--can play in assisting boomtown The story has been told from the perspective of the citizens and the locally elacted _officials. It has been a contemporary story depicting the relatively old phenomenon of social transition of a isolated, rural community--small enough to be studied in considerable detail, but changing so rapidly as to enable the researcher and the participants to see evidence of the

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11 effects. Their story has been told against the broader lessons of general sociological theory, and sociopsychological decision making theory--and especially against a framework developed to further examine, explain, and affect boomtown decision making. The cases have been written to present as clearly as possible what the Casetown experience was in handling two important issues. It is believed that there are lessons that can be learned from Casetowns experiences that will be useful elsewhere. It was because of this expectation that this action research study was undertaken, the case studies written, and the findings presented in partial fulfillment of work towards a doctorate.

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12 CHAPTER II: SURVEY OF LITERATURE Introduction to the Chapter The dissertation is a"botit rural I local government decision making in a period of rapid energy-related growth, or boom. Therefore, necessary to this study are several bodies bf literature. In order to establish 'a comprehens'i ve 'theoretical' base from which to examine boomtown transition, the_early sociologists inter-ested in industrialization will be reviewed. More con-temporary theorists will also be reviewed. Once this has been accomplished, the recent studies of small to\'ms. and boomtownswill be addressed. The final pages of this chapter will be devoted to the various theories of decision making which are especially relevant to the topic of rural, boomtown decision making. The overall purpose of this literature review is to provide both a (structuralist) and psychological (behavioralist) perspective on boomtown local governments. This mixing of disciplines will builda lThis will use the phrase "boomtown" interchangeably with the more precise and lengthy phrase, "town undergoing rapid change due to the growth of mineral eitraction industry," arid word "boom," to depict that phenomenon.

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foundation.for the making framework to be developed and refined in subsequent chapters. Theories of Societal Transition Relevant to understanding what happens to local 13 values when rural, _agricultural communities are i:mpacted by industrial growth are the contrasting types of.the classical so6ial theorists. This body of theory is rooted in the Industrial Revolution _C?f eighteenth century England, but has been extended to the recent urbanization experienced by the United States. These writings describe the monumental effects of industrialization upon fabric arid values of all who have experienced it Since this dissertation is concerned with the importance that changing values have on local government decision making, the between local values and. decision making will be emphasized .in.the fol-lowing review. The Theorists Ferdinand Toennies The work of Ferdinand Toennies.in the 1880's ( [1887,] 1963), although not the first of its kind, is nevertheless the most comprehensive. starting point for understanding rural cultures--be they of the early nineteenth century or the late twentieth century--and the changes they undergo as industrialization and

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14 advanced technology occurs.2 Toennies used the concepts of Gemeinschaft ("community") and Gesellschaft ("society") as ideal types which existed to various degrees in all societies. Gemeinschaft depicted a state in which human inter-actions were based in the "natural" or "essential" will. "Natural" or "essential" will in its pure form was char-.acterized by interactions based on impulse, emotion or basic nature, and was, therefore, "of irrational volition" (Toennies, [1887], 1963, p. 16). The second state, that of told of human associations based on "rational" will. The "rational" will was typified by linear thinking, or thinking which identified ends, and the means to accomplish those ends. Gemeinschaft was characterized by Toennies as representing social actions based on "a priori and neces-sary unity." It depicted societies with a predominance of intimate, primary relationships, emphasizing tradition, consensus, informality, and kinship. In this societal state people remained psychologically united, although probably not conscious of this common bond. Of Gesell-schaft, Toennies wrote that it was a social state in which 2Earlier, related works which stand out as examples include Bonald's differentiaton between industrial and agricultural types of families (1818); Hegel's contrasts of "family societies" and "civic societies" Maine's distinctions between status and contract law (1871).

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15 "no actions, insofar as they are performed by the indi' vidual take place on behalf of those united with him here everybody is by himself and isolated, and there exists a condition of tensibn against all others" (Toennies, [1887], 1963, .P 174). Toennies did not believe any society matched an ideal type. Yet, Gesellschaft most closely epitomized urban societies, and Gemeinschaft, rural societies (Toennies [1887], 1963, p. 17 4) Max Weber Max Weber ( [1922], 1946), the German scholar, further elaborated on the concepts of ideal types of societies. His major contribution to this body of theory was the association he made between industrialization and rationally-based authority and interaction. He wrote, "The fate of our time is characterized by rationalization, intellectualization, and above all, by the disenchantment of the World" (Weber [1922], 1946, p. 155). From Weber we derive that as people come to asso-ciate rationality with industrialization, they increas-ingly aspire toward more rational ways of thinking and behaving. As the value of rationality becomes more important, and in conflict with other less rational values (e.g., religious and moral values), the activities and relationships based on those former, less rational values are gradually lost. Interestingly, Weber was not without

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remorse about what was lost when a society became more industrialized and in its activities. In reflecting on the growth of Calvinism, materialism, and rationalism, he wrote: 16 For the last stage of this cultural development, it might truly be said: :Specialists withou,t spirit, sensualists without this nullity imagines that it has attained a of. never before achieved (Weber [1904], 1958, pp. 181-182). Emile Durkheim Emile Durkheim .([1893], 1933) also coritributed to the understanding of the two dichotbmous states addressed by Toennies, and the transition from one state to another. Durkheim depicted communi ties as moving from of "mechanical solidarity" to "organic solidarity ... Communities typifying mechanical solidarity were fairly homogeneous and cohesive. Their citizens shared similar beliefs and values, and were intolerant of deviance. Communities which.reflected "organic characterized by specialization and division of labor. This enabled their members to attain greater levels of individuality, while fulfilling useful and acceptable roles as members of society. Accordingly, Durkheim .believed that a certain amount of organic solidarity was gC?od. It implied progress and allowed individuals to nurture more of what was their unique personality, while

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17 remaining of the sodial. system [1893], 1933) 0 Durkheim's writings over a period of years increasingly warned that the transition to organic solidarity was often stressful for those who experienced it_. He also emphasized that organic solid-arity could become so-ten-uous, complex, and impers.onai that the indiyid.ual _could become lost, bewildered, and evenpathologic. One pathology of interest to was the ating suicide rate in France. analyzing phenomenon, Durkheim of-the-dangers of rapid social transition: -. without knowing exactly of what they consist [referring here.to-the suicides]; we may begin by affirming that they result not froin a regular evolution, but from a morbid disturbance which, while able to uproot the institutions of the past, has put nothing in_their place; for the work of centuries cannot be remade in a few years ( Durkheim [1897], 1951, pp. 367-369). work provided insight into the changes in social structures the values that underpin them as societies evolve and become specialized to meet the needs of industrialization. He wrote of some negative social effects that can be expected to accompany this special-ization process, and emphasized the difference between transition which evolves gradually and rapid transition. His attention to the phenomenon of rapid transition and its accompaniments is of special relevance in explaining

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18 and the behaviors of rural boomtown officials in certain circumstances In concludirig, these three classical theorists described the association between an industrialized society, the rational interaction necessary to maintain that industrialization, the conflict in values which occurred. These early writings were subsequently by other social Although later were interested in the same transiti6n.phenomenon, they were more concerned with the contemporary phenomenon of urbani-. zation. Georg Simmel Simmel {[1903], 1950) was one of the earliest and most distinguished of the sociologcal theorists to emphasize the positive nature of the urban state. Simmel's urban state was similar in description to the organic of Durkheim, the Gesellschaft of Toennies, and the rational or contract types of Weber. {Also see generally Maine, Hegel, 1821). his explanation was novel and was considered a significant contribution to the understanding of societal Simmel emphasized that with greater ur.banization and industrialization came more environmental stimuli, and more decisions to be made by individuals about the world

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19 in which they lived. In order to accommodate the increasing number of decisions required of them, indi-viduals tended to filter and categorize types of decisions, thus reducing them to manageable proportions. This filtering process, in turn, required that the individual use his intellect, because it was, as Simmel suggested, the "most adaptive of our inner forces .... He responds with his head instead of his heart" (Simmel [1903], 1950, pp. 409-410). Simmel was one of the earliest of the social writers to view the effects of industrialization and urbanization as ones to which people could adapt, and from which they could greatly benefit He, like Durkheim, saw the forces of urbanization as enabling people more freedom of move-ment and individuality, while still retaining acceptance and membership in a larger, albeit less personal group. Robert Ezra Park Another of the societal transition writers to sig-nificantly influence contemporary understanding of commun-ity transition, and especially its relationship to commun-ity governance, was Robert Ezra Park (Park, 1925). Park wrote: Social control arises, for the most part, spontaneously in direct response to personal influences and public sentiment. It is the result of personal accommodation, rather than the formulation of a rational and abstract principle (Park, 1925, p. 24).

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20 However, Park noted that with industrialization, urbanization, and divers-ification, the informal controls associated with the tightly-knit groups, largely controlled by gossip, were weakened. Because of this, indi-viduals found more opportunities and greater tolerance for deviance. As a result, in order to protect themselves from deviance and to preserve the social order, communi-ties of this more urbanized state came to substitute law for custom. This shift toward more laws, and hence pre-scribed roles, required of people greater rationality in determining their day-to-day activities. The result was that the personal relationships evident throughout tightly-knit communities were gradually replaced by relationships controlled by a rational social order. Individuals would act in accordance with the legal procedures established to preserve that order. When related to the boomtown, local government setting, Park's work indicates both what is expected to occur and why. The Relationship of Classical Theories to Contemporary Rural, Small Town Transition In review, the classical theorists-described the phenomenon of industrialization or urbanization and con-trasted its effects against the values, and social relationships characteristic of pre-industrialized or traditional societies. While extrapolation should be guarded, this body of theory sheds light on the social

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fabric of today's rural communities, and the types of changes these communities undergo as a result of rapid industrialization. 21 Neither traditional societies referred to in the social transition literature, nor today's rural boomtown communities have encountered strong industrial and urbanization forces. As a result, these rural boomtowns likely foster behaviors largely determined by "old fashioned" values. These values have.been conditioned by tradition and morality, rather than a calculated type of rationality. Furthermore, because less role differentiation or division of labor has been necessary, people in rural communities tend to sharesimilar life experiences. These life experiences, in turn, assure that a similar set of values is developed by all. Social control associated with these types of communities is often informal and irregular. Furthermore, such social control is exerted in accordance with public sentiment, and may vary between one situation and another. The slow pace, familiar atmosphere, and tightly knit values of these rural communities are likely mirrored in the actions of their local governments. This results in a type of government which may in fact be informal and not very professional by urban standards--preferring to address each situation according to its peculiarities. Of ten, consensus. is easily reached because the community

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itself reflects a high degree of consensus on its most important problems. 22 In contrast, the society or communi t.y which has experienced industrialization and urbanization is described as being quite different from the traditional society depicted in the literature, or the rural boomtowns which are the concern of this dissertation. Once industrialization has occurred, the nature of human association and interaction within the community is transformed from one based on instinct, emotions, and kinship values to one based on rationality--where consideration of means and ends predetermines action. Furthermore, the specialization, division of labor, and differentiation of roles necessary for industrialization, result in mechanisms of centralized coordination and authority. The sheer number of social interactions and environmental factors which impinge on individual judgment requires that rationality be employed and the old moral order be replaced by more rationally-based methods of control. Hence, rules and regulations abound, along with the need for individuals to act through organizations and groups. The local government which accompanies the urbanized community is often more complex because the environment to which it must respond is more complex. Because urbanized commmunities are more heterogeneous and without the basic consensus that exists in rural communities, consensus diminishes as

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23 the prime determinant of local government decision Rather, rational techniques of policy and administrative management take their place as a more equitable means of representing a diverse group of people. The local governments of the urban society tend to perform more functions, have more atithority, and rely more on professional expertise than their traditional, rural counterparts. The social transition theorists who characterized these dichotomous states and the broad social forces which cause them to change from one state to an6ther, have also identified some of the expected social costs and benefits. The benefits of industrialization and urbanization generally have included increased wealth, mobility, and a broader range of behaviors and values by which to identify the self. The negative effects have included a heightened sense of depersonalization and alienation, which in turn, have been associated with pathologies such as crime and suicide. Given the truncated span of time in which rural boomtowns have to change, it takes little to imagine some of the negative consequences which often accompany boomtown living. Modernization Theorists and Practitioners The classical theory of transition did not receive further refinement as a result of the "modernization"

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24 efforts of the 1950's and 1960's, as might have been expected. Rather than developing additional insight into the transition process itself, the modernization work began with a "disarmingly simple set of assumptions" and resulted in an equally simple set of findings (McCurdy, 1977, p. 298). Nevertheless, these lessons "learned the hard way" have special relevance to both understanding and intervening in the rural boomtowns of the 1980's. Basically, modernization referred to a multidisciplinary focus on the transitions being experienced by developing nations, and to some extent the differences between urban and rural poor within the United States--the "backward" or "underdeveloped". Most of the public administrators, and scholars associated with this movement assumed that the "backward" peoples of the United States and the world aspired to the economic and social conditions experienced by the middle and upper classes of the industrially advanced countries. (Even if these disadvantaged did not so aspire, it was assumed that they would if only they knew what modernization held for them.) These societies were seen as lacking in the resources and institutional mechanisms to attain modernization--a state conceptually similar to the pretransition state described by the classical sociologists. The goal was to provide the disadvantaged with the resources and mechanisms to accomplish the transition.

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25 The resources believed needed to bring about modernization depended largely on the discipline from which the consultants on modernization came. Agriculturalists worked to develop more advanced farming tools and methods; urban sociologists often focused on matters of housing and public utilities; public set about to inculcate the "universal" principles of good tion derived from administrative theory. What they found, "from the mountains of Chile to the hamlets of Vietnam, was frustration," and, it might be added, failure to bring about the reforms to which they aspired (McCurdy, 1977, p. 298). While the recipients of such modernization efforts were often glad to accept the physical resources and the money, they were less than enthusiastic about adopting the methods that were required for the full use of these new technologies. The simplicity of assumptions employed by the proponents of modernization resulted in an equally simple and overriding conclusion--that what "worked" depended on local conditions. Neither theorists nor practitioners of modernization seemed to seriously question the degree to which their remedial programs complemented or conflicted with local values. It may well have been that their lack of concern or detailed attention to the social and personal consequences of modernization caused their failures. Since the initial assumptions and theories were so

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26 tenuous, it has been difficult for the field of modernization to use its failures as a further test of theory, to add to the body of classical transition theory, or to be of assistance in explaining the transitional process experienced by small town local governments undergoing rapid change. One exception among modernization theorists and practitioners has been the work of Fred Riggs (Riggs, 1965). Riggs developed a model of comparative administration which takes into account the failures generally attributed to the modernization movement. Riggs model was based on a structural/functional analysis, in which functions necessary for a particular society to exist were identified and then matched with the structures which performed them. This model was similar to those depicted by the body of classic transitional theory in that it distinguished traditional societies from more advanced or modern forms. Riggs method of classification was based on the number of structures v;hich were evident in a given society. Traditional societies, for example, entailed only a few structures, such as the family and the chieftain or some other symbol of authority. These few structures carried out all the society's necessary functions. However, as a society cast off its old ways, the old structures were broken down and replaced by new, more specialized ones. Amajor concern of Riggs was that

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27 methods be developed for integrating the operations of these new, more differentiated structures (Riggs, 1955). Riggs, unlike many of the "modernization era writers," was also concerned with the process by which this transformation and differentiation occurred. At the heart of this model is the theory that societies undergoing transition may adopt new structures, but because these structures are neither autonomous, npr integrated, they continue to perform many of the furictions associated with traditionai society (Riggs, 1955). Riggs' work indicates that societies or even boomtown communities undergoing_ very rapid transition may give the most deceptive appearances of all. They may take .on many new structures designed to perform new functions, but nevertheless remain unwilling or unable to abandon old functions. This may be, as the social theorists indicated, because the values underlying the function are slow to change, if they change at all. Thus Riggs emerged as a noteworthy, but controversial, representative of the modernization group of scholars and practitioners whose work provided insight into the transition process. Nevertheless, he did not emphasize the social and personal change necessary for transition to occur. The modernization literature may be more useful in identifying the mistakes typically made by outside

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28 organizations in dealing with boomtowns than in deline-ating a useful theory of change that could be applied to boomtown transition.3 First, adding new structures to societies to make them more modern and differentiated does not mean that the necessary functions will be performed by these structures. Second, attempts to render communities "more or "more modern," without taking into account the underlying social values seldom work. Boomtown Writings Environmental Impact Statements At first look, the many and voluminous environmental impact statements prepared on boomtowns of the region appear to present a literature that is more relevant to the tqpic of this dissertation--boomtown decision making. However, upon closer examination these materials are only slightly more helpful in understanding the forces that promote or predlude transition than those of the moderni-zation era. Environmental impact statements (EIS's) were man-dated by the National Environmental Policy Act of 3This researcher was not the only boomtown researcher to examine and dismiss the modernization literature as marginally relevant to the study of boomtown transition. For examples of others who arrived at a similar conclusion, see Freudenburg, 1979, p. 44; and Cortese and Jones, 1979, p. 3.

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29 (NEPA). This law states that environmental impact statements must be made whenever there is a "major federal action significantly affecting thequality of the human environment." It is intended to "stimulate the health and welfare of man" and to "insure that presently unquantified environmental amenities and values be given appropriate consideration in decision-making along with economic and technical considerations" (PL 90-190; NEPA, 1969; Section 102 2b). Despite the NEPA specifications for environmental impact statements, the vast majority of those reviewed by this and others are concerned with the impact of people on service agencies, and air and water quality (e.g., Wilke and 1977, Freudenburg, 1979, pp. 16-18). They have little to do with the effects that rapid industrialization has on social structures and patterns of influence and decision making. One researcher of boomtowns asserts that EIS's which claim to be concerned with the social consequences of rapid growth and change actually focus on "the mismatch between the physical and social infrastructure of the community and the perceived needs rather than the actual experiences and coping patterns of the residents" (Moen, et al, 1979, p. 3). This is because the bulk of the environmental impact assessments have been demographic predictions of the future, with little follow-up work done to determine

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30 how accuiate the initial were. Environmental impact statements are, by law, required to be done before a project begins. Industry and even government agencies have not done follow-up studies. the field of environmental impact statements has no.t produced the knowledge necessary fortheory or for the field of environmental impact_ assessment .to-_ evolve beyond an assortmnt of 11educated guesses ... The sheer magnitude of the demogra-phic projections and their financial implications are relevant because they require the local units of government to have planning and financial management skills in place in order to analyze the Ers, and prepare Their predominantly quantitative focus renders little assistance in under-standing the subjective or qualitative impacts that will need to be dealt with by the decision elected to manage the change. Boomtown Studies EIS' s have not-been the only studies done on_ boom-towns in the last decade, although they comprise by far the largest part. Researchers from a variety of disciplines, especially sociology and anthropology, have studied the attitudes boomtown residents--both the 4For examples of these types of research, see Crawford, et ai, 1975; Maleki, 1978; Murdock, et al, 1978; and Weingert,-r978.

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31 "newcomers" and the towards development (Albrecht, 1972; Blevins, et al, 1974, pp. 62-63; Crowder, 1975, p. Jobes and Parsons, 1975, pp. 218-219; and Little, 1975). These studies show interesting fluctua-tions in attitudes toward change based on factors such as 1) attachment to the land and neighbors (the larger the land holding, for instance, the less attached the land-owner is to it and his neighbors); 2) poor economic conditions, which tend to correspond to attitudes portive of industrialization and and 3) religious affiliation, which in some instances affects attitudes toward development (Little, 1976). Several studies have also included some measure of satisfaction with local services provided by boomtowns, but usually these have been a small part of a larger EIS (Gilmore and Duff, 1975, Appendix B; and Montana, 1974, pp. 111, 863). These findings conclude that the newcomers to communities often come from urban areas accustomed to many social and municipal amenities, and are less satis-fied than the oldtimers with the level of local government services.5 5rt is this researcher's opinion that many of the '"oldtirners" of boomtowns become less satisfied as the quantity or quality of services increases, preferring to preserve the "old," informal ways.

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32 Some of the most astounding findings _on boomtowns and the effects of rapid transition on its citizens have emerged from the boom experiences of Wyoming during the 1960's and 1970's. Gillette, a Wyoming strip-mining town which "boomed" primarily during the 1960's, is reported to have experienced extreme social disruption. At one point during the boom, the town had an alcoholism rate of one person in eight, a suicide rate of one person in 250; and escalated rates of school dropouts, child abuse, and prostitution. A clinical psychologist working in Gillette dubbed these factors the four "Ds"--depression, divorce, delinquency, and drunkenness--as the "Gillette Syndrome" (Kohrs, 1974; Montana Energy Advisory Council, 1975; Clack, 1976). Researchers who examined some of the social consequences of Rock Springs, Wyoming--as it more than doubled in size over a period of four years (1970 to 1974)--found that the social consequences were similar to those of Gillette (Kohrs, 1974). One unique study established that the social problems associated with the rapid growth of the energy industry resulted in economic costs to the industry itself (Gilmore and Duff, 1975, pp. 12-13). In this study, overall productivity in some of the mines dropped by 25 to 40 percent, while employee turnover escalated beyond 100 percent. Gilmore and Duff concluded that such social and economic disruptions could

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33 be mitigated if growth rates did not exceed 5 percent per year. Yet, many boom areas grow in excess of 20 percent per year (Gilmore and Duff, 1975). Other research has shown that within boomtowns, rapid transition results in a general decrease in the level of satisfaction with community life. The newcomers are often less satisfied with their new surroundings. The established residents, too, are satisfied. They tend to perceive the community as changing so rapidly that they experience a sense of disorientation. Furthermore, they are displeased with the strain they believe the newcomers place on facilities and services provided by the town. The result is that distrust, suspicion and iricreased antagonism often emerge between newcomers and old-timers in a boom situation (Bickert, 1973; Carnes and Friesma, 1974; Mountain West Research, 1976). The cause of emotional stress among the residents of Fairbanks, Alaska, a city which experienced rapid growth because of the pipeline construction in the 1970's, was attributed to more formal, less personal ways of conducting business which accompanied the growth (Dixon, 1978). The plight of newcomers, and especially the newcomers living in mobile homes, has been identified as more stressful for them, and possibly for the community as a whole, than would exist under conditions of more gradual growth.

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34 An initial investigation into the effects of rapid energy development on the female population of three boomtown tentatively concluded that women did not receive a "fair share" of the benefits offered by the industries causing the growth (Moen, et al, 1979, p. 204). The researchers noted that energy industries have relied on skills traditionally belonging to men. This bias, combined with the rural ethic that a woman's place is in the home, was identified as the primary reason for the plight of women in boomtowns. Furthermore, according to this study, the women of these boomtowns experienced a disproportionate amount of the costs of boomtown living. The authors concluded that the loss of social support, when combined with a lessened opportunity to make a living in a boomtown, "[reduced women's] capacity to help themselves, their families, and their community respond to growth and change in a positive way" (Moen, et al, 1979, p. 211). Freudenburg recently finished a comprehensive ethnomethodographic study of four Western Colorado communities in various states of "boom." He found that individuals in communities undergoing substantial energy-related growth could adjust without a decline in their perceptions of personal well-being if they could maintain a circle of friends. Boomtown transition was found to be especially disruptive of the childhood socialization processes of its younger residents--a disruption that had previously been

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35 identified as true only for the elderly. Increased deviance was associated with more opportunities for deviance and fewer and less effective social constraints characteristic of a boomtown environment. Freudenburg also found that support systems which operated informally in small stable communities disintegrated with rapid transition and diversification (Freudenberg, 1979, pp. 319-320). In conclusion, fragmented findings have emerged from the various types of research done on boomtowns over the past ten to fifteen years. None of them tells the "whole story" of the social or socio-economic effects of rapid energy-related for the citizens who experience it. Enough of a emerges to claim, as has at least one other researcher, that "Every community affected by rapid expansion undergoes its own unique social and emotional stresses, but the results tend to be similar-the cost is human wastage" (Kohrs, 1974, p. 6). Boomtowns and Local Governments The literature reviewed so far has described the general forces which boomtown elected officials may expect to face, and determined some of the social symptoms their community will experience when the transition is shortened into a period of several years or a decade. Yet, ironically, very little of this literature has focused on the

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transitional processes experienced by local governments, the very group with formal responsibility for managing the growth of the community. Rather, local governments have tended to be stereotyped as "archaic or inefficient," and "inadequate" (Lassey, 1977, pp. 35-37); resistive of efforts to depoliticize and to instigate modern administrative procedures (Giles, et al, 1980, p. 28); and prone to displaying amateurism, informality, favoritism, and an "inadequate understanding of the problems and their possible solutions" (Cortese and Jones, 1979, pp 7-8). Although the literature which addresses boomtown local governments is prolific in its descriptive adjectives, it seldom addresses the causes for the supposed "lamentable" state of these units of government. When insight is provided, it is usually by means qf cursory explanation of one particular facet of rural local government. For example, an assumption is made that locally elected officials prefer the least centralized and administratively inefficient operation. This is usually attributed to the elected official's desire for greater personal power and discretion in determining political decisions. Others attribute the "lamentable state" of local governments to the lack of education of the elected officials and thus their inability to undertake, or even appreciate, more sophisticated management techniques. Finally, writers often imply, if not directly state, that

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37 locally elected officials choose to ignore problems rather than address them because they are somehow incapable of doing otherwise.6 On the whole, this body of literature tends to attribute the problems of rural governments to the peri sonal attributes and motives of locally elected officials. It 'presumes that the non-professional state of local governments is inappropriate, and it fails to recognize the broader values and beliefs being expressed by rural politicians and constituents alike. Furthermore, this 1 i terature ignoreS the pOSSibility that II amateurish II local governments may be supported year after year because the voters prefer them to more professionally functioning governments. In conclusion, the bulk of the literature on rural local governments addresses neither the underlying causes for the manner in which rural, local governments function, nor the processes by which they evolve. When applied to boomtown governments, most of the literature differs only in the degree of urgency implied: that these "nineteenth century governmental structures" are failing to meet twentieth century municipal demands made of them by rapid energy-related growth. 6see generally, Giles, et a1, 1980; Lassey, 1977; Torrence, 1974.

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38 Two pieces of research stand out as worthy excep-tions to be considered in greater detail. The first and most general of the two is the research of Cortese and Jones (Cortese and Jones, 1979). Cortese and Jones have identified the social and cultural consequences of energy-related development on three towns of various sizes and in various stages of growth. They suggest that the major problem incurred by boomtown local governments is not how to do more of what they were doing before, but how to do things differently. Cortese and Jones go on to note that for local governments to do things differently requires more than additional expertise, it requires a change in predominant local-values. They write: Local values have kept governmental units from engaging in many activities (e.g., planning and zoning, seeking federal aid), some governmental activities were clearly unnecessary in the past (e.g., intergOvernmental and government-industry relations, creative taxation) (Cortese and Jones, 1979, p. 8). Cortese and Jones also ident{fy four alternative responses that residents make to the changes brought about by rapid energy development in a rural small town environ-ment. They report that -most people respond by trying to "take the changes in stride" in the name of progress. They work longer hours, keep more businesslike records, and generally "spiff up" their operations (Cortese and Jones, 1979, p. 14).

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39 A.second response which Cortese and Jones identified as common among boomtown citizens was to maintain the status quo and consequently risk the loss of one's position or business. If this person is an elected official, write Cbrtese and Jones, he "did not hire more staff to deal with new problems or pass more ordinances to regulate growth" (Cortese and Jones, 1979, p. 14). A third type of individual response identified by Cortese and Jones was denial of the need to change. They found this to be especially true when the pressures to change became excessive, noting that locally elected officials were particularly prone to this response. The final response identified was that of moving away fr.om the town. This, Cortese and Jones report, is least common among "old-timers," and most common among "newcomers" (Cortese and Jones, 1979, p. 15). For the purposes of this dissertation, equally important is Cortese and Jones' recognition that local values play a critical role in the ability of local government officials to meet the challenges imposed by rapid, energy-related growth. A somewhat kinder and more specific analysis of the plight of locally elected officials in towns undergoing rapid change was provided by Freudenburg (1979) as the result of his study of the social effects of "boom" on four West Slope communities.

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40 Of locally elected officials before the advent of rapid, energy-related growth, he writes: the requirements of the job seemed relatively straightforward, for most of these officials genuinely did want to "do what's best for the community," and in times of stability, at least, officials seem able to get a high level of agreement on what that means. Because of the fairly high degree of consensus on the most salient issues, moreover, the communities' leaders tended to bechosen from among ot0er persons with similar inclinations on the basis of personal acquaintanceship with the voters: "John is somebody I know I can trust." In other words, the typical local government style in this region is one which is admirably suited conducting business in a small, tightly-knit community. Decision making by consensus is extremely valuable when the number of people involved is small enough that consensus can be reached, especially since those decisions can be tailored to the peculiarities and even the personalities of a given situation Furthermore, given the slow pace and close contact of a normal small town life, an urbanized kind of "competence" may in fact be far less important than is compatibility (Freudenburg, 1979, p. 182). Freudenburg notes that although this style of local government may be well suited for the stable, tightly knit communities, it may not be for those undergoing rapid, energy-related growth: The situation presented by a boom is, to put it mildly, quite different from that faced by community leaders in the complexities multiply considerably, and the sheer number of new faces and forces can begin to preclude decision making that is based upon acquaintanceship, or compliance that is based on informal understandings. Searching for consensus no longer seems reasonable in a period of change in which there often is no consensus. At least according to advocates of formal planning, a more "urban" type of administrative ability becomes highly important in this situation, and advanced planning becomes virtually indispensable. Moreover, given the magnitude of the "front-end problem," even officials

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41 and communities which have always prided themselves on self-sufficiency and "getting -by" on the basis of ingenuity are effectively forced to look for outside help (Freudenburg, 1979, p. 183). This, Freudenburg notes, is problematic for communities which believe strongly in the importance of self-reliance. A category of problems which do not "have satisfac-tory solutions" includes those with which local values are in conflict. He continues: But the particular irony of the criticism that officials receive from their fellow townspeople didn't they do something about this mess before it got to be this bad?") is that nearly the only way in which the local government could have effectively prevented the problems would have been through regulations to delay or discourage the development--and those actions would nearly have been legal grounds for in the eyes of many of the same critics. -In a region where residents have generally grown up knowing that new industries can strengthen an area's economy, and where they generally spend their adult lives as strong supporters of the free enterprise system and strong opponents of "government interference", the thought that the local government (in particular) might take steps to control the actions of an industry which had decided to locate in the area-even when the alternative is a massive and as mixed of a blessing as is a boom-creating energy facility--is simply unthinkable (Freudenburg, 1979, p. 187). Freudenburg goes on to mention the effects on locally elected officials: Small town officials know they can expect long hours, low pay, and little gratitude for their endeavors, but at least they can generally feel the satisfaction of "seeing the job done right," or of "just trying to do something for my community," particularly since a high degree of consensus on salient issues can at least help that official to "know" that he is doing the "right thing."

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42 In a boomtown, however, where many of the most pressing problems may not even have satisfactory solutions, officials may encounter some sense of having been cheated, robbed both of a personal feeling of satisfaction and of gratitude for their efforts from others, for in fact, rather than receiving credit for the difficulty of their jobs, these officials often find themselves becoming targets or even scapegoats (Freudenburg, 1979, p. 186). Freudenburg's discussion of the plight of locally elected officials is unique in that it places the locally elected official's behaviors in context with the broader forces and indicates that such individuals are affected by more than what is rational obvious. They are affected by their own values, experiences, and skills--as well as those of the community. Prior writers failed to note that when values being expressed by are in conflict, then it is difficult for the locally elected official to ascertain public sentiment. If the values being expressed by community sentiment are in conflict with those held by the elected officials, as often happens, then the dilemma is heightened considerably. Most of the literature does not address the issue of value change and conflict within the community, and between the community and the local officials, as the serious barrier to local government reform that it is. Decision-Making Theory The literature review.ed thus far has indicated what to expect with the advent of rapid industrial development

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43 such as that experienced by the rural boomtowns of the but it has not adequately identified the dynamics of that change. It does not, for instance, provide much understanding of how those who actually experience the transition are able to reorder the way they think about the world in lieu of the greater objectivity being expected of them. The question of people change a manner of knowing about the world which is. familiar, which has worked, and most importantly, which has become an integral part of their personality, remains unanswered. Understanding the plight of the boomtown resident who suddenly finds the structures of his community changing, his thought patterns challenged and his life transformed, is important in its own right. Understanding the dynamics of this transition for the boomtown locally-elected official, however, may be critical both to the community and to those who would deal with the local government during that time. Transition literature has uncovered, but not examined, the dynamics by which rural people such as those of present-day boomtowns adapt their traditional methods of decision making to meet the urbanized requirements being asked of them by industry, other governments, and some of the citizens themselves. To accomplish this, other decision making theories must also be included.

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44 Decision-making theories vary markedly according to the discipline of the theories, the complexity of the problems, and the organizations being studied. This, in turn, requires that a review of the literature be done selectively. For the purposes of understanding the dynamics of rural boomtown decision making, the researcher has chosen a few major works. However, extrapolation from this literature to the local government setting must be performed cautiously, since much of it was developed to explain decision making in complex organizations and urbanized environments. Organization Theorists Simon and March The work of March and Simon (1958) sheds light on the plight of boomtown locally-elected officials. Simon and March were two prominent organization theorists who rejected the notion of rationality as it had evolved from the concept of economic man.? These authors preferred a concept of "bounded rationality" to explain the context of large organizations. Wrote Simon: It is impossible for the behavior of a single isolated individual to reach any high degree of rationality. 7por the most thorough of the "rational man" proponents, but unfortunately the least theorist since Talcott Parsons, see Dror, Design for Policy Sciences, or Ventures in Policy ScTence, 1971).

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45 The number of alternatives he must explore is is so great, the information he would need to evaluate them so vast, that even an approximation to objective rationality is hard to conceive (Simon, 1947, p. 79). For March and Simon, the problems that decision makers face are so numerous and complicated, decision makers tend to understand only a few facets of the problem, and envi-sion only a limited number of solutions. The ultimate effects of this decision making phenomenon in the context of large organizations are several. One predominant effect is that "less than optimal" solutions are pursued, instead of solutions-determined by the most objective analyses possible. Furthermore, deci-sion makers tend to make one decision at a time, often not recognizing or investigating the effects it may have on other policies or decisions which must be made. Thus each decision deals with a restricted range of situations and consequences. The concept of "bounded rationality" also meant for March and Simon that decision makers tended to limit the analysis of the problem according to the variables which could be easily controlled; only when these decisions proved inadequate were other alternatives considered. This was especially true if new functions, or jurisdic-tional controls and responsibilities were required (March and Simon, 1958, pp. 137-142).

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46 Despite the fact that March and Simon wrote about decisions made in the confines of a formal organizational structure, their most prominent themes are of relevance to rural, local government decision making. These concepts explain why decision makers tend to handle problem at a time--in piecemeal fashion. They also demonstrate why certain problems may not be .addressed until they have actually reached crisis proportions. Equally relevant for the purposes of this dissertation, March and Simon's work indicates that most decisions, not just those made at the rural, boomtown level of government, are limited in the rationality which is applied. Lindblom, Braybook, and Wildavsky The second group of decision making theorists whose work is useful in explaining the rural, local government decision making is that of Lindblom and Braybook (1963) and Wildavsky (1964). These authors took a similar approach to that of March and Simon (1958), but focused primarily on political decision making. Components of their works which are most relevant to the topic of local government decision making are included in the following synopsis. o Because political decision makers are often breaking new ground, or moving beyond the status quo in the decisions they are required to make, they are cautious.

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47 o In their need to be cautious, they restrict the number of alternatives they consider, the amount of change those alternatives entail, and the extent of the consequences of any given alternative. These alternatives are usually similar to what the governmental unit is already doing or has done in the past. The means of implementing a particular decision will also become a primary criterion or constraint in the decision making process. o Decisions are made based on the decision makers' experiences and intuition more than on objective analysis. o Decisions are expected to move a problem closer to resolution but not necessarily eliminate it. o The ultimate evaluators of the decision are not the decision makers but their coristituents. Evaluation is often fragmented, especially if the constituents are a diversified group of people with different values (Lindblom and Braybook, 1963; Wildavsky, This body of decision making theory would indicate that the ease of governing is likely to be a primary determinant of decision making, and objective problem solving a secondary determinant. The theories addressed thus far shed insight to the events depicted in the case studies of this dissertation. The transition theorists contributed to the general under-standing to the phenomenon of industrial transition. Their works indicated the fundamental change the decision makers could be expected to undergo--i.e., from making decisions based on tradition and morality to decisions based on greater objectivity. However, their work did not adequately identify the human dynamics by which the transition to more objective decision making occurred. The

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48 decision making theorists addressed the barriers to objective decision making. socio-psychological factors emerged in their theories, further exploration of such factors was left primarily to the field of social psychology. Socio-Psychological Theories Theories relating to the aspects of thought processes are numerous, complicated, and in most cases, inappropriate for the purposes of determining a general framework_for understanding local government decision making. However, several stand out as especially relevant and will be reviewed briefly. The first addresses inter-psychic conflict and its effect on the individual decision maker's thought processes. The second deals with the psychological effects of group interaction upon decision making. Irving Janis The effects of emotions on objectivity were identified and described by Irving Janis in 1959. Basically he noted that two types of emotions impaired objective decision making. The first type included emotionallybased biases of which decision makers were aware. The second type included emotions which stemmed from deeper defensive needs and represented emotions of which decision makers were not aware. Janis noted that these emotions

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49 resulted in "chronic emotional biases." Furthermore, these two types of emotions were believed to affect any stage of decision making. They could block the ability of individuals to recognize threatening or unpleasant facts; or they could distort the of the problems (Janis, 19 59 pp 6-2 7 ) Consistency Theorists The most comprehensive explanation of the effects of human.emotions on objective decision making comes from a group of psychological theorists (see especially Heider, 1958; Festinger, 1961). These theorists wrote about the conflict humans experienced when things learned through rational, objective processes different from what was prescribed by their personal values. They noted that people strived to assure that such discrepancies did not occur; and if they did, attempts were made to eliminate them. In so doing, people either acted in ways which were consistent with their deep-seated values (regardless of the rationality of these values), or they tried to realign their values with what they had come to recognize from more factual types of information. It has been said that rats and people come to love the things for which they have suffered, much as a person who has chosen a course of action \'lill become committed to it, even-if he experiences unexpected problems as a result of the choice.

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The tendency for individuals to keep their values aligned with \'lhat they come to know through objectivity, or to distort objectivity to fit their-values, affects 50 both the which evolve, and well-being of the.decision maker Research has shown that the greater the disparity between them, the more likely the decision maker is to.establish an oversimplified black-and-white vi.ew of the He is also more likely to close 6ff objective information in favor of his basic values and subconscious biases ., Rokeach, 1973, p. 216). Thus the psychological literature dealing with the interaction between emotions and .objectivity identifies why greater objectivity in decision making is difficult regardless of. whether the decision operates in an urban, prc;>fessional environment or a boomtown local government. This is especially true when conflicts with strongly-held values and.the disparity between the two affects the well-being of the individual. Group Theory Finally, a body of theory of special relevance to the rural, boomtown governments is that dealing with the effects which groups have on decision making. Several of the most cogent explanations of this phenomenoti emerged

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51 from the works of.Janis (1971) and Wilensky (1968). Wilensky's work was framed in a context more amenable to large organizations than small town rural governments, while the work of Janis was not. Therefore it is Janis' work which is addressed here. Janis' (1971) major thesis was that although indi-viduals had weaknesses that impaired objective thinking, the group setting often magnified those weaknessesj rather than alleviated them. Janis analyzed a number of foreign policy decisions which were later termed decision making "fiascos." He found these "fiascos" could not be ade-quately explained oh the basis .of the personalities or intellects of the people involved. Janis the effects of the group on individual judgment and coined the phenomenon "groupthink." Distorted perception of unanim-ity and invulnerability within the group contributed to the identifiable in decision making. o Early discussions of the issues were limited to too few options, resuliing "from a lack of alternative proposals as from any compelling logic and their favor" (Janis, 1971, p. 102). o Once a general course of action was identified, the group did not re-examine the thoroughness or validity of their basic assumptions, nor did they take a hard look at courses of action. o They were remiss in using information from experts and any course of action that deviated from the one they had selected. o They gave insufficient attention to the realities of implementing their decisions, or of establishing contingency plans (Janis, 1971, pp. 102-103).

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52 Summary of-Literature Search A common characteristic of the varied body of literature on transition presented in .this chapter is that munities experiencing rapid industrial transitionr sociieties, are expected to become more in the decisions that are made. This transition toward _greater objectivity in decision making requires a fundamental change in the methods of knowing or fixing beliefs which boomtown decision makers use as the basi? for those decisions. No longet is it sufficient for decisions to be based on traditional of right or wrong, but rather on .what has been proven according to rational criteria, and established by due process. The social theorists of this chapter indicated that were Struc tural and psychologicaL consequences associated with changing toward amore objective means of governing, but did not explain the dynamics of the process by which it The theorists and practitioners, after a considerable amount of effort to bring about technological and administrative development, found that providing the information necessary for greater objectivity did not necessarily.produce more rational decisions. Finally, boomtown researchers emphasized the crucial role that objective decision making played, but failed to identify methods by which to do so, except to provide local decision makers with information of a prescriptive

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53 nature and hope for the best. The decision making theorists, on the other hand, tended to ignore the broader forces which induced change and required of their pants fundamental changes in the way they came to know and order their world. Rather, they focused on the effects that human and organizational characteristics had on objective decision making. Thus these major areas of academic inquiry relevant to the topic of boomtown local government decision making yield perhaps one valid, overriding conclusion: that no single discipline can adeqtiately explain the consequences of rapid social transition or its effects on local government decision making. They do, however, help in deciding where to look, while relying on the boomtown itself to fill in the information needed to better understand the actions of its local government.

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CHAPTER III: FRAMEWORK Introductory Discussion-The literature presented in-the chapter provided a multi-disciplinary, broad-based background for. looking at rural boomtown decision making. Identifying variables which suitably rural, decisiori making has been difficult. Findings which would-contribute to a comprehensive-framework of boomtown local government-decision making have been sketchy and rudimentary at best. Therefore, the-framework developed in this chapter must be considered ten.tati ve, and in need of further That refinement will octur in subsequent chapters when the f-ramework is examined tn light of two case studies of rural, boomtown decision making. Assumptions upon Which the Decision Making Framework Is Based The framework presented in this chapter is based largely on findings and.theories from different bodies of These findings and theories are reviewed briefly, and should be considered as the-conceptual base from which the framework is drawn.

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55 Cursory Review of Relevant-Literature The most established of the various theories con-sidered in developing the framework are-the theories of social transition. The works of the transition theorists indicated that, among other things, as rural, non-industrialized areas became industrialized, their residents depended more on material objects and technological knowhow.l As this occurred, there was a simultaneous change in the way people acquired and used information. The decisions they made were expected to be based increasingly on objective information, rather than tradition and morality. The-modernists whose work occurred at much later period (the 1950's and 1960's) added further to qur under-standing of the relationship between social transition and decision making. Basically, theyfound that even when factual, objectively-based information was prdvided on development-related problems, the decisions that resulted were often neither objective nor predictable. More recently boomtown researchers have addressed the phenomenon of rapid energy-related industrialization in rural areas. However, their subject matter differs lAll of the literature referred to in these paragraphs has received fuller attention in the previous chapter. The purpose of this cursory review is to set the stage for the development of the decision making frame work.

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56 because the transition they is occurring so very rapidly when compared t6 the industrial-based transition of other times and places. These writers have identified local government as the most important community-based organization to apply greater objectivity to their_ decision-making during rapid energy-related industrialization. _However, they have. been more articulate_ in warning bf the consequences of decision in the local and business sectors, than in identifying how such making could be strength-ened. Finally, the decision mak.ing theorists reminded us that in order to change decision making processes which are entrenched in tradition, habit, and morality, more than just facts are required. These theorists note that. even when decis.ion makirigprocesses are established to assure greater the process is always riddled by psychological, non-objective intrusions, and that these elements must be taken irito account as well. Recently, several have suggested that instead: bf providing information with the intention of producing the most objectively based decisions information should instead have as its primary goal "usability." (See generally, Lindblom and Cohen, 1979.) These various bodies of literature, drawn from different times and even different .academic fields,

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57 nevertheless express a common theme. That theme has to do with how individuals acquire knowleqge about their world, and how they use it in their decision making processes. Individuals who come to k.now something as real about the world may have done so through different processes. Furthermore, their understanding of is real may one person'sieality is not person's reality. Just as this is so, so are the differences in the way those perceptions of reality have been formed. The way an individual comes to know something about the world, .. and the belief. structures that accompany this knowing, become an intrinsic part of human person-ality. Adopting.another person's methods of knowing is hard, partly because the individual attempting to do so is a novice, but also because the individual simply may not want to. It require that tha individual up too much of what he considers as his distinct personality. Yet it is that fundamental change which is expected of the boomtown official who suddenly finds that he is expected to sign a legal instead of looking the "other guy" in and shaking his hand to an agree-ment. Or, in another instance, when the state requires that a rural boomtown establish a comprehensive plan in order to qualify for grant money, even though its elected officials do not have the skills and information by which

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58 to do lso. Furthermore, they may believe that any form of government planning is wrong, if not downright commujistic! Yet, t_hey need the impact assistance money. Ways of Deriving and Using Knowledge, and Their Relationship to Rural, Local Government Decision Making Factors which explain goveinment decision making, especially in a rural conte-xt, will have to address the way local gove-rnment officials come to know things about their wotld, and make decisions based on that knowledge. It may be local decision makers come to "know" something in a manner which remains significantly different from the "ways of knowing" employed by urban-ized, modern-day organization decision makers. In order to further distinguish the ways rural, local decision makers acquire_ and use iriformation, the original work of Charles Pierce is reviewed (Pierce, in Buchler; 1955).2 Four of Deriving Knowledge The method of tenacity Pierce identified four basic ways that human beings come to know something or, as he put it, "fix their 2pierce was an American philosopher who,in the 1920's and 1930's, contributed to our understanding of .how people derive-and use knowledge. Although his concepts do not comprise the framework of this dissertation, they do contribute to its inspiration. (For a synopsis of Pierce's writings, see Pierce in Buchler, 1955.)

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beliefs." The first is the method of tenacity (Pierce, in Buchler, 1955). This method is based on precedent, tradition and Something is known to be.true because it has always been -true1 green is green, wrorig is wrong. Over -time, the frequent application of this 59 type of knowledge in one's day;....to-day activities enhances its validity Following on the consistency theorists of the previous chapter, people strive to make sure green stays green and wrong stays wrong, even in the face of clearly conflicting facts. The method of authority The second method of knowing or fixing beliefs identified by Pierce is the method of authority: If the Constitution says it is it is wrong. He points out that this method of knowing has been primarily responsible for civilized society/ and is not necessarily unsound, although it may be under certain circumstances (Pierce, in Buchler, 1955). The a priori method The third method by people to come to know something is the a priori method, or the method of intuition (Pierce, in Buchler, 1955). In this method, knowledge exists and is true because it is self-evident, "it stands to reason."

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60 The method of science The fourth method of knowing is the method of science. Of science Pierce says: Tb satisfy our doubts1 -therefore, it is necessary that a should be f6und by which our beliefs must be determined by nothing human. Its fundamental hypo-thesis is there are real things, whose characters are entirely independent of our opinions them iri 1955, -p 18). Rural boomtown elected officials may be using knowledge which has., been derived from the first three methods identified by Pierce when what is expected is knowledge which has been derived by the fourth method--that which is based. A Rudimentary Decision Making-Framework With Pierce's delineation in mind, the researchar identifies three types of decision making. Common to all three types is the way decision makers acquire knowledge, fix beliefs, and hence make decisions. These three types of decision making constitute a framework by which the description and examination of the activities of rural, local officials .will occur in later chapters of this research. The t"irst type will be referred to as the Traditional Decision Making Response the second the Developmental Decision Making Response and the third, the Technocratic Decision Making Response Type. Further clarification of the Developmental Decision Making Response Type in the context of a rural,

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61 boomtown decision making setting becomes the central purpose uf inquiry .. of the Traditional and Technocratic Response Types is also provided. Since the Traditional and Technocratic Response Types most closely represent the bulk of the literature, containing concepts which the reader is likely familiar, they will be presented first. The Traditional Decision Making Response Type The Traditional Decision Making Response Type is based on a method of.knowing or fixing beliefs which is moralistic and deeply imbedded in values. Often the information which underpins this response type is already known to the decisiofi maket and observable in his 'immediate, automatic reactions to problems. For example, the locally elected official who immediately opposes awarding a liquor license because "drinking is wrong"-and he has always known it. to be wrong--is displaying a bias which is indicative of the Traditional Decision Making Response Type. When the Traditional Decision Making Response Type occurs in a rural setting, the information used to make the decision is likely to have come from one of Pierce's (1955) first three methods of knowing or fixing beliefs. The first method which is especially applicable to the iural decision making setting Pierce's method of

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62 tenacity (Pierce, in Buchler, 1955). Kerlinger and rieutscb further that people often cling to this type of knowledge iri the face of clearly conflicting facts (Deutsch, 1973, pp. 37-38, 41; Kerlinger, 1973, p. 5). That is, in either a conscious or unconscious .desire to maintain consistency in What they believe, people will ignore new information which, if acknowledged, would require them to change their beliefs, or to live with the Examples of the method of tenacity are readily observed in decisions made by rural, boomtown governments. For instance, let us assume that a group of boomtown officials annexes land for a proposed subdivision to provide housing for the growing population. Let us further assume that this land proves to begeologically unstable and the.houses built upon it have problems with cracking foundati6ns. If these same officials annex more geol6gically unstable refusing to.acknowledge the problems which have occurred developing the first parcel, then they are using knowledge based on Pierce's method of tenacity. The second method of knowing or fixing beliefs which underpins the Traditional Decision Making Response Type is the method of authority. This is knowledge which is established and accepted because someone in authority has designated it. For example, the elected official who

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63 opposes issuing a parade to a civic group because the parade is to be held on a Sunday, and the Bible says Sunday is a day of rest and not ribald celebration is using authoritatively derived knowledge. The third type of knowledge to "stand out" for the rural, locally elected officialis that which comes from the decision maker's intuition. Knowledge. exists and is true because is "it stands to reason," or "any fool can .see .. you don't build an irrigation .ditch going uphill from. the source of water," for example. The Traditional Decision Making Response. Type and rural values The existence of a discernable rural value struc-ture makes the Traditional Decision Making. Response Type in a rural boomtown setting one which can be both recog-nized and understood in some depth. This occurs because of the predictable riature of rural and the manner by which those values are commonly translated into decision The Traditional Decision Making Response Type used by rural decision makers will closely relate to local values for two reasons. First, the locally elected officials who are responsible for the ongoing.translation of community values into government policies are likely not to remain in office if they fail to represent those values. If an issue evokes an emotional response from the

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64 community in general, then it-is likely to elicit a Traditional Decision Making Response Type from the elected official. The elected official, may be reacting in a way indicative of the Traditional Decision Making Response Type, but not. for the reasons the community assumes. For instance, the community may be reacting to a particular issue on the basis of tenacity: "This community has always done it this way, and there's ho reason to change." However, the locally elected official may be reacting more to the fact that the.community, in a sense the "authority;" is displaying an emotionally-based response, and therefore the locally feels obliged to react in a similar manner. The second reason that local values are important determinants of the Traditional Response Type is that the rural elected official has likely been raised in a rural, small town environment and has assimilated its values into his personality. It is the knowledge acquired from these deeply-held values that can be expected to emerge to guide the decisions and actions of such an official. This is especially true a particular value is threatened, or the decision maker sees a clear opportunity to further confirm or solidify that value. In cases where a personal value of a decision maker is threatened, his reaction may be immediate and emotional and entail positions which cannot be articulated or rationally defended. For example, a

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65 locally elected official whose dictate to to him that drinking is wrong may automatic-ally seize the 6pportunity to revoke a liquor license, even though he knows his action to be irrational that a court of law would likely find it arbitrary. This would be a clear example of what is meant by the Traditional Decision Making Response Type. A further examination of the concept of The issues which rural government offi6ials are likely to address using the Traditional Decision Making Response Type can be anticipated by knowing about rural values. However_, to distinguish these rural values from values held by society as a whole requires further ment of the meaning of Values provide a basis for knowing or fixing beliefs, opinions, and attitudes. Values provide a "normative stand which.guides human choice" (Berelson and Steiner, 1978, p. 23). Opinions are a type of knowing distinguished by being short-ranged and formed in response to more specific Attitudes a type of knowing which is longer lasting and broader-than opinions, but less so than beliefs. Beliefs are basic sentiments which are based on values and are closest to values (Berelson and Steiner, 1978, pp. 23-25).

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Hornick and Enk describe six characteristics relevant to all values and the behavioral expression of those values. o Neither nor attitudes, can be observed or they must be inferred from a person's statements and/or behaviors. o Although most people have a hierarchy which remains fairly stable, values withiri that hierarchy fluctuate somewhat. 66 o Values orient a person to his world, and help him act. They enable quick response to certain types of situations. o Values differ according to an individual's needs, environment, socialization, and social structure. o Values can be found to be sound or unsound in terms of the consequences_ they prodube. o Quite often, what is expressed verbally as a value is not equally evident-in the actions and behaviors taken in relation to that value (Hornick and Enk, 1978, pp. 23-25). The concept of values and the role values play as .the predominant determinants of the Traditional Decision Making Response Type has been presented. How those values are structured and preserved in the rural, small town setting will be addressed. Rural and Small Town Values. Recent studies portray rural, small towns as places in which tradition goes unquestioned; where values, norms, experiences, and lifestyles are similar, and the institutional structures

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67 which support them are simple; where narrow moral codes behavior are enforced; competition and open conflict are reserved.for high school athletics; where religion provides a foundation for where taking.risks is not popular; and where the solidarity of solidarity of the community remains a predominant value (Clemente, ed., 1977). The major identifiable influences on rural and small town are social instituti6ns. These institutions include the family, the religious institutions, private enterprise, schools, and local governments. Each of these.is credited with its own .unique influence ori the community's value. structure, as well as the values of. individual citizens (Swanson, et al, 1979, p. 56). The amily plays the primary role in the personal values of rural Although these values are changing, they still tend to include to sexual roles, privacy of the home, sanctity of womanhood, fulfillment of obligations(especially those based on one's word), rights of property, defense of one's honor, and resistance "intrriders." It is rural family which is attributed with instilling some of the most moral, inflexible, and unconscious values held (Swanson, et al, 1979, p. 56-58). Religious-institutions including those of the rural, small town, often strive to instill values of

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68 morality, transc.endentalism,.and sacredness above more objective methods of establishing beliefs. There is evidence to suggest that predominant values vary consider...: ably from 6ne religious doctrine to (Lenski, 1961, pp. 343-344). However, for the purposes of this research, it is sufficient to note that the Protestant'doctrine is thought to promote among its members a more rational and objective toward the world, while Catholicism tends to emphasize greater acceptance of fatalism and authoritarianism (Lenski, 1961, pp. 343-344). The values expressed not only in the realm of instruction, but in the policies of rural schools, have a strong effect on.the values which.predomfnate in rural, small to.wns. The tendency of many rural, local schools to enforce a strict authoritarian structure pro.duces one set of values. The relative emphasis on certain academic programs over others, dr on non-academic programs over academic programs, produces another set (Swanson, et al, 1979, pp. 56-58). Currently, many rural, small town schools in general are grappling with a value dilemma. That dilemma is whether the policies of rural schools should emphasize educational programs which prepare students to live and work in the locality, or whether students should be educated so that they may enjoy the broadest possible number of career alternatives, including those available

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69 the community. This value dilemma has heightened as rural migration trends of.the past decade and a half have shown the better-educated of rural areas have migrated to more urban areas--" thus leaving the locality with the bill for educating their yourig, not the whole of the benefits" (T\'leeten and Brinkman, 1977, 74-75). The effects of private enterprise on local values are significant. In small towns, where money has always been a cherished but scarce commodity, its control and distribution vis-a-vis private industry are-major determinants of rural, growth-related values. Shifts in the dominance of certain industries often have far-reaching effects on local value structures. A common industrialrelated shift-is that as .the numbers of small farms diminish, the traditional agrarian values toward individualism, family, austerity, and the land change. If farms are taken over by agribusiness, for insfance, the values associated with unionization, wealth, and materialism tend to increase. Values toward the land also tend to change. Where previously the land was something to care for, with industries such as coal mining, the land may become valued as something to conquer (MacCannel, 1976, pp. 3-4). The local institution responsible for translating rural, small town values into policies and services is the unit of government. Since the focus of this dissertation is rural, boomtown decision making, further attention is

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70. given to the effect rural values have on local government decision making. The particular mix of values which emerges to affect therural small town government will, of course, depend on the particular town. However, recent .. findings indicate that the values of rural, small towns remain remarkably similar to those typified by the traditional societies of the classical sociological theory (see generally Clemente, ed., 1977; Swanson, et al, 1979). The existence of this identifiable rural value structure may, in turn, be the single most important determinant of the predominant rural type of decision making--that is, traditional decision making. This factor makes research on rural government decision making significantly different from research on decision making in more formalized and urbanized settings. The Traditional Decision Making Response Type has been associated.with methods of knowing or fixing beliefs which arise from rural values. Having described it, and delved into its meaning, it is necessary to move on to the second predominant type of decision making addressed in this dissertation. The Technocratic Decision Making Response Type A second Decision Making Response Type, one which is often described by the boomtown literature, is the

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71 Technocratic Decision Making Response Type. This typifies decision making which requires locally elected officials to use information based on Pierce's method of science (Pierce, in Buchler, 1955). In this dissertation, such information is referred to as "objective and "objective knowledge." The Technocratic Decision Making Type requires that the decision maker's methods of knowing or fixing beliefs about issues are based on rational processes. These rational processes-are meant .to minimize distortions and enable the most unbiased generalizations possible at the time. When a local decision maker purposefully seeks information which he believes to be based on facts and not on biases, values, attitudes and emotions, is the Technocratic Decision Making Response Type. The Decision Making Response Type closely resembles what was associated \'lith the urbanized or modernized state in the classic literature in sociology. It is also the response which most closely resembles that epitomized by Washington, Jefferson,-and Franklin in their attempts to replace the traditional theory of hereditary sovereignty with the idea of building government institutions by rational and experimental processes (Price, 1954, p. 4). Finally, it is this response type which is most commonly prescribed by boomtown researchers as the only one which provides locally elected. officials

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sufficient control over the transitions which their communities are experiencing. Identification of the Technocratic Decision Making Response Type 72 The Technocratic Decision Making Response Type is exemplified at the institutional level by professionalism and respect for expertise, specialization, centralization, and bureaucracy, held together by rules and regulations. However, at the level of rural, boomtown decision making, other indicators of this response type are more appro-priate .. In this dissertation research, a Technocratic Decision Making Response Type was identified by the decision maker's commitment to follow five stages of problem solving. These stages included: o acknowledgement of difficulty, usually as a result of immediate pressures on the decision o search for the most objective knowledge available within the time limits determined by the type of o analysis of the problem, leaving open the possibility to redefine the problem after further investigation into its o analysis of alternative solutions; and o choice from among the alternatives (see generally, Dewey, 1933, pp. 106-118). Important to the Technocratic Decision Making Response Type is commitment to rationality over overt

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73 emotions and feelings. Furthermore, for this Response Type to be evident, deliberations must include consideration of two overriding responsibilities assoqiated with elected office--they are procedural fairness and preserva-tion of the common good. Procedural fairness refers to the "proper and consistent" abidance of written laws, ordinances, and decision making procedures established to assure fairness and avoid favoritism and corruption. Preservation of the common good refers to protecting commodities such as air, water and open space whose nature is such that no one can be excluded from their effects (Selznick, 1970). The Traditional Versus the Technocratic Decision Making Response Type: A Metaphor A metaphor is offered to illustrate the difference between a Traditional Decision Making Response and a Tech-nocratic Decision Making Response as they apply to the rural, boomtown decision maker. Imagine that two large groups of people hiking in the mountains are informed that they will be required to cross a river. This information about a potential problem they face generates in one group a technocratic response. This group lays out topographic maps to chart the various paths which lead to the river. They anticipate the depth and strength of the current and chill factor of the water; they identify many possible methods of crossing the river. They make a decision,

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74 establish a plan, and one or two contingency plans. They further determine which members will be responsible for what activities. The group may even send people ahead to stock the materials they will need to accomplish the river crossing. For the group of hikers whose actions typify a Traditional Decision Making Response to the problem, however, the warning of the impending river-crossing does not generate any advanced preparation. More likely, the group does not consider it a problem until they have hiked their. pantlegs and are up to their knees in cold, fast-moving water. At that point they may stop midstream to briefly Hail Mary, and continue on, whilst testing their footing with each slippery rock. The hardiest make sure -no one actually drowns. Furthermore, providing they do not encounter quicksand or crocodiles, they will probably arrive at the other side a more skilled, if not wiser group of riverwaders. This metaphor illustrates two predominant styles of decision making. It suggests what happens when boomtown officials cling to the Traditional Decision Making Response Type, when what is required are decisions which are more solidly based on a Technocratic Decision Making Response Type. The dilemma of a particular group of rural, local government officials is examined further in the following

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pages, in order that the third Decision Making Response Type--the Developmental Decision Making Response Type--may be more clearly articulated. Description of Rural Boomtown Decision Making Environment 75 This dissertation will further refine the concepts upon which the three types of decision making are based by examining case studies taken from the experiences of one particular boomtown local government. Therefore, a preliminary description of the boomtown (i.e., Casetown) and the manner in which its growth has affected its local government is now in order. The researcher's intent is to provide further insight into what occurs when a rural boomtown such as Casetown suddenly finds the Traditional Decision Making Response less effective than in the past. However it also finds the Technocratic Decision Making Response both unsuitable and difficult. The result is a type of decision making which does not fit into either category, but rather somewhere in the middle. This third category is called the Developmental Decision Making Response Type. A major determinant of this kind of decision making is a particular type of information, referred to in this study as "usable information."

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-76 of This section will provide general tnforrnation about Casetown, its location, history, religion, economy, demographics, and finally, the value structure that molds it into the unique community it. is. 'A more in-depth por trayal of those characteristics emerges in the descriptive case studies and.the review of the methodology as it was applied (see Chapter IV and Appendix A). The purpose here is to provide the reader with an overview of the environment in which these making response types were examined, and from which further elaboration of the third response type, the Developmental Decision Making Response Type, Where it has been and where it is now Casetown is a "deep coal rninifig town" which ienced growth in the 1970's partly due to energy develop-rnent, and_partly due.to other Although designated during the 1970's by the Federal Energy Adrninistra-tion as a boomtown where the sources of impact are "most imminent," researchers, citizens and elected officials alike categorized. it as "early-boom," roughly meaning that the growth was slow enough to be managed without serious problems. During the 1970 s, the .coal mined in the Casetown area carne primarily from six mines. Two of these mines

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77 were built during the 1970's; the remaining mines under-went expansion and renovation during roughly that same time period. These activities did not produce an energy "boom" as it is thought of today. Rather, Casetown experienced a modest population growth during the ten-year time span, from approximately 2,000 to 4,300 people, including. the growth in the immediate. service area. However, as this dissertation is being written, Casetown is beginning to experience a rate of growth and industrial development well over 10 percent annually, thus placing it squarely in the "boom" categoiy. This imminerit "boom" is not, however, the first for Casetown and the surrounding area. It has experienced several such periods of growth since its inception as an agricultural community in the early 1880's. Casetown is located on the western-most boundary of the Rocky Mountains where a river flows out of the mountains and on toward the Uncompaghre Plateau and the Great American Desert. The two features that made it especially attractive to early agriculturalists were its terrain and climate. Casetown and its immediate service area are protected on three sides by mountains, one which begins almost at the town limits and rises another 6,000 feet. The U-shaped configuration of mountains protects the community from the harsh weather patterns which originate in the Gulf of Mexico to the southeast, while trapping the

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78 more gentle weather and the moisture of the Pacific Gulf Coast from the southwest. The result is a long growing season and a mean temperature of 50 degrees Fahrenheit. The moisture trapped by the mountains and delivered to Casetown through numerous streams; has more than accommodated its needs for water. However, there have been features besides the climate and terrain which inspired a "boom" of early settlers to homestead the Casetown area--namely, virgin soil and the fact that no pests or diseases had found their way into the valley. These advantages were offset one decade later, and Casetown's first official became its first official "bust," attributed principally to insects, crop diseases, and non-local competition. Then in 1912, the stamina of the residents was further challenged when a severe freeze killed both the year's fruit crop and the fruit-bearing trees as well. The community, unlike many other early communities of the region, was able to persevere by placing greater emphasis on coal production and ranching. The railroad that had been built into the valley primarily for the exportation of fruit some ten years earlier became the community's chief means of exporting coal. As circumstances would have it, Casetown's endeavors to change its economic base resulted in another "boom" as immigrants from Italy, Yugoslavia, Wales, Czechoslovakia, Mexico,

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79 Germany, and Sweden arrived primarily to work in the coal mines. Over the years, fruit production, ranching, and mining became equally prominent,. partly because the custom of working the fields in the spring and summer, and mining in the winter, had carried 6ver from the European immigrants. Accompanying this "ethnic pluralism" and "economic pluralism" was a "religious pluralism," which resulted in a proliferation of small By the 1950's,. Casetown was reported in Ripley's Believe It Or Not to have more churches per capita than any other community its size in the United States. (At the time it had twenty-seven churches.) These churches all shared a common purpose--they instilled the traditional values of hard work and large families, and may well have been the social institution most responsible for the peaceful co-existence and shared values manifest in the community. Over the years the people of Casetown became accustomed to economic "booms" and "busts." In agriculture, weather factors were the primary cause, and in the case of coal, it was the external market. Throughout, the leading occupations have remained agriculture and mining, with agriculture only beginning to give way to mining during the latter part of the 1970's. As a citizen recently remarked to this researcher: "The fruit growers can't live with this inflation caused by the

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80 energy boom. We'd lay a bet that there's been an orchard. took out every month for the past nine months." The economic "booms" and "busts" have not affected the long-term demographic patterns of the area. This has been partly because of the unusually strong "homing instincts" of the people who have .lived in this tightly knit community. The population of the County, for instance, was 13,688 ih 1910, and 15,286 in 1970. A more notable trend, however, has been seen in age distribution patterns. The 1980 statistical account showed a larger percent of the people in the over 65 category than in the 20-34 category, and the median age of the residents of the County to be 14 years older than the median ages for the state (the former being 40, and the latter 26) (Senesh, 1976). The more short-term demographics of the past two decades have shown fluctuations in the migration patterns of the of the Casetown area. These fluctuations have, in turn, had a significant impact on Casetown's residents. During the 1950's and 1960's, the increasing growth in industry and population in other parts of the nation made it profitable for farmers and ranchers to sell their land and move to the less expensive, but geographically attractive land such as that which surrounded Casetown. While some of these new residents may have resumed their

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81 farming, it was seldom full-fledged. Furthermore, by the 1980's most of these people had entered retirement. In the late 1960's and the first half of the 1970's Casetown experienced a second influx, which has since become a part of Casetown's contemporary folklore. That was a "hippie invasion"--people in early adulthood seeking a subsistent way of life. They resented by Casetown residents for several reasons. First, many were "trustfunders," individuals from wealthy families who could buy land that had taken local residents a lifetime, or even several generations, to acquire. Second, as another researcher has noted: Their alcohol and drug use, and their dedication to looking untidy and not taking baths were the final insult to a community accustomed to hard work and high standards of order and cleanliness (Moen, et al, 1979, p. 34). -However, most of these newcomers failed at their agricul-tural pursuits, primarily because they were not knowledge-able about farming, or accustomed to the long hours of difficult work. These disadvantages were heightened by their unwillingness to use pesticides, or other mechanized implements. By 1978, most of the "hippie invaders" had retreated or had "cleaned their act up," and displayed the skills necessary to make their own living, usually as miners or craftsmen--something the local residents re-spected, albeit begrudgingly.

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82 During the same period, the young of Casetown became more likely to leave than stay after finishing high school because of the lack of jobs and the lack of capital to buy land or open businesses. This, in turn, heightened resentment not only toward the "countercui ture" immigrants, but other young newcomers who were to arrive during the last half of the The third identifiable group of newcomers that carne to the area in the 1970's continues to have a significant impact on the community. This group epitomizes the urban-to-rural migration. Most of them are middle-aged and well educated, looking for a simpler way of life. They have come to the community partly because of its beautiful scenery and temperate climate, and partly because of the quaint, self-sufficient way of life, and the "charming community atmosphere" (Moen, et al, 1979, p. 32). These newcomers have mostly located in the immediate service area of Caseto\'m, and not in Casetown proper, largely because the town has been built to its limits and there is little available housing. By outward appearance, this last influx of newcorners has fit into the community very well. They have been industrious and have set up small businesses, many of which have been successful. They are clean and tidy, an important trait in Casetown; and they appear by all accounts to be conscientious parents and good, "solid

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83 citizens." The reality has been, however, that they have not assimilated into the community to the degree that outward appearances would suggest, primarily because some of their values appear to threaten the social order of Case town. Because these newcomers have come to largely due to its beauty and its simple way of life, they understandably have a stake in preserving those qualities. As a result, they have largely opposed coal-related growth and development, some of which was already underway at the time of their arrival. The general stance these newcomers have taken toward growth and development is diametrically opposed to.that of the older, established community, which has lived considerably below the national income average for generations in hope of greater economic prosperity. These residents have looked forward to the energy-related growth, believing that their children would be better able to make a living in the area. Similarly, most older businesses have been holding out "just one more year" for so many years that the economic growth and prosperity thought to accompany increased coal-mining activity is highly attractive. And, finally, a number of Casetown residents believe that accommodating energy development is their patriotic duty. Said one: "God put the coal there, and the u.s. needs energy, and we must give it to them."

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84 The difference in attitudes between the long-term residents and the newcomers toward growth and development has created animosity between the two groups. This animosity has increased because, while the urban newcomers seem to want to maintain the simplicity of life they have found in Casetown, they have nevertheless employed very sophisticated and often complicated legal techniques to waylay further growth and Undoubtedly the most significant example of this particular irony has been manifested by the local newspaper which this dissertion quotes extensively. The North Fork Times was begun in 1975 by a couple in their early thirties who had come on a temporary "retreat" from their: New York City professions. He was a physicist, she a journalist. While in the Casetown area, they decided to start a local newspaper to fill their spare time-intending for the venture to last only five or six months. However, they grew to like Casetown better than they had expected, and the newspaper was profitable, so as one local resident put it, "Gawd damned if they didn 1 t stay! 11 The flavor of the North Fork Times was markedly different than any of the local newspapers of Casetown's past. High school sports were no longer featured on the front pages on a regular basis, and reports of what various persons did on a weekly basis were dropped. Rather, the North Fork Times investigated issues of local

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85 concern. Usually, these, investigations were reported over periods of weeks_or months, educating the while piquing the'ir interest at the same time. However, this drawn-6ut manner of invesiigative.reporting caused those associated with particular issues to feel victimized by the Editor. The topics pursued by this paper were ones that had gone unexamined in the past, in part because there was no controversy over them--:industrial development was good; governmental interference and regulations were. bad; sthools should operate as cheaply as possible, children shduld be taught the basics, as well as the dif-. ference "between right and wrong," eve.n if it meant that punitive forms of discipline be applied (Freudenburg, 1979, pp. 277-278). The North Fork Times analyses (or so th.ey appeared to the layperson, both iri content and tenor) often concluded that existing attitudes, policies and procedures were outdated, clearly irrational, or even illegal. Although these analyses.seldom resulted in a realignment of basic community sentiment or policies, they did generate confusion, dissent, and on occasion, insight, which has played a significant role in Casetown's transi-tion. In Casetown, it has also been this last influx of migrants--the "urban refugees"--that has become a major impediment in the town's ability to agree on how to manage

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86 its growth. This is because their preservationist values, combined with their insistence that rational decision making procedures be employed, threatened the basic values by which the majority of the local population has abided for generations. The result is a bifurcation of the com-munity between newcomers and oldtimers, and extreme diffi-culty in agreeing on anything. This, by the way, is con-sis tent with findings from other boomtowns. Writes Massey about Wheatland, Wyoming: To be an insider, one must either have lived in the community all one's life, or have married an insider of good repute. It is possible for a person with a highly respected occupation to "move inside" after several years of careful grooming and a reputation for stability and commitment to the status structure. Both newcomers and long-term residents recognize this bifurcation of the community, though insiders are understandably less vocal or indignant about it than newcomers (Massey, 1977, pp. 22,48}. In conclusion, Casetown is a community which has experienced an influx of diverse peoples since its incep-tion. Until the 1960's each wave of newcomers was assim-ilated readily into the community. However, the energyrelated growth of the 1970is, when combined with the influx of urbanites, has created a situation in which rapid transition is imminent, but the values by which to guide that transition are no longer agreed upon and shared.

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The Casetown Local Government: Between A Rock and A Hard Place 87 The Casetown local government is primarily responsible for assimilating these different community forces. They must do so by making decisions which do not violate predominant local values, but yet are objective enough to be effective in managing the onslaught of opportunities and demands created by rapid energy growth. The plight of Casetown' s elected officials may be best -introduced by extending the river-wading metaphor used earlier to depict the Traditional and Technocratic Decision Making Response Types. Let us assume for_a moment that the Casetown locally elected officials are the third group of river crossers. This group of locally elected officials has usually abided by community expectations and waded their rivers when they have come to them. They have no previous experience with alternative ways of crossing rivers other than wading, and thus have little notion of how else the feat could be accomplished. Besides, they reckon, they've been able to wade rivers before, why not this time? In the terminology of this dissertation, their approach to the river-crossing problem has been traditional. Further imagine that as this group begins to wade a particular river, they notice that the river has changed considerably from the last time they crossed it. The river bed seems to drop off faster, the stones seem too slippery to get a

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88 footing, and the waters have risen. Soon they recognize that they are in the midst of a flash flood--something they have never experienced but heard a lot Some become caught by undercurrents and are moved downstream from the group; others are such poor swimmers they must rely on the better swimmers to pull them across. Even the veteran find themselves ill-prepared for the situation. It is too late to turn back; yet whether and how they will make it to the other side remains to be seen. This metaphor is similar to the situation in which the Casetown locally elected officials found themselves during the early stages of boom. The influx of newcomers, new money, new ideas and new expectations created significantly different problems than those for which a century of rural stability had prepared them. The Casetown local government, as other rural local governments, lacked modern governmental structure and its accompanying administrative procedures, quite simply because in the past they had not been required. Yet, in the rapid growth situation in which it found itself at the time of this research project, it was these structures and procedures which would have enabled the locally elected officials to more effectively manage the rapid growth Casetown was experiencing. Strategic planning, the most important of boomtown management resources, was not in place. Innovative financing mechanisms were

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89 unknown. Tax bases were grossly insufficient to finance water, sewer, and street improvements. To add to this burden, services heretofore not provided by the Casetown local government such as health and housing were falling into their domain. Not only had the problems facing Casetown local officials increased in number and complexity, they had required that Casetown1s locally-elected officials them differently. Industry, financial institutions, other units of government, and even of the citizens--most especially the urban-to-rural come to expect Casetown's officials to make decisions based on a different set of values. These values tended to emphasize objectivity, scorn criteria which could not withstand objective scrutiny, and challenge decisions which had not been arrived at through objective processes. The locally officials, however, found it difficult to comply in some situations. Frequently, they lacked the necessary information and the skills. Furthermore, the values inherent in the rational solutions often conflicted with their personal deep-seated values and beliefs. Third, many of their constituents did not desire more rational and procedural local government decision making. Finally, the type of experience and education which many of Casetown's local officials had did not equip them with the necessary information to solve some of the

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90 complex problems they faced as a result of rapid growth. Exceptional was the Casetown elected official who was at ease mining coal or repairing cars by day, and computing complicated population estimates or revenue elasticity projections by night. Nor had the Casetown local govern-ment structured and staffed itself with professionals who could perform these necessary tasks. Such government activities had been antithetical to the community's senti-ment about the appropriate role of local government and, in fact, had not been needed in its prior stable, rural state. Finally, much of objectively derived, often prescriptive information made available to the -locally elected officials of Casetown had come from outside sources such as state and county governments, and the environmental impact studies prepared by energy corpora-tions. These types of information seemed to have little impact on the Casetown officials, as the following quote indicates: Don't give us any more of that stuff. All it does [written materials] is to give us a headache. In the first place, you can't read it without going to sleep; the only part that's written so you can understand it is the part where they are telling you what to do and that's so much pie-in-the-sky that it would be impossible to pull off! I'll tell you, there's about two uses for that stuff. The first one is to pull out the bits and pieces you think support your position, you know; and the second is to take it up to the outdoor john at the cabin. I may have overstated that some, but basically that's it!

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91 The overall effect was that as rapid growth to occur in Casetown, and the problems in numbei and magnitude, consensus on appropriate decision making criteria diminished. becisions made the "old way" were neither sufficient nor wholly accepted by the community; but to make decisions the "new way" would have required additional information, new skills, new. and modified values which would have conflicted with the still predominant moral order of the community and the basic values of the decision makers themselves. The effects upon the deliberations of the Casetown locally elected officials significant. Essentially, decision making processes were changed from reliance on consensual agreement and like values to bargaining. Both observers and participants of the Casetown local government reported increased incidents of elected officials making deals, "calling in old debts," granting favors, starting rumors to shame their "opposition," controlling information, controlling agenda formulation, controlling group processes, dominating discussion time, timing pivotal remarks or suggestions, purposefully distorting issues, and most often, just plain fatiguing or confusing those who did not agree. When knowledge and facts were used, there was an increased tendency to use them in a more political nature than was customary. Finally, the locally elected officials with the most experience,

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92 knowledge, and political skills developed through years of time and energy spent on local affairs, emerged as a coalition to dominate the early of Casetowns boom. The Identification of Usable Information and the Emergence of the Developmental Decision Making Response Type The Technocratic Decision Making Response Type associated with urbanism, and Traditional Decision Making Response Type more characteristic of rural environ-ments, were depicted earlier in chapter. However, when examining the situation faced by Casetowns locally elected officials at the time this research was under-taken, it became evident that neither response type was especially appropriate given the problems they faced. The central purpose of this action research project, therefore, was to introduce information (i.e., usable information) to the Casetown officials in a manner fundameritally different from that which they had tradition-ally been provided) and tti assist them in developing a type of decision making response particularly suited to their needs (i.e., the Developmental Decision Making Response Type) Usable Information "Usable information" was the phrase chosen to depict the type of information to which Casetown officials

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exposed in conjunction with this research project.3 Usable information referred to information acquired 93 through interaction with situations which related in some way to particular issues, or more often to a particular set of issues. The term usable information represents a complex search for knowledge from a variety of sources. It is a type of information in which the complexity of the world, and the rural official's attempts to make sense of it through several different types of learning, are respected. For example, usable information is not neces-sarily commensurate with the Technocratic Decision Making Response Type where problem solving is controlled by pre-dominantly cognitive processes. A typewritten, 300-page report filled with statistical material requiring a mathe-matics background to understand would not qualify as usable information in the case of most rural, boomtown governments. However, neither does the concept of usable information require that interaction with a situation or environment totally substitute for organized thought, as is sometimes the case with information in the Traditional Decision Making Response Type. More often, usable infor-mation refers to information purposefully sought out to 3The concept "usable information" was inspired by a similar concept called "usable knowledge," developed in a book titled Usable Knowledge (Lindblom and Cohen, 1979).

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add greater meaning or articulation to an initial gutlevel response of the official. 94 Usable information often represents "casual empiricism," common sense, and conventional wisdom, checked against the every day reality of the individual maker and his community (Lindblom and Cohen, 1979, pp. 2-22). Sometimes it will include consideration of "scientific facts," but more often it will not. Much usable information .is very ordinary and fundamental. It can be obtained through interaction and exposure, often from a variety of sources. Most importantly, usable in fqrmation is information which allows a legitimate role for the expression of values. As iristead of repressing or distorting the value components of problems, it allows them to surface. From usable information can come an examination of both the short-and long-term effects of choices which embody certain values. For example, usable information about planning might be information which would enable the decision maker to learn what effects planning might have in three or five years, rather than how to actually compile a plan. It is this type of information which is more likely to assist the decision maker in determining whether to instigate a planning process, with some knowledge of the consequences of his choice.

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95. The Developmental Decision Making Response Type For the purposes of this locally elected bfficials were exposed to usable information according to a problem;...solving process designed -to lead to greater objectivity. This was not, howev-er, objectivity that excluded the-ways of knowing. to which the Casetown elected officials were most acccistomed. Usually, usable. iricorporated into a problem solving process consisting of five steps: 1. An of frustration and arising from art inability to resolve a problem in customary manner results in uneasiness, d.i"scomfort or curiosity. This, in turn., is sufficient to motivate the individual to initiate some type of search behavior; 2. A reconceptualization of the problem which culminates in a search for more information; 3. Moments of insight and identification of pos-: s ible solutions ; 4. Further development of -tentati-ve solutions and testing them against reality; 5. Making a decision and designating a means by. which to implement it (Deutsch, 1973, p. 360). Thus, an important characteristic of usable information is that it is highly situational. What is "usable" depends not only upon the knowledge, values, and prior experiences of the participants, but upon the stage of the decision making process and the nature of the issue. If, for example, the issue is highly technical, then the usable information for that situation might also be technical in nature. However, if the problem requires a policy

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96 decision, then the information that the locally elected officials would find useful might be of an entirely different type. What distinguishes usable information and the Development Decision Making Response Type, however, is that there are no set boundaries about how the information must be used--only. that it must be considered. Once considered, it might then be discarded as irrelevant to the problem; it might indicate that further information of a certain type is needed; or it might trigger any number of other responses. In the Traditional Decision Making Response Type, such information may never emerge for consideration. In the Technocratic Decision Making Response Type, such information is only sought if the decision making process requires it, and is only used if it meets certain standards of validity and reliability. Summary of Framework Chapter The varied body of literature presented in the previous chapter indicated that not only are boomtown local governments expected to produce decisions which are objectively based, but they are actually required to if they are to manage their situation rather than be victimized by it. Noting that the types of decisions which rural boomtown officials make depend largely upon how they come to know their world and fix their beliefs about it, this

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97 chapter has identified three types of decision making. What is common to these three types is that they are based on certain, identifiable ways in which decision gain knowledge and make decisions. What differentiates them is the type of knowledge which predominates. The first type is referred to as the Traditional Decision Making Response Type. Here the knowledge which prevails is gleaned from sources such as tradition, morality, and common sense. The second decision making response type is referred to as the Developmental Response Type. Indicative of this response type is knowledge gained from tradition, morality and common sense, as well as objectively derived knowledge. A main characteristic of this response type is the. constant search for usable information-information which makes sense to decision makers and .does not require them to abandon or contradict strongly-held values and beliefs in order to arrive at a decision. The third type is identified as the Technocratic Decision Making Response Type. This response type is associated with a method of knowing designed to produce objectivity while eliminating emotions, feelings, and other unpredictable variables. There are.several reasons for having set forth this decision making framework. One has been to provide a somewhat more well defined context by which to describe and examine rural, boomtown decision making. The terms

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98 Traditional Decision Making and Technocratic Decision Making distinguish tw6 broad cbncepts which have received considerable attention in the literature over the years. By adding the concept of Developmental Decision Making, however, a useful framework is established. It enables the placement of some conceptual parameters around a type of decision making which does not otherwise fit into the two more well-established types but rather somewhere between them. Furthermore, the notion of usable information has provided an identifiable meahs of bringing the Developmental Type of Decision Making Response Type to fruition. Thus, the framework provides a tentative beginning for further examining, understanding and affecting rural boomtown decision making. But it will be the rather intensive study of selected instances of decision making in one such rural boomtown which will tell us about the character and viability of the framework. As the components of grounded theory would remind us, case studies such as those which follow may indeed represent the richest sources of information by which to examine, reformulate, and build upon a framework such as the one being developed by this dissertation (Glaser and Strauss, 1967; Shields, 1977). It is with the attitude of investigation, of seeking rather than testing, that the following case

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99 studies are presented. These studies represent the dayto-day experiences of the elected officials of one rural town experiencing "growing pains" due tonumerous forces, but most especially those resulting from rapid energy development and the urban-to-rural migration. The following chapter is their story--the story of Casetown and its elected officials as they addressed two tough problems over a period of eight months. However, contained in their story are a number of patterns which relate to those associated with the decision making frame work of this chapter. Throughout the case studies, when it seemed natural and convenient to do so, the researcher has noted certain elements which seem to add further understanding to some aspect of the framework. These comments receive further attention in Chapter V, Findings. Here, then, is Casetowns contribution to greater understanding of boomtown local governments. It is divided into two tales; one is entitled the "Town Manager Issue," the other, the "Planning Dilenrrna." As the reader will learn shortly, theirs was a contribution which they made willingly but not easily. It took some sleepless nights. It required self-examination and change. It demanded additional time and work from people who already

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100 worked sixty-hour weeks. And the motivation to do this was not all self-serving, as was heard: As we straighten these problems out, let's try to make sense of it so that maybe everybody else that finds themselves in our shoes won't have to learn the hard way!

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CHAPTER IV: CASE STUDIES PART ONE Casetown Manager: "I'm damned if I do and I'm damned if I don't, so I just go ahead and 'do' for the most part. Sure lots of times I do things the Council hasn't given the go ahead on, but if a.guy has to wait until those buggers get it together, hell could freeze over!" Professional Association: "What is meant by 'determination of policy'? Basically, it is the of deciding what is to be dbne. The should not confuse this with how a program is to be administered, which is the job of the manager" (ICMA, 1964, p. 1-2). Researcher: "The manager clearly emerges as the person who has the greatest influence over what is happening in every stage [of the decision-making process]" (Kueder, 1965, p. 31). Coffee Shop Cabinet: "What irks us is nobody' s got any control over this guy We don't elect him, we elect the And they don't control him! The whole thing has just got out of hand." The Editor: two stories are closely related and cannot be understood except together. It's the secret nature of the Town Manager combined with an inattentive and totally uninformed Council [Casetown's] town government has been drifting toward the rocks for years. The heart of the problem is the successful attempt by one man to substitute his judgment for that of the Council and the public" (North Fork Times, 1979b, p. 2). Council Member: "How can we fire him? We've never known how to manage him or what to expect. It's our fault too, you know. We've given him enough rope to hang himself five times over. Never thought he'd take us with him though!" (Laughter.) Citizen: "What this town needs is one good man, and he ain't it!" 101

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Pages 102 through 211 have been bound separately and reserved until May 1, 1985. On May 1, 1985, the reserved portion of this dissertation is to reside permanently at the Auraria Library, Denver, Colorado, and at the Graduate School of Public Affairs at the University of Colorado at Denver ..

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CHAPTER IV: CASE STUDIES PART TWO Local Newspaper, April Fools Day Page: The Casetown Council again received the Riverbottom Estates Award from the Hasty Planning Institute of America The Awards Committee said it had also considered giving Casetown the coveted "Not Learning from History Award." A Casetown spokesman said that the eouncil believed the river bottom remained the best place to build. "We tried hillsides and the homes threaten to slip off. Down in the river, you kn0\'1 you are safe from that kind of thing" (North Fork Times, 1980a, p. 12). A Community Researcher: "The particular irony ofthe critism that officials receive from their fellow townspeople is that nearly the only way in which the local government could have effectively prevented the problems would have been through regulations to delay or discourage the development--and those actions would nearly be legal grounds for lynching in the eyes of those same critics" (Freudenburg, 1979, p. 187 ). Oldtimer Citizen: "The people in this area moved here to be able to do what they wanted as long as it didn't hurt anyone else, and when they didn't abide by that, the Town made them. We've always done that naturally. I don't want to turn that over to the Coun cil." Oldtimer Citizen: "It's finally our turn foi some perity: I don't trust the Council to be in control of that!" Oldtimer Citizen: "I've always been pround of this community because it is polite and respectful. Now everyone is bickering about \'lhich things we are going to do. It is a shame. I am glad I am seventy-eight and don't have many more years left. I. would not like to do things this way." 212

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Town Manager: "If we can't come up with a new code--a policy that those of us that are here can live by, how the hell can we impose it on all the hippies and the people who come in here from Aspen. That will be an impact that will be equally as great as energy development is to us." Casetown Trustee: "It used to be that we could take each decision as it came--sort of figure it out based on that particular problem. If we made certain exceptions in some cases, it was no big deal because you knew everyone else in town would probably see it the same way. It's just not that way now. The only thing you know about this community is that nowadays there will always be several points of view, and everybody is to recall you if you didn't go their way." Casetown Trustee: "Seems like we spend most of our time in court. If a guy figures he didn't get exactly the same shake as the guy before, he'll sue." Casetown Trustee: "Let's face it. The rules of the game have changeq. Our challenge is to learn those new rules and at the same time, convince this community that the new rules are necessary. However, when you live here and must face people on a day-to-day basis, it is easier to ignore those new rules, in favor of keeping harmony--at least for now." Local Newspaper Editor: "In the past, the Trustee's job was mainly one of keeping a slowly moving ship on a more or less steady course. But today, all the communities [in the particular valley where Casetown is located] are being affected by growth, and growth is creating the issues. Casetown is still not administered in a public and businesslike way. There is still no planning going on now, which will be producing similar problems in the future" (North Fork Times, 1979b, p. 2). 213

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214 The Planning Dilemma These introductory quotations illustrate that although Casetown may have been on the verge of a "boom," its citizens were far from agreeing that their local government should plan for.it in any particular manner. However, locally elected officials realized the need for a more formalized planning function. Thus, they selected planning as the second issue to be as part of the research project. They did so knowing its potential for being a "political bomb," as they put it. Examination of the Forces Which Led to the Planning Dilemma At the inception of this study, the Casetown officials believed they.were in a bind with regard to their political and technical capability to plan. This bind was the product of many forces. Some, such as the confusion and uncertainty about what constituted formalized plan-ning, were characteristic of the rural, small towns in general. However, the most formidable forces came from Casetown's unique history of planning and development, combined with its recently acquired boomtown status. It was these historical forces which worked to predetermine the community's bias against formalized planning.

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Major Community Projects Which Had Contributed to the Dilemma 215 Despite community attitude toward formalized planning in 1980, Casetown has a history of planning effectively for itself in a rational, if not so systematic, way since its inception a century ago. This planning has occurred through the activities of practical-minded people trying to make the best of their environment. While community planning on an informal basis is a rather intangible concept, especially when examined years later, the consequences are not. Major tangible products of this cooperative plannirig still remain, especially the railroad and the ditch system. The intangible effects have become a part of Casetown's ethic .of self-sufficiency and--as the following historical account depicts--a remem-brance and pride in the achievements of the past. The railroad The ethic of cooperation and planning extends to Casetown's earliest days when it was famed for the fruit it produced and exported by rail (Rockwell, 1938, pp. 42-43).1 The fruit and other agricultural produce that brought this fame to Casetown also brought to it a railroad. Although the railroad was built to Casetown for lAt the turn of the century, Casetown soil was virgin and the pests and diseases that now plague fruit farmers had not infiltrated the valley. So famed was their produce, that it won six gold medals at the Trans-Mississippi Exposition in 1893.

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216 the purpose of transporting agricultural produce, the community persuaded the -railroad officials to-extend the rails up the valley a few miles to the coal fields. The efforts of these early Casetown settlers to assure exportation of both coal and agricultural produce may represent the community's most important early planning endeavor. Indeed, it assured the community's sur-vival, for when the agricultural market was bad, or the crops were not the exportation of coal enabled Casetown's continued existence, if not prosperity, and vice versa. Ouring most of Casetown's history, this plan to assure economic diversity has worked quite well, and has had effects beyond. those originally planned. The attraction of Casetown's expanding coal industry brought immigrants from various cultural backgrounds. This ultimately gave to Casetown a further competitive edge in its early quest for survival and contributed to the selfreliance characterized by many of its residents today. The ability to transport both coal and agricultural products allowed a seasonal division of labor between fruit production in the summer and coal mining in the winter. This, in turn, enabled the residents to provide their own food and fuel--a relatively self-sufficient style of life. For example, so popular was this seasonal split in occupations that until the late 1950's, up to

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twenty small, privately owned "winter-mines" were in operation at one time (Freudenburg, 1979, p. 102).2 217 Thus, Casetown's earliest efforts to assure econ-ernie diversification by persuading the railroad officials to extend their lines several miles further, has under-standably taken a place in Casetown's legacy of selfreliance and informal community planning. The Ditch System The most prominent symbol of local independence, cooperation, and far-sighted planning may be the com-munity's ditch systems. These ditches were built to carry water from the surrounding mountains to the area's prime agricultural land located on the mesas below. The con-struction of these ditches began around the turn of the century as a community-wide project, and they have con-tinued to be operated by the community. Wilson Rockwell, a historian of the area, applauded the construction of the ditches as a significant technical feat as well as an impressive planning and social feat. Of the Fire Mountain Canal, the most difficult of the ditches to build, he wrote: No development in the region took more courage and stamina than the building of the Fire Mountain Canal. It was one big ditch that was constructed entirely by 2Most farmer mines met their demise in the 1960's as a result of stricter federal occupation standards.

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218 the local people, who furnished both the capital and the labor. Contributions were made by the bankers and the merchants, the returns from their investment being stock in the ditch. The work was done by ranchmen who left their farms during the winter months, when their orchards and fields did not need attention, to dig through the frozen ground. Wages were low, most of which were payable in stock. At the company's yearly gathering in 1897 the secretary's report that of the 10,463 shares of capital stock that had been issued, 9,629 were for labor .. Not a stick of dynamite was used on the entire length of the canal through formations of shale, boulders, and hillsides. The rocks had to be pried out by hand and rolled away with teams. However, the ranchers were not afraid of toil and hardships, and at one time the laborers numbered sixty men with teams, the line reaching a mile long Ground was broken in September, 1896, and it took five strenuous years to complete the Fire Mountain Canal. When finished, it wound thirty-two miles along the north side of the North Fork River reclaiming nearly 10,000 acres of the thirsty highlands a mile or more above the level of the Farmers Ditch (an earlier, but smaller undertaking) (Rockwell, 1938, pp. 100-10 2) That these ditches still serve the irrigation needs of the community, attests to the effective planning capabilities of the early Casetown residents. The legacy of self-sufficiency, cooperation and hard work associated with their construction lives in memory: Hell, you asked me how this town has planned for itself and took care of itself all of these years! .. It's them ditches that [the] kids spent all summer swimming in, for one thing! The ditches live in practice as well, as their maintenance and repair continues to be done primarily through user associations, rather than by professional engineers and salaried maintenance men.

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219 Informal Social Service Network Casetown's history of planning and managing its physical and economic resources in an effective, although informal, manner has not overshadowed the community's attention to its social service needs. A researcher who recently studied the social effects of growth and develop-ment in Casetown and three other energy impact communi-ties, noted that the most impressive phenomenon of all was the way in which [Casetown's] local citizens managed to take care of those needed help" (Freudenburg, 1979, p. 286). At first, was suspicious of the "caring syndrome" that Casetown residents implied in statements such as: This place just seems to have a network of caring people--people watching for one another, taking care of one another. You see, nobody in this valley has ever really known hunger. And they won't ever, either, if there is anything I can do about it, although there's a limit to that, too. But even back in the Great Depression, while we all had to tighten our belts a little and make do on a little less, we didn't have the breadlines like some of the cities back East. You know, Bill, a big part of the reason for that is that these are really fine people around here they all take care of each other. Back when I was living in [the next town up the river] there were all different kinds of immigrants--Czechs, Poles, Albanians, Italians, Hungarians--and while different nationalities couldn't even get along with each other in some other areas, in this valley they really learned to get along, and to take care of each other, to watch out for each other. Whenever anybody got sick, or was laid off, or needed help of any sort, he was sure he could count on his neighbors to take care of him--and they were sure they could count on his help whenever they needed it. Nobody really thinks much about it most of the time it's just the way things have always been around here (Freudenburg, 1979, p. 287).

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220 After eighteen months of firsthand experience studying Casetown, the researcher came to report that the "caring syndrome" was not the myth originally suspected. Rather, he noted that Casetowns ability to provide for the short and long-term care for its members was informal, and a part of daily community living. A sterling example of the town s ability to accommodate its social services needs informally is illustiated Sy the following story of one of Casetowns residents. (This story is paraphrased from Freudenburgs [1979] account.) Lyle v7ayne Simpson was a member of the community who had been born with a birth defect that impaired his coordination. Although his appearance and behavior were different, he was not considered "just some side show freak... Rather, he had assumed an important role in Casetbwn, doing odd jobs. He delivered mail, money, clothes, emptied waste baskets, hung flags, shoveled snow and mowed lawns. Not only was Lyle's economic well-being attended to by the residents of Casetown, but his physical well-being as well. For example, if Lyle wasn't on the streets running errands by a reasonable hour of the day, local citizens became concerned and checked on him. At one point Lyle served an abbreviated stint in the Armed Forces, and was therefore eligible for its health and rehabilitation programs. Later, his father, thinking that Lyle might be benefited by the rehabilitation program, took him to the Fort Douglas admitting office in Salt Lake City, hoping to get him back on the road to good health. There Lyle was administered a strong sedative, strapped to a stretcher, and taken by ambulance to Ogden, Utah, where he was put on a plane to Travis Air Force Base and then to Fort Lyons Veterans Administration Hospital. He was kept there without pass privileges for three years because the personnel there thought he was mentally retarded. He was then transferred to a nursing home in Denver, Colorado.

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221 The citizens of Casetown, however, continued to inquire about Lyle. They finally decided he was hetter off in Casetown. Clawde Dawes, a [Casetown] resident, drove to Denver and brought him back, where he resumed his work doing odd jobs (Freudenburg, 1979, pp. 289-290). The community's proven ability to plan and co-operate to meet its members needs through "informal mech-anisms," rather than formalized planning mechanisms is impressive. There is little mystery about why most old-timers and natives of the community view formal planning by their local government as Unnecessary and even insult-ing. Local ethics have ihstilled in the residents a responsibility for the welfare of .their neighbors. That responsibility has been an important mainstay in the social fabric which has held Casetown together throughout the years. To turn it over to a more formalized planning process based on objective criteria is, in the eyes of many, to jeopardize the strength of that social fabric and remove the sense of self-worth and decency which seems to accompany such acts of social service. Yet, the local sentiment against formal planning is not limited solely to tradition and the spirit of informal cooperation and plan-ning. It is also due to the desire of many Casetown residents for greater prosperity through economic develop-ment, any threat to which is adamantly resisted.

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Traditional Decision Making Response Type: Traditional ways of knowing upon which the Traditional Decision Making Respon$e Type is based, do not foster or inherently value knowledge which is derived by objective methods; rather, traditional ways of knowing are based on culture. The Desire for Greater Economic Prosperity 222 It is likely that most, if not all, United States citizens desire greater economic prosperity. However, for a rural community such as Casetown, which has always sur-vived at an income level below the national average, the desire may be even stronger (Delta County Document, 1981). The community has lived through many years when the fruit crops were frozen and there was no market for coal. They have experienced the mechanization of the mining industry and the loss of mining jobs. They have suffered further loss in income when the small, private mines closed because they could not.meet the increasingly strin-gent mine safety regulations. They have seen their young people leave in pursuit of economic opportunities. All in there have been many instances of "holding out just one more year" in the hope that greater prosperity would come to Casetown. Local government activities which were thought to reduce the possibility of greater economic development--such as formalized local government planning--have historically been much less popular the "We'llwork-things-out-as-we-come-to-them" tradition.

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Recent Forces Which Have Contributed to the Planning Dilemma 223 "Until the 1970's," reminisced one local official, "it was easy. All elected people had to do was do what was cheapest. You know, what you figured the town could afford." The events of the 1970's, however, created con-sternation among members of the local government. They were aware that the local government might. need a more formal planning process despite its continued unpopularity among the general population. A major factor responsible for the disparity between the Trustees and their constituents on the prospect of formalized town planning evolved largely from the Trustees' unique role. The Trustees were directly responsible for providing for the onslaught of newcomers or "urban refugees" during the 1970's. This experience had alerted them to the challenges of addressing growth, even minor growth. The Urban-to-Rural Migration Casetown, described as "clean," "attractive," "quaint," and "a good place to live" by newcomers and old-timers alike, and where by national standards prices for agricultural land remained below average, found itself the recipient of an influx of urban migrants during the 1970's. These newcomers expected new services from the Casetown local government. These expectations ranged from

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224 parking meters, summer recreation programs, blinking lights and signals, to health programs, dog control, zoning, and more stringent building codes. Furthermore, the newcomers expected that the Casetown local officials would address these expectations according to businesslike decision making processes. When the local government failed to represent its new constituents in an objective, procedural manner, it found itself the target of lawsuits. An example of the nebulous, conflicting expectations that Casetown officials faced as a result of the urban-to-rural migration occurred recently. This example stemmed from a question of whether or not the town should spray for mosquitoes in the summer of 1980. Casetown is surrounded by irrigated farm and ranchl-and; it has long been plagued by summertime mosquitoes. These mosquitoes, in turn, have always been controlled by an aerial spray program. In 1978, some residents, mostly newcomers, grew increasingly vocal in their demand that mosquitoes not be sprayed because they feared the uncertain threat of the spray to their health, their gardens and their livestock. In the summer of 1978 an individual who had recently moved to Casetown and undergone a sex change operation sued for the effects the spray had on his hormone balance. The following year, the mosquitoes were not sprayed because the Town Fathers were afraid of further court action,

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225 despite the fact that spraying was continued in the remainder of the county and in neighboring counties. Lamented one Trustee: The mosquitoes were too bad that year, but not near as bad as the hell we paid. People would stop you on the street to show you their little kids with bites all over their faces. You couldn't sit on your patio and enjoy a glass of tea--all because about one percent of the population wouldn't allow the mosq4itoes to be sprayed. Most recently the Trustees held a special election to gain approval for a mosquito control district, the establishment of whichwill enable the town to spray again for mosquitoes. The struggle that occurred between dif-ferent segments of the community, however, had emphasized to the Trustees the fact they no longer represented a com-munity unified in its expectations of its local govern-ment. The Increased Emphasis on Coal Production Increased urban migration to the Casetown area, combined with a nationwide trend toward greater demand for services from all levels of government, were only one set of forces which intensified the Planning Dilemma which Casetown officials faced in the spring of 1980. The prospect of rapid development of fossil fuels and the label of 11 boomtown, 11 or 11 impact community, 11 set in motion another set of forces requiring a more formalized planning function within the Casetown local government.

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226 The Arab oil embargo in the winter of 1973-1974 triggered subsequent national programs and policies which greatly affected many small mining towns, Casetown included. This renewed national interest in developing coal reserves brought hope for greater economic prosperity to Casetown. It also brought apprehension, especially to the elected officials, about how to meet the service needs of a rapidly growing community. To them fell the respon-sibility of planning for-additional housing, fire and police protectiori, streets, water and sewer capacity. The Casetown officials considered themselves lucky, however, because they did not experience an immedi-ate surge in the development of coal resources or a popu-lation which doubled or tripled in the course of several years. Rather, Casetown's annual growth rate (including the Casetown service area) of between ten and fourteen percent placed it in a "boom threshold" category enabling the elected officials several years to prepare for the rapid growth that was expected to occur.4 The seven to ten percent growth that did occur between 1977 and 1980 was attributable primarily to the opening of one new mine on the edge of town and the expan-sian of several existing mines. This moderate growth gave 4Annual growth rates in the seven-to-ten percent range generally represent the boomtown threshold (U.S. Department of Energy, 1978, p. 1).

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227 the Casetown officials some first-hand experience and insight into growth management, or a "trial run," as they dubbed it. The early phases of one mine in part.icular-now the Colorado Westmoreland mine--caused considerable problems for the locally elected officials. In 1974, Colorado Consolidated Coal (CCC) announced that it would develop a mine near Casetown. (CCC later sold the site to Colorado Westmoreland.) The reason CCC chose to develop this particular site was that it was on a tract of 120 acres bounded by huge fields of federallyowned coal. If the portal, or mine opening, was built on this particular site--a site which also included an abandoned older mine--federal coal might be accessed without going through the federal environmental impact assessment process. Within eighteen months of CCC's announcement, the Casetown Trustees took the "hot seat," expressing their opposition to the proposed development to their Congressmen, to the company, and to the press. The Trustees said they did not object to developing the mine, but they did object to the tactics being used by CCC. It seemed that although CCC owned private land bordering the federal coal reserves, in order to access the old mine portal, they had to apply to the Federal Bureau of Land Management for an access road across federal land. Their lease application to the Bureau of Land Management contained a considerable

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228 amdunt of erroneous information. In it, CCC claimed the existing mine had been in continuous operation since it had been built, when in fact it had been shut down for most of the past several decades (Denver 1974, p. 1). Without the application being approved, CCC also claimed that "Casetown would be without an acceptable coal supply at this time" (North Fork Times, 1975, p. 8). The Casetown residents knew this to be wrong as there were numerous other sin all. mines in operation. Furthermore, CCC's plans to truck the coal traight down the main street of a neighboring town seven miles away made the residents' aggravation with CCC even greater. Several months "and .a few ulcers later," the Case town officials removed their objections to the lease application. They had managed to persuade CCC to correct the inaccuracies in the application. Also, in conjunction with officials from the neighboring community, they had alerted federal and state officials to the problems the neighboring town would incur as a result of the coal being trucked through its business district. This initial firm act of opposition by the Casetown officials was effective from their point of view. CCC was eventually granted permission to construct the access road across federal land, but only if it also agreed to transport its coal to an alternative rail siting which would not disrupt the neighboring town. Recollected both Trustees and citizens:

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229 We weren't used to doing that sort of thing. But it was good for us. It was sort of like the mouse that roared. We learned that if we make sense, you know, if we're right, we can get somewhere with these things.5 Back then, you know, it was practically unheard of for the Council to do such a thing. I suppose there would have been lots of townsfolk that figured the Council ought to mind its own business--but they were in too much shock to say it. Boy, do I remember that year! That's the time [the Editor]. was getting on his high-horse and lots of us finally realized .that this development stuff can be a two-way that was more like a six-way stop, now that I think about it. (Chuckle.)6 Usable Information: Usable information can be information acquired through A year later, Casetown officials found themselves dealing with a new mining corporation and new mine managers. During the year following Westmoreland's arrival, Casetown's officials attempted to work with the 5The use of two spaces between quoted phrases or paragraphs both means that both came from the same individual; three spaces between phrases indicates that they came from different individuals. 6when the researcher believes that case study information has especially illuminated some aspect of the decision making framework presented in Chapter III, she has noted the particular association in a box. These become the basis for Chapter v, where they are incorporated into a more refined framework.

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230 managers of Colorado Westmoreland in a cooperative manner. They took this approach despite local concern over Colorado Westmoreland's development tactics, and the inconsistencies in Colorado Westmoreland's attempts to mitigate its potential negative impacts on the community. Recollects one official of that period: Back in those days it was hard to figure out whether you were on the right track with them or not. About the time you'd say the verdict is in, they are SOB's, they'd _do something you couldn't help but like. One grin-getter was at this public meeting (they'd called on three hours notice by the way). The general operator was telling us they'd tried to drill for water so they wouldn't be using the farmers'. He said that we.would be glad to know that this here water well had turned out to be a 7,000-foot-long air storage tank and that they were donating it to the town. The newspaper articles of that period portrayed the community sentiment as volatile and reactive. Editorials questioned the "cooperative" approach of the locally elected officials toward Colorado Westmoreland. The Trustees recalled that their attitude had been one of cooperation because they believed that it most closely reflected the sentiments of the majority of the citizens. Hell! Most folks thought we wasn't cooperating enough. By always calling us a bunch of dumb bunnies, [the Editor] actually made life easier. The townsfolk, instead of paying attention to what we were doing--which was a good thing because we didn't know ourselves a good deal of the time--mostly automatically took our side because they'd die and go to hell before they'd agree with that sucker [the Editor] on anything.

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231 Another recalled: Back in those days we didn't really know what impact mitigation meant, even though we'd hear it now and again from some state bureaucrat or [the Editor]. When we began to hear what Colorado Westmoreland was going to do, it was sort of an eye-opener. We knew we weren't up to snuff. Usable Information: Usable information may be information which is acquired from visceral responses such as fear. And another: How could we not have cooperated. They had plans, and graphs, and seemed to have Casetown's best interests in mind--and we had nothing different to suggest. We simply had to take our signals from them and hope for best. v1e knew how to get on our high-horse when something was really bad, like with CCC's stunts, but these guys, you never had to do that with them. You know, I think we wanted to see them as completely O.K., because if they weren't, we'd have been up a creek without a paddle ... or a plan! Traditional Decision Making: People who are accustomed to the Traditional Decision Making Response Type will require new skills in acquiring and using information before they can readily engage in another Decision Making Response Type. Many of Colorado Westmoreland's activities pro-vided impressive examples for the Trustees and the com-munity. For example, to prevent some of the problems known to occur when large numbers of workers are brought in for the construction phase of a project, the company

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232 encouraged workers to in several towns instead of just Casetown. They also phased construction so that less workers were employed, but employed over longer periods of time. The company volunteered to install a more expensive "dust free" rail siding and coal loading operation to eliminate a major potential nuisance. It engendered further goodwill by preserving most of the agricultural land it had bought as a right of way from the mine to the loading facility. Finally, Colorado Westmoreland hired women miners. The creation of more jobs for local women, plus the reduced need to import miners from else\'lhere, quickly offset the opposition that this policy initially received. Summarized one observer: Aside from the visibility of the mine on the hillside, the presence of coal silos, and the additional trains on the valley floor, the effect of the new mine on the lives of the valley's residents has been relatively minor In the eyes of the locals, [Colorado] Westmoreland's economic impact has been clearly favorable (Freudenburg, 1979, pp. 129-132). but as that same observer concluded The story of development in Casetown is by no means over, and the people of Case town are by no means the only actors (Freudenburg, 1979, pp. 129-132). Recognition of the Planning Dilemma Emerges within the Casetown Council The Effects of Development on Casetown The lesson most Casetown residents learned from the industrial development of the 1970's was that the economic benefits far outweighed the social costs. How-ever, the lesson for locally elected officials was

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233 somewhat different. They came to realize that the "good" that they and their community had experienced was due primarily to the relatively slow rate of growth and the ingenuity and cooperation of Colorado Westmoreland. They further learned that even the seven to ten percent growth rate experienced during the last half of the 1970's had created a strain, albeit manageable, on existing facilities and services. They knew this. growth rate was low when compared to that of other energy-impacted towns in the region. They further recognized that even a seven to ten percent growth rate sustained over several years would require additional roads, sewer and water systems, parks, housing, policeand fire_ protection. If the growth rate escalated, as was almost certain to happen, such services would be required according to a time and production scale unprecedented in the history of the community. They had found that generating the money to meet a seven to ten percent growth rate had been a formidable task. (Casetown had been economically depressed, with a disproportionate number of residents living on fixed incomes.) The prospect of providing capital to meet the needs of even more rapid growth, was of great concern to the Trustees, as the following comments indicate: What are we to dol Tax the little old ladies for growth that may or may not occur? And then when it

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comes, the inflation will be so high they won't be able to live here! 234 You know, some of us are smart enough to know that those who didn't leave, who remained in this town, haven't made the money that those who left have. This is partly because those who stayed are conservative. They won't take risks with the money they have-including building these things in advance. When you think about it, we're the worst place to be thinking about this lead stuff. This whole town has always preached that it was right to pay in cold cash and to save your money and wrong to do anything else with it. Can you imagine saying to the people in this town, "Hey! We re going to tax you for something that may hurt you if it happens, and you'll be paying for somebody elsethat you might not even want in your community. Not only that, guys, we're not real sure it wi 11 even happen!" I m here to tell you that's a tough pill to swallow, and a tougher one to sell. The Trustees knew that alternative funding strategies such as selling bonds or raising taxes would be difficult because of the economically depressed condition of the town, and because of the reluctance of the citizens to mortgage their future. To make the dilemma worse, the Casetown officials recognized that they did not have the administrative skills to acquire front-end assistance from the indus-tries, and the federal and state governments. These types of funding strategies also Casetowns heri-tage of "doing it themselves." Reported an elected official: There is one other thing that bothers me--the whole thing leads us to go ask other people for help, like some bunch of beggars It goes counter to asking what we can do for ourselves. I think we run the risk

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235 of to ask, "How can we do it?" (Freudenburg, 1979, p. 79). Usable Information: Usable information is information which causes decision makers to ask: "How can we do this?" Thus, the Casetown officials of the late Seventies were frustrated by their increased awareness of the prob-!ems associated with the growth of the coal industry. Yet their continued experience in managing such growth pro-vided them with insights they found helpful. Two major experiences of the late Seventies stood out. What they learned as a result, continues to affect the way the Council addresses current-day problems.? One of these was the Trustees' informal relationship with Colorado Westmoreland, and the firsthand glimpse of busi-nesslike approaches that this relationship enabled. The Trustees were impressed with Colorado Westmoreland's plans which included numbers, timetables, charts, options, and dates for phased development. They were impressed by Colorado Westmoreland's contingency plans. Additionally, watching Colorado Westmoreland's plans implemented on a day-by-day basis provided for the Trustees and the com-munity an impressive example of the coordinated develop-ment of a facility. The result was that Colorado ?several of the most prominent Councilmen in 1980, had also been Councilmen during the mid-1970's.

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236 Westmoreland carne to enjoy the respect of the Trustees and all but a "vocal minority" of the .community. In addition to Colorado Westmoreland's develop-rnent, a second experience of the mid-1970's remained in the minds of the Trustees in 1980. This was their exper-ience at planning and developing a new water project. The process of gathering the information, deciding to proceed, acquiring engineering plans, developing financial plans, and negotiating financial assistance, and then finally building the project over a period of several years had contributed to the Trustees' sense of ability and accornp-lishrnent. Said one Councilman: I learned so much from that. You know, all of us are small businessmen. We never have to do anything near that complicated, even though things are changing. That one, well, we had to think it through, plan it through, study our options, and get a lot of engineering help but, by golly, we did it! It was so hard though, and frustrating. I don't know if I would do it again. Usable Information: Usable information is created through the act of participation. Usable Information: Usable information is information which provides guidance on how something can be accomplished. Problems Which Related to Planning The experiences associated with the increased growth and development of the last half of the Seventies left a legacy of increased awareness and skill in the

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management of growth among the Casetown Council. Unfortunately--as most current day Trustees readily acknowledge--the skills they have needed have not kept pace with the level of their awareness. Developmental Decision Making: For the Developmental Making Response Type to occur, there must be both adequate information and the skill to use it. If one or the other is lacking, Developmental Decision Making cannot occur. 237 And neither has community sentiment kept up with the Trustees' increased awareness of the importance of planning. Despite the Trustees' desire to apply businesslike" planning procedures to growth-related decisions, they have often failed to do so. Reported one Trustee: It's one thing to have notion of how a fellow ought to be doing these things, but it is another thing to actually do it--especially when lots of the townspeople see us as getting to be a bunch of bureaucrats, or if you'll lose an old friend because the decision would go against him. I'm here to tell you, it isn't as easy as it sounds. I have to get out of this job [as Trustee] before the ball gets rolling too fast. See, I really am used to trusting what folks say. With that Westmoreland thing, the Editor accused us of being too trusting, of taking them on their word. But that's the way we are used to doing things. This community has always treated people right, and they treat us right in return. It has never failed I know now that Colorado Westmoreland could have taken us to the cleaners and that we've just got to change fast or we're going to get burned, but I just hate the alternative so much I've just got to get out!

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2.38 Developmental Decision Making and Technocratic Decision Making: The information generated by both the Developmental and Technocratic Decision Making Response Types can threaten the values of the individual decision makers to the point where they feel they must withdraw from the process. The most prominent examples of the Trustees' re-luctance to undertake more formalized, businesslike planning and management functions have been manifest in their annexation and land-use decisions. For example, in recent years, the major annexations to the town have been on land geologically unsuited for residential development. In one instance a hillside composed of shale was annexed. The houses and the streets in that area subsequently experienced cracking and flooding. As each new problem has emerged, the citizens have questioned the town's responsibility for the situation, and the Trustees' wisdom in having annexed the land. An even more problematic situation has evolved from the Council's decision to annex a subdivision site located on a floodplain. This decision was made despite the knowledge that the site would flood periodically and that the county had already rejected the proposed land use. Reasoned the Trustees: "Everyone knows it can flood once in a while. If they choose to build there anyway, it's their right." The Trustees failed to examine whether or not the town would incur legal responsibility for pro-tecting the subdivision--its protection being accomplished

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239 only through expensive alteration of the river channel. As luck would have it, the river flooded two springs sub-sequent to completion of the subdivision. This required the town to spend a considerable portion of its maintenance budget to control the river. This, in turn, angered the majority of the citizens who believed "Anyone dumb enough to build in a floodplain, deserves what he gets!" A third set of planning-related problems have occurred because of the Trustees 1 .inconsistent application of subdivision requirements. !n one instance, narrow roadways were approved. Although the cost of development was reduced, the Trustees1 action also created charges of favoritism by builders and residents of subdivisions who were required to abide by more extensive, expensive build-ing requirements. They angrily attributed the irregular-ity in development requirements to the friendship that existed between the developer and certain members of the Council. The Council1s Dilemma: Whether to Undertake More Formalized Planning, or Continue as in the Past These, then, were the historical forces which culminated in a set of planning-related issues of consid-erable importance to each of the Trustees. These issues were the result of a set of conflicting historical forces. On the one hand, the community of Casetown had an impres-sive record of planning on an informal basis, and a history of taking care of itself. The majority of the

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240 residents welcomed energy development because they hoped it would boost the economy and provide jobs for their children. They saw little reason for the local government to regulate economic growth by means of formalized plan-ning and its accompaniments. The community's major experience with "boom," after all, had been perceived as positive by most citizens. The classic problems that could have accompanied energy-related growth--such as increased crime, drug abuse, overcrowding, and shortage of public services--had not been prevalent during the growth period of the 1970's. The locally elected officials, while holding some of the pro-development attitudes expressed by the. community, had come to recognize that, indeed, their "ballgame" had changed. They knew they needed to adopt more professional management functions if Casetown's future was to be determined by Casetown instead of the courts, industry, and fate. However, they were impaired in doing so because they lacked skill and exper-ience with businesslike procedures, and because adopting a formalized planning function required them to change some deep-seated values that they and many of their constitu-ents held. The result was that by 1980, the Trustees had chosen to avoid the issue of formalized planning al-together: I'll bet you could pretty much sum it up this way for most of us. There probably isn't a one of us who hasn't laid awake at night kicking himself for being a chicken you-know-what when it comes to really taking hold of this thing. But man, the odds just seem

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241 unfathqmable. I mean, we don't really know how to do it. We don't know how to sell it to t,he people, and we got so many other problems crashing in. I know you must be thinking that we don't understand how this backfires--that. we're just always fighting fires started by sparks of a bigger one. We do know though. We just won't admit it. Traditional Decision Making: made using the Traditional Decision Making Response Type tend to be more short-lived than those using.the Developmental Decision Making Response Type. The only time we ever really talk about doing things more businesslike (you can't use the word "plan" around here, by the way, unless you want someone to call you a Communist) is right in the middle of a big mess we're having to straighten out. Then, it's the sort a thing we all seem to understand--you can't talk. about it anymore because we've got too much to deal with already. Forces and Activities Which Stimulated Work on the Planning Dilemma Environmental Forces During the spring of 1980, several sets of factors brought the issue of formalized planning to the full attention of the Casetown Council. The first set of factors emerged from the local election held in March. Although the election received considerable public atten-tion because of the Town Manager Issue, the election platforms remained more politely focused on Planning.8 8The Town Manager Issue was the first case study of this project and is presented earlier in this chapter.

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242 Of the seven candidates (including the incumbent woman Trustee) running for the three vacant Trustee seats, five pronounced themselves supporters of "managed growth." The sixth candidate's position on growth was not clear; the seventh candidate was not known to hold any definite position with regard to growth or anything else, for that matter. (When asked for interviews, his standard response to reporters and others was, "If people don't know me, then the heck with it!") Two of the candidates promoted the idea of using water and sewer permits as "effective planning tools" for regulating growth. A third candidate promised that if elected he would assure that the Council "look at all aspects of growth-related decisions, including future ones" before moving ahead. This candidate also advocated efforts to acquire more of Casetown's "share" of state grant monies, some of which required the existence of a comprehensive plan. This issue drew considerable public interest, since Casetown was the center of the area's coal industry but had been relatively unsuccessful in acquiring impact monies.9 A fourth candidate advocated commercial zoning. He further accused the current Trustees of practicing "obsolete" 9Actually, Casetown was receiving, at the time, between one-fifth and one-tenth what the surrounding communities were receiving, despite the statistics which showed it as the most heavily impacted (North Fork Times, 1979b, p. 1) 0

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243 management techniques, and advocated commercial zoning. The remaining candidates were less explicit in their positions with regard to growth management. Nevertheless, growth management remained the most prominent, publicly expressed issue of the campaign. All three seats were filled by its proponents. A week before the election, another major event occurred which heightened the importance of planning. Atlantic Richfield Company (ARCO), one of the nation's largest energy corporations, announced that it would open a mine near Casetown, "regardless of the coal market." Accompanying their announcement was a socio-economic study. This study projected enormous growth for Casetown and the surrounding area in the following eleven years, stating that other communities within the county were better able to absorb additional growth than Casetown. The st-udy went on to warn that Casetown could nevertheless expect to bear the brunt of the growth (ARCO, 1980). (The growth was predicted to quadruple the population over a period of ten years.) The seriousness of Atlantic Richfield's predictions was heightened by the fact that the impact would, of necessity, be absorbed by Casetown, while most of the tax revenues from the operation would accrue to one of the adjacent counties. (The nearest county line is only six miles from Casetown.)

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244 While the community was responding to the campaign I rhetoric and the highly publicized ARCO announcement, the Trustees were grappling with the less of the day. In one instance, the Council hastily agreed to grant water taps and sewer permits to a developer. They made this knowing that it would further strain the town's sewer system, that an unresolved boundary dispute remained, and that there was inadequate road clearance to the proposed site. Two. weeks later, they were forced to make an embarrassing retraction. The incident, not surprisingly, fueled the campaign that was in progress. In another instance, the Council was forced to hastily revise plans for building a park due to the inade-quacy of the original cost estimates. Traditional Decision Making: In the Traditional Decision Making Response Type, new information is often acquired by trial and error. Finally, the most worrisome issue faced by the Trustees was what to do about containing the spring floodwaters. Although the Council had assured the community immediately following the previous spring's flood that flood control efforts would be undertaken, they had failed to do so. Consequently, as one observer noted, since the winter's snowpack had been heavy, the "damned river" was

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245 certain to flood and threaten the "damned subdivision," and the "damned shitponds." The "damned townspeople" would then likely lynch the "whole damned Council," which would, in turn, be a "damned shame or a damned blessing," depending on your point of view. What all these issues--the election, the annexing, the imminent flood waters--had in common was that they indicated that the Trustees were not managing effectively the growth that Casetown was experiencing. Adding insult to political injury, the local Editor on his "April Fool's Day" page, awarded the Casetown Council the "Riverbottom Estates Award from the Hasty Planning Institute of America" (North Fork Times, 1980a, p. 9). Thereafter, mistakes made by the Council on growth-related decisions were dubbed by many as the "01' Riverbottom Estates Syndrome." The same week that these many growth-related management problems occurred, the election resulted in two new Trustees, a new Mayor (who ran uncontested), and the re-election of the female Trustee. The Dissertation Research Project The second set of circumstances which contributed to the Trustees awareness of formalized planning emerged from a capacity-building project they had undertaken in conjunction with this doctoral student's dissertation research on boomtown management. As the previous section

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of this chapter indicated, the Trustees had undertaken the project primarily as a new means of addressing the pro-blems they were experiencing with the role of town man-ager. However, as work progressed toward solving that problem, they realized that it was actually symptomatic of a larger problem--that of outdated organization structure and management functions. A written report The first time the Trustees began to view the all-consuming Town Manager Issue in a broader perspective which included planning occurred in response to a written report. This report, presented several models by which local governments organized themselves. It related organ-izational structure to the management and leadership responsibilities of local government. A significant por-tion of the report either directly or indirectly addressed the planning component of management, especially strategic management. For some who read the report, especially those from the "Old-Time Coalition," the relationship be-tween planning and effective management was overshadowed by the desire to acquire information that related directly to the Town Manager Issue.lO lOThe phrase "Old-Time Coalition" originated with the researcher. It was based on references which were continually made to.the "old-timers," this group of three men--the Mayor, Trustee X, and the Manager.

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Usable Information:Information focused on other than the most salient, unresolved issues of the day, may not be used to the degree possible. 247 For others, however, the relationship was not overlooked and, in fact, piqued the curiosity of two Trustees. These Trustees requested of the researcher information on methods of formal planning used by other rural, local governments. One Trustee later recalled: I was so sick .of the Manager, and the situation with him, that I was really trying to read that report without that whole situation cropping up to churn my stomach. For me, it was that element in there about preparing and following through, you know, that jumped out at ine. I said to myself, 11 If we did more of that, we'd have a charice of being controlled by something other than the schemes of and the Manager." Developmental Decision Making: With the Developmental Decision Making Response Type, objective information comes to be valued more. As this occurs, the personality characteristics of the decision makers and othe.r subjective factors come to piay less of a role in making the decision. Interviews Immediately following the report, each Trustee devoted one and one-half to three hours to interviews with the researcher. Many of the interviewer's questions dealt with planning and financial management, rather than the Town Manager situation. Responses to these questions were more general and factual than the lengthier and more emotional responses elicited by later questions about the

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248 Town Manager predicament. These responses served to create an awareness and deeper understanding by the Trustees of the structural reasons behind some of their r>roblems. For example, by the end of the interviews, five out of seven of the Trustees had begun to talk about the Town Manager problem as the 11Town Management Issue, .. or as 11not just being [the Manager] ... Trustees who had not been part of the Old-Time Coalition were the most inclined to comment that the interviews had increased their tion of the role of planning. I really got a lot out of that talk the other night. When you left, I felt like I'd gotten a lot off my chest. What stuck with me though was the way so much of what we talked about seemed related to us doing things in more logical, set-type way, instecid of each thing willy-nilly. That was a good made me think, rather than just get angry. For the first time I can begin to see the forest through the trees. That's because I can sometimes glimpse how to get beyond this predicament with the Manager ... This might include us planning and 'trying_ some new things. I know we are in the thick of it with the Manager, but I hope this project is going to stay on the high road. Usable Information: Usable information can produce a motivating effect by providing the decision makers the feeling they have greater control of a problem. Developmental Decision Making: Unlike an issue corning to an impasse in the Traditional Decision Making Responses Type, the Developmental Decision Making Response Type assures that the information will be collected to resolve the impasse, rather than waiting for external events to change, as is the-case in the Traditional Decision Making Response Type.

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249 t-7hile these two individuals reported that a sense of assurance accompanied their increased awareness, several others did not. One Councilman said: You really wonder about yourself when you sit here agreeihg that "Yes, we need more standards for building and annexing, and we probably do need a way to be fairer to everybody besides those who know us. And it is our responsibility for having a plan and for knowing how wewant.this place to grow." Yet you also know that those things run against the grain of the way things have usually been done. And you still like to trust people, and give each person's problem some special attention if you can. See, that's why I have to get out. I want my grandkids to have this town to be a good place to live. But sometimes I think that what that takes is too hard on me. It just runs against my nature to do things that way. Usable Information: If information creates excessive stress, it is not usable because it is ignored, denied, or elicits an oversimplified view of the world and a reliance on rigid, dogmatic positions. Immediately following the election, the two new Trustees (the veteran female Trustee won her bid for re-election, filling the third vacant seat) and the new Mayor received copies of the project report and participated in the interview. The new Trustees who had no previous experience in local government, and minimal understanding of the conflicts and complications which continued to exist within the Council, reported the interviews to be less thought-provoking than did the veteran Trustees. One respondent who had been asked to prioritize a list of

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250 local government responsibilities (an interview component which the veteran Trustees had reported as useful), said: I feel like I should be giving some of these problems higher marks than other problems. But it seems clear that they are all important, that they are all things I was elected to do. I mean, I don't even understand the point of this. In the interviews the new Trustees discussed in greater length what they hoped could be accomplished during their two-year term. Many responses had to do with managing the town in a more aggressive and businesslike way. The Mayor had campaigned to return the local government to the "orderly, simple" process he knew it to be from his experience as a Trustee some two decades earlier. He was therefore cautious in answering interview questions designed to elicit information about the relationship of problems to functions and procedures. Although his public campaign emphasized simplifying local government, his private talk had focused on "getting control of the Manager." The r1ayor had also brought to the interview his copy of the report. He said he hoped to institute the "strong mayor" form of government and thereby put the Manager in his place. (This option had been included in the report--see Appendix B.) In sum, the information from the report and the interview had affected

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251 the Mayor in a highly selective manner: he grasped what pertained to his personal goals and expectations and avoided acknowledging other factors. The interviews resulted in requests from five of the seven participants to hold a work session on their management problems. The interviews also generated a good deal of information about the Trustees' ambivalence toward planning. This ambivalence continued despite daily evi-dence that a lack of local government planning was costing the public. Although most Trustees generally acknowledged that "more businesslike ways of making decisions" had to occur, how and to what degree was not at all clear. They recognized that the community faced a set of formidable forces against which informal planning and management procedures of the past were not adequate. However, they did not feel confident that they had the knowledge or exper-ience to instigate management techniques to remedy the situation. They were also hesitant to let the public know they were considering such action. The citizens would see that as a cop-out. They're looking for us to fire the Manager and nothing else will do To say we're going to do these other things is no substitute. Well, it does seem like there are a lot of loose ends the way we operate now. I'd be for anything that would clean them up. But a guy would have to have it pretty well figured out what and why before you'd try to sell it to this group of rednecks [referring to the citizens].

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Developmental Decision Making: Decisions which evolve from the Developmental Decision Making Response Type must hold up against public sentiment. In the rural, small town setting, public sentiment often evolves from traditional ways of thinking. 252 Furthermore, those Trustees who had been born and raised in the community shared the community's ethic of informal self-sufficiency. Even though they acknowledged the need for more regularized, rational decision making procedures, the prospect remained at odds with their basic values and beliefs about the appropriate role for local government. Finally, for the Manager and possibly others, such management procedures were a direct threat to the discretion they had enjoyed, and ironically, by which the Manager had been trapped. Planning a work session The work session was scheduled. All but one of those who would participate assisted the researcher in developing the plans for the session. Several noted that the opportunity to design such a session was a new exper-ience which they liked. Commented one: What we're doing here is what we should be doing with other meetings. I told you before, lots of times the only way we know whats going to happen at a Council meeting is to keep our ears to the pavement. I like this. It is not as easy as I thought it would be, though .... I mean, it means we have to know what we want out of this thing, and that's required some thinking ahead of time.

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Developmental Decision Making and Usable Information: The Developmental Decision Making Response Type enables the decision maker to assume more responsibility. In addition to reacting to events, with usable information comes the ability to anticipate events. 253 A third Trustee noted that the experience of planning the event made him feel more in control and less apprehen-sive. However, the Manager, who had been accustomed to setting meeting agendas and strategizing with Trustee X, found this deviation in procedure disconcerting. Several times during the week immediately preceding the work session, he appealed to Trustee X to persuade the researcher "to cooperate." At one point, he appealed directly to the researcher, saying: You have been a grave disappointment to me, as I've told you once pefore, I think. I thought you were here to help this situation Those bastards can't know what they're doing. Hell, they can't find their' ass with both hands. Maybe if you tell me how this is shaping up, we can get it to the point where it will work. His offer was declined, although he was asked to con-tribute to the agenda in the same manner the other participants had. Thus, the effects of including all the participants in planning the agenda for the work session varied, but were mainly positive.

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Participation in the work session One segment of the work session was devoted to the researcher reporting the cumulative results of the inter-views. This occurred as the Trustees were anxiously resettling for the.afternoon. The report featured responses in the following areas: 1) what the Trustees foresaw as the major issues to be faced by the community: 2) what the citizens should expect from the town government in the coming years; 3) what objectives the Trustees would like to set for themselves during the coming years, and 4) how the Council might best meet those objectives. This verbal report also included the functions that the Trustees associated with responsible management. Immedi-ately following the presentation, one of the new Trustees offered a comment: "Looks to me like what we need is a good plan." Several of the veteran Trustees responded to his statement, noting that they had been thinking about doing that for some time: Now, [Trustee B), you haven't been around long enough to be scrapping with any of us. I think we'd all be sad to see you hung by your heels, which is exactly what's going to happen if you're not careful where you use that word outside of here. (Chuckle) Folks here think planning is zoning, and zoning is communism, and maybe planning is too. The researcher commented that many of the neighbor-ing communities had developed something called a "compre-hensive plan." She noted that it was actually a strategy for growth which either directly, or indirectly, related to almost every item they had identified. The Trustees

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255 responded with many questions, and a new-found enthusiasm and curiosity seemed to be developing about comprehensive planning. Shortly thereafter, the researcher tabled the issue, enabling the afternoon work session to proceed according to the Informal remarks made after the closing of the work session indicated that the interview results had impressed at least several of the Trustees. That was a damned good way to remind us that we did all seem to agree about some things that we really need to get straightened, without blaming so and so, or so and so. Several other Trustees associated it wiih former decision making habits. I was 16oking-for any excuse not to have to face that issue [the Town Manager Issue]. I would have even been willing to discuss planning all afternoon if it meant not getting on with that other problem. I am just so damned sick of it. But I know we've got to gut it out. -Developmental Decision Making: By nature, the Developmental Decis1on Making Response Type is likely to require a longer deliberation time than is a decision forthcoming from the Traditional Decision Making Response Type. Developmental Decision Making: The Developmental Deicison Making Response Type may be used to avoid making an immediate decision. Developmental Decision Making: The Developmental Decision Making Response Type may not be the appropriate Response Type for decisions which require an immediate decision.

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256 responded many questions, and a new-found enthusiasm and curiosity seemed to be developing about comprehensive planning. Shortly thereafter, the researcher tabled the issue, enabling the afternoon work session to proceed according to the meeting's design. Informal remarks made after the closing of the work session indicated that the interview results had impressed at least several of the Trustees. That was a damned good .'VTay to remind us that we did all seem to agree about some things that we really need to get without blaming so and so, or so and so. Several other Trustees associated it with former decision making habits. I was lookihg for any excuse not to have to face that issue [the Town Manager Issue]. I would have even been willing to discuss planning all afternoon if it meant not getting on with that other problem. I just so damned sick of it. But I know we've got to gut it out. Developmental Decision Making: By nature, tne Developmental Decision Making Response Type is likely to require a longer deliberation time than is a decision forthcoming from the Traditional Decision Making Response Type. Developmental Decision Making: The Developmental Deicison Making Response Type may be used to avoid making an immediate decision. Developmental Decision Making: The Developmental Decision Making Response Type may not be the appropriate Response Type for decisions which require an immediate decision.

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257 The plans for the remainder of the afternoon session were then reviewed, and each Trustee was asked to reaffirm his or her agreement. Categories of problems were listed. These problems had been organized by the researcher using the information collected in the interviews and the individual planning meetings. The purpose of this listing was to stimulate and focus the afternoon's discussion. As the issues were discussed and debated, it was agreed that the researcher would list the possible solutions. It was also agreed that at the end of the discussion of each major category of problems, the Trustees would list actions, or possible actions they would take to address the problems. They would also who would be primarily responsible for implementation. The three major topics, and the manner in which they were addressed, were fully described in the earlier account of the Town Manager Issue. The Planning Dilemma was, at this point, not considered an issue of immediate importance, nor had an individual Trustee emerged to take a lead role in developing it. Nevertheless, throughout the work session, various types of information arose which reflected the inadequate planning and coordination that existed within the Casetown government. In subsequent months, as the Planning Dilemma grew into an organized policy initiative, references continued to be made to

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258 information which had emerged during this particular segment of the work session. The first of the three major topics dealt with the pattern of unequal participation in decision making due to inadequate or unequal amounts of information held by the Trustees. Said a Trustee in reflecting on this discussion several months later: You know, when we talked about certain people making all the decisions that time in the work session, well, did you ever stop to think that if we made certain decisions in a certain way that made sense and everybody understood--then those certain few wouldn't make so many decisions. It would mean that not every single thing would be up for grabs--and you know who always gets his way when that happens! Usable Information: Usable information has the tendency to equalize political influence. Usable Information: Information pertaining to the decision making process is usable information. And another Trustee commented: Boy, that talk we had about [the Manager] and [Trustee X] making most of the important decisions really had an effect on my thinking about what a comprehensive plan could do. But if we all agree that this is what we want to do--say with the subdivision decision--and these are the things we are going to be taking into account--all the things we'll have to do if we put together a comprehensive plan--then the people would have a better idea what to expect from the Town Council, and it would cut down considerably on the politicking.

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Usable Information: Usable information is information which stimulates people to think beyond the immediate problem when making a decision. 259 The second of the three major topics focused on the lack of citizen involvement and the fact that it re-quired the Council to second-guess the desires of the community. The emotional nature of the Trustees corn-rnents, the length of time they devoted to the topic, and the fact that it was mentioned later outside the work ses-sion indicated the concern and guilt they felt about it. Although short-term remedial measures such as developing and posting agendas before Council meetings were readily offered, the Trustees had more difficulty determining long-term strategies. Having little knowledge about for-rnalized community planning, they did not associate it with the issue of citizen participation. However, the unre-solved status of this particular topic, along with guilt that appeared to accompany it, became primary factors in later recognition of and support for comprehensive plan-ning. A response which typified the guilt that three Trustees had openly expressed during that segment of the work session: We're supposed to be staying in touch with the people of this community. Ten years ago that was pretty

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260 easy. You'd walk down the main street and know everybody you met. But now you don't, and half of them you're not sure you'd want to. But that's not right, you know, not in the position we are in. usable Information: SubJective 1nformation such as fear, anger, and guilt can be forms of usable information. Chuckled the Manager: Yeah, and the poor buggers can't even vote you out of office because most of them live out of town. The third and most salient topic addressed in the work session was whether to revise the role of town manager and whether to retain the current Manager in that position. Soon after the topic emerged, the discussion became emotional and was terminated.ll 80\'lever, enough information had emerged for it to be evident that part of the problem lay with the Council. They had not provided sufficient policy guidance, and had left an unprecedented amount of discretion and authority to one, non-elected town official. The relationship between comprehensive planning and the problems addressed at the work session was under-stood by only a few of the Trustees. This was, in part, because the Trustees believed that their most immediate task was to resolve the Town Manager Issue. A second, llFor further description of this critical incident, the reader is referred to the Town Manager Case Study presented earlier in this chapter.

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261 more fundamental reason was that they simply had little knowledge about formalized planning, and therefore could not an association between it and other elements of management. One veteran Trustee said to the researcher the evening after the work session: Were you serious when you mentioned that comprehensive planning might be an option? I thought that was way off-base, I mean all that is zoning, right? I flat don't believe in zoning! A new Trustee who had reacted to the report of the interview results by indicating his interest in formalized planning, said: I think I see how lots of things besides that you gave us fit into planning, but it's going to take time. They're going to have a hard time getting with that until they get their other business settled, don't you agree? Developmental Decision Making: Developmental Decision Making is incremental decision making. Each addition of usable information can potentially expand the decision maker's willingness and ability to reformulate problems, generate ideas, and devise new solutions. The recognition of formalized planning appeared pre-empted by the more salient problems of the day. Nevertheless, the information that was generated became part of an ongoing, Developmental Decision Making process which eventually resulted in a comprehensive plan for Case town.

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Visit from State Officials and Emerging Environmental Problems Two incidents served to connect the Trustees' 262 awareness of the problems they were having with the lack of formalized planning. Both occurred within six weeks of the work session and received considerable attention from the local press, which tended to indict, in one way or another, the Trustees' ability to manage and plan. These indictments were further heightened by the problems the town was facing from the spring thaw. Of critical importance was the fact that the river had not been properly banked since the flood of the previous year and was. again threatening the homes built on the nearby flood-plain. Also, the hOmes built on newly annexed hillsides were experiencing foundation and slippage problems because of the spring thaw. The Trustees' recognition of planning as a viable approach to their growth problems first emerged as a result of a meeting with representatives from the state's department of local affairs. The primary purpose of the meeting was to update the Trustees on a state-funded "energy impact program". The first hour of this meeting was spent discussing the general lack of progress made on Casetown's most recent public works project. This project consisted of street improvement, water main improvement, and the revamping of the town's irrigation system. The remaining half-hour of the meeting was devoted to an

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263 impromptu presentation by the state official on benefits other communities were experiencing as a result of plan-ning for growth in a way that Casetown was not. In con-eluding, the state official noted that Casetown was one of the few communities which had not requested impact money for comprehensive planning, but whose odds of receiving it were high, should they decide to apply." In an informal discussion among Trustees irrunediately following the meeting, comprehensive planning was addressed further. The discussion quickly resulted in an impasse, however, as each person talked about his or her concept of what a comprehensive plan was, or what planning was not. Typical of those remarks were: It's zoning, ain't it? Well, no, it's one of them maps that shows you what kind of soil conditions exists. It's more like an aerial map that shows the whole area. I think it's what the county does; it sort of tells you where you can build It's all those things, but it's ordinances, too, and bonding and debt planning. Trustee X quickly advised: We'd better get more information before we get into this. God knows we've got enough of a fight going already without getting ourselves into another. This comment was followed by tension-reducing laughter and general agreement.

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264 Usable Information: Usable 1nformation may be information which indicates to the decision maker what he does not know. This indication provides direction tohis search for information. Developmental Decision Making: For the Developmental Decision Making Response Type to address unfamiliar issues, the decision makers must have access to objective information about that issue. The attention to the issue of planning was pre-empted by an incident between the Town Manager and the local newspaper Editor.l2 This conflict had the effect of diverting the Council's attention from planning, and refocusing it on "getting back" at the Editor, and lending their unquestioning support to the Manager.. Reported several Trustees: [Trustee X] goes to and from the Town Hall by the alley and the back door. Me, I don't go at all [referring to the main street]. I even have my wife pick up the mail because I just don't want to know any more! Have you talked to [Trustee X] yet? Well, this time we've got ol' [the Editor] and we're going to make him eat crow! One side of me just gets mad as hell. I went home thinking 1 would call you and ask you to get us some stuff on that planning deal, but then this came up and I totally forgot it Would you do that by the way? You know, when it's eating at your guts, 12This incident became known as the "Shouting Match." It is documented more fully in the Town Manager Issue, which comprises the first case study of this chapter.

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265 all you can do is think about it. I also know that this place has a way of having things like that [the conflict between the Mayor and the Manager] every so often. It's our own local sport. You watch! The whole place will be buzzing over this one. An editorial reprimanded the Council for its refusal to establish more professional planning procedures, noting that: This lack of progress, this lack of preparation for future progress, may not be apparent to the new Trustees, but it is apparent to those of us who have been around for several years (North Fork Times, p. 2, 1980b}. The Editor's concluding suggestion that the Trustees deal with problems in a "cool and businesslike way" went unheeded. Most Trustees were too angry to read the paper, and too united by their anger to think of anything other than revenging the Editor's assault on the poor ol' Manager." I wouldn't read that rag if you paid me! Pay attention to [the Editor]? Not on your life, gal. Besides, this was the first time we've agreed on anything that really mattered! Traditional Decision Making: When external threats are perceived by decision makers to have increased, and their reliance on the Traditional Decision Making Response Type has increased, the tolerance for, and ability to employ other Decision Making Response Types, decreases. The following week, as part of the research project, the Trustees attended an evening meeting with

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266 town managers from neighboring communities. The meeting had been organized as a result of requests made by three Trustees duringthe interviews and the weekend work session. One purpose of the evening meeting was to acquaint the Trustees with town managers who occupied roles which were considerably different from that of the Manager of Casetown. Another was to learn firsthand of the management styles and philosophies employed by other managers. Since the invitations had been extended to managers from other towns experiencing similar growth patterns and pro-growth or managed-growth philosophies, the topic of planning emerged repeatedly in the illustrations provided by the visiting managers. One manager distributed copies of town's comprehensive plan. He talked about how he and his council had over a five-year period used the comprehensive planning process to stimulate community discussion and participation on issues of growth and development. He emphasized the simplicity of the plan. He further noted that it was effective because it had been developed by citizens working in cooperation with their officials. Another manager described how she had used budget preparation as a method of identifying short-and long-term planning goals, rather than attempting a formal comprehensive planning process.

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267 The emphasis had been placed on formalized plan-ning and the various creative techniques these managers had used to bring about planning. This, in turn, had catalyzed the Casetown Trustees' recognition that compre-hensive planning was one. method of redressing many of the management problems they faced. As the reflected on the visit during the days that followed, their comments indicated how that information had affected their views toward comprehensive planning. There was so much going on that night--thepaper, the thing between [the Manager] and [the Editor], and the Manager's condition--that it took a while for it to sink in. But I am finally seeing that a comprehensive plan could do a lot for us if we approach it right. The problem with this is always going to be that we think we are too busy with the day-to-day problems, that getting a .handle on planning will be hard. It sure would be nice to have a manager or someone get it started. But that's out of the question with [the current Manager] I would have never figured people like that would be so gung-ho about planning, so I listened. What hit me was that I really didn't know what planning could do. I'm still not sure, but I know enough to say, at least now, I wouldn'.t mind knowing. You know, .. all the state bureaucrats in the world can come in here and show us the plans that other places like Steamboat and Rifle have, things that will be seven hundred pages long, and I'll tune them out just like that (snaps fingers). I don't know why. But these folks, they were good managers and all that, and were just like you and me. When they talked about planning, at first it caught you by surprise. But then when you listened, you knew that they had been smart because they used the idea, but sort of did it according to the way their community worked. I've been wrestling with my conscience on that one. You know I've told you it [formalized planning] goes against my grain. But it looks like the way they've

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268 used it, it allows for people with feelings like mine. I mean, it's just not whole-hog zoning, regulations, and everything cut and dried like. Usable Information: The source of information may determine whether it is usable or not usable. Usable Information: The more unfamiliar or different a source of information appears to the decision maker, the less likely the information conveyed will be used. Gosh, it makes so much sense. But you can see it's not all that easy if yoti go about it right, and I'll tell you, I've come to see that if you handle that one wrong the first time in this town, you won't get a comprehensive plan in here for another ten years! What's so damned frustrating .. is there is so much we need to be working on, but we really can't until we get this Manager thing cleared. Usable Information: One function of usable information is to clarify both the political and objective realities of options. The only participant who had not been impressed was the Town Manager. Hell, the way they're talking [the Trustees] it sounds like they were hit by a bolt from heaven. But did you see that plan he was so all-fired proud of? Hell! It was only fifty pages long! You and I could sit down and write one up this afternoon like that. (Snaps fingers.) And I'm telling them so, too! One of the new Trustees found the information about planning interesting in its. own right and became, as he put it, "committed to carrying the ball on this thing

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while the others finish that matter with [the Manager]." (From here on, this Trustee will be referred to as the "lead Trustee on planning.") After talking first with Trustee X, and then the Mayor and Trustees, and gaining the researcher's advice and commitment to assist, the new Trustee made a formal proposal to the Council. He requested permission to pursue funding for comprehensive planning and to establish a work plan for the summer. The researcher made a point of noting that the purpose of the work plan was not to actually "do planning," but rather to educate the Council further on various planning options. Once the Council had completed these initial studies, a decision about whether or not to pursue such a function would be made. The Trustees spent the next five minutes developing strategies for applying for grant monies, without committing themselves to a final decision to plan. At the researcher's suggestion, the Trustees unanimously agreed that their initial investigation into the area of planning over the coming months would be written into the proposal as its first phase. Furthermore, the first phase would represent Case town s 11 in-kind" contribution. Then, if at the end of the "ad hoc course on comprehensive planning" (as the first phase of the project came to be called) the Trustees chose not to proceed with a formalized planning effort, all of the money would be returned to the state impact account.

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270 The proposal was accepted unanimously by the other Trustees, two of which honored the lead Trustee with a spontaneous applause for the initiative he had shown. Informal comments made after the meeting were of the fol-lowing nature. That was a great idea. That will do us a favor, and keep you out of trouble while the rest of us work out the Town Manager thing. That takes a load off the rest of us. I think we've all been saying it's something we need to pursue. Trustee X offered the following response: It will also be good from the perspective of giving us an added capability. By that, I mean each of us who has been here a while sort of has his own thing. Some of us know about budgets; some of us know more about water--that kind of thing. Now you'll know a lot more about planning than anybody we've had in the past, and we could use someone with that capability. Privately, two Trustees said: It also gets [him] off our tails. Sometimes I know he and [the other new Trustees] are wondering what kind of idiots we are to be dragging this thing out with [the Town Manager]. I'll feel better knowing they've got their own thing to keep them busy and maybe do us some good too. The local newpaper Editor was, as Trustee X put it in a later remembrance, caught in his unawares. He'd said "plan, plan, plan, you dumb buggers!'' When we announced it, he couldn't make hay with it, without making our case look better than he was intent on admitting. Another Trustee reflected: He glazed over it, that's what! Probably turned out for the best though .. We needed to know more ourselves before we tried defending it to the public.

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271 The lo.cal Editor had downplayed the planning proposal. However, this response was because of his personal apprehension about governmental planning, especially the types of plans compiled by professional planners. It seemed that Trustees and the Editor alike were suspicious of the growing numbers of state and private planning consultants, and the large numbers of documents they had written during the previous decade. A Reviewof the Decision to Plan Thus the Planning Dilemma became recognized as an issue worthy of further consideration. It emerged from a one hundred year heritage of informal community cooperation. During the ninety years, this practice had served as a viable, yet informal me&ns of meeting both the community's immediate and long-term needs of the community. However, with the advent of the urban-to-rural migration and energy-related growth of the Seventies, these informal 11We'll-work-it-out-together-when-it-seems right11 methods appeared increasingly inadequate to the Trustees. The problems they were facing were coming at a faster rate, tended to be technically complicated, and were certainly more politically complicated. Despite the growing inability of these traditional methods to meet the demands of the 1970's, the Trustees believed that the

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272 majority of the community was opposed to other methods of managing growth. Noted one Trustee: The people in this area don't agree on anything any more. I take that back, they do agree on one thing-they don't want the local government making the decisions. Many of the older residents were suspicious, and hence resentful, of locally elected officials who would institute such "newfangled" methods. Many others, especially the newcomers, might have favored formalized planning had they been assured it would be done by pro-fessional planners. In the absence _of such a guarantee, they were reluctant to trust the locally elected officials with the responsipility. The Trustees recognized that the older, more informal management methods were not working well. How-ever, they also believed that they.did not have the exper-ience or knowledge to institute new methods or to deal with opposition they would undoubtedly meet from the community. This conflict between what they believed they should be doing and what they believed themselves capable of doing, led to frustration, tension, discomfort, and withdrawal from the notion of more formalized, administra-tive methods, including planning. However, their partici-pation in the research project during the summer of 1980 had enabled a new problem-solving orientation to emerge.

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Usable Information: Usable information provides decision makers with objective information about the problems and subjective information about the decision making processes, both of which enhance their decision making capability. 273 Situations from which they could acquire the infer-mation and relate it to their management predicament had enabled several things to occur. It had provided the Trustees with the freedom to sort out their feelings and values with regard to the planning issue. This included ascertaining the long-term effects of abiding by one set of values over another. And equally important, it enabled them to identify for themselves how they desired to proceed. As one of the more articulate members recalled, "It was exhilarating when I put the two together, .. it is something you get so little of in this job." The Project Continues According to the Straightforward Format for Decision Making Once the decision had been made to pursue a compre-hensive plan, the decision making process followed a relatively simple, straight format of fact-finding, delib-eration, decision making, and implementation. The pro-posed comprehensive plan had not yet caught the public's eye or the Editor's wrath. Thus, political forces and personal animosities, other than those already identified, did not emerge to play a major role during this prepara-tion phase.

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274 A Grant Proposal Is Written During the weeks immediately following the Council's decision to study the prospect of comprehensive planning, the lead Trustee on planning and the researcher hastily wrote a grant proposal. If approved by the state government's impact committee, it would provide Casetown the money to pursue a comprehensive plan should it decide to do so. This would offset the three to six month delay in funding. (Such delays have jeopardized the implementation of prior decisions which have depended on such funding sources for implementation.) From the researcher's field notes: One of our major problems is that many of the good ideas the Council comes up have had some, you know--get lost in the timei"t takes to locate the money or other resources we need to continue. It's not that the idea isn't any good, but somehow we just seem to lose enthusiasm. Developmental Decision Making: When the Developmental Dec1sion Making Response Type has resulted in a decision, the partici pants interest in that particular decision will tend to transfer to the next unresolved issue. Therefore, it is important that the mechanics of implementing the decision be addressed when the decision is being made. If not, implementation of the decision may be jeopardized. The grant proposal outlined the two phases of the comprehensive planning process to include a study phase and implementation phase. Identified in the proposal were four broad goals. These goals were written so that they could be modified and more specifically defined as

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275 the Trustees learned more about comprehensive planning and its relationship to Casetown's unique physical and social environment. The goals dealt with generating and using information. They were listed as follows: o To clarify the community's goals and objectives for growth; o To establish base maps which would accurately determine the capacities and constraints of the area's physical environment; o To identify potential physirial, financial, and social demands and impacts incurred by the community, both now [then] and .in the next ten years; o To identify and develop policies and strategies that would assure that the .growth-related goals and objectives of the community would be met. The state's deadline for this particulat type of application was only three weeks away, requiring that the grant proposal be prepared quickly. While the Trustees were considering the first draft of the narrative, the county administrator and the researcher assisted the lead Trustee in completing the remainder of the application. Responses to the narrative from the remaining Trustees resulted in only minor changes. Since the Mayor was on vacation, the final proposal was signed by the Acting Mayor. The lead Trustee on planning personally delivered the application to the State Department of Local Affairs 250 miles away. Thus the Trustees had addressed the planning dilemma in a tenacious, aggressive manner. Their efforts

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276 had not gone unrewarded, either in terms of personal satisfaction and the competence they were developing, or by the press and the community. Remarked one old-timer: I damned near can't believe it. They're off their asses. I never thought I'd see the day. And a representative of the newcomers: I have to give them credit. They aren't just turning their heads the other way. Of course, I would have preferred they hadn't sprayed [for mosquitoes]. I must admit, it's hard not to respect them when for once, they tried to be as fair as possible to everyone. Last year, the criteria wasn't fairness, it was fear of the courts. Although the preparation of the grant application had not required a concentrated effort from most the Trustees, the manner in which it had evolved had not gone unnoticed. You have done a super job, you two. You've managed to keep in contact but you've kept it moving ... I've thought to myself, [the lead Trustee on Planning] is lucky. He's not tied like the rest of us to the mess with the-Manager and about a half dozen others. Because of that and because he's got somebody backing him, he can do something like this. I envy [the lead Trustee on Planning]. While the rest of us are all worrying because one of these days we've got to on with the problem with the Manager, he is off doing this. But don't get me wrong. No, I don't begrudge him I'd be doing the same thing if I were in his shoes. The planning issue received little formal atten-tion from the Council during the following weeks. Rather,

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277 other issues emerged requiring time and energy of the Council. For example, the Council demoted the Manager to the Director of Public Works position, and hired a new Manager. The annual community controversy over mosquitoes did not immobilize the Council as it had a year earlier. Rather, the Council publicized its intention to spray all property unless residents specifically requested otherwise. (They were simultaneously establishing a mosquito control district.) As an added precaution, Councilmembers themselves participated iri flaggipg the spray plane away from the property that was not to be sprayed. The Trustees also made some difficult decisions about how to proceed with the new park, despite insufficient resources. The decision making approach the Council was using to address comprehensive planning carried over to their deliberations on other problems. The possibility of building a bicycle path around the parameters of the town was options were developed for upgrading the town hall facilities, and annexation proposals were scrutinized as never before. Developmental Decision Making: Developmental Decision Making which is believed to have resulted in a good decision in one case will tend to transfer to another. Trustee X summarized of that period:

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278 It's been three years since I've felt this optimistic about the town government .. Don't kid yourself, the fact that we seem to be moving full blast and that the eyes of the community are on us will help get this planning thing in order too. These things sort of go in cycles, so the. timing is just about as good as you'll get it. The Council Examines Planning from Briefings and Written Materials The Council received short briefings on the com-prehensive plans that \'lere used in other communi ties. Copies of various comprehensive plans were distributed and a book, The Citizen's Guide to Planning, was circulated among the Trustees (Smith, 1979). The distribution of this information served to remind the Trustees of their agreement to pursue planning, more than it furthered their understanding of planning. Only one individual read the book, although others examined it. No one read the copies of the comprehensive plans word-by-word, although several read sections of the plans and all at least glanced \ through them once. Teased one Trustee, "Yep. I took them up to the outhouse at the cabin. Ought to last me ten years!" (Responded a second, "Well it might last some guys ten years, but not you.") Usable Information: Usable information in a rural setting is information which relates to everyday rural experiences and ways of fixing beliefs about the world. Technical, written material is often not considered usable.

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279 Two and one-half months later, the Trustees prepared to make the decision on comprehensive planning. The information gathered by the researcher during the summer was condensed into a briefing format, and elaborated on by Trustee B at a public Council meeting. The briefing presented themajor types of comprehensive plans that had been developed by other communities, the methods they had used, and the time and cost they had incurred. The Trustees, at the suggestion of the lead Trustee, agreed to participate in two site visits to communi ties which had used comprehensive 'planning to manage growth. The first community selected was a "pro growth community," whose manager had participated in the evening work session described earlier. This town had used the planning process as a means of encouraging ongoing community participation in resolving growth issues .. It had done so by forming multiple task forces which addressed particular planning issues. The recommendations of these task forces were translated into drafts by a centralized planning commission. The commission then relayed the draft recommendations to the council. The process had extende.d for four years, gone through two major alterations, and resulted in a fifty page comprehensive plan. The second community the Casetown Trustees decided to visit had hired a professional consulting firm to prepare a 450-page comprehensive

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280 plan. This plan was very detailed, had taken only eighteen months to complete, but the Manager noted that it did not have a lot of support from the community. This plan was similar to others developed by State Impact money. The Casetown Mayor, noting the deadline by which the Council had agreed to have completed their study phase, encouraged the Trustees to work with the researcher in establishing dates to visit these communities. Site Visits Described The site visit planned for the community some 280 miles away was cancelled the morning of the scheduled visit. Confusion had arisen between Casetown's new and old Managers, who were in their second week of a four-week transition period, and the new Trustee responsible for coordinating the visit. On the date the Casetown Trustees had planned to visit the first community, they were actually scheduled to appear in the second. This confusion emerged because the researcher, who had since left the community but who nevertheless had scheduled the visits with the managers and officials of the host towns, had relied on the lead Trustee to organize the remaining Casetown Trustees. He, in turn, had requested assistance from both the new and old Managers. On the evening before the first scheduled visit the mistake was discovered--the Casetown Trustees were planning to travel to the town

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281 which was not expecting them. Since the Trustees had .planned to take only one-half day from their regular jobs for this particular visit, the visit was cancelled. Instead, the researcher completed the site visit on behalf of the Trustees and later briefed them on what she had learned. They could not have possibly traveled the 280 miles one way and back again in the time scheduled. The following week the Trustees made the site visit to the neighboring community which had used the community task force approach to comprehensive planning. During the visit, the Trustees talked with the manager and the members of his staff about their experiences with comprehensive planning. The Casetown Trustees were interested in learning what benefits the host community had gained as a result of planning, and what they would do differently if they were to begin the planning process all over. The Trustees were given a tour of the town. The host manager described how features such as water taps had been used as growth management tools, rather than the politically less acceptable zoning. The manner in which the town was laid out provided visual evidence of the effectiveness of their planning process. The Trustees were impressed by the maps and the long-range strategies which had been developed. They were also impressed by the quality of the physical facilities, and the fact that many of these facilities had been constructed using impact money or other innovative

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282 Finally, they were surprised to learn that the county was adopting the host--town's approach to planning. Remarked one Trustee: It couldn't be more opposite from us. That bureau-_ cracy in our county-automatically thinks that whatever towns do is at cross purposes. The effect of the -visit on Casetown decision making The visit was completed in five hours, af:ter which the Trustees made-the one and one-half hour car trip back to their community. They had been very much impressed by what they had seen and heard. envy that they were just starting a from which the host community had benefited for five years. Their-impressions seemed to be based_on both the ihey had gained, and on their ability to identify with the corn-rnunity, its and especially its manager. The thing about [the host town] is that it hasn't let [the toutist areas] ruin it there are still lots of regular folks there. You could see that just around. Itls like they know some folks have to live in trailers and such, but they don t have trailers strewri all over the town. They sort of have them in pretty nice places. What I am trying to say is I've seen trailer parks that would make a .fellow feel like the town had said, Hey, you guys are the other side of the tracks! Yep. That town is a lot like ours. It's a real pretty place. It's changed a lot, but still, you kndw, it feels like a small town. Sure looks like they've got us peat in some ways, though. I've got an idea they don't have the kind of friction we do, they licked that mostly.

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283 you know I'd go over there just to visit him [the Manager]. I mean have you ever seen a guy that could make you feel so to I would never underestimate what he's done place. Usable Information: Usable information is information whi_ch is presented or in a way that relates to the users_' method of learning. Remarks that dealt with the comprehensive plan focused less on whetherto pursue _such a task, it was pretty much agteed that they the remarks were focused more on how they could proceed, given the nature of their situation. I guess I'm past the point of saiing do this. I think we should. I mean.the thing we've read and talked about sense# and we've sure seen how it tan work. But what still me is how( I'm still not in favor of some Denver hot-shot coming in and .I don't want to get a plariner cause then you can't get rid of him. I just don't believe that will work. You fellows know it won't.: But on the other hand, we don't have a town manager like they have to pull this thing off either. Added another, and we don't have five years. Suggestions .were made about how to overcome these problems, given the political climate in Casetown and its level of .administrative expertise. In many cases these suggestions were in the formulation stage, based on the Trustees' relatively limited knowledge, supplemented by what the researcher knew about tactics and options. In a spirit of enthusiasm (indicated by the amount of

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284. participation and the volume of that participation), the Trustees to discuss and the situation. Finally, Trustee X, after remaining unusually quiet for several minutes, annoLinded: Let me try this one out on you. Since.we've got a lot of friction going between certain people in-townj and out-of-town, let'stake the task ldea and work it by neighborhoods. You kn-ow, Lamborn Mef?a, Minnesota Creek, those in-town. folks south of_ Third Then take their ideas to the Planning Commission--which we_'ll have to get spruced up--and maybe they work with a Maybe we get just one neighborhood to do it first, you know, get everybody irate that one bunch -is getting a jump, and then get them all fired up at Added another, And while that one group tried it first, we could gear up to go whole-hog. Usable Information: Usable inf6rmation alerts t6 ways of thinking about the problem. Usable Information: Usable 1nformation sensitizes or alerts people to alternatiye ways of solving a problem. Usable Informatio_n: Usable informationcan be information users already know, but think about -in a new way; or new information, heretofore unknown. After developing this idea further, the Trustees asked the research_er to organize a work session. The pur-pose of the session was to relate to the Trustees who had been unable to make the what had been learned and the ideas that had evolved.

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285 Later recollections of the site visit showed evidence of other decision making dynamics at work as well. Noted the lead Trustee: This has been a good thing for me. I started out not knowing much about planning, to tell the truth; I just knew I wanted.this to be a nice place ten years from now. I remember when you and I were putting that grant together and we seemed. the only ones really interested things have chariged in that regard. Now everyone's. into it. That makes me feel pretty good! I don't know if I can put my finger on it, but as I told you way back when [referring .. to the original interview], I've really resented [Trustee X] because. he had the answers. Well this time, be put two and two together like he's always -I guess, but I didn't. feel that way toward him. I just. sort of felt that it beloriged to all of us--that he he.came up with. I still don't know if it will work, .or if we'll go with it but I think it's good because it does at this right in this towri. not just letting someone come in do so we can add it to our town library shelves. And yet another: I thought to i:nyself afterward how much I enjoyed that whole thing [referring to the.visit], but also how we came up with that idea. It was just different., that's all. I guess I think there's of an understanding between us that sure wasn't there a year ago It makes you like the job it really does. Usable Information: Usable information may generate a different mix of motivations associated with the decision than existed before. Usable Information: Usable information is information which allows people to feel relaxed but alert. Usable information is information which generates concern and awareness, but not tension.

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The Formal Decision to Undertake a Comprehensive Planning Project The work session on comprehensive planning-was held despite the absence of Trustee X and the Public Works Director [the previous Town l\1anager]. The researcher conducted the work session using a format designed to move the session along quickly so the Trustees could attend another meeting. The researcher briefly synthe-sized what she thought had been learned about comprehensive planning. She the major strategies used by other communities and one which the Casetown Trustees had developed.-The briefing format was designed to give the Trustees an opportunity to participate and to respond. The pros and cons were listed by the Trustees. A decision was quickly made to proceed with the comprehensive plan. The strategy chosen was that developed by the Trustees, but included the option to abandon or modify it at a later date. The meeting took twenty-five minutes, and signalled the close of the Trustees' involvement in the research project. One Trustee summed it all up afterwards: I was thinking, that wasn't much of a bang was it? That was because you'd done a good job helping us on this thing--and I think we did too. By the time we got here tonight, I think every one of us knew what we wanted, we just needed to do it officially. And another: That's a decision I felt real optimistic about. I know we can pull it off. And you know something,

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287 you'll us doing a whole lot of other things different too. We're just on track. And amid laughter: You can get out of here now, you know We're ready. for you to go, to get the "h" out Some of us might meet you at the bar later to make it official. As the Editor walked in for the next meeting, a public meeting, again jokingly, it was said: And take him with you, see what you can do with him! Now there's a real project for you! (Much laughter, whistling, and clapping.)

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CHAPTER.IV: A REFINED FRAMEWORK A multidisciplinary approach toward understanding local government decision making in rural boomtowns has been established by review of the literature, development of a framework, and examination of the framework through case study data. This chapter will further refine the framework so that it may be used to better understand and strengthen rural decision making in periods of rapid industrial transition. The implications for use of these findings will. more thoroughly addressed in the final chapter of the dissertation. Restatement of the General Problem Area This dissertation focuses on rural, local govern-ment decision making in a period of rapid industrial development. This concern with boomtown decision making logically falls within the realm of public and business administration. However, how local officials make decisions during periods of rapid industrial transition is also a sociological concern. Sociological concerns often deal with social structures and patterned relationships. These relation-ships provide clear understandings and expectations among people. The basic elements of these understandings come

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289 from and/or commonly shared expectations. Where citizens once knew that they and their neighbors shared the same values and expected the same things of life, with rapid industrial development these mutual, albeit un_. spoken, understandings change, and possibly disintegrate.l so do the behaviors and activities that go with them. This applies to interactions between and among individuals, such as the Casetown elected officials, as well as groups (Cortese, 1980). The case studies of this dissertation described what happened to one group of elected officials as they made complicated. decisions in a period of such social dis-organization and industrial development. The lessons contained in these studies will now be used to further refine a framework by which to talk about, understand, and affect rural, local government decision making in a period of rapid growth. Precautionary Notes Before reviewing the data that emerged from the case studies to the decision making framework being de-veloped in this dissertation, it is necessary to note lThe reader is referred to Chapter II and Chapter III of this dissertation for a more complete description of values and shared expectations, and the manner in which they change with the advent of rapid industrial growth.

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290 several precautions (beyond those made in Appendix A on Methods). These precautions are mentioned, not in the spirit of apology, but rather that the reader may take from the framework what is worth taking. In keeping with the broad nature 6f the topic of rural, bo6mtown decision making, these precautions are discussed generally--they apply not to just one case, but to the whole of the study. In some important ways, this study is different than what has come to be known as "objective research."2 It does not, for instance, pretend to determine the precise frequency with which a particular type of decision making is associated with something else. However, it does attempt to make more general associations such as those drawn between usable information and the Develop-mental Decision Making Response Type. Yet, all such asso-ciations must be considered more suggestive than proven. At best, they are working hypotheses for subsequent studies. There are good reasons for the exploratory nature of the associations made in this research and the frame-work which results. The relative scarcity of literature on boomtown decision making, or even rapid rural transi-tion, provided few leads for the researcher to follow in 2por further discussion of "objective research" and its relationship to other types of research, see Selltiz, et al, 1959.

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291 a framework. What theory existed was either too general (the social theory on transition, for example) or too specific (the small-group theories) to provide explicit guidance. Thus the framework which the researcher developed depended not on a single theory, but on a diversified body of literature, and the integrative abilities of the researcher. A second factor was the voluminous amount of information which emerged during the seven months the study took place, and the need for the researcher to classify, and fil te.r it into the framework. Despite coding and receding controls, this requirement left a great deal to the discretion of the researcher. Not only did researcher play a strong role in integrating diverse sets of literature into the framework, presented in Chapter III, but the further refinement of that framework provided in this will require that inferences be made, more often at a higher level of abstraction than concrete events. For example, had the researcher been concerned with the concept of the physical growth of a small boomtown community, the concept could have been illustrated easily. Many examples could have been directly observed, or easily measured, such as new buildings, the number of new water and sewer taps, the number of new roads, or the amount of square yards or square miles being developed. However, since the concepts

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292 being addressed dealt with attitudes, values, learning, roles, and motivation--to name a few--their meaning could not be easily conveyed by pointing to specific behaviors and events, but rather by considering those social phenomena in relationship to one another. Put quite simply, the fact that the concepts used in this dissertation were at such a high level of abstraction and were difficult to quantify has increased the possibility of error, not only in the formulation of the original concepts, but in further development and refinement of those concepts. Despite such qualifications, and those which were more appropriately discussed in the Appendix A on Methods, the insights gained from the case studies of the previous chapter will now be integrated into the original framework. Original Formulation of a Framework A framework for understanding and affecting rural, boomtown decision making was developed at the outset of this dissertation. The framework was based on concepts taken from the literature on social transition, modernization, boomtowns, social psychological theory. This framework served to guide the researcher in her activities to bring further information to the decision making of one rural, boomtown local government, and to gain insight into rural, boomtown decision making.

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293 Based on the case study data, further refinement of that framework is now possible. For the sake of simplicity, these findings have been written in a straightforward, non-tentative manner. Yet, it probably cannot be said often enough--they remain tentative findings, any part of: which would benefit from further research and investigation. Refined Framework The original framework presented in Chapter II categorized decision making into three types--the Traditional Decision Making Response Type-; the Developmental Decision Making Response Type, and the Technocratic Decision Making Response Type. With these response types in mind, the type of knowledge which underpinned each was examined. This concern with knowledge and its relationship to various types of decision making resulted in the concept of usable information. Usable Information The concept of usable information came from recognition that, in part, rural boomtown officials have experienced difficulty in making good decisions because they have not had access to information that they could understand or use. Those who have provided information to boomtown decision makers have arrived at that information,

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294 largely by objective methods. Rural decision makers, however, have historically relied on common sense, .con-ventional wisdom and experience. Thus, they have often found the information provided them--in conjunction with their new status as boomtown officials--to be irrelevant, or otherwise difficult to "know what to do with." .This discrepancy between the type of information being provided to rural, b6omtown officials, and the type of information they would "know what to do with," resulted in the concept of "usable information."3 The original formulation of the concept of usable information was based more on what it was known not to be than on what it was known to be. Usable information was portrayed as information which was not derived solely through objective methods. Conversely, the identification of usable information did not necessarily require that interaction with a situation or environment substitute entirely for purposeful, organized thought. Rather, in its original formulation, usable information was depicted as information that made sense and could be employed with-in the user's frame of reference. The concept of usable information and its rela-tionship to rural, boomtown decision making is especially 3The formulation of this concept was also influenced by Lindblom and Cohen's (1979) term, "usable knowledge."

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295 important to this dissertation. Not only is it an integral part of a decision making framework, but, as this chapter will later show, certain characteristics of usable information qualify it as a means by which to aid boomtown local government decision making. With this background information in mind, greater clarification and understanding of the concept of usable information and its application is drawn from case study data. Following this discussion, the three response types designated in the original framework will be further developed. The result will be a more refined framework for understanding rural, boomtown decision making, as well as a means of strengthening decision making. The character of usable information The case studies provided insights and findings that could be employed in the further definition of the fundamental character of .usable information. They confirmed that the type of information most readily used by Casetown officials in problem solving was information which related to everyday experiences. As with the reality of these boomtown officials, this information could be subjective, objective, or some combination thereof. For example, in order to address their problems with the Town Manager, the Casetown officials had to first

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296 acknowledge the source of their reluctance to do so. Their reluctance was largely based on subjective factors. "The hard facts" about their situation at that point were not usable because they suggested a course of action (i.e., to the Manager) which threatened the Trustees' strongly-held values of loyalty and friendship. Rather, usable information at that time was information which allowed decision makers to acknowledge and respect nonobjectively derived ways of knowing, including emotions and values, and hence was subjective in nature. However, later in that decision making process, objectively derived information about the relationship between the Town Manager's behaviors and his effectiveness was usable Possibly the best summary statement to be made about usable information is that it is information upon which the recipient knows how to act. It is information which is not disjointed from the way the user gains knowledge and makes decisions. To refer to the example above, those and fast facts" were not being used by the Casetown Trustees because their positions were, at that time, based on another source of knowledge--the values and shared expectations of a rural culture. The types of usable information The case study data indicated that subjective information dealing with fear, anger, and guilt was as

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297 relevant to the concept of usable information as were objective facts. Whether feelings or facts happened to be usable at any time depended on the situation. What was important in developing the concept of usable information, however, was that both subjective and objective types of information qualified as usable, and could be acknowledged and dealt with in the decision making process. Usable information, it was observed, did not necessarily have to be information that was new to the decision makers. Often it was information which the users already had, but thought about in new ways. Several kinds of subjective and objective information emerged as "usable" throughout the case studies. One kind which emerged frequently was information pertaining to the decision making process. The case studies showed that information about the decision making process reduced the. uncertainty about that process and the anxiety that accompanied it, especially when the process was new. When, for example, the Trustees talked with the researcher, they were not only suspicious of her, but also of the project. Two months later, however, most reported they felt comfortable and enthusiastic about the project. This was partly because they understood what was happening, and why--even though the project activities differed from one decision making endeavor to another--and,

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of course, because they had learned to trust the researcher. How usable information comes about 298 The source of the information was a major determinant of its "usability" in other instances besides the pne described in the preceding paragraph. The importance of the source of the information was especially apparent in the Planning Dilemma case. Case town Trustees appeared to more readily believe and use the information provided to them on comprehensive planning by the visiting town managers than they did information on planning from the state government. This was largely because these managers were seen as "regular people like us ... If it works for them, it would probably work for us." Thus, it may be said that the more unfamiliar or different a source of information was to the decision makers, the less likely the information was to be used. Because what is usable depends on the particular situation for which information is required, it is necessary to better understand how it is that usable information comes about. Several other insights are provided from the case studies. It was seen that for rural, boomtown officials, a base of information about a particular problem was most effectively established by employing both traditional and

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299 objective methods of knowing, as they were defined in the original of this dissertation. For example, the Casetown officials came to understand not only the role that a town manager should play, and the relationship of that role to the overall functioning of a town, but something else: they came to understand why it was they could not adopt the "obviously rational," objective solution to their particular problem.. They could not fire the Manager because of their feelings of guilt about his and their concerns for would become of him and his wife. They realized that no amount of objective information would eliminate this basic consideration. Thus it is that usable information may be derived from a decision maker consciously recognizing the relationships between his values, needs and habits, and the effects these relationships have on the decisions he makes. It was also true that in Casetown usable information more often resulted from participation and day-to-day experiences than from written communication. And although differences can be assumed to exist from one resident to another, few long-time Casetown citizens of this researcher's acquaintance put written materials of a technical variety to any better use than did the Casetown official who saved them for the outhouse at his summer cabin.

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300 How usable information works The case studies also provided some psychological insight into how it is that usable information works. It was seen that usable information often had the effect of reducing the personal defensiveness experienced by the Casetown officials. This effect included a release of certain energies being consumed by defensiveness, and making them available for problem solving. Usable information was that which caused the Trustees to feel relaxed but alert--generating concern and awareness, but not excessive tension. Instead of creating the feelings of being trapped and defensive, usable information became a resource which enabled decision makers to work toward resolution of problems. This, in turn, had the effect of making them feel in greater control of the problems. In summarizing, usable information is information which serves to sensitize or alert individuals, or groups, to problems, and to alternative ways of thinking about and solving problems. It may be information which indicates to decision makers that which they do not know. This, in turn, provides a direction to their search for further information. Thus, usable information is that which enables the users to penetrate issues and address the underlying problems.

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301 Traditional Decision Making Chapter II of this dissertation proposed a framework by which to further understand and affect local government decision making. The case studies have provided data from which to further refine this framework. The data from the case studies enabled a clearer understanding of what usable information was and how it worked in a rural boomtown setting. The concept of usable information received attention because it was the one identifiable component of the framework that could be used by a practitioner or participant of a particular decision making process, to alter the predominant decision making response type. The three major types of decison making which constitute the framework will now be more thoroughly described. When possible, appropriate examples will be borrowed from the case studies to further clarify a particular finding. Three major types of decision making were presented in the original framework in Chapter II. They were the Traditional Decision Making Response Type, the Developmental Decision Making Response Type, and the Technocratic Decision Making Response Type, with usable information being an essential ingredient in the Developmental Decision Making process. The first and most basic of the decision making response types was the Traditional Type. This response

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302 type has been written about from at least as early as the Industrial Age, to as recently as the latel970's, when contemporary theorists were still lamenting its "unprofes-sional ways." Basically, Traditional Decision Making depicts a type of decision making which depends on infor-mation arising from habit, common sense, and morality--all steeped in rural values. The case studies of this dissertation enabled further of Traditional Decision Making Response Type in a rural, boomtown context. These findings fell into several different categories. Traditional Decision Making: New findings Traditional Decision Making in a period of rapid transition The case study data indicate that the industrial-related growth of the community, and the coinciding diversification of the values and expectations of its citizens, resulted in many changes. A predominant difference for the Casetown local government was that decision making changed from easy agreement on important issues to dis-agreement and tough political bargaining. When bargaining and persuasion became predominant, as they did when no unified opinion was forthcoming from the community, the decision makers who had the most local government exper-ience, and possibly the most community support, emerged as

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303 a dominant coalition.4 This dominant coalition developed more as a means of fi 11 ing a void in community con.sen-sus and than for reasons of selfish-ness and egoism. Even though the decisions influenced by the coalition in the early years of Casetown's energy-related growth were not the most objective decisions possible, they kept the town functioning during a difficult period. Thus' the ability of the Traditional Decision Making Response Type to pr.oduce rapid decisions is one of its important attributes, especially in a period of time when decisions must be forthcoming. An association between the increased need for rapid decisions and the capability of this response type to produce rapid deci-sions is an important reason why this response type tends to predominate in the early years of boomtown growth. These case studies indicate that in the early stages of rapid growth, such a newly-::-formed dominant coalition will likely mirror the traditional values of the community. This is, in part, because the political struc-ture of the community is not likely to change as fast as the economic structure (Freudenburg, 1979: Cortese and Jones, 1979). The "oldtimers" who have governed the community for decades are not likely to readily abandon 4rn Casetown, initially this was Trustee X, the Mayor, and the Manager.

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304 their policital influence. These ties to the old days and old ways that are likely to exist--even in the wake of rapid industrial growth--may.assure the predominance of Traditional Decision Making Response Type of a local government during the early stages 6f transition. TraditionalDecision Making: A further indication of its nature These case studies also confirmed that regardless of how amenable. a problem is to objective analysis, if the personal values of the decision makers are threatened, then the Traditional Decision-Making Response Type will dominate in the initial deliberations. One of the .most striking examples to be drawn from the case studies occurred when the Editor of the newspaper became embroiled in a "shouting match" with the Manager in the town hall. The Trustees, upon hearing of this incident were furious. Their anger arose not so much because the Editor had shouted at the Manager, but because the Editor had not shown sufficient respect for the manager's position or for the town. For most Trustees, respect for formal authority was something that was part of their personal value system. The Trustees' reaction when they thought that value was being challenged was clearly indicative of the Traditional Decision Making Response Type. In this incident and others, it was observed that if one person, especially a politically infLuential

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305 person, responded using Traditional Decision Making Response Type, others would follow suit. If one Trustee was angry, the others responded more emotionally than normal. If one Trustee was being obviously cautious, the others tended to be cautious too. Thus, another finding was that the first person to "lay their cards on the table," so to speak, determined which decision making response type would be used to address a particular problem. Further insight into the nature of the Traditional Decision Making Response Type was by the Trustees' reaction to external threat. When such threat was perceived to occur, the cohesion of the Council increased and the Traditional Decision Making Response type predominated. For example, when the Editor wrote an editorial which criticized the Manager, the Trustees abandoned their personal gripes about one another for several weeks and a unified defense on behalf of the Manager. Furthermore, the Trustee who organized this defense was the most skilled and politically influential of the group. His actions in this regard went unquestioned. Thus, it may be that the knowledge and skill of the most politically influential will dominate when the Traditional Decision Making Response Type is being used. These case studies showed that a characteristic of the Traditional Decision Making Response Type was that it consistently emerged in reaction to issues associated with

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306 the immediate welfare of the community. Furthermore, the decisions made about these issues tended to be more shortlived than those made using a different response type. For example, when the pubfic was asking that the Manager be fired, and the Editor was adding 11fuel to the fire11 through his investigative reporting, the Trustees made just such a short-lived decision. They held a special session, called by the most influential of the Trustees. After three hours of deliberation, they decided to hire another administrator to work as an equal with the current Manager. When the public scorned this decision as 11unworkable,11 it was immediately dropped by the Trustees and a new usolution11 was seized upon without analyzing why the previous one had been so short-lived. These findings suggest that as objective decision making is increasingly demanded of a local government in the early phases of boom, the likelihood that locally elected officials will comply make such decisions may actually decrease. The potential explanations are many. Possibly the most likely is that the local officials may simply lack the information resources and skills which would enable them to make more objectively-based decisions. In concluding, the stresses created by increased numbers of decisions, many of which are more complicated than in past times, combined with an obvious lack of information, may make the 11tried and true .. of the past

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307 appear the safest approach, and possibly the only approach that can be taken by rural boomtown officials. Traditional Decision Making: How it evolves There were no examples taken from the Casetown material in which a Traditional Decision Making Response Type evolved into what could be called urban-type policy analysis, or in the terminology of this dissertation, Technocratic Decision Making. However, there were examples of the Traditional Decision Making Response Type evolving into a Developmental DecisionMaking Response Type through the introduction of usable information. It may be that the provision of usable information will stim-ulate this change, whereas the provision of objective information associated with Technocratic Decision Making will not. This may be because usable information is designed to respect the needs of the users--i.e., what makes sense to them given their experiences and abilities --as well as the information requirements of a particular problem. As one Casetown official put it: Give us something we can get our hands into with this project, and you'll see us work. But if you give us the gobbledegook that damned County Planner does, you'll see us stare Seems like everyone outside this place thinks we're a bunch of Einsteins or something. Well, we're not, but we're not dumb either! Finally, these case studies suggest that in the absence of experience, precedence, or usable. knowledge, an

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308 which elicits a Traditional Decision Making Response Type will result in avoidance of the problem, rather than a decision. The reason is quite simple: If a decision maker has little or no information of any kind that per-tains to a particular problem, the only decision that can be forthcoming is to make no decision at all. At one point early in the Town Planning Dilemma, for instance, the state impact director asked the Casetown officials to develop a basic plan for growth. However, the Trustees did not have experience with formal planning and did not know how to proceed. Several state bureaucrats indicated impatience with Casetown's "foot dragging" on this matter. The Trustees' inaction, however, was less an issue of ."foot dragging" than it was a lack of information about how to plan. In the absence of the necessary information to begin, nothing was done. Traditional Decision Making Response Type: Concluding remarks To borrow contemporary jargon from the policy scientists, Traditional Decision Making Response Type is primarily a "reactive" type of decision making. It takes its lead from forces emerging from the external environ-ment or from unquestioned values and expectations. As one Casetown official observed, "The problem has to come to our attention; we sure wouldn't go looking for one!" The decisions that result from this response typ.e are often

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309 limited and incremental; hence, problems are seldom really 11Solved. 11 More likely, they are retired until a new wave of forces emerge, requiring them to be again addressed. Developmental Decision-Making Response Type Developmental Decision-Making Response Type: The original formulation The Developmental Decision Making Response Type was originally described as relying neither solely on traditional types of knowledge nor on objectively derived knowledge. Rather, it was a Response Type which enabled them to be meshed according to the needs of the situation. Another characteristic attributed to the original formula-tion of Developmental Decision Making was that an auto-matic search for usable information would be an obvious part of the decision making process. Finally, it was anticipated that problems addressed using this response type would result in more objective outcomes than would have occurred had the Traditional Decision Making Response Type been used. Conversely, decisions that resulted from Developmental Decision Making Response Type were expected to be less objective than if the Technocratic Response Type had predominated. With this initial description in mind, it is now appropriate to incorporate findings from case study data to further develop the concept of Developmental Decision Making.

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310 Developmental Decision Making: Further findings Developmental Decision Making: What it requires The case studies showed that for the Developmental Decision Response Type to occur, both adequate information and the skill to use it must exist. If one or the other is lacking, the Developmental Decision Making Response Type cannot occur. Examples of this were regu-larly observed when the Casetown officials received docu-ments from federal and state agencies that they claimed were written in "Swahili." If the title looked important, they might ask the Town Attorney or the Manager to "decode" it. On at least several occasions, however, they threw the document away, lost it, or placed it on a book-shelf with no intention of reading it. Developmental Decision Making: How it occurs The Developmental Decision Making Response Type may evolve from an impasse which has occurred in a Tradi-tional Decision Making process. It is the process of acquiring information to break the impasse which is often the impetus for the transition. The Developmental Decision Making Response Type eventually used to resolve the Town Manager Issue evolved from just such a set of circumstances. At the time the research project was instigated, the Trustees were at an impasse in resolving the Town Manager problem. However,

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311 several months later, they believed they were moving toward a resolution. Even the Editor had commended them, saying: But the important thing is that for the first time in years the Council looked and acted like a committed, unified group that had a good idea of where it wanted to go and how it might get there .. they have become tenacious (North Fork Times, 1980d, p. 2). Statements made throughout that period of time indicated that although there were many factors responsi-ble, two were readily identified by all.Trustees. The first was the increased confidence they had gained by participating in collecting and analyzing information about the Town Manager Issue. They did not believe it was "being done for them." Rather, with help from the researcher, they were generating the necessary information themselves, or at least determining the sources from which to derive the information they needed. This involvement in the process of acquiring information was, as one Trustee noted, "addictive." It seemed to make the Trustees feel more in control of the problem solving process, and more interested in the information that resulted. Thus, the participation required of the par-ticipants in order to derive usable information about a particular problem was also essential to bring about the Developmental Decision Making Response Type. The fact that the Trustees had agreed to partici-pate in this action research project reflected yet another

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312 way Developmental Decision Making can come about--that is, quite by accident. In this case, the Traditional Decision Making Response Type had deadlocked, and a resolution of the Town Manager Issue had been postponed. The most politically skilled Trustees were pursuing ways to break the deadlock. The research project was acceptable because it was readily available, it would not cost them money, and the outcome of the project was not expected to challenge predominant decision making patterns. As a final example, the Developmental Decision Making Response Type occurred as the result of other issues being addressed using this response type. For example, as decision makers examined problems in greater depth--as was likely to occur with the Developmental Decision Making Response Type--other related problems became apparent. The recognition of these related problems often necessitated that they too be resolved, and thus expanded the application of the Developmental Decision Making Response Type. Developmental Decision Making: Its relationship to values It has been emphasized throughout this disserta-tion that in a rural setting where values have guided social interaction and decision making for decade upon decade, information which threatens those values will be resisted. When the Developmental Decision M.aking Response

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313 Type predominated in the case studies, it did so because neither the information that evolved nor the manner in which it was used required the Casetown officials to abandon their personal values and established procedures in order to use the information. When the process began to result in information which contradicted those values, a search was begun for new orientations toward the problem. For example, throughout the duration of the project the Trustees searched for alternatives other than firing the Town Manager. They did so, despite the fact that, as the one official put it, "We got enough evidence to fire him five times over." It was important that alternatives be identified because to have fired the Manager was, in their words, "too rotten a thing for a human to do. He's been loyal to us and besides, at his age where would he and his wife go?" Developmental Decision Making: Its relationship to information Usable information, as noted earlier in this chapter, is an important component of the Developmental Decision Making Response Type. Several examples emerged from the case studies which provide a greater under-standing of the relationship between usable information and the Developmental Decision Making Response Type. It has already been noted that usable information provides a means by which conflict between personal values

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314 and objective information is ackowledged and addressed in the Developmental Decision Making Response Type. The case studies showed that recognition of strong feelings or emotions about a particular issue must be considered as a form of usable information, especially in the early stages of a problem solving process. If feelings and emotions are not allowed to surface and be dealt with openly, they will likely affect how objective information is acquired and used. In both studies, when the participants recognized, and in some instances talked about their biases with regard to an issue, it was a turning point in the decision making process. Although they did not abandon these particular outlooks and the values upon which they were based, the Trustees could nevertheless examine the shortterm and long-term effects of these biases on their potential to resolve particular issues. Possibly, the most illustrative example of this occurred when the Trustees recognized that their reluctance to undertake more formalized planning was largely because of the selfsufficiency values with which they had been raised. Once this was recognized, they examined the appropriateness of these values in light of the boomtown management situation they faced. They found themselves better able to judge the risks they were taking on behalf of the whole community by not adopting more formalized plann.ing measures.

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315 Eventually, they chose to subordinate their individual values to an alternative they believed would better serve the community as a whole, and were then able to instigate the comprehensive planning process. Developmental Decision Making: Its relationship to time By nature, the Developmental Decision Making Response Type requires longer deliberation time and is therefore not an appropriate response type for decisions which require an immediate resolution. To again refer to the case studies, when the river flooded, the Trustees immediately knew that it was a problem for which the Developmental Decis.ion Making Response Type was inappropriate. Had they stopped to identify alternatives and choose a method for controlling the river, rather than controlling it by the only method they knew (rip-rapping), the river would have flooded. Of course, had the possi-bility of a flood been addressed using the Developmental or Technocratic Decision Making Response Types some months earlier, the river might have posed no serious threat when the spring floods came. The element of time is critical in determining which issues are amenable to Developmental Decision Making. Whether it is the most appropriate response type, of course, will depend on the particular situation, and

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316 the amount of time available to make and implement a decision. Developmental Decision Making: What it enables The case studies suggest that the Developmental Decision Making Response Type enables many things to occur. Those that the Casetown officials reported to be especially important will be focused upon in this particu-lar section. Developmental Decision Making requires certain things that other types of decision making are not likely to require. For Developmental Decision Making to occur, participants must actively listen to one another. The act of listening heightens the chances that legitimacy and respect will be granted to the other person's right to a particular viewpoint. This emphasis on listening results in other things as well. From listening comes an under-standing of another's level of tolerance and ability to assimilate and act on information. It also enables decision makers to. benefit from the knowledge possessed by others and to make decisions based on a larger pool of intellectual resources. The respect and comradeship that grew between the Casetown Trustees as a result of the Developmental Decision Making in which they were engaged was important. Selected literature on boomtowns notes that the role

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317 played by locally-elected official's role becomes more difficult during rapid energy-related growth (Freudenburg, 1979; Cortese and Jones, 1979). Not only are there more and increasingly complex problems to solve, but the sup-port that once made elected office tolerable if not rewarding, diminishes. If members of a local government become divided, as occurred during the early stages of rapid growth, then the _situation, for both the participants, and ultimately the citizens they represent, is even worse. Noted one Casetown official in an offhand comment to the researcher, "I don't know which is harder, the rabid dogs outside the Council room, or those inside, nipping at your heels this is what you call one of them no-win jobs." Yet, by the time the project had come to a close, not only did the Casetown Trustees feel proud of themselves (and were for the first time in recent memory receiving praise from the community and the press), but they saw themselves as members of an effective group. Reminisced one Trustee: There have been times I've really felt so alone ... When I was younger that didn't matter so much, at least if I thought I was getting things done. But let me tell you, it wears you out. It hurts to have the newspapers on you, and know that the Editor is getting his information from another member of the Council. I'm pleased as punch that more people are carrying their weight. And I've come to really like some I never thought I would.

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318 And another: In a small town like this suddenly faced with changes, we will always be making decisions that lots of people don't like if we're doing our job right. I've come to believe that. Still, in a town this small, and this tightly knit, it's not easy. If we don't at least have the Council sticking by us, it's impossible! Simple as that. Finally, the Decision Making Response Type enabled the Casetown officials to assume more responsibilities. In addition to reacting to events, with usable information came an increased capability for anticipating Because information about possible problems often came to the forefront when usable informa-tion was being sought, these officials were likely to believe they should "do something about them too!" How-ever, this required yet another set of responsibilities for these Casetown officials who, by all accounts, were already overloaded. One official expressed it this way: "We've been so far behind the ball, it would be a real chore to catch up but we'd have to be God-damned bionic men to get ahead!" While usable information may alert the decision makers to problems, it should also provide them with information to help them deal with those problems. Addressing small problems before they grow into one of those "really large" ones, as Casetown's Town Manager Issue had, actually enables the decision makers to have greater control.

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319 In conclusion, the Traditional Decision Making patterns of the Casetown's past tended to limit the elected official's role to one of responding only to prob-lems which surfaced--and sometimes, as one Trustee warned the researcher, "they'd come up looking like the Loch Ness Monster." Developmental Decision Making, on the other hand, enabled these same decision makers to anticipate problems and take remedial actions before the problems grew into of such unwieldy characters. Summarized one Trustee: If I had known when you came in that this project would turn up other problems, just in the normal course of solving those two problems your project was to deal with, I would have said 11 no way! 11 Back then, the last thing I wanted to hear about was another problem. But I see now that that was because I usually felt at such a loss to solve them. I guess I still feel that way somewhat, but I also know how to go about tackling them and that makes it a different ballgame, somehow a more strenuous one, too. It is believed that these findings have added con-siderable breadth and depth to the concept of the Develop-mental Decision Making Response Type. They have indicated how the response type comes to be; its relationship to usable information, and to time. The findings have illustrated how Developmental Decision Making results in greater power and control for decision makers, and allows them to more fully meet their responsibilities. The process also changes the dynamics of group decision making. Most importantly, these findings, in conjunction

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320 with those attributed to usable information, indicate that Developmental Decision Making results in decisions in which the values been consciously acknowledged and dealt with in the decision making process. This, it is believed, leads to better decisions--better in the sense that they more fully address the problems, and are more likely to be implemented because local values have not been grossly violated. Technocratic Decision Making The original framework presented in Chapter III of this dissertation included a third kind of decision making, referred to as the Technocratic Decision Making Response Type. This response type was based on literature which depicted decision making as primarily objective; or what the social transition theorists referred to as urbanized, the modernist theorists referred to as modernized and the policy scientists referred to as the objective problem solving component of organizational theory. And, finally, it was this decision making response type which most closely resembled what boomtown researchers referred to as "professionalized" management, a sure requirement for the positive growth of a boomtown community (Cortese and Jones, 1979; Briscoe, et al, 1978). This dissertation earlier defined the Technocratic Decision Making Response Type as one in which decision

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321 makers attempted to acquire knowledge based on the method-ological pursuit of facts. Included as part of the decision making process were conscious efforts to elim-inate biases, attitudes, and emotions. This response type was also conceptualized as a process which consisted of five discernible stages. These stages included: o acknowledgment of difficulty, usually as a result of immediate pressures on the decision o search for the most objective knowledge available within the time limits determined by the type of issue; o analysis of the problem, leaving open the possibility of redefining the problem after further investigation of its o analysis of alternative solutions; and o choice from among the alternatives. The case studies provided little data from which to further refine the concept of Technocratic Decision Making. What did emerge was rather incidental, and secondary to the purpose of this dissertation. The reason there was little information forthcoming on the Techno-cratic Response Type was that there was no evidence it existed in Casetown at any time during the research project. Statistical data, one of the mainstays of Tech-nocratic Decision Making, was repeatedly ignored when it conflicted with the personal values held by the officials. While the Casetown officials seemed willing and able to

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322. modify their values over a period of time, they were not willing to subjugate them, which was what they believed the Technocratic Decision Making Response Type and the factual information associated with it required. Rather, what the urbanized culture would consider scientific fact was used by the Casetown officials only when, as they put it, "they were ready." Finally, little was learned about the Technocratic Decision Making Response Type because the Casetown officials seldom had the skills to use the type of information associated with it. As one Casetown official commented, after being given three pages of formulae by which to compute various types of industrial revenues: Now this is nice, real nice. I mean I have. no with it per se. But what the hell do I do with it! It's like someone putting you in one of those rockets at.Cape Canaveral and telling you to fly it to Mars! Conclusion The research findings of this dissertation differ considerably from earlier writings on boomtown local governments. These earlier works tended to despair that boomtown local governments were doing such an "amateurish" job of managing energy-related growth. Largely in the spirit of the "modernizationists," these writings described the problem in terms of "modernized" or "urban-ized" traits. They lamented that boomtown governments

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323 persisted in making decisions based on traditional habits of the past, ra.ther than upon objective criteria and "pro fessional" decision making processes. This dissertation, in telling the day-to-day story of one group of rural, boomtown officials, has shed new light on the explanation of boomtown decision making. While the experiences of the Casetown officials indicated that they had, indeed, adopted more modernized functions and decision making processes, here the similarity between this and earlier research ends. While the latter merely pointed to greater professionalism as something which inevitably happened to rural boomtown governments, this research has delved into how that change actually came about. The Casetown story showed that although the Casetown officials did take on a more Developmental Type of decision making, which resulted in decisions based on greater objectivity, and hence professionalism, it was not easy. It required, in some instances, more than information resources and decision making skills--it required a reordering of personal values. Such instances not only confirmed the general theory of modernization, but they add further insight into the difficulty with which it occurs, especially in a shortened time frame. In addition to supporting the theory of modernization and providing a story about boomtowns more positive

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324 and hopeful than most, this research makes other contributions as well. Despite its rudimentary and unsubstantiated character, the framework developed in this dissertation provides a definitive beginning for talking about, understanding, and researching rural boomtown decision making. The concepts of Developmental Decision Making Response Type and usable information emerged as especially important elements of the framework. Although the predominant decision making response type in rural boomtowns is likely to be Traditional, the Developmental Decision Making Response Type is nevertheless seen as an attainable option. To review briefly, the Traditional Decision Making Response Type is based on traditional ways of gaining knowledge about the world--i.e., through custom, morality, and common sense. From a more urbanized, or technocratic viewpoint, Traditional Decision Making appears informal, not necessarily objective, and often ineffective. However, the framework developed in this dissertation showed that the assumption of ineffectiveness does not necessarily hold true. Rather, the most effective response type depended on the particular situation. The Traditional Decision Making Response Type may be admirably suited to slow-paced, closely-knit rural communities where problems can usually be dealt with on a day-by-day, person-to-person bas is. However, when

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325 decision makers are besieged with the numerous and complex problems accompanying rapid industrial transition, this decision making response type may not be the most effective. Numerous are the state and federal bureaucrats and industry officials, for example, who report that from such circumstances evolve the least effective decisions possible, or no decisions at all. The ability to distinguish the Traditional Decision Making Response Type, understand why it is adhered to, and identify what must occur before a more Developmental Response Type will be adopted, is indeed .a step beyond lamenting the inadequacies of boomtown decision making. In concluding, the delineation of three major response types, and the association of each certain types of information, enables identification of the particular forces which must be altered or counterbalanced if change is desired. For the locally elected officials of boomtowns it provides a guide for understanding why it is they make decisions the way they do, and how to begin to change such decision making if they so desire. Furthermore, it is not something which does not necessarily require the addition of consultants or staff. Rather, it reaffirms for these officials their right to "begin at the beginning," to search for, and accept insufficient information as the first step in a longer problem solving process. More complete information is acquired as their

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326 ability to assimilate it and use it is developed. The increased ability to accept and make sense of the information occurs because the decision makers control the process by which information is acquired. It is the issue of "who controls" which is at the heart of the debate about. boomtown management.

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CHAPTER SIX: CONCLUDING REMARKS In every community in which we have experience, there was a high and sometimes complete turnover in leadership positions In all of the cases there had been a need for more professional, more competent, more and more energetic people (Cortese and Jones, 1979, p. 12). This statement is representative of much of what is written about rural boomtowns and their local govern-ments. Regardless of whether such writings address the effects of a "boom" upon the ability of a particular community to provide services such as water and sewer, or upon certain social changes which tend to accompany rapid energy-related growth, one conclusion stands out. It is that the local governments of such communities must adopt more "modernized," rational decision making procedures. They must do so even if it entails a significant amount of local government reorganization, a complete turnover of elected officials, and among the old-time citizens, a perceived loss of influence over their local government. Casetown's Local Government Remains an Exception This dissertation has told of a notable exception to most of what has been written about energy boomtowns and their local governments. In Casetown there was not a complete reorganization of the local government; there was

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328 not a complete turnover of elected officials: and there was little evidence that any part of the community had become less involved in the affairs of local government. Furthermore, locally elected officials who participated irt this research project have not only remained in office, but evidence suggests they have proved themselves as hardworking officials capable of managing the growth they face. They have, for example, developed a comprehensive planning process designed to create community interest and input into growth-related decisions, as well as adding factual information to their decision making processes. They have assisted one of the nation's largest coal producers in gaining county permits to open a large mine near Casetown. They have simultaneously worked to assure that the community could accommodate the economic growth it appears to desire without creating further tax burdens for existing residents, at least to the degree common in other rapid growth communities. They have been instrumental in making arrangements for a new senior citizens complex, the first phase of which is now nearing completion. Under the planning and direction of the Casetown officials, a new park has been built, and property has recently been purchased for a new town hall. The progress of these past eighteen months has not been accomplished easily, however. There have been setbacks requiring of the Casetown officials a good deal of

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329 patience and conviction to "stick with it" until wellreasoned solutions could be found. For example, soon after the "Town Manager Issue" had been resolved and this research project terminated, the newly-hired Town Hanager was charged, convicted, and sentenced to three years in a federal penitentiary for embezzling $80 thousand in the job he held before coming to Casetown. At the urging of the Casetown Trustees, he resigned from his new job as Casetown Manager seven months before he was finally convicted. At the time of his resignation, many of Case towns citizens believed that the towns experiences with town managers led to one solution and one solution only-Casetown should not hire another manager. This sentiment was expressed in newspaper articles, in public meetings, and in "coffee shop" talk. The Trustees, however, continued to believe they needed a manager, despite the problems they had encountered with their first two managers. Their experience at dealing with community growth, combined with their "firsthand" knowledge of what a manager was not, enabled them to eventually persuade a large portion of the community that another manager was needed, or to at least "give it another chance." After six months of a more cautious and extensive recruiting process than ever before, Casetown hired its third manager.

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330 Despite difficulties such as these, the ability of Casetown's local government to manage rapid energy-related growth appears exceptional when compared to that reported of other local governments of the region. To note that Casetown's local government remains an exception--for example, that its elected officials have not necessarily lacked in aggressiveness, energy, or competence, and that there has been far from a complete turnover in leader-ship--begs the important question of is this so?" Reasons Why Casetown's Local Government Remains an Exception A Manageable Growth Rate Many explanations could be offered for the difference between what has been reported about other boomtowns and what occurred in Casetown. However, several stand out. Undoubtedly, one of the major reasons has been the lesser rate of growth faced by Casetown. Most boom-town research has been concerned with growth rates exceed-ing 25 percent a year, occurring as the result of the developme.nt of two or more major industrial installations. In recent years, however, Casetown had been growing at a rate of 11 to 15 percent annually. It may be that the Casetown officials faced a task which, although stressful and difficult, could still be accomplished, given their level of management skill and knowledge. Had the growth rate been greater, the ability of the officials to adapt may have been more uncertain.

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The Development of Necessary Management Skills and Expertise 331 Another reason Casetowns local government appears to have emerged as an exception was their continuous effort to develop the management skills necessary for the job they faced. One such effort was their participation in this action research project. Perhaps the most telling description of the skills the Trustees attributed to this research project came from one of the Casetown Trustees some months after its conclusion. He explained that he remembered the project being similar to a group of people putting together a jigsaw puzzle. He noted that the first piece might be agreed upon because of its color, because it was obviously a corner piece, because it was big, or because people had a "hunch" that it was an important piece. Other pieces were tried and discarded until even-tually a second and third piece were attached. When that happened, he went on to explain, an image began to form, and pieces were added more easily and rapidly. A system was then established for categorizing discarded pieces for later use. At several points in the process a piece was added which enabled members of the group to exclaim, "My God, we are getting it!" Once that insight occurred, the piles of discarded pieces were reorganized and used. As the group began to envision the final result, they were likely to work even harder, trying each piece from as many

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332 different angles as possible until they had the satisfac-tion of viewing the final result. Casetown officials acquired Developmental Decision Making. skills This Trustee's analogy has been presented because it indicates the type of decision making skills the Casetown officials acquired in conjunction with the research project. They have been skills which have enabled the Trustees to tackle tough, growth-related problems in a manner both effective and politically acceptable. More specifically, they are skills which this dissertation has associated with the Developmental Decision Making Response Type. Developmental Decision Making is a style of deci-sion making which does not require complete information and does not require decision makers to accept information until they are ready to do so. For example, once the Casetown officials had acquired enough information to define their problems, they were likely to search out in-formation from new sources. This, in turn, led to deci-sions which took into account more elements of the problem and viewpoints toward it. In representing a rapidly grow-ing constituency with diversified values and opinions, as did the Casetown officials, the exposure to these people and their ideas was important. In concluding, the usable information and the Developmental Decision Making Response Type about

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333 by the research project enabled the Casetown officials to fashion decisions which were likely to be more objective than decisions resulting from a Traditional Response Type, and more publicly acceptable than decisions resulting from Technocratic Decision Making. Thus, Developmental Deci-sian Making has proved to be a practical, adaptive manage-ment response to boomtown transition which has persisted beyond the duration of the project. Casetown officials developed greater confidence The Casetown Trustees' confidence and ability in acquiring the information necessary for solving problems increased as a result of their continued use of the Developmental Decision Making approach. They learned that, in most instances, they were capable of identifying and using information to make decisions--that it was not always necessary to rely on expensive outside consultants or on a "professional" staff to give them answers. Fur-thermore, their increased association with Developmental Decision Making caused them to recognize that some pro-blems required time to solve, and that they must be learners to be good leaders. Casetown officials learned to recognize and deal with conflicting values The case studies indicate that the Casetown officials' participation in this action research project

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334 can be associated with other diffeences. During the project, for example, the elected officials came to realize the importance of the value choices inherent in certain situations, and the manner and extent to which values affected the decisions they made. The conscious recognition of these values, and the realization that some decisions required a choice between competing values, led to a clearer understanding of certain role responsibil-ities they had as elected officials. Several of the Case-town Trustees have noted that more recently, such deci-sions have "seemed easier." Not only have they been better able to predict community reaction to certain issues, but their clearer understanding of their roles as elected representatives has enabled them to make decisions in the interest of the total community and to defend those decisions to newcomers and old-timers alike. Casetown officials developed greater trust in one another A final difference not to be overlooked was the apparent increase in respect for one another that grew among the Trustees during the duration of this research project. This increased level of respect seems, at least in some cases, to have heightened their level of satisfac-tion with elected office, and quite possibly their con-tinued effectiveness as a group.

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335 In concluding, Casetown's local government has not experienced the fate reported of other boomtown local governments. One reason has been its lesser rate of growth. Another has been the willingness of the Trustees to develop the management skills and expertise necessary to effectively deal with the challenges they face as boom-town elected officials. Their participation in this research project was evidence of that willingness. It resulted in the acquisition of new making skills, the resolution of several important problems facing the town, and in an increased level of respect and confi-dence. Having noted the unique status of Casetown'-s local government, and having provided -further explanation, it is now necessary to discuss the practical implications of the_ findings of this study for those who would deal with rural boomtown governments on industrial and-intergovernmental matters. Practical Implicat-ions for Dealing with Rural Boomtown Governments Underlying Values Should Be Made Explicit Rural boomtown officials, as was reported through-out the case studies of this dissertation, are often pre-sented with reports and studies containing information about unfamiliar topics, collected according to "mysterious" methodologies, by unknown people. These officials are then expected to use the information according to an

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336 objective problem solving process, and arrive at a "logical solution" within a very short period of time. It was also reported throughout this dissertation that such situations did not allow local officials the necessary time to understand the problems, to deal with their value components, and to participate in determining which types of information they would find most relevant. The typical proposal made to boomtown local governments by outside entities is objectively based and indicative of a rational, business-like approach to problem solving. Such proposals.encounter difficulty because there is seldom agreement within the community that local officials should make decisions in a rational, business-like way. Rather, there are usually genuine differences among the interested parties on the decision making criteria to be applied to proposals which come before the local government. Decisions regarding such proposals require of local officials an assessment of multiple values, and objectivity is only one of them. Yet most proposals made to rural boomtown governments by industry, business, and even other units of government are designed to obscure those very value components of the problem. Such proposals would probably fare better if the underlying values were made more explicit, rather than disguised under the vaneer of "rational, objective data," and "hard facts ...

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Information Must Be Made Usable Structuring the flow of information 337 practical concerns exist for those who deal with rural, boomtown local governments. For example, it is important to know whether a particular-proposal or program will necessitate a significant change in local policies and procedures before presenting it to the local government. If a change will be required in policies and procedures--especially those which have been developed over many years--attention must be given to the way information is presented. More information should be provided according to the decision maker's ability and willingness to assimilate it, and to address the value choices involved. It is not advisable to collect large amounts of technical information, expecting to exchange it with the locally elected officials for a certain decision. Rather, it is more effective to design and provide information in conjunction with what the local officials perceive their needs for information to be. This, in turn, requires early and frequent two-way communication between the information provider and the local government. It also requires that the information provider recognize that although a decision may appear clearcut from an objective, rational, policy analysis viewpoint,

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338 for the rural boomtown decision maker, such a recognition will come more slowly, if at all. This suggested manner of dealing with rural boomtown officials assists them with their information needs. It also enables them to develop among their constituents the support necessary for certain policies and decisions. As has been noted throughout this dissertation, most rural boomtown governments experience a state of weakened legitimacy and authority as a result of the social transition in which they are immersed. Regardless of whether such local governments make decisions according to past practices, relying on habit, tradition, and moral conventions, or employ more "professional," objectively-based decision making, the breakdown of community consensus inevitably detracts from the legitimacy of their decisions. Increasingly, major decisions or actions being considered by such local governments are challenged by different groups. Outside entities who find their proposals caught in the middle of such political tests feel victimized. Yet, if they have not expended sufficient time and energy to understand the local political climate and to provide boomtown decision makers information they will find useful, then local elected officials are not the only parties responsible for the outcome. The tenents which underpin the action research methodology provide guidance to those

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. 339 who seek to provide such officials information which is both pertinant, and useful.l Decisions Made Without Local Input Will Be Resisted The objectively based information provided to local governments by outside entities was shown to be in-effective in bringing about desired results. The cases in this study also showed that attempting to make decisions "for" or "on behalf" of local officials was not effective unless a law or regulation was involved. In Casetown, proposals made to the local government, without prior input fr6m the citizens or the local were sometimes denied by the locally elected officials. Occasionally such proposals were approved, but only after the officials had modified them, or had changed the process by which implementation would occur. Most often the Trustees simply took no action, and delayed indefinately the proposed activity. Thus, these Casetown experiences indicate that only in select instances will boomtown officials comply with decisions made first by corporate executives or bureaucrats, and later presented to the local decision makers for their "stamp of approval" or implementation. lAction research methodology as it applies to the rural, local government setting is fully described in Appendix A of this study.

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340 These instances included new laws, and state and federal policies in an explicit manner, with regulatory follow-up. Everyday Guidelines fo-r v1orking with Boomtown Local Governments The more general aspects of boomtown local govern-ment decision making have been addressed. However, this topic also requires that attention be given to considera-tions of a more specific, practical nature. These consid-erations are based largely on observations and experiences associated with this research project. They are substan-tiated by certain governmental activities which have occurred in the area since the termination of this re-search project.2 Researchers, industrial personnel, and state and federal government bureaucrats are recognizing that it is important to learn about rural, energy-impacted communi-2TWo recent examples of regional importance lend further emphasis to the findings of this study. One was a situation in which a county used its permitting authority to force an industry to negotiate an impact mitigation settlement of $17 thousand. The county's reaction was due to their unfamiliarity and disagreement with the findings of an EIS which addressed the proposed development. As recently as May 1982, several energy-impacted local governments denied the findings of an area-wide impacts task force. They reported that they did not agree with the growth-related information developed by the task force, and that they did not understand the methodology used by the task force.

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341 ties in advance of making proposals to their local govern-ments. More specifically, the economic and social history of the community is important to know, as well as the people or groups associated with the more recent community controversies. It has long been known that elected offi-cials are not the only leaders in communities. Often there are others who are more influential. Identification of these people is important, as is a determination of whether their political influence is continuous or is only associated with certain types of issues. Those outside the community can acquire such information through infor-mal converstations, ethnographic interviews, demographic analyses, and other methods of historical analyses. (In the case of energy industries, if initial community sur-veillance is undertaken by other than top corporate executives, then must be for acquaint-ing them with the realities of boomtown life and poli-tics.) Once information such as this is known, it is important to become acquainted with local officials. Dis-cussing with local officials the status of certain cor-porate, state of federal government plans, and seeking their suggestions is particularly effective. However, if the input of the local officials is not to be given serious consideration in the development of corporate, state, or federal plans, it is advisable to make that

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342 point clear to the local officials, and to limit the dis-cussion accordingly. When input is sought from boomtown officials, many corporate executives and government bureaucrats may be inclined to want "quality data" and to ignore the feelings and attitudes of the officials. Yet, especially in a rural boomtown government, it is likely that such non-objective types of information play a more predominant role in decision making than do "quality," objectively based data. Furthermore, insisting on "quality data" often results in communication being with the more arti-cuate decision makers, when influence and votes are held by all. Thus, those who deal with boomtown officials are well advised to seek out all types of information. This is the reliable way of anticipating the issues which are likely to emerge as part of a larger public debate. Conversely, as was noted earlier, corporate exec-utives and government bureaucrats not only desire "quality data" from boomtown officials, but they tend to provide them with that same type of objectively based "quality data."3 When they do so without respecting the the 3The National Environmental Policy Act of 1969 (NEPA) is largely responsible for assuring that the type of information provided about proposed industrial developments, and the manner in which this information is provided, is of little use to rural, local officials (see, especially, Freisema and Culhane, 1974).

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343 local official's ability to understand and use such information, the likely result is apathy or confusion among the elected officials, and frustration and contempt among those providing the information. Early and frequent communication with boomtown officials, along with understanding of their situation_, will assure that time and money are not spent providing to these officials information which they will not and, in_some cases, cannot use. When seeking input or providing information to boomtown officials, care must be taken that professional expertise is used to assist officials in the development of alternative solutions. If professional expertise is not used in this manner, professionals risk having their expertise being seen as a form of manipulation, and hence being ignored or resisted. Should this occur, local officials are likely to challenge the advice of outside professionals in other areas as well, including those in which they could otherwise have made a valuable contribution to the decision making process. Finally, outside entities who deal with boomtown local governments will find that their effectiveness will depend upon their ability to talk and write in simple, everyday English. This is extremely important, since the vocabulary which is commonly used in business and government can seem to rural officials like some esoteric language, or as the Casetown officials dubbed it, 11Swahil i. 11

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344 The responsibility for translating corporate or bureaucratic jargon to something boomtown officials understand, rests squarely with those who deal with such officials. Thus, soliciting the input of local government at the earliest possible time, and considering it in corporate planning is important. Providing information to local officials on a continuing basis so that they may begin to incorporate it iri their plans is critical. Without such advance communication and planning measures, the elected officials of today's boomtowns cannot prepare their communities for rapid energy-related growth. It is also important to remember that concepts of "usable information" and Developmental Decision Making which have been the focus of this dissertation are not really new. The ideas embodied in this type of decision making are as old as democracy itself. They have only become employed less frequently as increased technology and more highly objective types of policy analyses have become employed less frequently as increased technology and more highly objective types of policy analyses have become valued arbitrators of the public will. Yet, for rural boomtown governments, Developmental Decision Making may be a more realistic goal that the more professional decision making procedures employed by "urbanized" governments and modern industry. This dissertation has attempt-

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345 ed to lay both conceptual groundwork and to provide prac-tical advice to those who would work with such local governments. It is yet another response to an oldand wisened plea made by Thomas Jefferson a century and a half ago: I know of no safe depository of the ultimate powers of society but the people themselves. And if we think them not enlightened enough to exercise their control with wholesome discretion, the remedy is not to take it from them, but to inform their discretion.

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346 APPENDIX A: METHODOLOGY The Problem Locally elected officials of rural boomtowns of the intermountain west face a multitude of problems. Among the most difficult are those problems which require the officials to change or "compromise" personally held values when making decisions. Many times the decisions which cause locally elected officials to experience a conflict in values are those in which the objective solutions are in some way at odds with the traditional, moral ways of dealing with such problems. Those decisions are further complicated not only because a choice is to be made among conflicting values, but because local officials seldom perceive the choices in those terms. Furthermore, they may not recognize the long-term effects of selecting one set of values over another. This has resulted in locally elected officials either ignoring decisions which require them to choose between two or more conflicting values, accepting without question the morally prescribed decisions, or adopting the objective solutions even though they conflict with other important values.

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347 The Purpose of the Study Project The research project depicted in this dissertation required of the researcher several different sets of activities. One activity of the researcher was to duce Casetown's elected officials to different types of information from which they could ascertain both the rational/technical and value components of particularly difficult decisions they faced. Another was to provide the Trustees with various types of information over a period of time long enough for Trustees to identify alternatives, study them, and make decisions. The primary research activity, however, was to further develop a decision making framework for understanding and strengthening rural boomtown decision making. The methodology used by the researcher to guide her day-to-day activities with the Casetown Trustees is described in this Appendix. However, the findings that emerged as a result were presented in the case studies of Chapter IV. In Chapter V, these findings were further refined into a decision making framework which was especially relevant to rural, boomtown decision making. Action Research An Overview Action research can be broadly defined as "a model, guide, or paradigm, which enables the.application

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348 of the scientific method of fact-finding, and experimentation to practical problems" (French and Bell, 1973, p. 90). The nature of action research has been described by Herbert Shepard: The action research model is a normative model for learning, or a model for planned change. Its main features are these. In front of intelligent human action there should be an objective, be it ever so fuzzy or distorted. And in advance of every human action there should be planning, although knowledge of paths to the objective is always inadequate. Action itself should be taken a step at a after each step it is well to do some fact-finding this information, together with the information about the objective, can be used in the planning of the next step. Movement toward an objective consists of a series of such cycles of planning/acting--fact finding/planning (Shepard, 1960, pp. 33-3). The methodology used in this dissertation was basically that of action research adapted to a small town political setting. Therefore, the principal stages of action research will be presented as the basic methodolog-ical framework. Because these stages were developed for formal organizations of a less political nature than a town government, modifications were made. Brief History of Action Research Action research is a methodology currently employed in a number of fields, especially organizational psychology, organization development, and social anthro-pology. However, with the possible exception of social anthropology, action research has been written about pri-marily in relationship to formal organizations.

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349 The origin of action research methodology is credited mainly to the work of two men. One was a prac the other a scholar and practitioner. John Collier, as the Commissioner of Indian Affairs during the 1930's and 1940's, found most race relations could be made more agreeable by the addition of a neutral researcher. The role played by the researcher included monitoring or facilitating the interactions between races. Collier also found this neutral research role to be useful in difficult relations between the administrators of a service organization. and i.ts clients. He coined this method of understanding and modifying human interactions as "action research" (Collier, 1945). The second person to whom action research methodology is attributed is Kurt Lewin. Lewin was a social scientist intent on applying psychological principles to the resolution of organizational problems and deriving theoretical and conceptual understandings which would contribute to bodies of psychological knowledge. His experiments with this methodology covered many different types of social settings. They ranged from particular types of interactions between large groups of people, to changing the food consumption habits of housewives during the Second World War. For Lewin and his colleagues, action research was a methodology capable of "the linking of experimentation to application and, at the same time, the

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350 men of science and the men of action" (French and Bell, 1973, p. and see Lewin for relevant listings of his work). There have been many other significant contributions to of action research. Roethlisberger et al (1939) and Mayo (1945) were representative of the earlier social anthropologists to apply the cyclical of plahning/acting/evaluating/ planning to complex organizations and other situations. From the social science branch came the work of organizational psychologists such as Floyd Mann (1957), Rensis Likert (1961), and Bowers and Seashore (1967). This group developed many of the assumptions and process guidelines which underpin the action research method of bringing about change. Possibly most noteworthy of their findings was that the gap between what people perceived as real, and what they perceived as ideal, could be motivating. However, for motivation to occur, an awareness of how change could be brought about and the freedom to do so must also have existed. This same group of organizational psychologists further refined the action research sequence to include information, goal selection, assessment of the current situation, diagnosis, feedback, action and reevaluation. The second group to make similar contributions to the development of this methodology, but as it related to

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351 more interpersonal settings, included Lippit, et al (1958), Gardner (1965), Bradford (1967), Schein (1969), Bennis (1969), French (1969) and Argyris (1970). Their basic contributions to action research methodology were several. Conscious recognition among group members about how they relate to each other, and.one group to other groups, was found to be an especially effective type of learning. It was also determined that what was learned in a group setting outside an organization could be (although often is not) transferred from that setting to the "backhome" organizational situation. These early contributions to action research methodology from the fields of social anthropology and organizational psychology were categorized into four main types by Chein, Cook and Harding (Chein, et al, 1948). The types were diagnostic action research, participant action research, empirical action research, and experimental action research. Three of these four types represent methods for bringing about change, although the reasons for that change is better understood through other theories. The first of the three was the diagnostic method of action research. With this method, the researcher diagnosed the organization's problems based on information which was collected. Using this information, the researcher made recommendations to the participants, much as.a medical

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352 doctor does to his patients. The second type was referred. to as "participant action research... The most important characteristic of this type of action research was the people who were to be affected by the decisions were included in the action research process from its incep-tion. The third type of action research included an empirical element whereby the researcher kept extensive notes on the process (Chein, et al, 1948). The fourth variety of action research was desig-nated as "experimental." The distinguishing character-istics of experimental action research are three. First, it must provide the participants with greater problem-solving capabilities and valid information. Second, it must strive to generate new scientific knowledge, as opposed to only applying existing behavioral science know-ledge. And third, it must generate action with regard to specific problems (Chein, et al, 1948). Of the four types of action research, the first three have been the most "''idely used. Voth ( 1979) a synthesizer of action research methodology, identifies three features common to most contemporary action research. 1. Action research must involve a organization (referred to in this dissertation as participants in the Casetown study) and a social science practitioner (referred to as the researcher in the Casetown study).

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353 2. Action research requires the organization to define the problems to be addressed, and to act on the information generated by research focused on those problems. 3. Action research is predicated on a participatory, democratic organization (Voth, 1979, pp. 67-82). General History of Action Research in Community Settings The action research methodology most often used in community settings has evolved from a body of research different from that which is commonly associated with action research. The action research methodology used in the field of community development originated primarily in three settings--the United States universities (Browneli, 1950; Bryun, 1963), the Cooperative Extension, and through the United States' efforts to assist in underdeveloped countries (Voth, 1979). In these settings, goals of greater efficiency and effectiveness (the primary goals of action research in formal organizations) were less appro-priate. Rather, action research in communities had as its primary philosophical goal one akin to Paulo Friere's "con-scientizacao," or the "development of critical conscious-ness" (Friere, 1970, pp. 4-5). This goal, loosely defined, was to create among the members of a community an under-standing of the social, political, and economic contradic-tions of their life situations. Accordingly, this greater understanding is expected to motivate citizens to change that which they perceive as oppressive (Friete, 1970).

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354 action research methodology used by professionals in community development is designed to generate an active dialogue between members of a community. The purpose of the dialogue is to encourage people to think beyond their immediate personal troubles, and to relate to larger social issues. One of the most significant attempts to describe action research as a methodological tool for community development was written by Daniel Schler in an article tiiled "The Current Status of Action Research" (Schler, 1967). In this article, Schler emphasized that action research was an effective way to get representatives of an entire community to participate in "conscious, deliberate, planned change" (Schler, 1967, p. 2). Hore recently, Voth (1979) emphasized that action research applied to a community setting was more than a theoretical orientation or a research technique. He maintained that action research was the most effective, ethical means of bridging the "peculiar relationship between research and action within an ongoing community" (Voth, 1979, p. 70). In summary, community development theorists and practitioners have agreed upon action research as an important method for bringing about community change. However, they have been of little assistance in specifying detailed step-by-step actions needed to implement this type of research in a community setting.

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The main purpose of this brief history of action research has been to illustrate its diverse origins, and its flexibility in application. Following is a more detailed description of action research. Modifications necessary for its use in a small town political setting are included. Action Research: Differences between Small Town Political Settings and Organizational Action research methodology, when applied to a small town setting, requires a sequence of activities which are somewhat similar to those used when action research is applied in formal organizational settings. These activities are interrelated in that each generates certain types of information which are analyzed, and become the basis from which further research activities occur. They may also be repetitious in that it may be 355 necessary to return to collect further information, or to reanalyze a problem before proceeding. However, beyond adherence to the basic activities of action research, the similarities between action research applied in an organi-zation and action research applied in a community setting diminish. For the study undertaken for this dissertation, modifications had to be made to the action research methodology because of what the researcher saw to be fundamental differences between formal organizations and a

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356 boomtown local government. For example, in more formal, complex organizations, explicit purposes and goals usually exist. Members of the organization are expected to under-stand how their individual roles relate to the overall organization structure and functioning of the organiza-tion. In boomtown local governments, however, clearly defined structures and goals often do not exist. Rather, most rural, boomtown councilmen are elected to be spokes-men--"to constantly react to [the citizens'] interpreta-tion of the community's perceived needs based on citizen input" (Landry, 1977, p. 3). If they do not, they risk defeat at the polls, or even recall. Other differences between complex organizations and boomtown local government settings must also be taken into consideration. For example, in a rural boomtown there is often a lack of consensus about what is expected of the local government. This lack of community consensus is critical. If the community is in disagreement on issues, rural officials may find themselves without other criteria by which to make decisions. Furthermore, town councils are hard put to agree on goals or even on the roles individual trustees should play.l lThe reader is reminded that in this dissertation the terms "Councilman" and "Trustee" are used interchangeably. This is because in the boomtown where this research was done, the terms were used in such a manner, although "Trustee" was the technically correct term.

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357 Such differences between formal organization and boomtown local governments have a discernable effect on action research as it is applied in such settings. In order to understand the significance these differences have on the application of action research, further contrasts between the two settings are provided. These contrasts will show differences between entry, contracting, collection, and diagnosis in a formal organizational setting versus a small town government. Once these differences have been highlighted, the action research methodology as it was applied in this study will be further described. Problem Identification The formal organizational setting Recognition that there is a growing body of problems that is not being solved in a formal organization may initiate thinking among top executives about what might be done. One option is to determine whether the methodologies and ideas that social scientists are developing and working with might be of assistance. The problems to be addressed may range from worker productivity, to obsolete management techniques, to less-than-inspired policy formulation and decision making. The local government setting Problem identification in small towns undergoing rapid change may come from any number of forces which tend

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358 to converge on the local government. Locally elected officials are often faced with an increased volume of work, including reports and papers to read, an increased number of regulations to consider, civic events to attend, and litigation about which to worry. Factors external to the council, such as newspaper editorials or threats of. recall, may ultimately be responsible for signifying to the locally elected officials and the community that problems exist which they must address. In other instances, the recognition of particular problems may emerge from the council itself as events batter elected officials physically, psychologically, and emotionally. Often, however, awareness of local management problems emerges simultaneously from forces within the council and from the community. The potential effectiveness of action research undertaken in either a formal organization setting, or a less structured political setting, may be enhanced if the researcher has knowledge of how a particular problem has emerged. In either setting, however, if the researcher has become involved in overtly articulating or contributing to the problem, the likelihood that he or she could effectively use action research to be of assistance is diminished. This occurs because the researcher will be perceived as a political actor, with vested political

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359 interests--and not just concerned with assisting others to deal with the situation in an objective, problem solving manner. Entry and Contracting The formal organization setting Action research applied as a method of addressing management problems within the formal organization typ ically begins when someone within the organization contacts an action research practitioner. The initial meetings between the action research practitioner and members of the organization are described as educational in nature (Shein, 1969; Nadler, 1977, p. 89). They provide an opportunity for the action research practitioner to explain the principles and procedures of action research as they apply to problems that organizations often encounter, and to assess the applicability of the action research method to the specific problems that the organizational representatives believe they have. If both the organization and the consultant perceive a potentially beneficial match between the organization's problems and the method and skills the consultant proposes to bring to bear on those problems, then further contact typically ensues. Usually included in these initial discussions are finances--the organization must determine whether it is an affordable option which

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360 will have sufficient pay-offs; the consultant, whether it is adequate pay. Other concerns that should be addressed before a final decision is made to undertake an action research program within a formal organization includes who will control the project, who will ultimately benefit from it, the nature of the expected benefits, the commitment of the organizational leadership to the project, the manage-ment philosophy it requires, whether the project is relevant to the consultant's background and expertise, and the payment schedule. If these concerns are met to the satisfaction of both the action research consultant and the organization representatives, they are put into a contract (Schein, 1969; Nadler, 1977). There are many purposes for such a contract between the organization and the consultant. One of the most important is the clarification of the goals of the project, and the participatory management orientation that is generally required. t-7ri tes one practitioner: The goals of the project represent the value positions of the consultant and the organization, and they should be clearly stated in a manner that makes different members of the organization aware of them (Nadler, 1977, p. 89). The contract should also designate an individual within the organization to work as the liaison between the con-sultant and the organization. The field of organization development refers to this person as the 11internal change

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361 agent" (Schein, 1969). Alternatives to this arrangement typically include management delegates, or guidance committees representing all levels of the organization (Aldefer and Holbrook, 1973, pp. 437-464). Another critical element in .. a contract is designation of how the information will be generated and how it will be used. A guarantee of confidentiality is essential and therefore a common element of a contract the consultant and the Other elements may include specification of a time period during which the action research study is to occur, and agreement about who will provide administrative resources such as copying, video-taping, and typing. Although often overlooked, the contract between the consultant and the organization should include criteria by which the project will be reviewed, and a schedule for periodic evaluation. In summary, the overall purpose of the entry and contract stage between a consultant and an organization is to assure a mutual understanding and agreement about the steps to be involved in the action research project, the management philosophy required, and the potential ramifications of action research applied in a formal organization setting. A contract developed in the prescribed manner is thought to increase the probability that organizational problems are identified correctly, that the right

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362 type of information is collected, and that people who will be participating in the project will accept and apply the information generated by the project. The smalltown local government Action research used in a small town government setting produces unique problems in the. entry and contracting phase. The methodological guidelines established for use in a formal are not adequate, and must be modified if action research is to be employed and is to eventually be of real assistance to rural, local governments. A description of some of these unique factors which must be taken into follows. It should be pointed out immediately, however, that these factors are truly unique and will vary at least somewhat from one local government setting to another. As mentioned earlier, for rural, locally elected officials, an awareness of management components of problems may come from factors outside the local government such as the local press, from corporate managers attempting to work with the community, or from within the unit itself--but .most often, .from several sources simultaneously. However, once locally elected officials are in agreement that they have management problems, and that they desire to correct them, they may still have difficulty identifying the appropriate measures to take. Most

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363 small town councils have had experienced professional con-sultants who have provided assistance of a technical nature, but few have contracted with consultants or researchers to assist them with their decision making processes, or even know that such consultants and methods exist.2 The notions derived from prior experience with technical consultants,. combined with the lack of awareness of other types of consulting services, requires innovation from practitioners who would introduce action research to locally elected officials. Even if action research is identified as a poten-tial option, reservations will likely exist concerning its relevance. The notion of contracting with an outside con-sultant to assist an body in making more effective decisions by altering its decision making processes may be resisted on the basis of external intrusion and usurption of the local political function (see generally Landry, 1977; Lassey, 1977). While local. may readily understand their elected officials need additional expertise in technical matters such as finance and engineering, they are less likely to agree that they might 2A practitioner of action research plays both a consulting role and a research role, and can be called both a consultant and a researcher. However, for the sake of consistency, in this dissertation the title "researcher" will be used.

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364 also need assistance with the processes of decision making (see generally Landry, 1977). Finally, assuming that local officials have identified action research as something they need, and that they are willing to risk public questioning of this need, they are still faced with the lack of resources to undertake such a project. Given the tremendous demands on the revenue bases of most small towns, but especially boomtowns, it may be financially impossible, and politically unthinkable that local tax dollars would be spent on such an activity. Factors such as these require that the researcher undertake activities different than those required in the entry and contracting stage in formal organizations. For example, it will. probably be necessary for the researcher to initiate contact with the local town council, instead of vice versa. This in turn will require that the researcher know something about the problems the local government is facing. This knowledge can then be used by the researcher to clarify for the officials how the real life problems they face may be handled more effectively through the use of the steps involved in action research. Action research as applied in formal organizational settings typically assumes that someone influential within the organization recognizes the potential for action research and introduces the researcher to the organization. Although this cannot be expected to occur

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365 in small town councils, there nevertheless exists a likelihood that some councilmembers will grasp more quickly the action research concepts, and associate them with the council's problems. If these individuals are approached by the action researcher first, they may then introduce the action research concept to the remaining trustees Trustees who have worked as members of service organizations and other social groups may be likely candidates for the researcher to approach first. Trustees who have had some experience with large formal organizations may also provide likely entry points. Women trustees may be especially good contacts since women have historically been credited with agreater ability to understand the process elements of events and problems (Moen, et al, 1979). Members of the community who are also trusted and respected by the council may be especially effective in introduc-ing action research to the council--if they have some understanding of the problem solving process skills needed. Regardless of which approach is employed, initial entry into a local government setting entails more risk for both the council and the researcher than is commonplace in the formal organizational setting. Common errors may include trying to gain entry through a nonpowerful trustee or one whose primary motives are other than improving council decision making, or becoming inadvertently aligned with one political subgroup.

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366 Once the researcher has had the opportunity to talk with the council, action research activities may not have to be so planned. Rather, it may be necessary to be quite flexible and responsive to questions as they are raised, realizing that the outcome is not at all certain. In a formal organization setting, the researcher's objectives for the initial meeting are to educate the participants about the action research process, and to begin to develop their trust. These tasks are appropriate for the-researcher because management may have already made the decision that an action research project will likely be undertaken (Schein, 1969). However, in the initial meeting between the researcher and town council, these objectives are subordinata to a critical objective--to begin to obtain support for getting into tne system. Given this additional condition, the initial meeting with the council should focus on developing a general understanding of the principles of action research, and on beginning to develop the council's trust in the researcher. The first of these objectives--to develop a general understanding of the action research process--may be achieved by using illustrations which are relevant to the everyday lives of small town citizens. Such examples may range from how individuals use the principles of action research in the regular conduct of their daily lives, to

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367 how action research has been used by other local organizations or regional organizations. However, examples which clarify the relationship between action research and the specific problems the council is thought to be experiencing are probably inappropriate from a methodological viewpoint. Certainly they are risky when viewed against the political context of the small town council. Questions concerning the possible effects action research might have on specific problems should be answered in terms of the process by which the decisions would be made, not in terms of probable outcomes. The ethical considerations should also be made obv1ous in such examples. The failure to note these considerations is a breach of professional ethics on the part of the researcher. It is also risky. If, for example, the trustees only later recognize that their decisions are being affected by a researcher vlho has not been elected, and is therefore not directly accountable in the manner that they are, these afterthoughts may emerge to jeopardize the project. Related to the success of the initial meeting between the researcher and a small town council are the personal style, dress, and language used by the researcher. Although there are no magical formulas, somewhat conservative dress and a genuine and authentic manner are probably important Finally, since small .town people

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368 are noted for displaying their intelligence through common sense and wit, to display a sense of humor may reduce the tension created by the prospect of undertaking something new and may gain for the researcher a more immediate acceptance, trust, and respect from the officials. If a "contract" is developed between the researcher and the council during this early phase, it should be general. There should be an understanding that a more specific agreement will be made once the researcher has more information about the situation, and the officials have a better understanding of how the action research process might unfold. The style of the consultant, and his or her ability to gain the trust of the elected officials, is another important difference between instigating action research in formal organization settings versus a small town council. Larger organizations will likely judge action researchers by their competence. Their presentations can be designed to display that competence. However, in a small town setting where people are unaccustomed to judging other people according to the criterion of competence, an amiable personality may be more important than a display of competence. In fact, evidence of too much competence and assuredness may intimidate the trustees of small town governments.

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Data Collection and Diagnosis: Separate Conceptually, but Not in Practice The formal organizational setting 369 The data collection and diagnosis stage is the first significant occasion that the researcher has to collect information that will become the basis upon which subsequent action research will develop. Action research methodology in formal organization settings relies on several basic data collection tech-niques. These techniques range from interviews and to process observations. Other measures of effectiveness may also be reviewed; examples include performance evaluation and productivity records. Huse (1975) writes that the most effective ordering of these data collection techniques begins with observation, is followed by semi-structured interviews, and is completed with a questionnaire designed to measure the problems identified by earlier data collection. This sequence pro-vides a fine tuning effect, with each technique providing further information from which to better understand an organization's problems. The most important objective of the data collec-tion step is to acquire accurate, reliable, and complete information about how the organization operates. However, there are also secondary objectives to be met from data collection. When a respondent decides to share informa-tion with the researcher, for example, that act may

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370 further the respondent's commitment to the project. If the respondent has found it necessary to think further or differently about a particular problem, this too may develop additional interest in the project. The face-to-face contact with. the researcher and the visible evidence of the researcher's competence (such as a well-constructed questionnaire or interview schedule) provide further opportunity for respondents to learn more about the researcher and how he goes about his work. This, in turn, may increase the participant's trust in the researcher. Meeting these secondary objectives during the data collection phase are critical to later phases of the action research. Action research methodology prescribes. that the researcher make a preliminary analysis of the data before reporting them back to the participants. Two methods of analysis are commonly employed. The first consists of asking questions about the information based on a conceptual framework derived from theory. These questions often focus on communication patterns and leadership styles-variables which are known to affect organizational functioning and decision making. The second method includes techniques in quantitative analysis, such as scale building, computing means, frequency distributions, and comparisons within organizations or against a standard (Hays, 1963; Nie, et al, 1975). Both approaches serve to

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identify problems and their interrelationships, and to assure that findings are not due to chance alone. 371 Action research methodology as it has been developed for use in formal organizational settings emphasizes interviews as the most il!lportant technique for. collecting information. Interviews enable the researcher to gather more than one type of information, and information which is characterized by considerable detail. For example, interviews enable participants to make analytic comments about particular organization attributes and/or problems which provide insight that would not otherwise be available to the researcher. Equally important, interviews enable participants to disclose information about their feelings, thus adding to the researcher's understanding of the emotional forces that exist and must be reckoned with during the action research process (Kahn and Cannell, 1967). Several of interviews are used to gather information on organizational problems. Unstructured interviews enable the participant to express what comes to mind with little probing or direction-setting provided by the researcher. Semi-structured, open-ended interviews require the researcher to ask questions which will elicit responses on certain topics, while leaving the interviewee free to respond in a fairly unstructured manner. The semi-structured interview also enables the researcher to

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372 ask probing questions in search of greater understanding. A third type of interview employed by action research, but to a lesser degree than the previous two, is the structured interview. This technique requires the researcher to ask specific questions and identify specific sets of answers from which the respondent may choose (Kahn and Cannell, 1967; Nadler, 1977). Paper-and-pencil questionnaires are a fourth method for collecting information in a formal organizational setting, especially in the larger organization. Questionnaire results often reflect perceptions and feelings that participants have about the organization. These responses are, of necessity, more focused and limited than those derived by interviews. Questionnaires vary according to the types of questions asked, the manner in which they are asked, and the amount of discretion left to the respondents in answering. The main categories of responses include scaled responses, alternative responses, and anchored responses (Taylor and Bowers, 1972). The type of questionnaire used varies according to the specific information needs of the project and the researcher's skill in constructing questionnaires and analyzing results. While some questions may be designed to determine overall organizational characteristics, others may address only one or two areas of organizational functioning, but in greater detail.

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373 Action research applied to organization settings often involves a number of standardized questionnaires, many of which are of dubious quality and may be easily misapplied (Taylor and Bowers, 1972; Huse, 1975; Nadler, 1977). Although these standardized questionnaires often claim greater reliability than custom-built questionnaires, their validity is not necessarily as great. Observation is still another important method of collecting information about events and behaviors which affect an organization's -functioning. Observation enables the identification of subtle regularities in behavior, some of which may confirm or disconfirm information col-lected by other The importance of observation as a method of collecting information has emerged from four discernable roots. One is attributed to Kurt Lewin and the emergence of the group dynamics field. This work was subsequently pursued within the National Training Laboratories, and resulted in the emergence of an enlarged role for the researcher. No longer was the researcher required to simply observe. In this new role, the researcher could generate information by helping group members discover what was happening within the group at a particular point in time, and understand the effects those events were having on group members (Schein and Bennis, 1965). Recognition of observation as an important technique in data

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374 collection also came from the fields of anthropology, psychology, and sociology in the 1940's and 1950's (Selltiz, et al, 1951, pp. 201-203; Bales, 1971). Researchers from fields demonstrated that certain regular of behavior could be identified by observing social interactions. A third major contribution to the importance of observation, a data .collection technique, came from studies of group relations in industrial organizations (for examples., see Mayo, 1945; Whyte, 1955). These findings showed that an organization's structure often had little effect on how the people within it interacted. Thus, observing human behaviors within organizations, "rather than to accept at face value what people say in interviews or on questionnaires" took on greater importance as a method of data collection (Schein, 1969, p. 13). Finally, the finding that regularities in patterns of behavior and interaction are observable, not only within groups but between groups, contributed to the importance of observation as a data collection technique. Three major techniques of observation have emerged, each with unique advantages and disadvantages, but all capable of producing accurate information. Structured observation is a technique in which the researcher notes a particular type of behavior, and then records it on a standardized coding sheet (McCall and Simmons, 1969;

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375 Schartzman and Strauss, 1972). The behavior that is noted will depend on the purpose of the research. Semi structured observation enables the researcher to observe numerous activities and behaviors while abiding by a tightly structured recording process. Unstructured observations leave the researcher relatively free to observe as he wishes, although there may be certain variables specified. A major difference between this technique and the previous two is that the information is recorded in an unstructured fashion. In summary, action research as it has been applied in formal organizations may employ one, several, or all basic techniques of data collection--interviews, observation, questionnaires, and examination of records of organization structure and functioning. Current day action research undertaken in formal organization settings usually begins with observation, followed by semistructured interviews, and completed with questionnaires. The overall objective is to collect accurate information about what seems to be working well and what seems to be working poorly. This information can then be used by the participants as a basis for planning change. Secondary goals of data collection include 1) developing commitment on the part of the participants: 2) developing the participant's understanding of the process; and 3) developing trust between the researcher and the participants.

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Data Collection and Diagnosis The small town political setting 376 The data collection and diagnosis stage of action research in small town councils is similar in purpose but different in emphasis, and some\'lhat different in method than data collection and diagnosis performed in a formal organization setting. The political nature of small town councils and the role played by the locally elected officials has implications for the scope or breadth of information that must be collected if action research is to be used effectively. Because of the political nature of the situation, an action research project guided solely by the perceptions of locally elected officials will likely be ineffective in assisting those officials with core problems. This is because locally elected officials do not have the benefit of specific, long-term goals by which to guide their decisions. Rather, their purpose is to allocate resources among competing demands, according to a general mandate which comes from the community itself. vlhen the community is in a state of transition and little community consensus exists, that mandate is uncertain. In such situations, locally elected officials may tend to "synthesize" rather

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377 than "analyze", especially if they do not have the skills or the information necessary for analysis. The long-term effect is often orie in which the local official continuously reacts to symptoms of problems, without addressing the underlying problems. Consequently, the underlying problems remain unsolved. If action research is to be of long-term assistance to a local government, information must be 9athered about these underlying problems. This, in turn, requires that the researcher study the "broad picture." For example, only by examining the community, its values, its historical roots, and the changes taking place can the researcher understand the community forces which affectthe perceptions, behaviors and decisions of the elected officials. In a small boomtown government situation, there are other benefits to be gained from action research which involves collecting information from members of the community as well as the officials themselves. For example, such information may reduce the time frame required for the action research to assist the officials in identifying the source of their problems. This is because the researcher is better equipped to interview the trustees and to elicit from them information which is more relevant and focused. Furthermore, it is only with this information

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378 that the researcher can design methods to assist locally elected officials in understanding and addressing their problems within the broader context of community transition. The necessity of collecting information from and about the community constitutes only part of the research task during the initial data collection phase. In addition, the researcher must collect information from the officials in much the same manner, and for the same reasons, as information is collected in the formal organization setting. Those reasons include learning about the participants' perceptions of organization problems, and about their behavior in relationship to those problems. Because the research task is broadened in this initial data collection phase in the local government setting, the methodology must be altered accordingly. It was emphasized previously that the perceptions and behaviors of elected officials are best understood by first examining the social realities of the community. Since accurate, standardized measures of local values have yet to be developed, ethnomethodology emerges as the most effective tool for ascertaining community sentiment about important local issues. Ethnomethodology is a technique for studying a community from the points of view of its members, requiring that the researcher become personally and fully acquainted

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379 with his informants and their views (Weber, 1947, pp. 129-156}. A later practitioner of ethnomethodology writes: The ethnographer's continuing assumption is that people in scene being studied are the ultimate authorities concerning what is happening and what all means to them and others around them. If for example. the people of a community say that social stratification. has been subtle and played down in overt sense because they value and share a strong equalitarian commitment, this is their reality and it must be iespected if one is to Onderstand them as they understand themselves: in Thomas famous words, if the individual defines the situation as. real, it is real in its consequence-s." The individual's reality and its consequences for him and his frierids and neighbors are accordingly of paramount interest to the researcher. How this reality and its consequences came about, what it means to the. individual and his fellows in terms of attitudinaL expression, and the like are matters the researcher continually seeks to understartdas actors understand them in their chariging situation (Gold, 1970, p. 6} Ethnomethodology is a technique which is probably more complicated and imprecise-than those used to collect information within the confines of a formal organization. It requires the researcher to learn how people in the study are "individually and collectively experiencing, defining, finding meaning in, and acting toward the forces .of stability and change which are pertinent to the researcher's study objectives" (Gold, 1970, p. 5). The sampling strategy employed by ethnomethodology involves asking local citizens to identify persons who are representative of various groups or subcultures within the community. Those representatives are then asked to

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380 identify others with certain views until no new viewpoints or until the researcher discovers that he is making an error, usually one of misclassification. Practitioners of ethnomethodology prescribe a technique by which to ascertain the perceptions of the less articulate members of a community. Using this technique, the researcher offers to the shy or less articulate interviewee information gleaned from other interviews. The interviewee is then free to respond, "No, that's not exactly what I mean," or "Yes, that's it, but I couldn't exactly say it!" (Gold, 1970, p. 5). Gold further explains it thus: The continually tries out his attempts on them [the respondents] in order to get them to.agree or disagree with his understanding of their-accounts, and to correct him where they reckon he is mistaken (Gold, 1970, p. 5). By striving to eliminate personal views in the interview or the written accounts of the interview, the researcher guards against unnecessary bias. Again quoting Gold: .. [try] to be faithful to their world as they experience it--what they define as the individual and collective consequences of all these social practices (Gold, 1979, p. 2). Content analysis of newspapers, census data, local history--including economic history and supporting data, and analysis of litigation records--are important tech-niques by which to supplement the ethnomethodographic process of data collection in the rural, small town.

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381 The techniques used to elicit information from locally elected officials are similar to those used in a formal organization setting discussed earlier in this Appendix. However, several note\rmrthy discrepancies exist beyond those already discussed. Reliance on ethnomethodology as a technique for collecting information initial data gathering and diagnosis phase of action research requires that the researcher deviate from established methods in several ways. Ethnomethodology requires the researcher to maxi-mize rather than minimize interviewer effects so that a relationship of trust can be better established between the interviewer and the researcher. In social-psychological terms, the ethnographic fieldworker seeks personally and directly to help informants maximize self-expression at a minimum of self risk On the other hand, organization climate surveys tend to employ standardized methods, with the focus on the number of respondents and their distribution, and in part minimize interviewer effects (Gold, 1970, p. 18). Because action research in a small town council will often not enjoy the sanction of a "higher authority," or top management, simply because no such authority exists, it is critical that the researcher earn the trust of the individual members. The information collection techniques should be chosen accordingly. The semi-structured interviews employed by ethnomethodology, and to a lesser degree by organization development, may serve

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382 this purpose better-than do the standardized questionnaires common to action research in formal settings. This face-to-face method of gathering information can be extremely effective in building trust, especially if the researcher is empathetic and a good listener. The relationships built in the process of gathering information can become extremely valuable, and provide the researcher with ongoing sources of guidance and ance. It is this type of trust between the researcher and the individual participants in a political environment which may be the ultimate determinant of whether the research project will be carried to fruition. The data collection phase of an action research process in a small boomtown deviates from what is customary in a more formal organization setting in other ways. In a local government setting, for example, disclosure of personal attitudes and perceptions (a typical occurrence with action research applied in a. formal setting) may be perceived as unnecessary and politically stupid. In collecting data, the researcher must remember that the political arena, regardless of whether it is in a small town or large city, is characterized by bargaining and negotiation. In this context, information about beliefs and feelings can become a tool for political use. Therefore, the researcher must be extremely cautious about how such information is collected, shared, and used. Because

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383 of this, non-obtrusive data collection techniques such as observation may be more effective and relied on more heavily than questionnaires. In formal organizations, standardized data collection measures which-have been sanctioned by management may increase the response rate. However, the action researcher in the local government setting will not have a higher authority sanctioning his activities and interventions, other than the council and the mayor. Thus, face validity of all formal interventions must be easily recognized by the participants. Because the face validity of standardized instruments may be seen as minimal to the layman, other techniques of generating information may meet with greater success. In conclusion, the goals of data collection and diagnosis in a small town council situation are the same as those of action research applied in a formal organizational setting--to collect valid information and to diagnose the major problem areas. The techniques are likely to be of a less quantifiable nature, including ethnomethodology and semi-structured interviewing, process observation, and content analysis of newspaper articles and other records. Major differences between these techniques and those employed in formal organizations will exist in the areas of sampling, validation of data, and documentation.

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384 Action research as it has been described here is the primary used by the researcher in the case studies presented. Action research was used in these instances to direct the locally elected officials of a small, energy-impacted community to information which they found useful in resolving two major issues they faced; and to keep their political environment sufficiently open while they assimilated the information and arrived at final decisions and plans for implementation. The following section emphasizes the researcher's role in applying action research to two different issues facing the Casetown Trustees. Action Research as It Was Applied in Casetown The Entry Phase Establishing contacts with the Trustees The researcher introduced her action research proposal to the Council by first presenting the idea in an informal letter to a Casetown elected official and to a prominent local banker. The official was chosen because he had gained a reputation during his many years of public service as being politically influential. This reputation held true not only in Casetown, but in the surrounding communities. He was also known to be very frustrated with the predicament of the Casetown local government regarding its Town Manager. Last, but certainly not least, he was

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385 the researcher's uncle. 3 The banker was the second person to whom the researcher presented her idea for an action research project. Informal interviews with members of the community indicated he was highly respected for his knowledge of management and business pra.ctices. Further, he was seen as a citizen who bridged the gap between the young and not-so-young citizens, and between the newcomers and old-timers. The researcher expected that the banker's unique status would better qualify him to judge the relevance of her proposed project to the problems being faced by the Casetown local government. Furthermore, if his assessment was favorable, he might informally promote her proposal with certain Trustees. The letter which the researcher presented to the elected officials made three points, and asked one question. It noted that 1) the researcher was aware that the Casetown officials were experiencing management problems; 2) that the researcher had been working on similar manage-ment problems in other settings; and 3) that she had acquired a state-sponsored fellowship to work on a disser-tation project with a local government of her choosing. The researcher closed the letter by asking whether she might be of assistance to the Casetown local officials. 3This individual will be referred to as "Trustee X" in the remainder of.this Appendix, just as he has been throughout earlier chapters.

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386 The researcher followed this letter with phone calls to the banker and to her uncle, Trustee X. The banker's response was that the idea seemed to the Casetown management problem, and that he "would promote the project with the Trustees as he thought it appropriate." The banker did caution the researcher about returning to her hometown to undertake a project with such political implications. Trustee X, who had received the letter, was less willing to commit himself to the proposed project. However, he was willing to spend an afternoon with the researcher to talk about it further. One week after the telephone calls, the researcher and the elected official met to discuss the proposed project. This meeting was similar in purpose and content to those held between behavioral science consultants and their clients in formal organizations. Trustee X introduced the topic by reviewing his perceptions of the town's management problems. He said he believed that a change had to be made in the management of the town, and that he was concerned about how that change would occur and who it would affect. He further noted that the Manager was "taking a beating and the Council was on the line." He lamented the existence of an aggressive press. Although he understood why the editor had taken the stance he had, the publicity had nevertheless made it more difficult for the Council to conduct its business.

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387 Following Trustee X' s review of the situation, the researcher briefly explained the principles underlying action research, and described the steps. She illustrated how actionresearch was being used by businesses and state governments. Trustee X resporided by supporting the resear-cher's proposal to undertake an action research project, noting that it more closely fit the Council's needs than other alternatives of which he was aware. That evening Trustee X called together the Mayor and the Manager. He briefly explained to them what the was proposing.4 The researcher explained to the Old-Time Coalition the decision making theory and the political philosophy that underlay the proposed project. The researcher did not suggest that her proposed action research project should address the Town Manager Issue, although she suspected that it was being considered in light of that particular pro-blem. Questions of confidentiality, especially as it 4At the time the project began, these three men set the Council agendas, arid controlled the Council's decisions. They are referred to in the terminology of this dissertation as "Old-Time Coalition." The Mayor and the Town Manager had not received a copy of the letter the researcher had sent to Trustee X and the banker. Therefore, the proposed action research project was a totally new idea to them, and the researcher simplified.her explanation of it by talking talking in terms of communication problems and information shortages. Action research was presented as a method for assisting groups in identifying and acquiring the information they needed to solve problems.

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388 related to the local press, resulted in an agreement that the researcher would not confide in anyone outside the Council except .her dissertation committee members, without prior permission from the entire Council. She further agreed that she would not refer to the Councilmembers by name in the dissertation. After two hours of discussion, the members of the Old-Time Coalition concluded that "something" [had] to give, and maybe this is it." They agreed to bring the researchers proposal to the Council1s attention the following Tuesday, the next regularly scheduled Council meeting. An action research proposal is formally brought before the Council Having gained the support of the Old-Time Coa-lition, the researcher then made her request to the re-maining Trustees at an executive session of the Council. Her orientation was again more simplified than would have been appropriate in a formal organization setting. She requested that the Trustees take five minutes to read a one-page project proposal. The proposal was presented in written format for three reasons. First, it enabled the researcher to present the concept of action research without the distortion that might occur if Trustee X, the Mayor, or the Manager attempted to explain it. Second, it heightened the appearance that she was making the proposal to the entire Council for the first time, when

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389 in fact, Trustee X, the Manager, and the Mayor already knew of her proposal. Third, it provided the common base from which further questions and discussion could ensue. The researcher also related several of her prior experiences with groups and organizations, emphasizing that many organizations facing rapid growth and change have problems in establishing policies and making decisions. The researcher noted that most groups contemplating such a were concerned whether they would maintain control over the project, how confidentiality of information would be maintained, and how the project could be terminated if it did not meet their needs. t-7hen the Trustees nodded in agreement, the researcher proceeded to address these concerns. Basically, she responded to the question of motives by saying that she had been born and raised in her education had been paid in part by local tax dollars, and since she had acquired a statesupported fellowship to pursue a dissertation on an energy management topic, she was asking her hometown first. She reminded the Trustees that she must be able to write a dissertation on the experience. The Council voted to accept her proposal and, of their own accord, agreed that they would commit themselves to "at least six months."

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390 In conclusion, the entry and contracting step resulted in an agreement between the researcher and the Trustees which enabled the researcher some discretion in determining which topics the action research project could address. The agreement was broad enough for the Council to address a variety of problems ranging from those which were highly salient and of immediate concern, to those perceived not to be of immediate importance but nevertheless critical to the effective long-term management of Casetown. The negotiation of a contract broad enough to include issues of long-term importance, even if they were not considered of immediate importance, was done by the researcher for several reasons. The first reason relates to the theory and methodology which underpins this type of applied research. Action research, as it was applied in this study, exposes the participants to information and assists them in using that information in planning further actions based on an assessment of needs. Subsequent actions, however, may necessitate further information, since what was initially identified as the problem often becomes viewed as a symptom of a more complex problem. the definiti6n of problems can be expected to change throughout an action research project, and allowances must be made in the entry and contracting phases.

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391 The researcher's second reason for ensuring that the contract with the Casetown officials enabled pursuit of more than one type of problem was for the sake of the research. Because one of the major goals of the research was to further develop and refine a framework for understanding and_ affecting local government transition, it was important to be able to examine decision making in relation to several types of issues. Obtaining broader parameters for the project would enable a more thorough testing of the framework. The third reason the researcher proposed that the project include more than just one problem area was of the political nature of the Casetown environment. By requesting that the project generate information on more than one type of management problem, the researcher hoped to diffuse suspicions which may have existed about her motives. Also, framing the research in broad terms allowed the researcher to later divert the Trustees' attention from what she knew to be the most volatile issue--i.e., the Town Manager Issue--to one of a less emotional, more rational nature. This became especially important when work on one problem came to an impasse or became so stressful for the Trustees that. diversion was useful. Furthermore, setting a re-search agenda which addressed more than just one issue served to develop a base of support which extended

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392 beyond the membership of the Old-Time Coalition. It would, for example, enable the researcher to provide information to individual Trustees on ideas or proposals they were trying to develop, from mosquito control dis tricts to bike paths. In addition to building a relation-ship of trust between the researcher and the participants, the exposure gained through these activities provided additional opportunities for the researcher to collect information that would be relevant to the dissertation research. Preliminary Data Collection and Diagnosis Phase The prelimiriary data collection and diagnosis of this project consisted of a review of the ture (especially the boomtown literature), semi-structured interviews with the Trustees, and ethnographic data col-lection. These efforts resulted in a considerable amount of information which the researcher used throughout the life of the project. Literature review The original conceptualization of this research project on boomtowns required the researcher to read the literature on boomtown transition. This literature is, as one sociologist has noted, "fugitive" in nature (Freudenburg, 1979). That is, it is

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Pages 393 through 442 have been bound separately and reserved until May 1, 1985. On May 1, 1985, the reserved portion of this dissertation is to reside permanently at the Auraria Library, Denver, Colorado, and at the Graduate School of Public Affairs at the University of Colorado at Denver.

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44.3 Conclusion Action research was used as a guide or paradigm by which usable information was brought to bear on several problems faced by a rural boomtown local government during a nine-month period. The cyclical steps of planning, acting, and evaluating were taken in conjunction with officials on two fundamentally different types of issues. Action research proved to be an effective method by which to identify information 'llhich such local officials found particularly relevant to the problems they faced. It also proved to be a method by which such local officials could build their own skills in acquiring and using information, rather than increasing their dependence upon outside sources of professiorial expertise, whose services were often costly and whose products were ill-matched to the boomtown political and social system.

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APPENDIX B: WRITTEN REPORT ON STRUCTURAL ALTERNATIVES 444

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So be .; ....... 'j II is an old Arab ian saying /4\ehat Allah delights in many of truth, and the truth many degrees, but even Allah (4,ldoesn't want the entire truth. <'I \' i I ,, I .!. !he pages do not represent a major 445 treatise on the :ruth as it pertains to local government struc-::ures. they -represent what one person could dig up Eroa the scant literature, and from many interviews with with mostly rural governments. The and my categorization of them, are biased by indiof what government should be and do. iome of th.e thing_s I have listed as "cons", you might list u "pros'' and vice-versa. However, if this briefing provides_ rou with some information, and maybe some notions you have nJt :hough.t of then it will have served its purpose.

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... -. !n..e 'i-ieak. :iayor Coancil T::pe ," continued 446 Pros :he powers i::.herent in the .ocal government are shared Lmong many. The chance for 1ne person such as the mayor :o accumulate excessive power .s limited. cons !here is no central budget func tion which can rationally the relative needs, relate to one another, or to overall revenue. This lack of rational ?re puts the entire. burden on the council, and can complicate their budget proceedings considerably. The long ballot is often complex frustrating for the voters. It is very difficult for citizens to judge the perfor mance of their public officials, except in cases of extreme incompetence. It is hard for voters to bring a complete charge of gover.nment wl::en they are dissatisfied, since there is no one major person or unit to hold responsible. "Sure-1 naci mere prestige wnen I was .:Jn :iry council-bur I'm napcier

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/.r. I / lounc;/ \ Votere 4. 447 TE.E STRONG MAZOR COUNCIL T!?E Th.is is the type of governme.nt is use.d b-y c.cst of the largest cities, including Denver. The mayor is made the true chief executive, both. the formal as well as head. Like tne and the Governor of Colorado, he has full for the entire administration of the city. Themayor also shares in tile legislative pro-cesses of tb.e council through his policy recommendations to the council, his informal contacts with council members, and his veto power. PROS It can provide a unified and coordinated administration. !he structure is easy for the voters to understand. The short ballot may en able voters to make more in formed choices. The mayor has the chance to provide strong leadership. ae can run on a definite platform and then take the lead in bringing it into effect. !he mayor can hire professional personnel to assis: lie may run less of a in terms of giving up too pbwer s:aff, than does the council/manager form. CONS It usually requires a mayor for this type of government. More often than not, he is not trained in the administrative/ managerial functions needed for city management. Deadlocks between the mayor and council can occur more easily with this type of government. Deadlocks are a real threat to a council's ability to make g_ood, and timely decisions. It centrali:es the power in the mayor, and mayors abuse that power. sometimes (.:\n exam-ole would be the mayor who gives his nephew a job Chief of Police, despite the fact his nephew does not have the qualifications.)

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5 1ng Council Type, Continued 448 \ ':OtYS !he mayor has both legislative and executive powers. lie helps the council establish policy and has veto over the council's decisions. But he is also responsible for over those very same policies. This reduces the important checksand-balances function of government, and can put too :LU the .h.&Dds ot:.e person. If the mayor has an administrative officer who has responsibilities for the management of the depart ments, it essentially means another layer of government. CouncLl discusses run forHayor next te:-m..

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6. 449 ... CRAil!D BY A MAYOR / ,/. COUNCIL MANAGER T!?E This is the most prevalent structure used by towns and and is especially prominent among small to mid-sized lnicipalities. Each year a sizeable number of cities throughout 1e U.S. adop t.it, .and remarkably few abandon it as they do :her forms of government. In theory, the council-manager plan Laces all the powers of policy making (the "what to dl's") and 1e ultimate control for administration in the hands of the counLl. The council in turn vests most of its lwer in a manager who oversees the day-to-day operations of the Lty. Theoretically, the manager is not supposed to have policy lking powers. Rather, he strictly abides by directions set r the Council. In practice, there is considerable variation ; evidenced by a report of Ariz9na managers who were found to Lve initiated i3 to 90 percent of the policies adopted by the luncil.l The mayor is either selected from ranks of the luncil by fellow or is elected as a mayor r the citizens. In either case, the mayor usually chairs the luncil meeting and has veto powers. !he role of the manager generally includes the following: he supervises and directs the city's administration he appoints and removes department heads, or plays a major role therein he is responsible to the council for the actions of the departments he prepares the budget for the council's conside=ation he studies and proposes alternative cou=ses of action for :he council's consideration makes policy recommendations on the based on tion he has acquired. However, he cannot go over the

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i Type, continued 450 heads o! that body by something the council hasn't yet he deals with council members in as equal fashion as is possible he presents himself to the council and public as strictly non-partisan The council its role and control its authority to: dismiss the manager by a simple majority vote pass all o.rdinauces and resolutions investigate any aspect of administration at any time have total control over budget decisions refer requests or proposals that come before it to the manager with recommendations about how to handle it in either an or policy sense. ?.0:::05 CONS as reported by interviewees and lty managers can free the counLl from the details of day-to !Y operations, them J spend more time on policy conlderations of bioader Lty at governant place an emphasis on compe ance in administration. Good !ministration of city services ; what the taxpayers ultimately ldge their council city manager can increase the Jwer of a council by providing with information for making atter decisions (through brieflgs, studies, professional ex arience of the ity managers can take some of le political heat off the coun il on particual issues. Although juncil can be defeated r recalled, managers cannot be by direct electorial rocesses. The manager plan is considered undemocratic by some. It places too much power in the hands of a-person who was not elected and is not directly responsible to the voters. The full-time manager trained in matters of public administration may come to dominate the part-time council whose training and has been outside of government. The own reputation or "public image!,. that happens, it can be difficult for a council remove him without suffering repercussions. The manager may treat the city employees under him in an un democratic manner and they have no .place to take thei= grievances The may be unfairly biased toward certain

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Council-Manager :ype, ?.=:cs :ity managers, especially when :hey first arrive, are free to :ake a approach to problems ;ithout the kinds of allances :ouncilmen must have because of :heir politically sensitive role uiremen ts. city can be the coun:il's. special eyes and ears -:o discern particular threats ,r manager is likely to have !Ore informal with ,ther levels of and :an be a good intergovernmental person, as well as ;rant writer, for the council. can provice the day :o-day coordination needs :o go on between departments. :n communities, managers lften pick up the in rarious departments for short ,eriods of time. 1anagers, their associa :ion with other managers, can abreast of the technical and !anagerial innovations being used !lsewhere. 8. 451 The managar may have access to important information which he does not share with the COUnCl.-. Because it is his job and his profession, there may be a tendency for the manager to acquire a lot of power over what town will do, what the town will not do, and how. Sometimes he end up making the policy decisions that the council was elected to make. ae informal alliances with select of the council. who walked on waur. N

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452 !his forM a small body known as the Commission". Its use has been most widespread among small nd medium sized cities. T!le "Commission" is usually composed lf five e2ec'U"ti.'fe Lnd administrative po-we:..s-:.nth1!same hands. In other a group, the "Commission" is responsible for setting policy; 1nd as individuals, Commissioners are responsible for carrying Jut the administratiori of policy in a certain area such as ?ublic works. !he Mayor is either elected separately, or is oy the Commission from among its five t:leMbers. The title "!iayor" is useful for providing a central point: of contact and for ceremonial functi6ns. However, the duties Jf the Mayor are the same as those of the other :ommissioners, and he has no veto or extensive powers. Commissioners are usually elected from the entire city-at-large Jn a non-partisan ballot. In some. cities, they run for a speci fic position whereas in other ::ities the determine will take what\aftr they have been elected. ?RCS CONS as reoorted by interviewees !his particular structure is aasy for citizens to under stand All resp ons ib ili ty for ci :y government is concentrated in one place --the Commission. !here is no possibility for a deadlock between the Mayor a::J.d Council Because of the limited number of functions, there should be reasonably good betweell th.em. "A several headed executive may mean no executive, for there is no one person for the administrative functions of the whole city." The Commissioners submit budgets that they have drawn up, and thell vote on those same budgets. This essentially combines policy-making and administrative decision-making in thP is net gerod by s c:.a. This format makes buck-passing from the department level to the and back to the depart ment easy, and politically advalltage Although this type looks unified on paper, Ln real life it seldom operates that way. There can be considerable overlapping of depart ment functions, and extreme conflict between

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453 10. SECTION Political scientists and lawyers like to write about local government structure in terms of executive, legislative, and administrative respousibilites, the balance-of-powers, and policy-making versus day-to-day decisionmaking.. However, it seems that those I to :hiuk the real issue for most smaller communities is whether their type of government structure enables adequate leadershiu. Quite this overriding concern for is because local officials realize that good local leadership is the key to their community's future. Whether leadership comes primarily from the Mayor, the Council, the Man.ager, or some combination thereof, is. not as of a concern to local officials as is the quality and strength of that leadership. If the zeal issue for smaller governments is enen just what does leadership entail? what are the roles that promote leadership, and how does the organizational structure adopted by a local, town government relate to those roles? Private business has, in my opinion, a grasp of what leadership than does big government. So lets start with what the business world knows about leadership. In an article in the July-August Harvard Busiuess Review, 1975, Henry asks "what cb.ief executives, vice presidents, bshops, foremen, hockey coaches, ?rimem:iniste:sand locally elected officials have in comt:J.on."

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ll.. 454 ::.e cont:lnue.s:" all are ves.ted with fort:Lal o,rer an organization". !o lead that organization, says they must consider a certain set o: roles, common to most organizations. These roles cust be fit into the structure if the structure is to be effective. They are: e The role: This role may be routine, in volving little serious communicat:io.n and little important decision-making. it is a role that is important to the community and to the image the community has of the local govern ment. Reflecting on the models presented in Section One, it is easy to see that the mayor, councilmen or commissioners are the appropriate individuals to f!ll. the figurehead role. However, the Strong Mayor Council Type or the Commission Type may mean are too busy with daily management of the city/town to the figurehead role. The Suoervisor role: In this role, the counciland mayor are ultimately responsible for the output of those employed by the city. In addition to their 'direct responsibilities for hiring, firing, and training, there are the responsibili!:ies. These include the ability to motivate and encourage employees, and to reconcile the differences they may have -with one another. In the Council Type, and possibly the Strong Mayor Administrator the supervisor role is transferred from the elected official to a non-elected professional, The supervisor role is then carried out by sdmeone who is especially suited for the job, and can devote full-time to it on behalf of the part-time council members who have jobs elsewhere. If the supervisor role is not delegated by the council, the councilmen and/or mayor must assume the responsibilities for that role. c If the community is changing rapidly, it place time demands on the councilmembers and mayor. The supervisory role may also be divisive one for a council to attempt, as it presents additional. opportunity for conflict and lack of coordination. The Liaison role: This role entails cultivation a: relationships with and community. In is advantageous ; those outside the the case of local government, to know is for

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12. 455 developing relationsh.Lps with representatives from business ahd wi:h managers of other local governments, and bureaucrats in the and !ederal agencies. These contacts are developed largely for the purpose of finding out what is going on elsewhere that misht be relevant on the home front. Again, either the Strong type or tha Strong Minager have the greatest potential for cultivating outside relationships. A mayor is likely to be adept at developing relationships with other ?Oliticians and industry representatives, while a manager may be better at cultivating relationships other managers and bureaucrats. :he Council Manager type could embody both, with the mayor and the council at the politic.a.: liaisons, and tb.e manager striving for links with other managers and and federal bureaucrats. Ihere are so decisions being made about the West Slope by entities outside the Wast Slope, that this liaison role is essential if communities are to. keep abreast and take advantage of their situations. The liaison the local government with !:novative being used elsewhere. !he ":iarve-Center !tole'': !: is i::!lportant t!lat be one person:--be it t:1e :!l.anager, t:h.e :ayor, or a 9articular chat .as the "nerve center" for group. ae may know everything, but he typically knows more anyone else, and sbould communicate it to t:he whole group. A good part of the that goes to the "nerve-center" is verbal, and in the for: of gossip, hearsay and !c is nevertheless important as all council veterans know. :!y intervie.ol's showed up an i.:lteresting character istic --the "nerve center role" was more ofcen h.eld by a city council member than a or this council close with the and the other council and collected :rom all a: the: as well as the community. :his role is prooabl7 c.ot one thac c.an ascri."o.:d. :::1.e individual w-ho it is capable o: doing so he is of role !s graa:ly dependent on :hat t:o share his wi:h w-hole council.

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456 :he !act-finder Someone also be responsible for collecting the facts about particular issues, and presenting the informa tion back to the decision-making body -this case the coun.cil. 0: f icials: every-rhere agree that good information is an essential ingredient :cr good decision-making. Problecs in municipal governments are often not a lack of information cut rather that information is not presented in such a ay that the decision-making process is :ada easier for elected officials. Assuring that information is organized that that the policy and !inancial items are clear is one role that local officials should be especially concernad with. ':here is simply no"substitute for the facts; Time is essential for the performance of this role. government types best fitted to perform this role are the Strong Council type and the Council types. liow:ever, all the other governme.n t ty-pes are cap le of acquiring information from consultants. A drawback for relying solely on consultants for studies and information, they do not provide regular input. Rather they are used sporadically. lagardless of who is responsible for providing information to the Council, -he should be familiar with how local governments work. lie should also be able to present the information in a way that helps rather than the decision-making process, !he "Proactive, Entrepreneurial" role: o:der for an organization to have a hold on its future, the local leaders must be constantly thinking about new courses of action. entrepenurial roles are often ignored by local governments because they become trapped in the detail of day-to-day decisions. Attention to minutia is popular because it is the minutia that is easy to and analyze. (That applies to all of us!) However, in this day-and-age, council members are not so to make the minor decisions as they are the c.ajor ones. The types of government which free the council of day-to-day administrative detail, and provide it with well conceLved and clearly presented information, are the types that enhance entrepreneurial effectiveness. My interview respondents thought that the Council and the Strong Mayor Council types =ost enabled entrepreneurial activity. With Manager Council type, the mayor, the councilmen and the manager usually work together as a team, although che manager often initiates the encrepreneuria:

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14 .. In the case of the Mayor plays the entrepreneurial role by ni!!lself. !he Cris!s-facing role; While the entrepreneurial role describes the leaders as initiating change that they desire, the reactive, crisis-facing role is one in which 457 they to crises. (!he former is analogous to the offense, the latter the defense.) must be made the ;s too severe to be ignored. This someone. t!lUS"1: availr.:le on a daily basis to on be.half of the council. No organization is run so well, so standardized, that it can anticipate all problems. If manager is expected to trouble-shoot, the council must be clear about how far he can go without checking with them. One of the biggest trouble spots for Strong !ypes of government is disagreement between the council and the may"r over how much discretion the mayor is allowed for trouble-shooting. !his is an especially im?ortant role fo: communities. that are facing rapid change. I was told by one crusty mayor, "!f there no one trouble-shooting, then the t ro.ub le to shoot you!" \ As is is likely !he Resource Allocator role: !he leaders and managers of this world have responsibility for determining who will" get what according to what criteria. Council members are often thrust into conflict si;uations with each othr, with staff members, and citizens groups as they try to allocate scarce resources among competing interests. In our society, this conflict is hard to deal with. we are taught not to confront. Conflict is often taken as a personal affront, creat ing much stress for all involved. !he fact is, however, that the conflict role is essential to governmental processes, because it can bring the issues and sharpen thm. Honest disagree ment can help a group in determining the best decision. However, the conflict role should be reserved for disparaging points of view --not the people who present them. !he interview respondents generally believed that the :ouncil-Manager type of government greatly improved the resource allocation duties of the council. !nis was because the manager often did the back-up work, collected facts on performauce levels of the various departments, projected needs for the year, and put all this infor-.

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15. mation into alternative options/perspectives for the council's consideration. intro duction of chis type of information made :he con!lict becvaen the council more 458 focused on the issues, and less on the indivicual personalities of the council members. The Strong Mayor Council Type has the propensity to get deadlocked over-resource allocation issues more often than the Council !ype. These are the characteristic leadership and management roles that private businesses have found essential to efficient functioning and effective leadership. public such as town councils, an additional factor the determination of should filling these roles. Since local government means to manage the community's affairs in accordance with citizeus touncil members should be certain the structure they choose :ts de.s:igneci to-be responsive to them, the elected representatives of the citizens.

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It appears that the City Council of ?aouia .., _,. is a wove from a Manager Council type o: g eve rumen t. Although the town will be gaining in terms of overall staff capability, it may lose in 459 terms of the valuable that a City can on c ehalf of the Council. If the Town decides to implement its current plans, it would be advisable to compare the job descriptions against the role requirements presented in Section Two. !h.e Council ::a.ay: 1) decide that thera are no role gaps important enough to worry about, 2) revise the job to fill the gaps that may exist, '\ 3) choose to fill those role gaps themselves, 4) invite folks from other local governments to discuss how their government type has worked, potential pitfalls, etc, 5) ask. me to do a comparative ana ... ysl.s, identifying what .gaps I can, and presenting some alternatives for the Council to consider, or 6) any combination of the above, or any thing else the Council wishes. To restate the most important phrase in this paper: "It is i::lpossible to show that a particular organization structure that a town adopts will guarantee good government, or result in bad government. But neither'is it justifiable to that organization structure is of no consequence, because it is. The organization structure can either aid or debilitate the local government's capability to and lead its community down the dubious path of the futu:-e .. n

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17 460 .. He outlived eight c:ity manage" and it killed nim.

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:.!.E: :1 0 D UH TO: of tae City Council of Paonia FROM: Mary Au Addendum to the Breifiug Paper on Organization Structures DATE: l!arcb. 13, 19 80 The attached page belongs in the Appendix section of briefing sent to 7ou last week.. (It was not included last week because being sent to me from several places not yet arrived.) I had hoped to include comparisons between the being spent for administrative and public works personnel against overall city budgets, but was unable to. For example, some communi ties were involved in special sever and water projects that temporarily distorted their budgets. Also, overall budgets were not comparable unless were made for bonded indebtedness, or sales taxes. !he following compari sons are limited to made for administrative and public works personnel based on tb.e dollar cost to ci.tizen. 461 !he chart shows Paonia to be to the loYest in of what it costs to their public works and administrative personnel. Salida is the lowest. Of course, tb.e ch.arts tell you is th.at Ji:1 works lots of overtime hours oil public works, or ::b.at Hrs. .. fulfi.!.ls secretarial functions in addition to those of clerk, or that Salida doesn't need a large public works maintenance budget because cany of its streets don't have gutters or Those kinds of considerations a chart like this of but never-the-less in:eresting. special intrigue to me is r has managed to hold doWil its administrative and public works oersonnel costs while ?..ifle, ?..ange.ly and Craigs' lnot ha,re soared.) All these cities except one have the City Council type of Salida has the Strong Mayor type. Stea:c.coat ?t.ad a but not a ::-fayor a: the t.i.:::te t:tis data colle:te.d. !hrae. of tnese cities had planners or engineers. The relied on oersonnel, cr consultants to provide

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462 : 4 I ... i 0 :'{1" ...................... : . ...._ .. .. :: :.:: .: :. : .. .: .: :.: =.: . ....... -. ...: .... :.,.., .. ... -. ';._.. ..... ; I :. .. I 1.. I I .':. .': .: .... ..... i ......... .. I . . . . -. ....... -=,.,. _, __ ------... I, \ ': : .: .... :. ': : !_. ,., ... I I \\\\ ... . I. i :::..._..., I I I ::-::_.:: :.: :. :: -:::: ::: -____ ,_,,_ I l i T I I .: ... .. .: .' .. I . _. . _tt ....... .. . :. .... ;.,_:-,:. ... -. ..... : .. ., es.i" r .. : ... ......... : .-...... ,_ .. ... ... .I ti:j l'f!.S. . . . .. -. .. .. ) i I I I I I I I I I I i l : : .. : : : ... .. .. I :-\' -uJ a:: n I \ .. .... -. .. ":: : :a,,. ... ;ff o.:::.:;, I .. .-. . _I I I "' ,. .... C:.. I I '\' .. .....,. S2 . .................. ....... ..t I I I .,..-.. ... _,. :s:':-.. :::o p:n. ......... ... :. : : : : : [.. -''. .. I I I I I I I It I' ... J ... .-. :_I ... h\) . . . .,..,, 0 9 .&. I . . .;::::""' .... '. ... I I I I I I i i I ..... "" 0 ::s \&'\ lol"' ... 4l\o ""' 0 t:r -.. I I I I i I .c .. I I I I 'cC ;a \n Q U1 .J ... "'""" """"' ......

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18. R F R N C S omage, W. 1970. Urcan Policv ?ublis'El.ers. The and Chicago: and :ssler, Iola 0. 1966. 29 1-Tays to A Citv; A Comnara tive Analvsis of Governments of 29 of the Cities in United Cincinnati: --Rockwood Press, Inc. L. __ for Smaller Cities. The International City aanagers' Association. 1959 and 1972. Ann Ar or. Brock and Rankin, Inc. ldrv, 1977. Citv in Policv State ?re.ss. lting, Orin F. ;ia:J.ager Plan. 1969. Progress and of the Council Interstate and ltzberg, aenry. 1975. manager's job: folkloreand fact. liarvard 3usiness Review. July-August. 463 cthes, B;rou S. 1970. Local Government. ChLcago: Pub 1ish.ing.

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464 APPENDIX C: QUESTIONNAIRE

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e check the statement that comes closest to representing your ants with regard to the particular issue being addressed. This tended-to determine the amount o! concensus thst exists in the il on these issues, and ultimately to the job descriptions t presentative es possible ot the Council's wishes. I cy ForiiiUlation (check tlio on this one) Town Administrator should hsve the responsibility !or recommending to the CoUDcil and Mayor actions or policies he thinks appropriate, regardless ot the issue.. He ahoulci have the right to participate in all discussions on measures related to the problema of the ToWil. The nablic works Director should bsve the same rights, regardlesa ot the issue. The Town Administrator should the responsibility !or recommending policy actions on all matters except those related to public works. The Public VorkS Director should responsibility tor recommending onlz those policies related to public works, and 465 e. on other_policies/iasues only when rqueeted to do so _by 'rhe Admiliiatrator h8a the reaponaibilit7 and authority to enter into publicall1 with the governing body on all policy-related matters, the right to initiate discussions or suggest measures. 1 18 Neither-the Tbva Administrator nor the Public Vorks Director should have the responsibility or authority to enter into Council discussions related to policy or to initiate po).icy recommendations. :N set Preparation (check only .one: 11, The Town Administrator ahouid be responsible !or p:z:,e:paretion and ot the annual budget tor all !unctions ot the Town, including revenue estimates. This ent le and making minor changes in requests betore transmitting them to the Council. b The 'l'avn Adllliniatrator hould re_qu.ea_:t.a __ _!raD the ved.ous De"Partment Reads, but has limitations on his authoritz to rev+ev or cnauce those requests. He submits these requests in eddi tian to these tor his ovn sdministrati ve unit directly to the Council. c The Tgw:a, Ad.JD-1 nj etrato:r ... reques:ta.. clir"-t;:_t_l]' f'rcm Department o:r Division heads to the Council, or appropriate Committee, vithgut reyiew or comment. d Budget should be QY each department/division-and submitted directlY to the without aUJ one person doing an overall appraisal or the yearly budget requests before they get to the Council. :le

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Budget Execution (Check one only) a. The 'rOWll..Adminis:tr.ttor should have authoptx for b"'d&et including limited ability to. transfer funds between items. The Town Administrator makes regularl7 scheduled reports to the Council on the status of the budget. 466 b. Town Administrator should have the authority far budget implementation, but ;p authoritz for fund transfer. c. Town Administrator should have shared authoritY tor budget implementation, along vith the Chief o! Police and the Director of Works. 1i. 'l'he da,_.to-dsy responsibility for budget implementation Should be vitl:L the Council and e. An independent outside comptroller should be hired on a consultant basis to oversee the in conjunction with departmental adnrl nistrators. Authority tor Direction and Control of Departments a. The Town Administrator should hsve the authority and responsibUit7 to direct and control all departments, including police and public works. b. The Town Administrator should have control tor the direction of all departments, except those clirectl7 relatedto th.e legislative bod.7 such as the city clerk, attorney., treasurer, and anmicipal judge. c. The 'rov.a Administrator should have control of all departments escept those ot clerk, attorne7, treasurer, municipal judge and police. d. The Town Administrator should have control of .all departments except those of clerk, attorney, treasuree, municipal judge police and nublic ..... T.be Town Administrator should have no direction or control a! any of the departments, sad is only able to supervise matters directly related to Office Administration. .. other: Authorit7 !or hiring and firing of MUnicipal employees a. lbe Tovn admiAistratar should have the .authoritY to and remoTe all administrative officers and stat! in all departments. l' The Tow Administrator should h.Pve the authorltz to ap'OOint end remove all administrative otticeea and staf!, subject to approval the Council. .-------c. fhe Town Administrator should have the to appoint all stat! d. The Tovn Administrator shouldnot have the authority to appoint or remoTe an1 staff except those related to the Tovn Office Administration, and then, it must be subject to approval b1 the Council. other:

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APPENDIX D: WORK PAPER ON JOB DESCRIPTIONS 467

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Town. Works under the supervision of the Mayor and and in cooperefion the Town Administrator and Chief of Police. III. SUPERVISION EXERCISED: Exercises supervision ell Public Works Department rersonnel, and the clerical and/or secretarial personnel assigned to public works POLICY MANAGEMENT RESPONSIBILITIES AND DUTIES (Policy Management refers to the legislative function of Town Management which addresueo the Town's needs, analyzes the options, selects the goals, and provides for the resources and programs to attain them.) I p I attends Council meetinss meetings with Council members, the Town Administrator, engineers and/or other individuals concerning public works matters with and cooperates with the State Department of Highways County Department and all other Federal, State, Departments or agencies whose decisions or policies the Town's Public Works Department, and report the results or happenings of these meetings to the Cotincil within weeks. "-'.._._ ___ with the Town Engineer and the Town Administrator-tO provide with written forecasts of future public works problems, otential projects, and atr'ategies for funding the Town Engineer and the Town Admihistrator to a capital improvement plan with time-tables, and strategies proposed plan to the Council, and discussions related to it. the Council with brief 1 updates of public works activities ___ other council meeting. commenbon only those policies related to public works unless otherwise asked to by the Council, Mayor, or or unless the Public Works Director believes that he has to the topic being discussed. OTIIER: ""' m CX)

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'-u LIJIIii ""& &Cii .... .&.UII CIIIU DUJ'I'U& Ill' U.& UCID.&..... ... VS DU'-'11 CID .,, enable the Town a. Finance end Budgeting: uuues-c" 1 the .Town Administrator in attempting to identify and obain State, private and other funds the Council deems advisable to aid in the construction, maintenance, and/or expansion of facilities end programs. budget requests for departmental operstionsi iscuss and submit budget for the department to the Town Administrator, who will tncorporste it into the overall budget request for the Council. Public Works Administrator will discuss his portion of the budget ........... ..._ ____ "_t:yn it ia presented at the Council meeting. the budget as approved by the Council b. Record Kee in --the oversees the maintenance of complete records on the functioning of the Public H.--.;;;.. -works Department, including the requisition and purchase of supplies, -&--...J.A-1----..;:t.;::o.;::.ols, pertsi accurete inventories of parts and suppliesi vehicle use records including gas, oil, hours used, end maintenance work i end ell department requisitions and purchase orders. These should include de tea 1 people involved, parts used, end hours involved. Q. Procurement and Supplies -The Administrator oversees the of parts end supplies, the delivery of parts and supplies to various projects, travel out of-town to pick up needed parts, the return of defective or improper merchandise. end service of all vehicles end equipment used by the Public Department d. Cltizen Complaints complainfs dealing with the water end sewer systems. Provides ...... end answers questions when dealing with the public on matters. Checks functioning of meters, etc. in response to com turns water on end off as required. Personnel --The Administrator is responsible for the .. ointment, training, end of public works personnel, alerting the Town Administrator, subject to the approval of the Council 0\ 1.0.

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b.: ,-aemot1on ,...;.ana-ter.ml.ne t.1on training of personnel in the operation end maintenance of equipment and scheduling of work projects on a daily, weekly, monthly, annual basis, including estimates of needed personnel of work crews in the performance of their duties on projects. VI PROGRAM MANAGEMENT: (Program management is the actual implementing of lie in the form of concrete programs/activities) a. 11nd Alley maintenance responaibilltiec. of ell improved end unimproved streets and alleys within the corporate limits of the Town. He shall also be responsible for.the removal of snow and ice, control of dust on unimproved streeta and alleys, the maintenance of sidewalks, culverts, bridges, and parka within the limit-s of the town. b. Water and Sewer maintenance responsibilities the functioning of the Town Water System the installation, inspection, and maintar.'nce of water treatment facilities and the mains, and storage facilities of the Town the periodic reading and 'repair of all water meters rea onsible for testing the water in the Town's system to insure purity onsible for cont.inuously monitoring the capacity of the system 11nd the needs of the Town responsible for the ope1ation end maintenance of the Sanitary Sewer +.. ._-+ ____ ........ sa.;;;.s_t_e_m and storm sewer system, including any open drainage systems Collection responsibilities su ervise the collection of garbage and refuse rendered by the Town. Inspection reponsibilities a function Els the Town's Building Inspector until such time as the Council .......... the hiring of a separate inspector. He shall insure that of the structures within the Town meet with the requirements the Building Code, Plumbing Code, and Electrical Code, as wetl as any other applicable statues, ordinances, end regulations orHER: """ ...... 0

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'own. SUPERVISION RECEIVED: Works under broad policy guidence and direction, and serves et the of the Council. SUPERVISION EXERCISED: The Town Administrator should heve control of ell depertment& except those directly releted to the legiBletive body, (eg. ettorney, treesurer) end those of Police Public POLICY MANAGEMENT RESPONSJBII.JTIES AND DUTIES (Policy Menegement refers to the aspect of town management which i:or.&ldey'i. the Tllwn s needs, 111 1 enallzes its options, selects its goels, end develops programs to attein II I whal lllii iie.1l111 11 -attends Council meetings, recommends to the Council actions or I policies he thinks eppropriete, participates in Council discussions, d but does not vote. the Mayor in eatebllshing Council agendea a t the request of the Council, various policy options the Council is considering. In some ceses this may entail raviewing litereture, conducting interviews, summarizing information in steitisticel end/or nllrretive form, and making recommendations other cases preperes detei.led memoronde or reports. identify end bring to the attention of the Council various State fiiid Federal grant programs,. or revenue sharing programs, or other Z, innovative financing techniques end strategies -1-l--t--.;;;_..;:;c,;;:onduct, at the request of the Council, aystemmatic reviews of the Town's operations, policies, and programs, end report hie anelysea and recommendetiona to the Council. (Exemples: other +&&..+--_..;.= -J..JK-.J--..::m;:.;;u:;.;.nicipalities use cost/benefit studies to determine if they could certein services cheaper, or more effectively for tle same of money. Another would be rete studies for municipal services.) -' .. IL-.J---=.;;.:...; .. ; II! 1 cooperete with the Public Works Director to provide information to the Council on potentiel public works projects. 1 : I -cooperllte with the Public Works Director in prepering end revising a 3 -5 yeer cepitel improvement plen1 including calculations of _.,..::&..._ -1----c-apitel improvements' revenue projections, and Ume-tables. This 38 document would then. be submitted to the Council. ,. -...) ......

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-5"--. --. -------.-----the Council with brief written updates of t.he status of the administrative activities to the Council the annual operating budget tor the town. is to be comprised of several departmental budget The Administrator has the authority to analyze and on the budget. OO'IIER: ESOURCE MANAGEMENT RESPONSIBILITIES AND DUTIES: (Resource Management refers to the creation and support of basic administrative systems such budget, finances, procurement, supply, personnel, or any other function that enables Town policies to be carried out.) Office Administration Writes correspondence related to Town projects, grants, and general 0 erations. .......... au ervises administrative department operation, inciuding assisting ........... cle.rical and secretarial personnel with technical problems, and-work schedules. f-=11::.-..11-'---_.;;;= l; I -rerforms a wide variety of public contact and public relati. ons dut_ies include providing information and answering ._......._.,........ ___ __..d;...,e ... pprtmerital prognms, and making in forme t1 ve pre sen ta tiams to '--='--"---___ c::Jvtc or Performs a \oiide vPriety of relpted """ ....... 1\J

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, ..... -..a- .. _.. .,....,._ ..... .,_._'4 IIIW' w.av ...,...,yaaw.-..6 P"" '-1 III.LIIIV U'liililt.L8,&1Cit.GU fl3 LIIC _____ ... .. ___ .-a:-;, ., ..,.,. ................... -r--o ---o .... ..... r-----__ _....,.. and the departmental program budgets. Entailed is a diverse of activities, including but not limited to: conducting meetings with department heads to assist them ind estimating proposed costsi assisting in projection of existing and potential revenue sources preparing the operating budget calendar, a manual of inotructions --U"-1----......--book, and budget worksheets with projected detail revenues; reviewing budget forms for accuracyi consolidating the various requests into a preliminary budget for the Council's considerationi assisting Council with the technicalities of revision, and the budget into final form. theresponsibility for executing the portions of the not related to the Departments of Public Works or Police. includes general ledger maintenance duties which entail review ..._.._ ... ____ ......;;.a.;;.;n;.;;d;..,.analysis of administrative accounts on a monthly basis, preps ration entries to correct errors, and review of work prepared for budgetary control, such as a budget system. This might include analyzing monthly cash balances by fU&ld ond errors before submission Council; maintaining daily rough balances of sales tax account. and main bank accounts to ascertain whether sufficient funds are to meet expenditures' maintaining daily investment records, and on all transactions on all investments. the majority or the requisitions and purchase orders to if sufficient funds are available in the respective budget 1_.:;&.._;'1------..;a;.;:c;.;:c;.;:;.ount, and checks totD makes s:&re these are filled out proper 1 y. ____ charta of accounts for all expenditures end revenues. Accounts Payable Clerk in the preparation of payment of and making sure monthly, quarterly, and annual transfers made. the Council appraised of demand deposits, escrow funds, trust temporary investments, and revenue bond indentures the Council appraised of .interest rate fluctuations and investments so that when money is needed, it can be taken investments without penalty. ""' w

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--=---------------the personnel management of the Meets with other de artment beads and employaes regarding hiring, firing, or ..... actions regarding town employees. Reviews general policies and benefits programs, and attempts to solve if any are ietected. in and reviews the recruitment and selection pr9cesses all departments, although be doesn't have authority to decisions outside the department of admtnistration 1,,1 1 subject to the approval by the Council, appropiiate rul!!_and regulations governing officers and employees of the Town 11o J --::oints and removes all administrative officers and staff, subject approval by the Council 1,.,1 instructs and trains departmental personnel on bookkeeping problems accounting principles and procedures end Procurement purcaases made for and on behalf of the Town for those and functions under his control, assuring that costs comparisons are regulerly made. All bills for labor, equipment, end supplies shall be submitted and allowed or Cor by the Council. OTIIER: -...1

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"" ---o-.... :.1--1 ..,,..,--i'A -r-------------.. operation/procedures manuals for each new program covering step of the process and explaining the logic behind it. and negotiates grants and revenue sharing programs authority and direction of the council. grants under the direction ot the Council, and the of the grantlng_ agency. grants according to to work-plans and 1S31'4----=t;.::;imebbl;s established e.ml/ur approved by the Coun.cil by the agency. established by the Council available to assist other Town administrators with various they are undertaking, especially when it is a crisis or.when they are short-handed ,j:>. ....... lJ1

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