Stories of Experts and Influence: A Discourse Analytic Approach to Bureaucratic Autonomy in the Cold War Era Jessica Snow Wirgau Dissertation submitted to the faculty of the Virginia Polytechnic Institute and State University in partial fulfillment of the requirements for the degree of Doctor of Philosophy In Public Administration and Public Affairs Brian J. Cook, Chair Karen M. Hult Laura S. Jensen Patrick S. Roberts May 14, 2014 Blacksburg, Virginia Keywords: bureaucratic autonomy, discourse analysis, narrative, storyline, Cold War Copyright, 2014 Stories of Experts and Influence: A Discourse Analytic Approach to Bureaucratic Autonomy in the Cold War Era Jessica Snow Wirgau Abstract Government agencies exercise bureaucratic autonomy when they are able to pursue their goals independent, and sometimes in defiance, of political superiors. Over the last three decades, research in the area of bureaucratic autonomy has provided numerous examples of relatively autonomous agencies and has generally recognized the desire of administrators to carve out greater autonomy for their organizations, but the question of how administrators consciously or unconsciously pursue autonomy remains a rich and largely unexplored area of research. Most theories of bureaucratic autonomy typically fall into two categories: an autonomy based on task-specificity that is contingent on the function and expertise of the organization and the ability of the agency to accept or reject new tasks; and a reputation-based autonomy contingent on the ability of the agency to build and maintain a constituency and to secure a reputation for effectiveness that makes it politically difficult for elected officials to influence agency action. This study applies a discourse analytic approach to the study of autonomy in two agencies established during the Cold War whose primary function is the distribution of federal grants-in-aid: the National Endowment for the Arts and the National Institute of Mental Health. Drawing on the theory and practice of discourse analysis, this study seeks to expand upon existing perspectives by better understanding how storylines help administrators to define the agency’s mission and tasks and to develop its reputation for effectiveness. The findings suggest that storylines serve as causal drivers toward autonomy, operating in complex ways to influence individual decisions such as the scope of agency services and appropriations. They also suggest that storylines operate over time to both construct the circumstances that lead to greater autonomy and are simultaneously made more or less persuasive by those circumstances. Dedication To my three guys, Joe, Russell and ‘Indiana Jones’ whose love, encouragement and humor have made this long journey possible. iii Acknowledgements I have been incredibly fortunate throughout my time in this program to be inspired and supported by many friends and colleagues. I am grateful to the members of my committee, Karen Hult, Laura Jensen, and Patrick Roberts for their support and direction, and to Brian Cook for his guidance and encouragement over the last several years in both my academic and professional careers. Thank you, Dr. Cook, for helping to convince me that I could do all this, and maybe even do it well, whether meeting at TCH or coming to the Annual Meeting. I am grateful to Minnis Ridenour who by his example has taught me, and so many others, how to lead an organization beyond what is expected to what is possible. I try to apply those lessons everyday in my work with the Community Foundation of the New River Valley, whose board of directors has been an incredible source of encouragement. I am blessed to work with and for an organization that inspires me through the many people who give of their time, talent and treasure to benefit this community. I am particularly indebted to Laura Pynn, whose mix of humor, encouragement and motherly scolding has gotten me to the finish line of this and many other difficult projects. I have relied on support and laughter from many, many friends during my time at Virginia Tech, far too many to list here. Carol, Kim, Karen, Courtney, and Elisabeth in particular have become my go-to group when figuring out how to balance school, work and family. Jana, you will forever be my best friend, the link to Jersey I will always need to stay grounded. Kathy and Ronnie, you have become like family to me, Joe and Russell. Parties at your house on Sunset and animal pancakes at our place have become some of my most treasured experiences. My family has been with me every step of the way, and I know they are probably even more excited than I am to reach this milestone. Kim and Elaine, Scott and Beth (and Connor), Aunt Sue, Donna, Fred, Mike, Tracy and the whole Derkowski/Cuva crew, thank you for making me feel like family from the minute I met you. My brother, Andy, will forever be the smartest, most humble, and funniest person I know. Andy, thanks to you, Jenn, John and Liam for hosting me at your place and letting me build a zoo in the boys’ room. My parents have given my brother and I so many opportunities, and more importantly, the love and support we needed to take full advantage of every one. Mom and Dad, with two Duke grads and two PhDs, I hope you know what a great job you’ve done. Thank you for setting a wonderful example of what it means to work hard and build a happy family. Now enjoy the lake and all that pewter! There has been no better motivator for this project than my son Russell - the coolest, funniest kid around – and his little brother on the way. Russell, thank you so much for having such a kind heart and for letting me work all these hours when I should have been watching Phineas and Ferb, celebrating Rocko’s 9 year, 8 month, 15 day birthday, and playing Legos with you. Eight years ago my husband encouraged me to go back to school because he could see how much I wanted it. That was all the convincing he needed. Joe, I could not ask for a kinder, better person to share this and every experience with. I am so grateful to you as a dad, a husband and a friend. Thank you for your love and patience. You are amazing. iv Table of Contents Dedication…………………………………………………………………………………...iii Acknowledgements………………………………………………………………………….iv Table of Contents……………………………………………………………………………v List of Figures……………………………………………………………………………….vii List of Tables………………………………………………………………………………..viii Chapter 1: Introduction ……………………………………………………………..……… 1 Statement of the Problem – The Space for Autonomy ……………………….……. 2 Research Questions, Theoretical Approach and Significance .…………..…………. 8 Narratives as Causal Drivers .………………………………………………….……. 8 The Discourse of the Cold War …………………………………………………….. 13 The Cases: The NEA and the NIMH ……………………………………………….. 16 Methodology………………………………………………………………………… 20 Limitations………………………………………………………………………...… 23 Organization…………………………………………………………………………..26 Chapter 2: Literature Review…………………………………………………………………27 Introduction…………………………………………………………………………...27 Bureaucratic Autonomy Defined……………………………………………………..28 The Autonomy Continuum…………………………………………………………...30 Indicators of Autonomy………………………………………………………………32 Task-Based Approaches to Bureaucratic Autonomy…………………………………35 Reputation-Based Approaches to Bureaucratic Autonomy…………………………..37 Towards a Discursive Approach……………………………………………………...40 Summary………………………………………………………………………….......45 Chapter 3: Conceptual Framework…………………………………………………………...46 Introduction…………………………………………………………………………...46 Theoretical Foundations of Discourse Analysis………………………....……………46 Foucault’s Genealogical Approach to Discourse……………………………………..49 The Practice of Discourse Analysis…………………………………………………..53 Narratives and Storylines……………………………………………………………..57 Summary……………………………………………………………………………...62 Chapter 4: Research Design…………………………………………………………………..65 Introduction…………………………………………………………………………...65 Exploring Causal Mechanisms Through Case Studies……………………………….65 Case Selection………………………………………………………………………...69 Data Collection & Analysis…………………………………………………………..76 Summary……………………………………………………………………………...82 Chapter 5: The National Endowment for the Arts……………………………………………83 Introduction…………………………………………………………………………...83 Public Support for the Arts Prior to the NEA………………………………………...85 v A Storyline of Quality: Defining the Art Worthy of Public Funding……..………….91 A Storyline of Access: Private Partners and Arts Consumers………………………108 Quality and Access in the Culture Wars………………………………………….…121 Summary…………………………………………………………………………….127 Chapter 6: The National Institute of Mental Health………………………………………...129 Introduction………………………………………………………………………….129 Mental Health Care In the United States Before the NIMH………………………...131 The Storyline of Mental Health……………………………………………………..137 Developing a Constituency of Storytellers………………………………………….143 The Storyline of Community Care………………………………………………….153 Constructing and Staffing a Bold, New Approach………………………….………164 Social Activism Rises and the Administration’s Support Wanes…………….……..171 Declining Autonomy in an Age of Decentralization………………………………..180 Summary…………………………………………………………………………….187 Chapter 7: Summary and Conclusions……………………..……………………………….190 Introduction…………………………………………………………………………190 Evidence of Autonomy at the NEA and the NIMH………………………………...191 Narratives as Drivers Toward Autonomy…………………………………………..199 Narratives as Carriers of Agency Decline…………………………………………..208 Additional Considerations and Reflections for the Future………………………….213 Conclusion…………………………………………………………………………..218 References…………………………………………………………………………………..219