HD21 - An Assessment of the Secretarial System in the Commonwealth of Virginia

  • Published: 1984
  • Author: Joint Legislative Audit and Review Commission
  • Enabling Authority: House Joint Resolution 33 (Regular Session, 1982)

Executive Summary:
The secretarial system was established in statute by the General Assembly in 1972. The system now consists of six secretaries and an Assistant Secretary for Financial Policy. Each secretary is responsible for overseeing the agencies within a functional area of government. During 1982, the secretaries and direct staff included 26 FTE staff positions. Over 38 additional FTE positions, among them agency staff and consultants, were also utilized during 1982 to carry out special studies and projects for the secretaries. The secretarial system had direct and indirect payroll costs which exceeded $2 million in 1982 alone.

Over the years the responsibilities of the secretaries have been amplified by statute, and the structure of the secretarial system has been altered by action of the General Assembly. Each Governor has also had broad latitude to define the secretarial role and to delegate responsibilities through executive order. As a result, the role of the secretaries has evolved from policy coordination to a stronger management and policy-making orientation.

JLARC Review

House Joint Resolution 33, passed during the 1982 session of the General Assembly directed JLARC to "study the organization of the executive branch for the purpose of determining the most efficient and effective structure." Debates and discussions surrounding passage of the resolution indicated significant legislative interest in the structure and role of the secretarial system.

The purpose of this review was to assess the extent to which (1) the responsibilities and activities of the Governor's secretaries are consistent with the purposes of the system and (2) the structure is useful in effectively managing the State's resources and administrative processes. Criteria used to make judgements for this review were drawn from the historical record and the statutory framework established for the secretarial system.

This report is the second in a series of four final reports on executive branch structure. The companion volumes in this series are entitled "An Assessment of Structural Targets in the Executive Branch of Virginia," "An Assessment of the Role of Boards and Commissions in the Executive Branch of Virginia," and "Organization of the Executive Branch in Virginia: A Summary Report."

Concepts, Roles, and Responsibilities

The secretarial system is consistent with the management needs and traditions of Virginia government. The secretaries carry out important coordinative, budgetary, and oversight responsibilities for their funct ional areas. Nevertheless, agency heads, or in some instances supervisory boards, are responsible for operating agencies and administering programs. The potential for problems arises when the distinction between the responsibilities of such governmental entities is not clearly delineated or generally understood.

There is no question that the State requires efficient management of its resources. There is a need, however, to clarify and balance (1) the constitutional authority of the General Assembly and Governor, (2) the responsibilities spelled out in statute for agency directors and boards, and (3) the management responsibilities of the secretaries.

Staff Recommendation 1: The General Assembly should retain the secretarial system with its management-coordination orientation.

Staff Recommendation 2: The General Assembly should clarify the mission of the secretarial system and the authority of the Governor and secretaries to hold agency heads accountable for fiscal, administrative, and program performance.

Structure of the Secretarial System

The structure of the secretarial system should be periodically assessed. Unique circumstances may require reconsideration by the Legislature of the configuration of functional areas or the organization within or among secretariats. Four of the six secretarial areas warrant attention at the present time.

The structure of the Administration and Finance secretariat has been the least enduring of the secretariats, and organizational arrangements are not presently in compliance with statute. The Assistant Secretary for Financial Policy acts as a seventh secretary, and the Department of Planning and Budget does not have a full-time director. In addition, the assignment of specific functions to the Governor's Chief of Staff is out of conformance with statute and with requirements that executive authority be delegated only to confirmed individuals.

Given the unique constitutional and statutory positions of educational institutions and boards in the Commonwealth, the General Assembly appears not to have intended a managerial role for the Secretary of Education. Nevertheless, in practice and through executive order, the role of the secretary has been brought closer to that of the other secretaries.

The size of two secretarial areas is also a concern. The recommended transfer of two agencies from the Transportation secretariat to more appropriate locations would leave a Transportation secretariat with only four agencies. On the other hand, the Commerce and Resources Secretariat is very large and encompasses agencies with divergent orientations.

Staff Recommendation 3: The General Assembly should eliminate the current Administration and Finance secretariat and create a separate Secretary of Administration and Secretary of Finance.

Staff Recommendation 4: The Governor should appoint a fulltime director for the Department of Planning and Budget.

Staff Recommendation 5: The Governor should rescind Executive Order Number 36 that establishes the Governor's Senior Executive Assistant as Chief of Staff with budgetary, personnel, and planning authority.

Staff Recommendation 6: The General Assembly should eliminate the position of Secretary of Education and create the position of Special Assistant for Education in the Governor's Office. For the present, executive orders should be brought into conformance with statute.

Staff Recommendation 7: The General Assembly should separate the emergency and energy divisions of the Office of Emergency and Energy Services (OEES), and transfer the Energy Division to the secretariat with oversight of conservation activities. The Governor should transfer the Department of Military Affairs and the emergency response activities of the OEES to the Public Safety secretariat.

Staff Recommendation 8: The General Assembly should eliminate the Transportation secretariat.

Staff Recommendation 9: The General Assembly should create a Secretary of Commerce and Transportation.

Staff Recommendation 10: The General Assembly should create a Secretary of Cultural and Natural Resources.

Staffing the Secretarial System

The staff resources of the secretarial system encompass both direct and indirect staff. The direct staff assigned to the secretaries have the greatest visibility, and their number has fluctuated over time. Secretaries also have access to the resources of central staff agencies and may use supplemental staff from agencies within the secretariat.

Determining the appropriate level and type of staff resources involves more than consideration of numbers of staff and associated costs. The system's resources should be commensurate with the role and responsiblities determined to be appropriate for the Governor's high-level assistants. Moreover, the resources may be provided in a variety of ways depending upon the purpose, objectivity, and accessiblity desired for staff support.

Staff Recommendation 11: Place at least one deputy secretary position in each secretariat and create a central staff agency within the Administration secretariat.