Data Mining

This book is dedicated to the universities at which I
learned and taught public policy in classrooms:

Chicago, Hawaii, Illinois, Michigan, Northwestern,
Oklahoma, Stanford, Wisconsin, and Yale.
Copyright © 2002 by Sage Publications, Inc.
All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or
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Library of Congress Cataloging-in-Publication Data
Handbook of public policy evaluation / edited by

Stuart S. Nagel
p. cm.
Includes bibliographical references and index.
Policy sciences — Evaluation — Handbooks, manuals, etc.
Evaluation research (Social action programs) — Handbooks, manuals, etc.

Negotiation — Handbooks, manuals, etc. Fairness — Handbooks, manuals, etc.
Nagel, Stuart S., 1934–
ISBN: 0-7619-2374-8 (cloth: acid-free paper)
H97.H359 2001
320 / .6 21 12432039
This book is printed on acid-free paper.
02 03 04 05 06 07 08 7 6 5 4 3 2 1
Acquisition Editor: Rolf Janke

Production Editor: Sanford Robinson
Editorial Assistant: Mishelle Gold
Typesetter: Tina Hill
Indexer: Molly Hall
Cover Designer: Michelle Lee
Contents
Introduction xi
Section I: FOUNDATION IDEAS
Part 1: WIN-WIN METHODS

1. Win-Win Analysis Summarized 5
2. The Big Trade-Off: Fundamental Law or Red Herring? 7

Robert Haveman
3. Win-Win Equity 13
4. Lose-Lose and Win-Win Policies 25
5. Graphic Approaches to Understanding

Super-Optimizing 31
Part 2: WIN-WIN EXAMPLES

6. Preventing Sexual Harassment While Preserving
Academic Freedom: A Win-Win Analysis 41
Thomas R. Dye
7. Two Super-Optimum Solutions in a Cutback Mode 47
Robert Golembiewski
8. University to Industry Transfer 59

Dianne Rahm and Veronica Hansen
9. Profit Sharing and Job Anxiety:

Moving Public Policy Toward a Win-Win Solution 65
Daniel Mitchell
10. Another Win-Win Occurrence 71
Part 3: PUBLIC POLICY STUDIES

11. Policy Evaluation Questions 75
12. Integrating Institutions and

Implementation Into Policy Decisions 81
Derick W. Brinkerhoff
13. Public and Private Sectors for

Administering Public Functions 87
14. Sherman the Shark on Policy Evaluation 99
Part 4: POLICY PROFESSIONALISM

15. Productivity for Success 103
16. Professionalism Books for

Graduate Students and Others 105
17. Survey on Running a Policy Program 109
18. Academic Tyranny: The Tale and the Lessons 111

Robert Weissberg
Part 5: POLICYMAKER PERSPECTIVES

19. Public Health Challenges 125
Donna E. Shalala
Section II: POLICY EVALUATION
AT THE CUTTING EDGE
Part 1: BASIC CONCEPTS

20. Policy Theory 133
21. Building Frameworks for Policy Analysis 145
Laure Paquette
22. Causal Relations Among Policy Fields 151
Part 2: METHODS AND
PROFESSIONALISM
23. Diverse Methods for Policy Analysis 155
24. Interactive Policy Analysis: Process Methods for
Policy Reform 159
Louise G. White
25. Changing Policy Research 167
26. Recruiting People and Obtaining Funds 175
27. Funding for Policy Evaluation 181
Part 3: POLICY EVALUATION TRENDS

28. Trends in Cross-Cutting Procedural Policy Issues 189
29. Public Policy in the 20th Century 195
30. The Future of the Policy Studies Organization 205
Part 4: POLICY EVALUATION SUBSTANCE

31. Welfare Reform 211
John Engler
32. “Ordinary” Injustice: A Memo to the Editor 213
Charles H. Moore
33. Congressional Campaign Reform 217
Robert K. Goidel, Donald A. Gross,
and Todd G. Shields
34. Violence, Guns, Media, and Fathers 223
Mike Huckabee
Part 5: WIN-WIN THEORY

35. Super-Optimizing Solution Graphing 227
36. Win-Win Game Theory 235
37. Win-Win Mediation 245
38. Win-Win Allocation 253
39. Inconsistent Reactions to Win-Win Analysis 263
Part 6: WIN-WIN APPLICATIONS

40. Coeffects Diagrams and Win-Win Analysis 269
41. Win-Win Economics 275
42. Super-Optimization: A New Approach to
National Environmental Policymaking 291
Lawrence Susskind
43. Win-Win Decentralizing 295
44. Win-Win Justice 301
Section III: POLICY EVALUATION

BIBLIOGRAPHIES
Part 1: POLICY EVALUATION IN GENERAL

45. Core Bibliography and Background 311
46. Policy Problems or Subfields 317
Part 2: POLICY STUDIES ORGANIZATION
BOOKS
47. Policy Studies Organization Policy Books 325
48. Recent Policy Studies Organization Policy Books 335
49. The Impact of Policy Studies Organization Books 343
Part 3: ALTERNATIVE DISPUTE
RESOLUTION (ADR) AND
SUPER-OPTIMUM SOLUTION (SOS)
50. Alternative Dispute Resolution 349
51. Literature Relevant to Super-Optimum Solutions 355
52. Super-Optimum Solution Publications 361
53. Bibliography From Creativity in Public Policy:
Generating Super-Optimum Solutions 365
54. Further Reading on Super-Optimum Solutions 369
Part 4: PROFESSIONALISM IN
POLICY EVALUATION
55. Obtaining Funding 375
56. Getting Published 377
57. Finding an Academic Niche 381
58. Creativity 383
Part 5: PUBLIC POLICY AND
OTHER DISCIPLINES
59. Natural Science 387
60. Humanities 391
61. Social Science 393
Part 6: SPECIAL RESOURCES

62. Policy Problems by Developing Regions 399
63. Policy Studies Organization Books 403
64. Legal Policy 405
Index 413
About the Editor 423
Introduction
P ublic policy evaluation involves

deciding among alternative ways of
resolving controversies regarding
what should be done to deal with eco
nomic, technological, social, political, in
1. Many insights and alternative perspec
tives on systematic policy evaluation are
presented.
2. Many ideas and applications dealing with
win-win policy evaluation are discussed.
ternational, and legal problems at the soci
etal level. 3. There is an emphasis on evaluating public
Systematic evaluation involves process policies that relate to economic, techno
ing (a) goals to be achieved, (b) alternatives logical, social, political, international,
available for achieving them, and (c) rela and legal problems rather than evaluating
tions between the goals and the alterna specific narrowly focused programs. For
tives to decide on the best alternative, the example, policy evaluation is concerned
best combination of alternatives, or the with how to deal with the cocaine-heroin
best allocation among the alternatives. problem, in contrast to program evalua
Win-win evaluation involves choosing pol tion, which might be concerned with a
icy alternatives that can enable conserva specific halfway house in a certain city.
tives, liberals, and other major groups to si
4. The emphasis is on evaluation, in contrast
multaneously achieve results that are
to traditional political science, which em
better than their best initial expectations.
phasizes how policies are developed and
This landmark book deals with many
sometimes how they are implemented
aspects of public policy evaluation, such as
rather than evaluating alternative policies
methods, examples, studies, professional
for achieving goals.
ism, perspectives, concepts, trends, sub
stance, theory, applications, dispute reso 5. There is a concern for professionalism
lution, interdisciplinary interaction, and that relates to teaching, researching, pub
bibliographies. lishing, employment opportunities, asso
The following are key features and ben ciations, and the key literature in the pro
efits of this book: fession of public policy evaluation.
xi
xii | Handbook of Public Policy Evaluation
6. A variety of applications, as contrasted to public policy, public administration, politi

one or only a few large case studies, are cal science, program evaluation, social pol
presented. icy, and related disciplines. Each major
field of public policy relates to a different
The Handbook of Public Policy Evalua discipline or set of disciplines, including
tion is divided into three main components. economic, technology, social, political, in
The first component is foundation ideas, ternational, and legal policy. This book
which include (a) win-win methods, (b) is also relevant to policy analysts, policy-
win-win examples, (c) the field of public makers, professors, students, public ad
policy studies, (d) policy professionalism, ministrators, political scientists, social sci
and (e) policymaker perspectives. entists, and other interested scholars and
The second component is cutting-edge practitioners.
ideas, including (a) basic concepts, (b) Many years of teaching, research, pub
methods and professionalism, (c) policy lishing, workshoping, consulting, and
evaluation trends, (d) policy evaluation other relevant activities have gone into the
substance, (e) win-win theory, and (f) win- preparation of this handbook. Like a true
win applications. handbook, it instills those years of experi
The third component consists of policy ences between two covers so that others
evaluation bibliographies that are espe can build on what has been developed.
cially useful for reference purposes. These This handbook will be considered a suc
cover (a) policy evaluation in general; (b) cess if in a few years there are many new
books published by the Policy Studies Or ideas on public policy evaluation that merit
ganization; (c) books that relate to alterna a second edition. The objective of a hand
tive dispute resolution and super-optimum book is not to develop ideas that cannot be
solutions; (d) professionalism in policy improved on. On the contrary, the objec
evaluation; (e) public policy and other dis tive is to stimulate many improvements in
ciplines; and (f) references related to de making the methods, processes, and sub
veloping regions, policy theory, and legal stance of public policy evaluation even
policy. more effective, efficient, and equitable
The Handbook of Public Policy Evalua than it is today.
tion is especially relevant to the fields of
Section
FOUNDATION
IDEAS
Part 1
WIN-WIN
METHODS
CHAPTER 1
Win-Win Analysis Summarized
W in-win policy analysis in this

context can be defined as solv
ing policy problems by finding
solutions that exceed the best initial expec
tations of conservatives, liberals, Repub
4. What new alternative might be capable of
a. Achieving the conservative goals even
better than the conservative alterna
tive; and
licans, Democrats, other major groups, or b. Simultaneously achieving the liberal

whoever has the major viewpoints in policy goals even better than the liberal al
disputes. Win-win is also called super- opti ternative? Whatever new alternative
mizing, or doing better than the previous meets these two criteria is a win-win
best of all major groups. alternative or a super-optimum solu
tion.
5. Is the proposed win-win alternative capa
FIVE STEPS ble of overcoming hurdles that frequently
exist? These hurdles may be political, ad
There are basically five steps to win-win ministrative, technological, legal, psycho
policy analysis: logical, and economic. Win-win solutions
should also consider how to aid workers
1. What are the major goals of conserva and firms that may be affected by down
tives, liberals, or other major groups who sizing due to increased productivity, free
are disputing which policy should be trade, defense conversion, immigration,
adopted for a given policy problem? merit treatment, labor utilization, creativ
2. What are the major alternatives of these ity, and related factors.
groups for dealing with the policy prob
lem?
3. What are the relations between each ma FACILITATOR CHECKLIST
jor alternative and each major goal? In
their simplest form, these relations can be To facilitate developing win-win alterna
expressed in terms of a minus sign (rela tives, it helps to have a positive can-do atti
tively adverse relation), a plus sign (rela tude that it is possible to do so. It also helps
tive conducive relation), and a zero (nei to have a checklist of types of win-win al
ther adverse nor conducive relation). ternatives that have worked in the past.
5
6 | Win-Win Methods
Such a facilitating checklist might include proaches to Resolving Public Disputes. New
the following: York: Basic Books, 1987.
1. Expand the resources. For a free copy of the handout materials

2. Find a third-party benefactor.
used in the worldwide win-win and super-
optimum solution workshops, write to Stuart
3. Set higher goals. Nagel at the Policy Studies Organization.
4. Minimize the causes of the problem.
5. Redefine the problem to emphasize
goals rather than alternatives. DISSIDENT FACULTY EXAMPLE
6. Increase the benefits and decrease the
costs. As an example, win-win analysis can be ap
plied to handling dissident faculty:
7. Socialize children in widely accepted
values so the problems do not occur.
1. A lose-lose situation is one in which a de
8. Find a new technology. partment or the university seeks to de
9. Contract out via an auction to multiple stroy a dissident faculty member. The uni
firms with societal strings attached. versity may suffer the stigma of being
enjoined for violating free speech and due
10. Promote international economic com
process. The faculty member loses money
munities.
in obtaining an injunction and subse
11. Arrange for major benefits on one side quent enforcement.
and small costs on the other.
2. A win-lose situation is one in which one
12. Fully combine alternatives that are not side believes it can be a winner and the
mutually exclusive. other side a loser. Trying to create this sit
13. Develop a multifaceted package. uation often results in a lose-lose situa
tion, such as litigation, strikes, and war.
14. Adopt the win-win solution in steps, in
which the first step may be a traditional 3. A win-win situation is one in which the
compromise. university can try to constructively en
courage the potential creativity of dissi
dent faculty. Doing so can result in new
BIBLIOGRAPHY ideas, inventions, and institutions to the
credit of both the university and the dissi
For further details on the concepts, meth dent faculty members. This is more likely
ods, and examples of win-win analysis, see to happen with administrators who have
the following: flexible democratic personalities rather
than authoritarian personalities. All ad
Baumol, William. Superfairness: Applications ministrators, however, benefit from the
and Theory. Cambridge: MIT Press, 1986. funding, prestige, and quality students
Nagel, Stuart. Super-Optimum Solution and that attend universities that are at the
Win-Win Policy: Basic Concepts and Meth forefront of new ideas, inventions, and in
ods. Westport, CT: Greenwood, 1997. stitutional arrangements.
Noyes, Richard. Now the Synthesis: Capital
ism, Socialism, and the New Social Con Win-win thinking can also be applied to
tract. London: Centre for Incentive Taxa dissident citizens in a country. The analysis
tion, 1991. is applicable to other economic, techno
Susskind, Lawrence, and Jeffrey Cruikshank. logical, social, political, international, and
Breaking the Impasse: Consensual Ap legal policy problems as well.
CHAPTER 2
The Big Tradeoff
Fundamental Law or Red Herring?
Robert Haveman
University of Wisconsin
T he indifference curve and the idea

of trade-offs and the substitutabil
ity of products under limited bud
gets is almost the essence of economics.
There is a need for more imaginative think
ing public policy. As government seeks to
“buy” additional equality, so the analysis
goes, incentives to work and invest are
eroded, administrative costs are incurred,
and some output is sacrificed. It implies
ing as to how budgets can be expanded or that, say, increasing food stamp benefits by
how one can achieve multiple goals within one dollar will cause the relatively well-off
a fixed budget. There may especially be a both to pay the extra dollar in taxes and to
need for more imaginative thinking on how bear the burden of the efficiency losses that
increases can be achieved in both societal the taxes and transfers create.
equality and efficiency simultaneously. Figure 2.1 is a helpful way of thinking
The “Big Tradeoff” between efficiency about this Big Tradeoff perspective. The
and equality became an important part of horizontal axis measures the efficiency ef
the economics lexicon over a decade ago fects—positive or negative—of a policy (or
with the publication of Arthur Okun’s a group of policies) such as a public redis
1975 book. That volume described the tribution system. The vertical axis mea
process by which government diverts in sures the equalization impact of the poli
come from those who have earned it to cies, say some measure of the degree to
those who have not, emphasizing the losses which poor people are benefited. If the pol
of output and economic growth that occur icies are “equalizing,” or pro-poor, they
along the way—the image became known are located above the horizontal line; if
as “Okun’s leaky bucket.” disequalizing, or pro-rich, they are below
This image and framework captured the the line. If the program is both equalizing
imagination of economists and established and efficient, it is identified by a point in
the language often used by them in discuss the northeast region or quadrant.
EDITOR’S NOTE: This chapter is reproduced with permission from Robert Haveman, “The Big Tradeoff: Funda
mental Law or Red Herring?” Policy Evaluation 4, no. 2 (1998): 5-10.
7
8 | Win-Win Methods
Figure 2.1. The Equality-Efficiency Tradeoff
Assuming the society is rational, fully would be reduced. On the diagram, the
informed, and prefers less inequality than program would shift upward to the left, to
that generated by the market system, the a point such as A primed. More equality
nation’s redistribution system might be lo would be gained but at some loss of effi
cated at a point such as A in region I—it ciency. Similarly, contraction of the policy
both is deemed efficient (given the initial would move us downward and to the right.
distribution of income) and achieves some Tracing out such expansions and con
reduction in inequality. What now is the ef tractions yields the Big Tradeoff curve—
fect of expanding the system, but leaving accepting common assumptions, it would
its basic structure (that is, the relative com be negatively sloped and convex.
position of the programs of which it con Contemplating such a tradeoff relation
sists) unchanged? Beginning at point A, an ship is deceptively easy. Once the curve that
expansion of the system—an increase in embodies this relationship is drawn, the
spending on existing redistribution mea- numerous assumptions embodied in it are
sures—would achieve some additional re quickly forgotten. For one thing, the con
duction in inequality, but with some loss in cepts labeled on the axes of the diagram—
efficiency. For example, if income transfers efficiency and equality—are far more com
to low-income families are increased from plex than these simple terms suggest. The
$150 per month to $250 per month, both proxies that we typically employ to capture
recipients and taxpayers are likely to re what is gained and what is given up are of
duce their work effort—a decrease in effi ten weak surrogates for the basic issues at
ciency—while at the same time inequality stake. While volumes have been written in
The Big Tradeoff | 9
an attempt to clarify these complex con of the economic pie, this is known to the
cepts, little of this complexity is typically dictator.
reflected in interpreting the diagram. Armed with this maximum social wel
Moreover, in drawing the relationship, fare objective and full information, the dic
we implicitly assume that the information tator chooses among the available options
required to establish this tradeoff exists so as to maximize the well-being of her
and that decision makers, once placed on people. Having so chosen, she can sit back
this frontier, are well informed, consistent, and observe—and take pride in—this con
and rational. We assume that decision stellation of optimum public policies. The
makers have clearly defined objectives, economic pie will not be as large as it could
carefully identified options for achieving be; the correct amount of sacrifice in the
them, accurate knowledge about how each size of the pie will have been made in the in
option contributes to the objectives, and a terests of reducing destitution among the
full specification of the Social Welfare poorest citizens. Neither will the pursuit of
Function that identifies the optimal posi equity have been carried to its maximum—
tion on the tradeoff curve, and that they full equality: The correct deviation from
then choose among the options so as to best equality will have been chosen in the inter
achieve the objectives. Only if these condi est of maintaining the size of the pie. Some
tions hold is society on the tradeoff rela point in Figure 2.1—say, point A—will
tionship, balancing equality and efficiency have been optimally chosen. It represents
by moving along the frontier. the best position available to society in
To understand the conditions on which terms of both equality and efficiency, given
such a tradeoff relationship exists—and the social welfare function.
can serve as a guide to policy—consider the Presuming a position on the tradeoff
following simple and contrived example. function, then, the policy advice of econo
At the beginning of the republic, a benefi mists is clear. If the tastes of society shift the
cent dictator establishes that the objective balance between efficiency and equality so
of government is to maximize the well that, say, efficiency becomes more valued,
being of her people. The size of the soci retrench on the size of the nation’s redistri
ety’s economic pie is one component of bution system—slide upward and to the
social well-being—the “efficiency com left along the curve. If more equality is de
ponent.” However, total social welfare sired, expand the system, and slide down
cannot be at its maximum, the dictator the tradeoff function to the right. The basic
concludes, if destitution, malnutrition, and policy on choices on which this view fo
poverty exist alongside a large economic cuses attention are those which alter the
pie. She adopts a welfare function on the position on the Big Tradeoff curve—which
behalf of society that recognizes this “eq involve expansion or retrenchment of, say,
uity component” as well as the efficiency income redistribution policy.
component. In a political economy environment
Now, with full information, the dictator such as ours, policy discussions which fo
knows just how much a given increase in cus on such expansion-retrenchment op
the size of the economic pie contributes to tions seem to me to be simplistic and mis
social welfare, and how much of a contri leading. They fail to capture the essence of
bution to economic well-being is provided the public sector decision process and,
by a given reduction in destitution. Such hence, force thinking into a narrow and er
perfect information also allows her to roneous framework.
know the interaction between the effi This view rests on the judgment that, in
ciency and equity components of social the case of public policies in the social wel
welfare—if reducing poverty causes the fare or redistribution area, the basic pre
poor to work less, thereby reducing the size mises on which the Big Tradeoff notion
10 | Win-Win Methods
rests are false. In our political system, there tradeoff relationship to which we are tied.
is no consistent government decision In our imperfect political economy, the
maker whose job is to make rational policy constellation of policies in place are scat
choices. There is a Congress with a shifting tered all over efficiency-equality space.
cacophony of voices and interests, which is Some of them simultaneously contribute to
checked and balanced by an administra both equality and efficiency; others may
tion that changes over time, sometimes sacrifice both. Still others will emphasize
rather radically, and by a judiciary that also efficiency while sacrificing equality and
changes, though not so fast. vice versa. The trick is to identify and im
These public decision makers have little plement those policies that simultaneously
or no well-defined notion of a social wel promote efficiency and equality. Those
fare objective writ large, nor of the com that sacrifice both should be abandoned or
ponents of the objective, nor of how indi restructured.
vidual policies affect these components. Figure 2.2 is helpful in depicting this
Moreover, they operate in a political alternative view. I have drawn a field of X’s
system dominated by powerful private in efficiency-equality space. These repre
interests. They often lack information— sent the set of policies actually in effect.
especially about interactions and conse Some simultaneously secure equality and
quences. efficiency—they would be in Region I.
Perhaps most seriously, social move The federal Headstart program would be
ments and leaders change over time, tastes a good example. Others sacrifice both of
and perceptions change, and new and these objectives, and they would be in
better knowledge comes to replace the old. Region III. Federal irrigation subsidies
Both the nature of the tradeoff and judg would be my favorite example. Still oth
ments about priorities are far from static. ers emphasize efficiency while sacrificing
In short, in the real world of public pol equality (Region II) or vice versa (Region
icy, there is no Big Tradeoff curve. And to IV).
presume that there is and to prescribe ac This alternative view leads to quite a
cording to this presumption focuses debate different emphasis and public policy ap
on a simple, narrow, and miscast question: proach than does the Big Tradeoff per
Shall we expand the existing redistribution spective. The focus here is on restructuring
system—or shall we, in the interests of effi and reorientation, rather than on retrench
ciency, retrench? Indeed, since 1980, I ment or expansion. If both efficiency and
would note, the primary reason given by equality are valued, economic analysis
federal policymakers for retrenchment in should seek to identify policies that simul
social and redistribution programs has taneously promote both. If, in fact, such
been to promote economic efficiency—to policy options are available (Region I),
stimulate work, saving, and investment, all they should be pursued, while policies
of which were believed to have been traded that reduce efficiency and equality (Region
away in the pursuit for equality. III) should be abandoned. More gener
If there is no relevant Big Tradeoff rela ally, policies should be designed to secure
tionship in the imperfect world in which both efficiency and equality simultane
policy is made, speaking about policy ously, and when so designed should be pur
choices as if one does exist diverts attention sued vigorously. Similarly, measures that
from a more relevant and helpful way of will secure inequality reduction simulta
viewing policy options. In this alternative neously with efficiency should be substi
view, both equality and efficiency can be tuted for those that score poorly on both
pursued simultaneously; there is no fixed accounts.
The Big Tradeoff | 11
Figure 2.2. An Alternative View
The basic point, then, is that by empha program-specific choices. The decision to
sizing the Big Tradeoff, economists have raise public revenue from the existing tax
encouraged policy changes to be viewed in system to support an increase in existing in
a limited and myopic way. The Big Trade- come transfer programs will, in all likeli
off framework shifts the spotlight away hood, reduce both efficiency and inequal
from the existing composition and struc ity. My point is that this is the wrong choice
ture of policy measures and suggests that on which policymakers should be encour
the crucial policy choice is whether to ex aged to focus. It would be far better to di
pand or to contract that fixed system. The rect their attention to questions such as
alternative view holds open the possibility “Can we redesign the tax system to allow
that policy can be radically redesigned. It us to raise revenues with less deadweight
forces a search for innovative approaches. loss?” or “Can we restructure social policy
It holds open the possibility that policies to enable us to secure more inequality re
with more favorable efficiency and equal duction with the same expenditure?”
ity implications can be substituted for In short, sound policy decisions consist
those that do not score well at either. of far more than simple retrenchment or
I am not to be interpreted as suggest expansion. In dealing with public sector
ing that tradeoffs between efficiency and decisions, there is no Big Tradeoff frontier,
equality do not characterize many policy or and our main task is not to decide whether
to slide up it or to slide down it. Rather, our gion III. It is to determine how to shift up
task should be one of reorientation and re- the total benefit function, or to shift down
form—deciding how to move toward the the total cost function, and not just where
northeast in equality-efficiency space—to to place ourselves, given a fixed pair of loss
move toward Region I and away from Re and gain functions.
CHAPTER 3
Win-Win Equity
EQUITY VERSUS EFFICIENCY adult education, and especially on-the-job

training. Upgrading of skills can include
Race and Gender Relations outreach training based on economic de
privation or disadvantage rather than race.
Contemporary conservatives advocate This kind of win-win or super-optimum so
merit hiring in dealing with equal employ lution (SOS) satisfies the conservative goal
ment opportunity, although in the past of having a productive workforce and the
they have generally been more tolerant of liberal goal of equity or fairness in distrib
discrimination than have liberals (Table uting benefits in employment or education.
3.1).
Contemporary liberals often advocate
at least temporary preferential hiring to re Environmental Policy
dress past discrimination, especially when
candidates have similar qualifications, The field of environmental policy in
tests are subjective, the preferences are volves conservative and liberal ap
temporary, and private enterprise rather proaches. Conservatives emphasize the
than government employment is involved. role of consumers and the marketplace in
The compromise position is merit hiring restraining business from engaging in so
but affirmatively seeking qualified minor cially undesirable activities such as pollu
ity candidates through (a) advertising in tion. The liberals emphasize the role of the
minority newspapers, (b) locating one’s government in restraining pollution. Con
physical plant in minority neighborhoods servatives are especially interested in the
and possibly with subsidies in enterprise goal of economic development, which may
zones, (c) removing requirements that are be interfered with by government re
racially correlated but not correlated with straints. Liberals are especially interested
job performance, and (d) designating the in the goal of a clean environment, which
firm as an equal opportunity employer. may not be effectively achieved by relying
A win-win or super-optimizing alterna on selective consumer buying.
tive could emphasize upgrading skills so A compromise approach might involve
that minorities can qualify for merit hiring giving businesses partial subsidies to adopt
without needing any preferences or even antipollution devices. This approach would
affirmative recruiting. The upgrading of involve some requirements for receiving
skills might include formal education, the subsidies, but it would interfere less
13
Table 3.1 EQUITY VERSUS EFFICIENCY

IN RACE AND GENDER RELATIONS
Goals
C L
Merit Productivity
(Efficiency, Equity or Fairness
Effectiveness, or (for Those Who
High Gross Have Been
Alternatives National Product) Discriminated Against)
C + –
Color blind and gender blind May be illegal where
(in hiring and admissions) there has been recent
overt discrimination
L – +
Temporary preferences But may not be constitu
(to promote diversity) tional
N
Reagan affirmative action
No overt discrimination
No discriminatory test that
does not predict job performance
Seek out minorities by adver- 0 0

tising in appropriate places
Announce equal opportunity
employment
Locate closer to unemployed
(i.e., enterprise zones)
SOS or win-win solution

Outreach training
Increases merit
Increases qualified diversity ++ ++
Based on economic disadvantage
No preferences (i.e., color blind
and gender blind)
NOTE: C, conservative; L, liberal; N, neutral; SOS, super-optimum solution or win-win solution.
than instituting regulations and fines. This and research firms to develop new pro
approach would also help promote a cesses (that relate to manufacturing,
cleaner environment, but there still might transportation, energy, and agriculture)
be evasions by businesses due to the extra that are both less expensive and cleaner
expense and trouble in complying. than the old processes. The new processes
A win-win policy alternative might in would then be adopted by businesses be
stead emphasize subsidies to universities cause they are more profitable and not be
Win-Win Equity | 15
Table 3.2 EQUITY VERSUS EFFICIENCY IN ENVIRONMENTAL POLICY
Goals
C L
Economic Efficiency Environmental Equity
(Productivity, (Clean Air, Clean Water,
Effectiveness, or High and No Radiation, Excess
Alternatives Gross National Product) Noise, or Other Pollution)
C + –
Marketplace (i.e., consumers will Consumers do note boy-
boycott polluters) cott (e.g., power or steel)
L – +
Prohibit pollution (or regulate If enforced and if politi
degree, with penalties or taxes on cally feasible
pollution)
N 0 0
Marketable rights to pollute Still involves expense Some incentive to reduce
to manufacturers, etc., pollution
but not so much
New, cheaper and cleaner
technologies in
Manufacturing (e.g., gold
panning on the Amazon River)
Transportation (e.g., 80-mpg car) ++ ++
Energy (e.g., fusion energy)
Agriculture (e.g., tree farms)
cause the firms are being forced or subsi An example of such an environmental
dized to do so. win-win policy is the development of a sub
The new processes would thus achieve stitute for aerosol propellants and air-con
the conservative goals of profits and eco ditioning freon that is more profitable to
nomic development even better than would manufacturers and less harmful to the
retaining the present marketplace. Such a ozone layer, which protects against skin
win-win policy would also promote the lib cancer. Another example is the develop
eral goal of a cleaner environment even ment of an electric car, which saves money
better than would a system of regulation, on gasoline and maintenance and does not
and it would do so without the expense of a generate the exhaust pollution that cars
continuing subsidy for adopting and re with internal combustion engines produce.
newing antipollution devices (Table 3.2). Hydrogen fusion and solar energy may also
be examples of less expensive and cleaner rate of success in finding jobs than the rate
fuels for manufacturing processes. of success of a government agency or a
nonprofit organization. The firm also has
more capability than the recipient. Tax
Displaced Workers money is saved in the long term as a result
of replacing welfare with work. It may also
Displacement of labor occurs for the fol be saved in the short term because the ex
lowing reasons: (a) productivity down penses per long-term job found is less than
sizing; (b) free trade; (c) immigration; the cost of a government agency or non
(d) civilian conversion; (e) jobs for public profit organization. Related activities can
aid recipients, the disabled, or the aged, also help displaced business people find
who might otherwise be on welfare; and new jobs or start new businesses.
(f) jobs for minorities and women, who
might otherwise be discriminated against
(Table 3.3). Minority Redistricting
The issue is how to find jobs for dis
placed workers. The conservative empha For the sake of discussion, consider a
sis is to leave it up to the individual to find a city such as Chicago or a state such as
job on his or her own and not make it the Mississippi that is approximately 40%
responsibility of other people. The liberal black (or minority) and approximately
emphasis is on a welfare agency or another 60% white. Conservatives tend to endorse
government agency doing most of the job- color-blind districting, in which lines are
finding work. The neutral position might drawn by a computer with no regard for
involve delegating the activity to a non where blacks or whites live, as long as all
profit organization. districts have equal populations. The result
A key conservative goal is to save tax might be that no district will be a safe black
money, which means encouraging job find district that can guarantee a black legisla
ing to reduce welfare payments but not tor. The percentage of blacks in the districts
incurring high fees for job finding. A key may range from approximately 10% to
liberal goal is to find jobs for displaced 65%. Higher than 65% black is generally
workers or welfare recipients not just to considered a safe black district for an aver
save money by reducing welfare payments age black candidate running against an av
but also because jobs can increase the in erage white candidate.
come, quality of life, and dignity of wel Liberals tend to advocate proportional
fare recipients. Doing so also has effects districting, which means that the computer
that relate to multipliers, compounding, is affirmatively programmed to provide
role models, and reducing illegal activities. that 40% of the districts will have black
An SOS alternative is to contract out to majorities if blacks are 40% of the popula
a private profit-making firm at a commis tion of the city (e.g., Chicago) or the state
sion of $X per welfare recipient who re (e.g., Mississippi) (Table 3.4).
ceives long-term employment. Half of the A neutral or middling position is to pro
commission is paid after the employee has vide as many safe black districts as possi
been on the job for 4 months, and the other ble. Such districts have more than 65%
half is paid after 8 months. The firm is re black voters, and this position is endorsed
sponsible for providing training, day care, by conservatives who want to pack black
employment leads, advice, and dispute res voters and thereby decrease the number of
olution—all of which a government agency black legislators. Such districts are also en
might otherwise provide. dorsed by black incumbents who want to
This is a good example of contracting avoid white competition. By wasting or
out. The profit motive stimulates a higher packing black voters, only 20% of the leg
Win-Win Equity | 17
Table 3.3 EQUITY VERSUS EFFICIENCY IN DISPLACEMENT OF

LABORa
Goals
C L
Equity (i.e., Fairness
Efficiency (Merit or to Those Unemployed
Alternatives Survival of the Fittest) to No Fault)
C
Marketplace (leave to the labor + –
marketplace)
L
Welfare handouts with few – +
conditions
N
Welfare with conditions
No able-bodied eligibles, especially 0 0
males
Bare minimum benefits
Residence requirements
Provide no due process
SOS or win-win solution (i.e., job facilitation)
Training
Wage subsidy
Employment agency commissions ++ ++
Rising GNP
Relocation
Welfare conditional on training and
job cooperation

a. Displacement of labor occurs for the following reasons: (a) productivity downsizing; (b) free trade; (c)
immigration; (e) jobs for public aid recipients, the disabled, or the aged; and (f) jobs for minorities and
women.
islature may be black. A victory of more Proportional districting deliberately cre

than 51% involves wasted votes, although ates black districts and white districts
they may provide good insurance. and thus may be divisive. Proportionality
A key conservative goal is to reduce ra seems equitable and thus not divisive, but it
cial divisiveness. Color-blind districting may be divisive when it is gerrymandered.
may or may not achieve this goal. It is not In between is the approach of safe black
discriminatory or segregationist and thus districts. This approach may be less antag
not divisive. Blacks may be antagonized be onistic to many whites than proportional
cause it may result in no black legislators, districting because it results in fewer black
although blacks may become the swing legislators. It may be antagonistic to many
vote or pivotal group in many districts. blacks, however, because representation is
Table 3.4 EQUITY VERSUS EFFICIENCY IN MINORITY

REDISTRICTING
Goals
C L
Efficiency Equity
(Color Blind (Minority
Alternatives and Not Divisive) Proportionality)
C
Random
Single-member districts, + –
randomly drawn (0%)
L
Proportional
Districts deliberately drawn to – +
obtain proportionality (40%)
N
Black districts
Safe black majority districts, 0 0
deliberately drawn (20%)
SOS or win-win solution (i.e., cumulative voting)
Multimember districts with cumula- ++ ++
tive voting per candidate (40% with
color-blind districts)
nonproportional. Thus, all three systems in the legislature, then all candidates run at
are questionable in reducing divisiveness. large. Any voter can cast five votes for just
A key liberal goal is to increase black one candidate or divide the five votes
influence. Proportional districting may among four, three, or two candidates.
achieve the best result in this regard in Where the legislature is larger, one can pro
terms of quantity of black legislators. vide for multimember districts with ap
Color-blind districting may achieve the proximately five seats per district. This sys
worst result. Color-blind districting, how tem reduces racial divisiveness if the voting
ever, may actually increase black influence is at large or if the multimember districts
because blacks might become a pivotal are drawn in a color-blind way. It also al
group in almost all districts. Thus, all three lows for a major black influence if blacks
systems are questionable with regard to in cast all five of their votes for only pro-black
creasing black influence. It depends on candidates.
how one defines “increasing black influ Racial balance means that every district
ence” and “increasing racial divisiveness.” has the same percentage of blacks. This is
One way to simultaneously reduce ra the equivalent of 100% safe black districts
cial divisiveness and increase black influ if the state or city is more than 65% black.
ence is to provide for at-large cumulative It is the equivalent of maximizing the swing
voting. For example, if there are five seats vote if the city is approximately 40% to
Win-Win Equity | 19
50% black, and it is the equivalent of Second, the Republicans objected to Demo
color-blind districting if the city is less crats having proportional representation
than approximately 10% to 20% black. downstate, and the Democrats objected to
Thus, racial balance across every district the Republicans having proportional repre
is neither pro-black nor anti-black until sentation in the Chicago area. The party lead
one knows the racial balance percentage. ers were thus in effect conspiring to deprive
Another alleged way to achieve both the voters of both competitive choice and
goals is to draw the single-member dis proportional representation. If competitive
trict lines so as to maximize the influence choice and proportional representation were
of blacks as swing or pivotal voters. This federal constitutional requirements, then the
means that as many districts as possible cumulative voting could not be so easily ma
in which blacks comprise approximately nipulated at the state level.
40% to 50% of the population are nec
essary. They can then guarantee that pro-
black candidates will win in each such EQUITY VERSUS EQUITY
district. Racial divisiveness is reduced by
not having any segregated or separa Criminal Justice: Victims and Defendants
tionist black districts. Black influence is
increased by determining who many or The Controversy
most of the white winners will be. This
pivotal black system, however, produces A concrete example of equity versus equity
about the same results as color-blind is the controversy regarding the size of juries
districting in terms of a low percentage in criminal cases, as shown in Table 3.5. Lib
of black legislators. Actually, substan erals argue in favor of preserving the tradi
tially less than 40% is needed to be a piv tional 12-person jury, as contrasted to allow
otal group in a two-party district or a ing juries as small as 6 people. Liberals view
two-candidate primary. the larger jury as being important for protect
The SOS of at-large cumulative voting ing the innocent because it is more difficult
may have political opposition because it for a prosecutor to convince 12 jurors. Lib
gives the minority political party, and erals may also argue that 12-person juries al
minority ethnic groups, some represen low for more public participation, but this
tation. The swing vote approach may seems less important than decreasing convic
have political opposition because blacks tions, although public participation may
and minorities tend to measure their in sound more acceptable.
fluence by how many black legislators Conservatives argue in favor of allowing
there are rather than by how much influ 6-person juries. They view smaller juries as
ence they have over white legislators. being important for convicting the guilty be
From approximately 1880 to 1980, cause it is easier for a prosecutor to convince
Illinois provided for cumulative voting 6 jurors unanimously of the defendant’s guilt
of state legislators in the lower house. than it is to convince 12 jurors. Conservatives
The system involved three seats for each may also argue that 6-person juries reduce
district. The system was abolished for delay, but this seems less important than in
two reasons. First, in downstate areas, creasing convictions, although delay reduc
the Republicans would run one candi tion may sound more acceptable.
date and the Democrats would run two. In this context, liberals are especially sen
Thus, the voters had no choice because sitive to avoiding errors of convicting the
there were only three seats per district. innocent, although they also want to avoid
This could have been prevented by re errors of not convicting the guilty. Conser
quiring that each major political party vatives are especially sensitive to avoiding
run at least two candidates per district. errors of not convicting the guilty, although
Table 3.5 EQUITY VERSUS EQUITY IN CRIMINAL JUSTICE
Goals
C L
Equity No. 1 (Convict Equity No. 2 (Acquit
the Guilty, Fairness to the Innocent, Fairness
Alternatives Exclusionary Victims) to Defendants)
C + –
6-Person and majority Reduce crime through Reduce crime through re-
Smaller than 11-person juries deterrence spect for legal system and
(about 6); less than unanimity
alternative opportunities
(about 51%); also less appeals,
right to counsel, or rule against
illegal evidence
L
12-Person and unanimity
Retain 12-person juries, retain – +
unanimity
N
Compromise
8-person jury 0 0
Three-fourths vote
(9 of 12 or 6 of 8)
Videotape all trials
Encourage note taking
Ask questions of lawyers and judge ++ ++
Written instructions
Pretrial training
they also want to avoid the errors of con they tend to view as not being a significant
victing the innocent. As long as the prob percentage of the defendants who are tried.
lem is defined in terms of optimum jury
size, there is an inherent trade-off between
these two goals. Liberals view any reduc The Resolution
tion in jury size as sacrificing protection of
the innocent in favor of convicting the What may be needed in this policy con
guilty. Conservatives view a retention of troversy is redefinition of the problem
the 12-person jury as sacrificing the need to away from “How many people should be
convict the guilty in favor of an undue sen present on a jury in criminal cases?” A
sitivity to protecting the innocent, whom more appropriate definition of the problem
Win-Win Equity | 21
in light of what the liberals and conser agreement among the jurors regarding
vatives are actually arguing over is “How what was said by a certain witness, a law
can we simultaneously increase the prob yer, or the judge. One juror who is espe
ability of convicting guilty defendants and cially domineering may say that the witness
increase the probability of acquitting inno said the defendant was seen at the scene of
cent defendants?” There is no inherent the crime at 8:00 a.m. Other jurors may
trade-off between these two goals. In fact, think it was 8:00 p.m. The disagreement
there may be no inherent trade-off between can be quickly and accurately resolved with
any two goals. By restating the problem, a videotape made by a camcorder that can
one’s attention is directed toward thinking be played back on any TV set with video-
about which procedural changes could playback capability. Otherwise, the win
better achieve both goals simultaneously ning perception is the one held by which
rather than thinking about what is the ideal ever jurors may have the most aggressive
compromise, middling position, or equi personalities. This could result in either an
librium between 12-person and 6-person error of acquitting a guilty person or an
juries. error of convicting an innocent person.
There are some procedural changes The second sense in which the cam
that could simultaneously increase goal corder videotaping is super-optimum is
achievement on both the liberal and con that it decreases costs and increases bene
servative goals. They all involve increasing fits simultaneously. It is substantially less
the general accuracy of juries and decreas expensive to videotape a jury trial than to
ing the general inaccuracy. One such proce pay a stenotypist to try to record verbatim
dural change would be to allow jurors to what was said at the trial. The camcorder
take notes. In most states, they are prohib can be operated by someone who can easily
ited from doing so. It is unclear why this be taught how to use it. The cost of each
prohibition was implemented. One plausi tape is nominal, and tapes can be reused.
ble explanation is that when the jury sys The benefits are substantially increased be
tem was begun in approximately the 1500s cause (a) there is instant replay, in contrast
in England, few people could read or write. to transcribed stenotype provided months
It may have been believed that if those few later; (b) there is accurate replay in contrast
jurors who could take notes were allowed to the extensively ad-libbed record that is
to do so, they would dominate jury deci made by court reporters; (c) one can see fa
sion making. Thus, a 12-person jury could cial expressions; (d) one can hear voice
in effect become a jury of 1 or 2 people who connotations; and (e) one can hear two or
made a written record of what the jurors more people talking at the same time,
perceived as having occurred. As of 1990, which tends to become gibberish or absent
virtually all jurors are capable of taking in stenotyping notes.
notes and should be allowed to do so. It In addition to note taking and videotap
would improve their accuracy in both ing, there are many other ways to increase
convicting the guilty and acquitting the general jury accuracy, including allowing
innocent. jurors to have access to a written copy of
Along related lines, an especially useful the judge’s instructions. This helps improve
innovation would be to provide for auto the interpretation of the law by juries, just
matic videotaping of jury trials and bench as note taking and videotaping improve
trials. This is a possible double SOS. It is their understanding of the facts. Most
super-optimum in the sense that it simulta states do not provide for written judicial
neously increases the accuracy of convict instructions. This also dates back to medi
ing the guilty and acquitting the innocent. eval times when relatively few people could
Often in jury deliberations, there is dis read. It was believed that those few who
could read the judge’s instructions would civil cases in which there is no contingency
dominate jury decision making, just as fee involved. The Legal Services Corpora
those few who could write notes would tion is not sufficiently funded to guarantee
also dominate. The contemporary reason counsel to indigent civil litigants. Thus, an
for the inertia in allowing juries to have indigent tenant who has been evicted or an
written instructions may relate to the fact indigent consumer who has had items re
that the instructions tend to favor safe possessed is going to have to settle for less
guards for the innocent. Legal decision than what such a litigant might be entitled
makers may be reluctant to do anything to if the litigant could go to trial. Such indi
that will further increase acquittals and de gent litigants, however, are not able to go
crease convictions. to trial because Legal Services lawyers do
Several other approaches to improve not have the financial resources to spend
general juror accuracy have been either time in trial, and the indigent litigants do
adopted in only a minority of states or not not have the financial resources to hire trial
adopted by any. Jurors should be allowed lawyers.
to submit questions to the judge, the law These matters are likely to result in a
yers, or even the witnesses indirectly higher conviction rate for the truly guilty
through the lawyers. This could clarify fac than switching from 12- to 6-person juries
tual and legal ambiguities that lead to would. They are also likely to do more for
wrong decisions. acquitting the truly innocent than retaining
A training course should be provided for the 12-person jury would. This is an exam
each juror that would last a full day before ple of redefining the problem in terms of
a juror is eligible to decide cases. The the goals rather than the alternatives.
course could clarify what is involved in
conducting a trial, jury deliberation, judi
cial instructions, various kinds of evidence,
Unemployment Policy:
and other matters. Jurors could be allowed
Minorities and the Elderly
to ask questions during the course. The
course could also have a test at the conclu
sion to determine whether each juror has a The conservative position is to follow
minimum level of understanding of what is the usual rule in layoffs that the last people
involved. hired should be the first people laid off
The ability to read and write or other ed or fired. This means no extra consider
ucational qualifications could improve the ation is given to minorities who may be
general accuracy of jurors. Such require disproportionately among those recently
ments, however, can be subject to abuse, hired (Table 3.6).
such as southern literacy tests for voting. The liberal position is to give some se
Even if the tests are objective, they could niority to recently hired minority people.
bias the composition of juries in favor of For example, each minority person hired
middle-class attitudes that favor the prose could be given a few years seniority on the
cution in criminal cases and the defendant grounds that minority people probably
in civil cases. Any measure designed to im should have been hired at least a few years
prove accuracy should not influence the di sooner than when they were actually hired.
rection or bias of jury outcomes. The neutral position might be to award
Jury accuracy can be improved by hav some automatic seniority, but maybe only
ing counsel on both sides. We now tend to one year rather than a few years. Another
guarantee counsel to indigent defendants neutral position might be to judge each
in criminal cases, but we do not adequately case individually in terms of the age of the
guarantee counsel to indigent litigants in employee and other relevant characteris
Win-Win Equity | 23
Table 3.6 EMPLOYMENT POLICY: MINORITIES AND THE ELDERLY
Goals
L2
C L1 (Ethnic and
(Business) (Labor Liberals) Gender Liberals)
Do something for
Merit hiring Senior minorities and
Alternatives and firing workers women
C (Business)
Ignore seniority, race, + – –
and gender
L1
a
Seniority only 0 + 0
L2
Preferential retention, – 0
+a
10-year seniority for
recently hired minorities
and women

Strict merit, no seniority
(C)
Upgrade skills (L1) ++ ++ ++
Seniority within a range
(L2)
Alternative jobs for the
displaced (N)

a. The feasibility of this is questionable in the absence of a contract or a statute requiring these criteria.
Otherwise, management decision making will tend to ignore its conception of merit hiring and firing.
tics in determining whether any additional for upgrading the skills of recently hired
seniority should be given. employees and other employees so they can
The SOS alternative might be to handle score higher on merit criteria.
layoffs only or mainly on the basis of merit Another modification might be to con
qualifications rather than seniority. Doing sider seniority among employees who are
so should appeal to the conservative em within the same merit range or to consider
phasis on merit. It would also allow some merit within a broadly defined seniority
recently hired minorities to have a better range. Thus, merit would determine who
chance at being retained than they would if gets laid off among all employees who have
only seniority were considered. The SOS less than 10 years seniority, 10 to 20 year
alternative might also include a program seniority, and so on.
CONCLUSIONS equity and high efficiency without necessar

ily expanding its resources. There is nothing
Regarding the problems presented in this wrong with trying to develop ways of ex
chapter, some general conclusions can be panding societal resources, however. Win-
made. A different way of presenting this win analysis also seeks ways to simulta
material is to present general principles of neously satisfy more than one kind of eq
equity and efficiency in the beginning and uity where they might otherwise conflict.
then present the problems as illustrative Equity and efficiency, however, usually
examples. Instead, general principles were do not conflict. If a society is not equitable,
presented in the beginning about win-win many people may lack adequate resources
policy. The problems were then presented or incentives to be efficient and productive.
as illustrative examples of those principles Likewise, if a society is efficiently produc
without first defining equity and efficiency. tive, it will produce more resources for sat
In light of its usage here and elsewhere, isfying equitable minimums.
the concept of equity can be defined as allo There is also generally no conflict in
cating things of value to people in such a having equity for one group (such as mi
way that no one receives less than a certain norities) and equity for another group
minimum needed as a human being. This (such as women or the elderly). Con
relates especially to allocating jobs and in flicting groups tend to be lifted simulta
come that buys food, shelter, clothing, med neously or lowered simultaneously, de
ical care, and education. The minimum var pending on the overall efficiency of the
ies over time and place depending on how society. Likewise, members of dominant
well off the average person is in society. groups may be dragged down by inequita
Anything left over after allocating these ble treatment of discriminated groups, to
minimums should generally be allocated in their mutual detriment.
such a way as to reward behavior that the Nevertheless, there are situations in
group or society considers socially desir which equity and efficiency conflict or in
able. Such behavior includes being useful which different equities conflict, as in the
to the group as an inventor, business per problems discussed previously. The tradi
son, government official, religious leader, tional ways of resolving these conflicts
or teacher or in another occupation. This have generally involved (a) seeking win-
tends to involve concepts of relative de lose alternatives that turn out to be lose-
mand and supply. lose or (b) seeking compromises in which
The second kind of equity tends to be all sides will happily emphasize how much
the same as societal efficiency. Efficiency in they won, but in reality they unhappily em
the abstract means obtaining significant phasize how much they lost.
output or benefit from a small amount of In such situations, win-win thinking
input or cost. It is simply the output/input might be able to provide a win-win solu
ratio or benefit/cost ratio. Following de tion. Win-win thinking means (a) having a
mand and supply tends to efficiently allo positive attitude that a win-win solution
cate a society’s resources or income, subject can be obtained; (b) having an awareness
to equitable restrictions designed to enable of previous win-win solutions and ideas;
people to have at least a minimum quality (c) using facilitators such as tabular visual
of life and public safety. aids, checklists, and decision-aiding soft
Given scarce resources, sometimes eq ware; and (d) applying these attitudes, this
uity and efficiency conflict, or equity for knowledge, and these tools to the values
one subgroup or group within a society and facts at hand. It is hoped that this chap
may conflict with equity for another sub ter will be a step toward more win-win
group or group. One object of win-win solutions to difficult and important equity
analysis is to enable a society to have high problems.
CHAPTER 4
Lose-Lose and
Win-Win Policies
S uper-malimum alternatives to public

policy problems are alternatives for
which all major sides achieve worse
results than their worst (malimum) expec
tations. These are lose-lose alternatives.
lars worth of American goods that it would
like to buy and the United States to lose out
on $1 billion dollars worth of Chinese
products that America would like to buy.
The United States also loses out on influ
Super-optimum alternatives to public pol encing Chinese political attitudes and on
icy problems are alternatives for which all decreasing tariff barriers throughout the
major sides come out better than their best world by setting a bad precedent that other
(optimum) expectations. These are win- countries may resort to—claiming that
win alternatives or solutions. they have rights to monopolize the produc
tion of certain products. This is the worst
kind of tariff barrier.
LOSE-LOSE ITEMS
3. Subsidizing farmers to cut back on
The following are 10 lose-lose policy items production negatively impacts food con
in the recent news: sumers and may also negatively impact
farmers by limiting their access to foreign
1. Democrats and Republicans have markets. Nonproductivity subsidies are
been competing to determine who can do the equivalent of a tariff because they en
the most cutting of spending, including cut able farmers to compete unfairly with for
ting spending that is relevant to long-term eign food producers not because they are
economic growth such as developing new more productive but because they are get
technologies (e.g., energy) and cutting spend ting a subsidy for being less productive.
ing in ways that actually increase spending This encourages other countries to do the
(such as cutting off people from foster care same thing, thereby negatively influencing
in favor of orphanages). See Table 4.1 for the main way of solving the farm income
lose-lose policies such as some of those problem.
mentioned here and elsewhere.
4. Raising interest rates negatively im
2. Retaliatory tariffs with China have pacts business profits, jobs, and wages and
caused China to lose out on $1 billion dol does not necessarily have any positive ef
25
Table 4.1 LOSE-LOSE POLICIES IN AMERICAN POLITICS
Conservative Goals Liberal Goals

That Are Affected That Are Affected
Lose-Lose Policies Negatively Negatively Improved Policies
Economic: Increased Decreased business Increased consumer Economic growth

interest rates profits prices and decreased
jobs
Social: Welfare Increased taxes and Decreased dignity Job facilitation

cutoffs decreased welfare
Technology: Decreased business Decreased clean Money for research,

Decreasing new profits and decreased environment with such rewards as
energy sources gross national royalties, government
product purchases, and Edison
prizes
Political: Drastic Increased recession Increased recession Economic growth

budget cuts amendment
Foreign: Retaliatory Increased free market More jobs and lower Use of tariffs to obtain
tariffs for piracy prices to consumers rights and to open
trade, with royalties to
inventors
Legal: No prison Increased taxes and Decreased rehabili- Decreased drug profits
dollars unless 85% preservation of state tation to reduce prison costs
of sentences fully rights
served
fects with regard to inflation, which seems down on sweatshops and providing alter
to be under control and better dealt with native jobs for the displaced labor and the
through economic growth than through displaced entrepreneurs. Sweatshop indus
raising interest rates. tries should be wiped out by lowering tex
tile tariffs and other relevant tariffs to en
able other countries that have cheaper
5. Allowing sweatshops in the United
labor and maybe even use more automa
States is contrary to good workplace condi
tion to service the American market.
tions, and they are contrary to business
profits, except in the short run. Even com
pared with other developed countries, the 6. The continuation of the war in Cam
cost of labor in the United States may be bodia by the Communists is an example of
higher than the cost of using machines, but a lose-lose war in which the Communists
short-sighted business people are unwilling seem to be greatly antagonizing the people,
to invest in machines because they must contrary to Maoist principles about win
spend money up-front. They are acting con ning over the peasants. Some of the irratio
trary to their own best interests and those nality is the responsibility of the United
of labor and the economy. Public policy is States for having supported the Khmer
partly responsible for this by not cracking Rouge in the 1980s when Vietnam was try
Lose-Lose and Win-Win Policies | 27
ing to bring peace to Cambodia. The gist, and performing certain abortions is a
United States supported the Communists legitimate part of that medical specialty.
because it disliked Vietnam even more, but
for reasons that had to do with being a bad 10. Another example that illustrates
loser and not because Vietnam was acting public policy that is more harmful than
more contrary to American interests. The helpful to the goals of both Democrats and
United States is now trading with Vietnam Republicans is the way immigration is be
but not with Cambodia, whose economy is ing handled. The Democrats push for more
largely in ruins, just slightly better than border guards, which is more a symbolic
that of Rwanda or Haiti’s economy during gesture than a measure that decreases im
the embargo. migration. A bizarre aspect of the increase
in guards is that the number of apprehen
7. Another lose-lose situation is the sions and the number of people being told
heavy emphasis on prisons as the answer to to walk back across the border have re
the crime problem. The crime rate has not cently increased greatly. This is taken as a
decreased even though the prison popula sign that the guards are doing a much
tion has tripled since approximately 1980. better job. In reality, it indicates that many
A lose-lose situation is one in which costs more people are getting past the guards be
increase and benefits decrease or remain cause virtually everyone who is sent back
constant. eventually gets through if they keep trying.
It is like the drug enforcement people argu
8. In the 1990s, Newt Gingrich took a ing that they are doing a good job because
stand against the National Aeronautics they confiscated $1 billion dollars worth of
and Space Administration (NASA), even drugs last year and only $1000 worth of
though it has significant potential to de drugs 20 years ago. If one recognizes that
velop space platforms that could be used they are only confiscating at most 50% of
for manufacture and mining and could the drugs (and maybe only 10%), then this
generate far more money than the future means that from $5 billion to $9 billion of
cost of NASA. The past cost is irrelevant to drugs have not been confiscated. One does
whether to proceed. It will be awhile before not judge how well crime is being con
space manufacturing, solar energy, and tained by how many arrests are being
moon mining will pay off. The Republican made. One judges it by how many people
opposition to NASA and the Democratic are being victimized. The police are not do
opposition to Department of Energy re ing a better job if they made 1 million ar
search both represent lose-lose shortsight rests last year and only 100,000 the year
edness, whereby we miss out on many po before.
tential benefits that would well exceed the
incremental costs.
WIN-WIN ITEMS
9. Rejecting a potential surgeon gen
eral because he has performed some abor We can easily think of 10 lose-lose situa
tions seems irrational when he has a good tions just on the basis of recent news. It is
track record on reducing teenage preg difficult to think of 10 win-win situations,
nancy through a combination of motiva however. Only 6 are listed here:
tion, abstinence, and birth control. It is ir
rational policy when one characteristic is 1. The line-item veto strengthen the
given so much importance, especially when president’s bargaining power because he
that characteristic involves doing nothing can threaten to veto certain items in return
illegal. The candidate is not a back-alley for favorable legislation, whereas before he
abortionist; he is an obstetrician-gynecolo had to veto whole bills, including clauses
that he favored. The line-item veto strength crack down on this in China? This could be
ens Congress because it enables the leader a win-solution in which the publishers and
ship to eliminate pork-barrel items after videotape makers receive large royalties
the leadership obtains the favorable votes and China profits by selling duplicate cop
of legislators who would otherwise not ies. The United States benefits from spread
vote favorably unless they get pork-barrel ing its culture. China benefits from what
items. The president could then veto those ever they learn from American books and
items, and the rest of the bill would pass. videotapes, although the videotapes might
From 1994 to 2000, the Democrats had an be more corrupting than enlightening. For
advantage because there was a Democratic now, the United States is demanding royal
president and a Republican Congress. The ties that are almost prohibitive, which is
Republicans have an advantage because the same as demanding an exclusive mo
the reverse situation may be more likely in nopoly. China has at least offered a win-
the future, as was true for many presi solution. Clinton and Gore proposed a
dential administrations since the end of win-solution with regard to revising the
World War II: Every Republican presi American patent system.
dent—Eisenhower, Nixon, Ford, Reagan,
and Bush—had some Democratic con 3. After Gingrich recommended wiping
gresses. This is likely to happen in the out NASA, there was a rendezvous be
future because a majority of the American tween Russian and U.S. spaceships. This
people still identify with the Democratic represented a breakthrough in building
Party, but Republicans can be elected presi commercially valuable space platforms
dent as individuals. According to public compared to some relatively useless mili
opinion, Eisenhower had a more attrac tary star wars weapons or a less useful tele
tive personality than Stevenson. Nixon scope. Both the United States and Russia
appeared more attractive in 1968 than could benefit from space platforms, and so
Humphrey and the disorganized Demo could the rest of the world.
crats. Also, Nixon was more attractive
than McGovern in 1972. Reagan was more 4. During the 1990s, the Russians with
attractive than Carter and Bush more drew from the 15 former republics, which
atttractive than Dukakis. See Table 4.2 for are now independent countries. Granting
win-win policies, including some of those independence to those nations is a win-win
mentioned here. solution. Russia saves a large amount of
money by not fighting to retain them as col
2. Another win-situation is that in onies. The people of these colonies feel
which China offered to pay royalties on better about themselves because they be
U.S. videotapes, books, and other products long to independent, sovereign nations.
but was not willing to recognize any mo England and France have not regretted
nopoly rights. This seems a very reasonable granting independence to their colonies
solution. They would be paying royalties from about 1945 to 1970. The last major
on all reproductions and government fac French colony to obtain its independence
tories. They do not have much control over was Vietnam, and the last major British
amateur reproductions, but neither does colony before Hong Kong was British Guy
the United States. There is much amateur ana. Before that, India and Pakistan gained
copying of books and reproducing of soft independence from Britain, and Algeria
ware that the U.S. government does not and Northern Africa gained independence
crack down on in the United States; there from France. Russia is about 25 years be
fore, why should China be expected to hind. It was very far behind Western Eu
Lose-Lose and Win-Win Policies | 29
Table 4.2 WIN-WIN POLICIES IN AMERICAN POLITICS
Conservative Goals Liberal Goals

That Are Affected That Are Affected
Win-Win Policies Positively Positively Improved Policies
Economic: Increased Decreased taxes and Decreased consumer Vouchers, discount

HMOs increased quality costs and increased groups, and no pre-
access conditions
Social: Increased Increased workfare Increased individual Training vouchers,

training and increased gross income deductions, IRAs,
national product on-the-job training
Technology: Space Increased business Increased jobs Drugs, metals, solar

rendezvous income and decreased power, helium fusion,
business expense satellites
Political: Line-item Republican president Democratic president Line-item veto, but

vetoa in the future; presi at present; delete pork 60% override
dent cannot veto and preserve good
whole bill; preserva parts; increased
tion of congressional presidential power
power
Foreign: Russian Decreased taxes for Increased lives saved Geographical ethnic
withdrawal from defense as a result of peace secession and
former republics independence for
former colonies
Legal: Tort reform Increased business Compensation to Accident reduction and

without litigation or profits and decreased injured person insurance processing
lawyers taxes
a. As of 2000, the line-item veto issue is dead because the Supreme Court has declared the essence of the
idea to be contrary to the powers of the president and Congress.
rope in adopting democracy, and it is now 5. A win-win solution to reduce terror

trying to catch up on abolishing imperial ism must deal with the causes of it. Much of
ism and colonialism. It is ironic that Russia the current terrorism has some anticolonial
is the last major imperialistic country in the resistance elements. The leading terrorists
world, yet it did much complaining about tend to be Arab. One can make the point
capitalist imperialism. Current capitalist that Russia is not the last imperialist coun
imperialism seems to be highly welcomed try. There has been much imperialism in
throughout much of the world, although the Middle East on the part of the United
the word imperialism is not the correct States, Britain, France, and Israel. It is not
term. The right term is international trade so much legalistic imperialism in the sense
and investment. of converting countries over to official col
onies; instead, it consists of manipulating SUMMARY

their governments to get more favorable
concessions concerning oil. This has been We frequently divide public policy into
occurring since the end of World War II economic, social, technology, political, in
with regard to Iraq, Iran, Saudi Arabia, and ternational, and legal policy. Tables 4.1
Libya. and 4.2 do so by giving lose-lose and win-
win examples. The following summary,
6. The United States in particular has which relates to the tables, does so also:
sought to keep friendly but reactionary
governments in power and to overthrow
unfriendly socialistic governments. This is 1. Regarding economics, an example of a
not just due to the Cold War, although this lose-lose situation is raising interest rates.
accentuated the problem. The United An example of a win-win situation is
States is interested in oil, as demonstrated the health management organization ar
by the Persian Gulf War. This war had rangement as a replacement for Medicare
nothing to do with the United States versus and Medicaid.
Russia. It was the United States versus 2. Regarding social issues, the Republican
Middle Eastern countries that want more welfare reform emphasizing cutoffs with
independence to do what they want to do, out job facilitation may be an example of
even if it means being run by fundamental a lose-lose situation. A win-win policy
ist Moslems (as in Iran) or Arab socialists might be training, including national ser
(as in Iraq, Syria, and Libya). The terrorists vice, vouchers, and college attendance.
involved with the 1993 bombing of the
World Trade Center buildings in New York 3. Regarding technology policy, a lose-lose
City are supportive of Hamas, Hezbollah, situation would be failure to develop al
Iran, and fundamentalists in Algeria. Some ternative energy sources. A win-win situ
of the causes of terrorism are being elimi ation might be the spaceship rendezvous.
nated. For example, the possibility of in
dependence for Palestine has largely elimi 4. Regarding domestic politics, the required
nated Palestine Liberation Organization balanced budget could be a lose-lose situ
(PLO) terrorism, but there is still funda ation in comparison to economic growth
mentalist Moslem terrorism directed against if the amendment affects economic growth.
Israel, the PLO, and the United States, as in A win-win situation might be the line-
the World Trade Center bombing. If inde item veto, in which both the Republicans
pendence is granted, the countries that and the Democrats can find benefits.
have been the victims of terrorism (includ 5. Regarding foreign policy, retaliatory tar
ing the United States) will be less victim iffs with China are a lose-lose situation. A
ized. The Palestinians will also be better off win-win situation is the Russian with
running their own government, even if in drawal from the former republics.
the short run there are many transition
problems. This is the usual situation after a 6. Regarding legal policy, a lose-lose situa
revolution or independence, including that tion is an emphasis on prison, including
in the United States in 1783. In time, these the 85% rule and the three-strikes rule. A
countries develop more viable economies win-win situation could be the ideal of
and political states capable of exporting, super-optimizing solution tort reform,
importing, and being meaningful members which emphasizes accident reduction and
of the United Nations. insurance processing.
CHAPTER 5
Graphic Approaches to
Understanding Super-Optimizing
T his chapter attempts to classify

super-optimizing or win-win anal
ysis into three different graphic or
geometric models. Doing so serves the fol
lowing purposes:
related approaches to learning to their
mutual benefit.
8. This may help facilitate the development
of a user-friendly interactive computer
program for super-optimizing that would
be compatible with the Windows operat
1. Many people understand simple graphs ing system.
and notes better than verbose jargon or
unnecessary mathematics. The chapter deals with super-optimum
2. These graphs can generate new insights solutions (SOSs) using (a) bar or line
for improving the general methodology. graphs, (b) trade-off or indifference curves,
and (c) pie charts or circles. All three ap
3. The graphs can facilitate more applica proaches help in understanding the con
tions. cepts of conservative best expectation
4. The graphs lend themselves to developing (CBE), liberal best expectation (LBE), tra
useful conceptual theory, such as ways of ditional compromise, attempted total vic
classifying and generating goals, alterna tory, SOS, and other relevant concepts.
tives, relations, and conclusions.
5. The graphs lend themselves to developing
useful simple equations, such as those as BAR OR LINE GRAPHS
sociated with pie charts.
Bar graphs are shown in Figure 5.1. There
6. Graphs have interdisciplinary appeal to can be a liberal perspective and a conserva
economists and other scientists who tend tive perspective. For each perspective,
to be more quantitative or more con there is a vertical scale that measures bene
cerned with analytic geometry than are fits minus costs. The horizontal scale
political scientists. shows the different types of solutions:
7. This may help associate super-optimizing
with game theory, operations research, 1. The SOS is highest for both liberals and
management science, decision theory, and conservatives.
31
Figure 5.1. A bar graph approach. Note that all variables are relative, which means that the graphs
accurately portray the concepts as long as (a) A > B > C > D; (b) E > F > G > H; (c) A, B, C, E, F, and G
are positive; and (d) D and H are negative.
2. The LBE and CBE are lower. than the ATV score. We could make a line
graph by connecting the tops of the bars in
3. The expected value of either a settlement
the conservative graph and those in the lib
or going to trial, striking, or going to
eral graph.
war is shown on the compromise bar.
Normally, settlement is best.
4. The worst bar is the bar that can be la TRADE-OFF OR
beled “trial, strike, war” or another ac INDIFFERENCE CURVES
tion designed to destroy the other side. All
these activities have in common the idea Another graphic perspective derives from
of attempted total victory (ATV). the economics of indifference curves, as
shown in Figure 5.2. We can place benefits
The zero mark need not be shown. We are on one axis and costs on the other. We then
concerned with the relative heights or the have indifference curves, which demon
rank orders of the bars. The ATV could strate the trade-off idea. We can better
produce a negative benefit minus cost place the benefits minus costs of the liber
score. Even the compromise could produce als on one side and the benefits minus costs
a score that is negative but less negative of the conservatives on the other side. Then
Graphic Approaches to Super-Optimizing | 33
Figure 5.2. Trade-off curves. Any point on the SOS curve, such as G, gives liberals more than their
LBE (D) on Curve D-E and simultaneously gives conservatives more than their CBE (E) on Curve D
E. This set of curves indicates why Bob Haveman said, “Go northeast, young man” in his article titled
“The Big Tradeoff: Fundamental Law on Red Herring,” S. Nagel, ed., Public Budgeting and Finan
cial Management (symposium issue) (1992).
we can draw another indifference curve, tion at which the liberals get something
which indicates when the liberals do well and the conservatives get something. It is
and the conservatives do poorly and also important to note the trade-off nature of
when the liberals do poorly and the conser movement along the curve. Whenever the
vatives do well. conservatives get more, the liberals get
Any point on the curve represents a less. Whenever the liberals get more, the
compromise, except the extreme points: conservatives get less.
4. Points H and I correspond to the ATV bar
1. At Point D, the liberals do the absolute for liberals and the ATV bar for conserva
best in that they score extremely high and tives in Figure 5.1, respectively. Both sides
the conservatives score zero. are likely to come out in the negative, al
2. At Point E, the conservatives do extremely though not necessarily equally so.
well, and the liberals wind up with noth 5. The SOS points are anywhere on the
ing. curve labeled G. We are thus moving to a
3. Point F is anywhere along the curve be different curve. As we do so, there is still a
tween D and E. It is the compromise posi trade-off on each curve, but it is irrelevant
because the SOS curve results in liberals loss, which is typically true. If an ATV situ
and conservatives both doing better. We ation is a war, both sides are likely to have
do not need multiple SOS curves to show more costs than benefits. Likewise, if there
this. It is sufficient to consider any curve is a strike, the workers lose wages, maybe
that is substantially above the original for months. Management loses profits for
curve. In a way, this is like adding a third months. Both sides thus take large losses
dimension or at least adding a second di that they may never make up. Also, in go
mension. The first curve allows only for ing to trial, the litigation costs may be so
movement along a single dimension, high that it does not make any difference
namely, a line or a curve. The second who is awarded the judgment. Both sides
curve allows for aboveness, which is an are likely to be losers when the costs are
important concept in SOSs. Note that if subtracted from the benefits. In some cases,
we move up to curve G, then it is possible one side might make a profit. These curves
to find a point at which both the liberals are not designed to cover every possible sit
and the conservatives will be better off uation but, rather, just the typical situa
than they were with regard to the previ tions.
ous compromise.
We want to reach a point at which they PIE CHARTS OR CIRCLES

will both achieve results that are better
than their best expectations (Points D and As is the case for other geometric shapes,
E). At Point G, both the liberals and conser we can show what is occurring using a pie
vatives are better off than they were at the chart (Figure 5.3). This can be especially
previous compromise of Point F. We could relevant for allocation problems, for which
put numbers on the scale to state how separate pie charts for each type of solution
much better off. With the previous curve, are necessary. We could also create tradi
any movement would be an improvement tional pie charts. The first involves the lib
for only one side. The new compromise of erals getting nearly all the pie and maybe
Point G is much better for the liberals than saving a sliver for the conservatives. At the
Point D, which was the outermost extreme. other extreme, the conservatives get nearly
Point G is also much better for conserva all the pie, and liberals get a sliver. The first
tives than Point E, which was the outer case is similar to solution D, and the second
most extreme. In other words, Point G is one is similar to solution E. The third is the
not just better than Point F as a compro compromise solution F in which they each
mise in the sense of being an improvement get about half a pie.
for liberals and an improvement for con With the pie chart perspective, each side
servatives, but it also outdistances the best receives about 1.57 square inches of the pie
expectations of both sides. in a compromise. That is not sufficient for
We still have not shown the severity of an SOS, in which each side should recieve
ATV. We need to indicate on the bar graph more than 3.14 square inches. Note that in
that the zero point is normally above the the pie chart, there is a 1-inch radius. With
ATV. We can show the last bar as hanging a 1-inch radius, the area is 3.14 square
upside-down to indicate that it is falling be inches because A = (3.14)(r2) and A =
low zero. To show this, we need some new (3.14)(12), which equals 3.14. With a com
letters, such as H and I. H is the liberal ATV promise, each side receives about half that,
below zero, and I is the conservative ATV or 1.57 square inches.
below zero. All the curves can be parallel. We need to improve on the LBE and the
The curve labeled H,I, just like in the bar CBE. Thus, we need a pie that will give
graph, implies that in the ATV situation the both the liberals and the conservatives
liberals and the conservatives take a net more than 3.14 square inches. This is a sim
Figure 5.3. Pie charts. Figure 5.3B shows that a 41% increase in the pie will enable each side to get
more pie when they have only half (50%) of the new, expanded pie than when they had all (100%) of
the old pie. Figure 5.3C shows that fighting each other (rather than win-win cooperating) would
result in the winners of all the reduced pie getting less than what they would have had with half of the
original pie.
ple algebra problem. We want to know In the expanded pie situation, both the
what the new radius must be. We need a pie liberals and the conservatives receive more
that has a radius of more than 1.41 inches. than what they could get if they had each
We will then have a super-optimum pie be received the whole small pie. Of interest is
cause 2A = 6.28 = (3.14)(2). Thus, if r2 = 2, that one does not have to expand the pie
what does r equal? The answer is deter very much to create an SOS. At first, one
mined by taking the square root of 2, which might think that one has to have a major
is 1.41. expansion to be able to give each side more
People like pie charts because they can than they could get if they were previously
relate to the notion of expanded pie analy getting everything. One does not need such
sis. In China, however, they do not eat pies, a major expansion, however. All that is
so one must call it an expanded cake analy needed is a 1.41 increase in the radius. This
sis. For creating pie charts, it is not very dif is just as true if the original pie had a tril
ficult to use a compass to draw small and lion-inch radius. Increasing the trillion-
large pies. inch radius by 1.41 would give everybody
more than they previously had even if they sorting to war, strikes, and trials can be.
had the whole 3.14 trillion square inches. One may wind up with the whole pie after
The general principle is that no matter how the smoke clears, but the whole pie is half
large the original pie, if liberals get all of it or less of what used to exist. Even if one has
or if conservatives get all of it, then one the whole pie, one has less than what one
simply has to increase the radius of the pie used to have when one shared the whole pie
by 1.41. Then, the liberals who were for with the other side. For people who like
merly trying to get all of the pie will now graphs and pictures, these graphs and
get even more, and the conservatives who charts are indeed communicative, and they
were formerly trying to get all of the pie are complemented by the spreadsheet ma
will simultaneously get even more. This trices or tables associated with the SOS
can be proven with elementary school decision-aiding software.
arithmetic regarding areas of circles, even One could object that this analysis may
though at first it seems contrary to intuitive apply to the arithmetic or geometry of cir
thinking. cles but not to real public policy. In reality,
What does the ATV look like in the pie expanded pie analysis applies even more to
chart? Pie charts do not lend themselves to real public policy for the simple reason that
showing negative returns. If someone gets the area of a circle is controlled by two con
a negative allocation, there is no way of stants (pi and the exponent 2) and just one
showing this with a pie chart. We can variable (the radius r). The real world is
show negatives with bar graphs, trade-off likely to involve fewer constants or none,
curves, and SOS triangles as follows: although there may be more variables. Var
iables, however, are by definition easier to
1. Any bar that decreases below the 0 hori manipulate, possibly even by public policy.
zontal axis shows a negative return. The more relevant real-world pie is the
2. Any point in a system of indifference gross national product (GNP). The equa
curves that is to the left of 0 on the hori tion for GNP growth is simply GNP2 =
zontal axis or below 0 on the vertical axis GNP1(1 + r)n, where GNP2 is the GNP at
shows a negative return. Time 2 or any time after one or more public
policies have been adopted; GNP1 is the ini
3. Any point below the floor of the triangle tial GNP; r is the annual growth rate,
shows a negative return. which is subject to influence; and n is the
4. There seems to be no way of showing a number of years that must pass to obtain a
negative return with a pie chart, however. desired GNP2 with a given GNP1 at vari
The lowest one can get is 0, which in ous growth rates.
volves showing no sliver at all, as con Specifically, if the rate is slightly more
trasted to a negative sliver. than .06 or 6% per year, and the time peri
od is slightly more than 8 years, then the
Figure 5.3C indicates the ATV, which current U.S. GNP of approximately $6 tril
has two subparts (before and after). The af lion could double to $12 trillion. In terms
ter subpart refers to after a war, a strike, or of the arithmetic, this means that (1.06)8 is
going to trial. The total resources of the approximately 2. In terms of productivity,
liberal and conservative sides are reduced this translates into a growth rate half that
to about half, and each side takes a loss. of China, and China has little investment
They now have only a 1/2-inch radius pie capital available after feeding, clothing,
between them. Thus, even if the liberals and sheltering 1.3 billion people.
were the winners and wind up with the In terms of practicality, the equation
whole pie in the after period, they have less must also allow for just one two-term pres
than they had before when they had to idency plus a year or two of momentum.
share the pie. This dramatizes how bad re This is so because (1.06)9 or (1.06)10 = 2, or
the doubling factor. The equation also re programs and new technologies for pro
quires reinvesting the growth to obtain the moting more growth as well as other
equivalent of interest on interest or com programs, such as those concerned with
pounded growth. health, housing, transportation, communi
Doubling the real GNP would provide cations, and defense. This is a real win-win
$6 trillion in the last year to pay off all the or SOS for more than satisfying both con
current $5 trillion national debt. It would servative and liberal budget categories.
leave $1 trillion for investment in training
Part 2
WIN-WIN
EXAMPLES
CHAPTER 6
Preventing Sexual
Harassment While
Preserving Academic Freedom
A Win-Win Analysis
Thomas R. Dye
Florida State University
S exual harassment cannot be toler

ated, especially in academic life. Sex
ual harassment corrupts the very pur
pose of a university—the advancement of
learning. It is professionally unethical and
CONCERNS ABOUT
ACADEMIC FREEDOM
The National Association of Scholars

(NAS) has expressed its concern that many
morally wrong.1 universities have failed to adequately pro
The prevention of sexual harassment on tect students, faculty, and staff from sexual
the campus requires a clear and precise def harassment by enacting vague, ambiguous,
inition of the specific behavior that violates and imprecise policies and regulations and
the rights of others—a definition that ev using language that engenders confusion,
eryone can understand. To be effective, resentment, and injustice. The NAS is fear
sexual harassment prohibitions must con ful that vague definitions of sexual har
form to the rule of law; they must not de assment are undermining academic free
pend on personal perceptions, subjective dom, suppressing the free expression of
interpretations, or individual thoughts or opinions and attitudes, and inhibiting
feelings. Sexual harassment must be dealt teaching and research on sensitive but im
with promptly and firmly, with due process portant topics. Also, the NAS worries that
of law and respect for the dignity and rights the failure to provide due process in sex
of all. Most important, sexual harassment ual harassment cases encourages frivolous,
prohibitions must not be subverted or mis self-serving, and vindictive charges. The re
used to undermine academic freedom. sult is to needlessly bring antiharassment
41
42 | Win-Win Examples
policy into conflict with academic free havior of the alleged harasser but on how
dom—a result that will eventually “dimin one perceived that behavior.
ish the opprobrium that rightly attaches to 4. Charges of sexual harassment are some
sexual harassment.” times entertained long after the alleged of
In a statement of the NAS titled “Sexual fense, when the memories of the parties
Harassment and Academic Freedom” have faded, their motives have altered,
(www.nas.org), the following concerns are and evidence has been lost.
expressed:
5. Midlevel administrators with meager aca
demic experience but a strong commit
Sexual harassment is always contemptible. ment to fashionable causes are frequently
Because it also subverts education, it is par accorded a major role in drawing up ha
ticularly damaging in an academic setting. rassment regulations, interpreting them,
. . . Such behavior constitutes a serious viola counseling complainants, investigating
tion of an educator’s responsibilities and is charges, administering hearings, and de
morally wrong. It cannot be tolerated. termining guilt and penalties. Sometimes,
However, academic freedom and the one and the same person performs all
rights of individuals can be—and have these functions and also encourages stu
been—violated by misguided efforts to com dents and others to make harassment
bat sexual harassment. Too many institu charges. This leads to violations of aca
tions have adopted vague definitions of ha demic due process.
rassment that may all too easily be applied to
attitudes or even to a scholar’s professional 6. Investigation of alleged sexual harass
views. ment can provide a pretext for engaging
in the ideological persecution of persons
whose views are out of favor.2
Specifically,
1. The criteria for identifying “harassment” SEXUAL HARASSMENT

are often nebulous, allowing for expan DEFINITIONS AT FLORIDA
sive interpretations of its meaning. UNIVERSITIES
2. When definitions of sexual harass
A review of the sexual harassment policy
ment are expanded to include opinions
statements of Florida’s public universities
and attitudes, academic freedom is vio
reveals that the concerns of the NAS are
lated. Such definitions have already sig
well-founded. Some universities have pub
nificantly inhibited discussion inside
lished statements largely in conformity
and outside the classroom. Ambiguous
with clear, lawful definitions of sexual ha
phrases such as “callous insensitivity to
rassment derived from federal civil rights
the experience of women” have inspired
statutes and court interpretations thereof,
complaints against professors accused of
whereas other universities have published
slighting gender-based literary analysis or
statements that seriously jeopardize aca
who have discussed theories and findings,
demic freedom.
such as Freud’s, that run counter to the
Consider, for example, the dangers to
prevailing consensus about sexual differ
students and faculty inherent in the follow
ences.
ing sexual harassment definition offered in
3. Some definitions of sexual harassment a policy statement by a state university in
embrace a wholly subjective test of its oc Florida:3
currence—for example, the complaint of
having been made to “feel uncomfort Any gesture or remark of a sexual nature
able.” Proof relies not on the objective be that makes you feel uncomfortable, threat
Preventing Sexual Harassment | 43
ened, intimidated, or pressured may be a GUIDANCE IN DEFINING

sign that you are experiencing sexual harass SEXUAL HARASSMENT
ment. Trust your instincts.
Your classmates or colleagues may make Federal civil rights law, as well as U.S. Su
your work, study, or living environment un preme Court interpretations of it, provide
comfortable through continued sexual com guidance to universities in the development
ments, suggestions, or pressures. It may in of sexual harassment definitions and pro
clude . . . leering at a person’s body, hibitions. Title VII of the Civil Rights Act
whistling, catcalls or sexual remarks or of 1964 makes it “an unlawful employ
jokes. ment practice . . . to discriminate against
any individual with respect to his [sic] com
Another university policy statement pensation, terms, conditions, or privileges
provides examples of “what constitutes of employment because of such individ
sexual harassment,” including ual’s race, color, religion, sex, or national
origin” (42 USC 2000e). In the employ
unsolicited familiarity, personal, or intimate ment context, the U.S. Supreme Court ap
remarks that may fall short of sexual inqui proved the following definition of sexual
ries. . . . Remarks that degrade another per harassment in Meritor Savings Bank v. Vin
son or group on the basis of gender. . . . Sexist son, 477 US 57 (1986):
remarks regarding a person’s clothing or in
tellectual capacity. . . . Sexual visuals such as Unwelcome sexual advances, requests for
pin-up calendars, cartoons, posters, etc. . . . sexual favors, and other verbal or physical
Explicit body language, leering, looking the conduct of a sexual nature constitute sexual
person up and down, ogling. harassment when (a) submission to such
conduct is made either explicitly or implic
At another university, “examples of sex itly a term or condition of an individual’s
ual harassment” include “inappropriate employment, (b) submission to or rejection
communications, notes, letters, or other of such conduct by an individual, or (c) such
written materials. . . . Remarks about a per conduct has the purpose or effect of unrea
son’s clothing. . . . Suggestive or insulting sonably interfering with an individual’s
sounds.” work performance or creating an intimidat
Yet another university asserts in its fac ing, hostile, or offensive working environ
ulty handbook that sexual harassment in ment.
cludes “leering at or ogling of a person’s
body. . . . Innuendo attempts to embarrass. The Court determined that the language
. . . Nonsexual slurs about one’s gender, of this statute “is not limited to economic
contrived work or study assignments . . . or tangible discrimination.” The “condi
Gestures and other symbolic conduct.” tions or privileges of employment includes
Statements such as these place everyone requiring people to work in a discrimina
on campus—faculty, students, and staff— tory, hostile, or abusive environment.”
at risk of official disciplinary action based Moreover, when the workplace is “perme
on idle comments, friendly banter, and ated with discriminatory intimidation, rid
overheard conversations on the campus as icule, and insult sufficiently severe and per
well as classroom lectures, discussions, vasive to alter the condition of the victim’s
readings, and assignments. Real protection employment and create an abusive work
against sexual harassment requires a clear ing environment,” then Title VII is vio
understanding by everyone in the univer lated, as quoted in Los Angeles Depart
sity community about what really consti ment of Water and Power v. Manhart, 435
tutes sexual harassment. US 702 (1978).
The Supreme Court, however, was care campus, and in the community on sensitive
ful to note that “a mere utterance of an epi topics, including human sexuality, race and
thet that engenders offensive feelings” is gender differences, sexual roles, racial and
not sexual harassment. Sexual harassment gender history and politics, and related im
must be “conduct severe and pervasive portant and legitimate subjects. Teachings
enough” to convince a “reasonable per and research on such topics must not be
son“ that the environment is “objectively” constrained by the threat that the views
hostile and abusive. The Court has specifi expressed will be labeled “insensitive,”
cally rejected definitions of sexual harass “uncomfortable,” or “incorrect.” Faculty
ment that depend exclusively on the subjec must feel free to provide their best aca
tive feelings of the complainant. Moreover, demic and professional advice to students,
a reasonable person must objectively find collectively and individually, without fear
the environment hostile and abusive (Har that their comments will be officially la
ris v. Forklift System, 1993). Writing for beled as “offensive” or “unwelcome.” Stu
the opinion of the Court, Justice Sandra dents must feel free to express themselves
Day O’Conner held that sexual harassment on matters of race and gender, whether or
“can be determined only by looking at all not their ideas are biased, ill-formed, im
of the circumstances,” including “the fre mature, or crudely expressed.
quency of the discriminatory conduct; its It must be recognized that the creation
severity; whether it is physically threaten of a hostile, intimidating, or abusive aca
ing or humiliating, or a mere offensive ut demic environment—an environment that
terance.” interferes with a reasonable person’s ability
Although these Court guidelines were to learn—is also unprofessional and illegal.
developed for the workplace, they are use Universities, however, have a special re
ful in thinking about sexual harassment in sponsibility to define sexual harassment in
an academic setting. this context in a way that does not infringe
on academic freedom and that does not
constrain research or teaching.
PROTECTING The test for sexual harassment that cre
ACADEMIC FREEDOM ates a “hostile environment for learning”
must be (a) whether it is severe and perva
The faculty-student relationship is the cen sive enough to (b) convince a reasonable
terpiece of the academic function; if it is member of the academic community that
compromised or corrupted, the very pur (c) the environment is objectively hostile.
pose of the university is undermined. The “Severe and pervasive” means that the uni
explicit or implicit conditioning of grades, versity must examine the context—that is,
evaluations, recommendations, or aca the “totally of circumstances”—surround
demic standing on romantic attachment or ing the alleged harassing conduct; the uni
sexual submission is morally contemptible, versity must consider the frequency and the
professionally unethical, and legally inde severity of the conduct. A single offensive
fensible. Faculty members must exercise epithet, off-color remark, or ill-chosen ex
great care in their personal relationships ample does not constitute a hostile envi
with students enrolled in their classes, ronment. Moreover, the conduct must be
working as their graduate or undergradu such that reasonable members of the aca
ate assistants, or dependent on their evalu demic community—faculty and students—
ations and recommendations. must be convinced that it creates a hostile
It is vitally important, however, that sex environment. This definition must not rest
ual harassment prohibitions not infringe on the complainant alone or even an unrep
on the freedom of faculty and students to resentative, interested group of faculty
express themselves in the classroom, on the or students. Finally, the conduct must be
Preventing Sexual Harassment | 45
objectively defined; it cannot rest on any If, after investigation and consultation,
one’s subjective feelings of offense or dis university officials are convinced that
comfort. probable cause exists to believe that ha
Admittedly, these tests lack specificity, rassment occurred and a specific defendant
and they encompass speech (verbal con is identified, then they should promptly
duct) and action. They provide consider provide written notification of a hearing
ably more guidance, however, than the before disinterested members of the univer
published standards at most of Florida’s sity community. Such a hearing must not be
public universities. conducted by the same officials who coun
seled complainants, investigated the
charges, or called for the hearing. The hear
PROVIDING DUE PROCESS ing must be conducted with full adminis
trative due process; the burden of proving
Because of the potential clash between aca by weight of evidence that sexual harass
demic freedom and the prevention of sex ment occurred rests on the university; and
ual harassment, it is particularly important the defendant must have the right to have
that complaints be dealt with promptly and counsel present, to confront complainants,
fairly. That is, because the “hostile envi and to present testimony and evidence on
ronment” definition of sexual harassment his or her own behalf.
encompasses expression, we must ensure Disciplinary actions by the university
that due process be followed in the han should be in conformity with the recom
dling of complaints that focus on speech, mendations of hearing officers, who
writings, lectures, readings, or assign should consider not only whether the de
ments. Complaints must be brought within fendant engaged in harassing conduct but
a reasonable period of time following the also, if so, the severity and pervasiveness of
alleged harassing conduct. University offi the conduct and how much it affected the
cials charged with the investigation of com learning environment. Disciplinary actions
plaints must provide prompt written notice must be taken only against guilty defen
to alleged offenders, providing a full ac dants individually and not collectively
count of the conduct giving rise to the against academic departments or groups of
charges; permit them to inspect and copy faculty or students. Disciplinary actions
all documents relating to the charges; and must not include sanctions designed to co
provide them with a fair opportunity to erce thought or belief, humiliate individu
demonstrate that there is no probable als, or subject them to compulsive counsel
cause to believe that harassment occurred. ing or training programs.
In this preliminary investigation, uni
versity officials should undertake consul
tations with the complainants, the alleged PRESERVING ACADEMIC
offenders, and other relevant parties to de FREEDOM AND PREVENTING
termine whether there is reasonable cause SEXUAL HARASSMENT
to believe that harassment occurred or, al
ternatively, whether the charges stem from University communities should act now to
miscommunication or misunderstanding ensure that the prevention of sexual har
of the definition of sexual harassment. assment does not become the enemy of
They should also determine whether the academic freedom. Both values will be
charges can be resolved by agreement diminished or lost altogether if sexual har
among the parties. This investigative and assment prohibitions are allowed to in
consultative phase of the process should be fringe on free and open discussion, scholar
carried out with due regard for the dignity ship, and research on our campuses. The
of all individuals involved. potential for unnecessary conflict, and the
resulting diminution of both values, is 2. These six points are from a statement by
clearly evident in the published policy the National Association of Scholars, 575 Ew
statements of our universities. Now is the ing Street, Princeton, NJ 08540 (phone: 609
time to review definitions and procedures 683-7878).
3. The quotations in the following para
in sexual harassment prevention at all of
graphs are from published statements of univer
our universities to prevent such a conflict sities in the State University System of Florida.
from arising.4 Attribution to specific universities has been de
leted to avoid institutional embarrassment.
4. The preceding analysis emphasizes verbal
activities that allegedly create a sexually hostile
NOTES environment. An example is the questionable
hostile sexual environment charges against a fi
1. Much of the analysis that follows may nancial whistleblower at the University of Illi
also be applicable to the concept of ethnic ha nois Medical School. The analysis is not meant
rassment or to its alleged occurrence. Such an al to apply to the substance of charges of assault or
legation was made of a professor at the Univer rape, as allegedly occurred between a psychol
sity of Illinois for saying that some people ogy professor and a student at the University of
advocate equalizing law school admissions by Illinois. The analysis is also not meant to apply
asking questions about soul food. The Uni to the substance of the charges of intimidation
versity of Illinois is currently under a federal in or threats of job retention for sexual favors, as
junction prohibiting continued punitive action allegedly occurred at the University of Illinois in
in such circumstances. its fund-raising foundation.
CHAPTER 7
Two Super-Optimum
Solutions in a Cutback Mode
Robert Golembiewski
University of Georgia
T his chapter reviews two ap

proaches toward achieving super-
optimum solutions under the du
ress of organizational downsizing. The
first focus is on demotions as an alternative
tion to that form of resolution whereby
participants—who are potential combat-
ants—all “come out ahead of their initial
best expectations.” Generically, super-
optimum solutions can involve
tool in adverse personnel actions. Several
applications of the underlying demotion 1. Achieving some goal objectively beyond
design have been made in the cases of em that considered the best attainable
ployees who were satisfactory performers,
and their goals include increasing individ 2. Resolving policy disputes involving ap
ual mastery in community settings, recog parently intractable positions in opposi
nizing past service, and retaining valuable tion (e.g., liberal and conservative goals
human resources. The second focus has and priorities)
more macrofeatures and describes a collec 3. Resolving adjudicative or rule-applying
tive response of a field unit to a corporate controversies
demand for substantial emergency savings
4. Enabling all sides in a controversy to add
on an authorized budget.
substantially to the values received from a
solution
THE CONTEXT Terms such as “super-optimum solu

tions” should be used sparingly and always
Various forms of the alternative resolution carefully. Here, the usage does not just de
of problems have appeared in recent years, note a solution that is arguably “better”
and Nagel adds to them the fertile notion of than a body of experience would lead one
super-optimum solutions. His focus is on to expect. This analysis adds the require
public controversies, and he urges atten ment that qualifying solutions must rest on
EDITOR’S NOTE: This chapter is adapted from the Symposium on Super-Optimum Solutions in Public Contro
versies in Public Budgeting and Financial Management 4 (1992): 198-285. See the original article for footnotes
and references.
47
a theoretic base of general applicability decades ago. Just a bit more time would
that helps solve relatively targeted prob suit them just fine.
lems without creating other and less tracta A reluctant management agreed to delay
ble problems. the plant closing in real appreciation for
The purpose here is to expand on the past good works in trying circumstances.
super-optimum solution genre. Policy dis Management also realized a demonstra
putes are not at issue. The focus is on alter tion of reasonableness might defang possi
native patterns of interaction and their ble union resistance.
products, in contrast to Nagel’s basic em This strategy had some surprising ef
phasis on public policy. Two brief case fects. For example, management expected
studies constitute the vehicle for this illus a substantial attrition of personnel and a
tration of how one can usefully expand the leisurely end-of-game play by those re
sense of super-optimum solutions. Both maining. Both would exacerbate the sev
case studies deal with the management of eral and growing inefficiencies of Beta as a
cutback situations—adverse personnel ac work site for doing what a changing tech
tions required by obdurate economic con nology demanded. Management was sur
ditions. Typically, cutback results in no- prised, at times pleasantly: The delay was
win or lose-lose resolutions, and the pur put to good use for planning, which paid
pose of this chapter is to illustrate how an dividends, and management even had the
alternative model of interaction can help time to commission a study of the plant
avoid such somber outcomes. closing. Curiously to management, how
ever, only a few employees left. Even more
curious, the remaining employees began
Dour Dynamics of Common Cutbacks setting an almost continuous succession of
monthly production records.
Cutback management is very common These surprises to management imply
in all arenas, and hunkering down seems that they were using an unreliable model of
to be the general order of the day. Native the human effects of the plant closing, and
cunning encourages caution, closedness, events reinforced this conclusion. Despite
avoidance, and more than a little whistling constant and orchestrated announcements
in the dark. Few people can tolerate the ex to the contrary, researchers found that an
perience, let alone grow from it or relish it, increasing proportion of employees came
despite some brave talk about eliminating to believe that “management can’t close a
the dead wood or about becoming lean and going concern.” In fact, the proportion of
mean. Bluntly, cutback sets a proverbial ti such true believers actually peaked in the
ger loose in the streets, and neither theory last survey before the closing, during the
nor experience suffices to manage those month of the highest reduction ever. Em
often powerful forces. Even “adequate” ployees paid little attention to the schedule
solutions are rare. for closing, which was widely dissemi
Beta Plant illustrates the typical case of nated. Moreover, most workshop sessions
“resolution.” An old facility in the Rust for outplacement experiences had to be
Belt had seen its best days, and even the canceled because of insufficient atten
good ones. Management decided to close dance, despite the fact that they were held
the plant, relocate whatever personnel pos on “company time.”
sible, and deal with the others gently and as Hence, the closing came like a bolt out
generously as possible. Employees resisted, of the blue to many employees, and some
however, especially the substantial pro suffered strong reactions. Indeed, during
portion of them approaching retirement. the next year so many ex-employees be
Many current employees had worked at came unavailable—because of illness or
the plant since it opened more than two death or due to a sudden unwillingness to
Two Super-Optimum Solutions | 49
have anything to do with Beta—that re CASE 1: ORGANIZATIONAL

search on the aftermath of the plant closing TOWN MEETING AS
was canceled. UNFOLDING DESIGN
This case derives from the “oil patch,” the

Toward a Value-Guided petroleum/gas exploration business that is
Technology for Cutback infamous for its boom-and-bust cycles.
The specific locus is the Canadian head
These typical outcomes can be mini quarters of a multinational firm, which had
mized by a standard technology cum val grown to several hundred employees in a
ues. The line of “action research” labeled short period of time under the stimulus of
organization development (OD) has begun high oil prices.
to accumulate theory and experience rele The case involves a budget crunch and
vant to the cutback mode, and some deriv an attempt to gently guide the partici
ative applications can reasonably claim pants into arriving at a super-optimum or
super-optimum status. In general, adverse win-win solution. The case illustrates the
personnel actions have strong lose-lose following:
components for both employees and the
employing organization. In contrast, in 1. The details involved in the development
specific cases OD provides a normatively of a start-up organization
based technology for extracting some as
2. The description of a cutback response as a
pects of win-win gold from the lose-lose
result of a budget crunch that is consistent
dross characteristic of cutback.
with organizational development
The purpose here is to illustrate two
such cases of super-optimum solutions in 3. The super-optimum or win-win features
cutback situations in which individual of the response to the budget crunch
needs were met to a greater degree than is
usual under conditions of stringent organi
zation demands. The two contexts are not Critical Prework Toward
exotic and, if in distinct ways, commonly Regenerative Systems
reflect how OD values and approaches can
be helpful with regard to cutback situa Since start-up, the management team
tions. sought to develop a model organization
The two cases also differ in significant and devoted considerable time and re
ways. The first case is labeled “unfolding” sources to building a high-involvement
because it relies on rudimentary structure culture that was responsive and lean. The
and basically trusts the processes and val creation of “regenerative interaction”
ues of OD and thus, in the OD vernacular, constitutes the key feature of this culture.
“lets things happen” within the context of Figure 7.1 depicts how combinations of
these processes and values. four variables can generate contrasting
The second case is labeled “artic models of interpersonal and group interac
ulated.” It relies on a detailed design, ap tion. Two extreme combinations of these
plied in several different contexts by dif variables induce “regenerative” and “de
ferent teams of facilitators, that seeks to generative” interaction.
encourage relatively specific outcomes The component variables can be briefly
while also enlarging the normal range of described, and details are available else
choices for both individuals and organiza where. One can be open without owning,
tions in cutback situations. In contrast to as in the following common statement:
the first case, in the second there is an incli “They, but I can’t tell you who, really dis
nation to “make things happen.” like what you did on project X.” Risk refers
Figure 7.1. Two Models for Interaction and Selected Consequences
to the objective threat in some environ and they fail to solve problems without
ment, and trust refers to the degree of con creating other problems.
fidence one has in colleagues that things
5. Persons become dependent and overcau
will be OK.
tious, and they respond by “tattling” ac
Figure 7.1 presents another crucial piece
tivities, preoccupation with being “safe,”
of information. It shows various character
or “don’t rock the boat” attitudes.
istics that cause organizational meetings to
degenerate into nonresolution, and it 6. Organization norms restricting owning
shows opposite characteristics that cause and openness are reinforced or developed
such meetings to regenerate into successful by experiences.
resolution. These key characteristics are a 7. Tendencies toward fragmentation of or
high degree of openness, a high degree of ganization units are enhanced, particu
owning or controlling, a low degree of risk, larly when the basic organizing model
and a high degree of trust. uses functional or processual departmen
talization, which is usually the case.
Probable Consequences of
Degenerative Interaction An Unhappy and Unexpected
Learning Opportunity
The following are probable conse
quences of degenerative interaction: The regenerative system had an early
challenge—an unexpected and unwelcome
1. Communication and decision-making learning opportunity to test the strength
procedures become increasingly bur and reaction time of the organization.
dened. Progress toward the culture building was
2. Persons become less effective in isolating advanced but still ongoing when the price
and resolving substantive issues. of oil experienced a double whammy—
both Canadian policies and those of the
3. The amount of unfinished business in
oil-rich Arabian states depressed prices
creases sharply.
suddenly and sharply. The prime conse
4. Persons feel diminished interpersonal quence? An organization in a high-growth
competence and psychological failure, mode was “tasked” by corporate to cut
payroll by 20%. This is slightly simplified be done in any way within certain time
because expenses also had to be cut. The constraints.
current description serves well enough, 3. A needs assessment: This entailed a dis
however. The general manager (GM) cussion of priorities, given the “task.”
stated directly, “We are on our way to
Camelot, and the world intrudes on our 4. General strategies: Six were evaluated
plans.” (across-the-board cut, etc.), but a partici
On the morning that the GM learned of pative strategy was the consensus choice.
the bad news, he also decided on a strategy, 5. Options available to individuals: These
in collaboration with his management included early retirement, educational
team and an OD consultant. “Decided” is leave, and so on.
too formal a description of the process,
however: The GM stated, “We kind of re In each activity, a brief input was fol
flexed into the decision.” After contacting lowed by discussion or evaluation in buzz
corporate officials to assess degrees of local groups with shifting memberships, and
wriggle room, this rationale and design then reports were made to the total as
came to dominate the team’s discussion: sembly, in which discussion continued
Well, we could go into the common mode—meet until repetition set in. Then the process
behind closed doors, try to keep the lid on moved on.
things, and draw up the master plan for the An “aha!” experience came early. The
fates of others. motto became “Let’s do it our way, in our
diverse ways.” A voice rang out: “All those
But what the hell? That gets us tied in knots, en interested in working 4 days a week meet
courages inevitable rumors, and risks losing over in the northwest corner.” Soon, 8 to
precisely those people we want most to keep. 10 gaggles were clustered here and there in
Above all, that’s out of sync with the culture the large auditorium—for early retirement,
we’ve been building. educational leave, a few persons consider
ing voluntary separations, and so on. The
So, let’s have a kind of organizational town
firm had its 20% savings basically before
meeting—bring everybody together, begin
the day was over.
ning tomorrow morning, first thing. We’ll lay
It did not all just occur, of course, as the
out what we know, and decide our common
five points demonstrate. The early work to
fate.
ward regenerative interaction fueled the ef
fort, which required unusual openness and
The “town meeting” began the next trust. Moreover, early on, a steering com
morning, with little encumbering struc mittee was established to coordinate the
ture. The GM led a series of guided discus several personnel actions to ensure that
sions that relied heavily on many small priorities could be met. In addition, a so
“buzz groups” to permit simultaneous ex phisticated human resources information
pressions of opinion, brainstorming, and system permitted quick turnaround on
so on concerning individual issues. Ap many details. Furthermore, some decisions
proximately the first 90 minutes of the were not made until the following week as
town meeting was spent performing the persons checked with a relevant other
following basic kinds of activities: about planning to have a child, as part-time
teaching opportunities at the local business
schools were canvassed, and so on. Finally,
1. Ventilation: This entailed a discussion of
some decisions applied for only 6 months,
how individuals felt about the “tasking.”
although most were applicable for 1 year.
2. Corporate boundaries: A payroll savings Therefore, the associated details and risk
of 20% had to be achieved, which could would remain until much time had passed.
Normal attrition was expected to pro haps most of all, the town meeting largely
vide sufficient flexibility for returning to avoided the several debilitations of a top-
the status quo ante after the contracted down effort: an intended secrecy, but often
periods. vitiated by rumors if not serious leaks; a
dribbling away of morale; people leaving
in disgust; possible posturing if not toady
Aspects of the ing for favored treatment; and so on.
Super-Optimum Solution Win-win was not universal, of course. In
a few cases, some employees were seen as
Although information from the organi “not doing what they could,” and active ef
zational town meeting was not gathered in forts were made to surface such issues as
real time, the many follow-up interviews they occurred. A consultant encouraged
and a master’s project provided substantial and facilitated such confrontations, with
confidence that the meeting generated ma many presumptions of the individuals
jor aspects of a super-optimum solution. upon entering the discussion—that indi
Four results illustrate the support for viduals would differ in what they “could
this conclusion. First, an unwelcome task do” and that consequently any tendencies
was accomplished with a preponderance of for a norm of “equal shares” should be re
win-win for both management and em sisted, but that in any case colleagues were
ployees. In both cases, the design sought to better off if suspicions of slacking were
empower with a direct motivation. As raised, even if all could not be settled. Sev
Slaby notes succinctly, “A feeling of power eral employees also played similar facili
lessness goes hand in hand with a sense of tative roles, operating on the same assump
unfairness.” tions.
Such empowering covered a substantial Third, and perhaps paramount, the
range, especially for employees for whom town meeting design both legitimated and
choices appeared in many forms. Some em drew strength from the culture of regenera
ployees had only limited choices, such as to tive interaction. The style was applied in a
decide whether or not to reduce their work difficult case, and its success was not only
week, usually with some costs either way. affirming but also heightened the probabil
Other employees took fuller advantage of ity of the persistence of a regenerative style.
the unfortunate opportunity to do things Reliance on regenerative interaction, and
that might ordinarily have been delayed or its persistence under adversity, perhaps
even forfeited, such as begin a degree pro best reflects a super-optimum solution in
gram, develop a business on a full- or part- this case. Degenerative interaction is more
time basis, or have a baby. In one case, an common in organizational cutback, in
employee with marginal performance ap which avoiding lawsuits may seem the
praisals was empowered to seek greater most desirable goal.
clarity of his chances to succeed in the orga Fourth, some may propose that this ap
nization. The result? The individual began proach “wasted time” and hence cannot be
a program to remedy certain deficiencies in adequate, let alone super-optimum, but I
skills and knowledge and negotiated a re do not believe this is true, even in the short
duction in work hours. term, when one contrasts the town meeting
Second, awkward consequences were with the typical cutback scenario. In the
avoided. Thus, management avoided play typical scenario, ideally after top-secret
ing God. This is energy depleting at best, discussions, those to be let go are informed
and at worst it is often viewed as arbitrary at time close to a normal time boundary,
and procrustean. Relatedly, no “survivor’s such as noon on a Friday or the afternoon
mentality” developed, avoiding variable before a holiday. People are given the after
but tricky potential for later mischief. Per noon to clear out their desks, with the ap
parent expectation that the succeeding times, beginning in 1971 when a national
weekend or vacation provides sufficient marketing organization had to sharply re
emotional distance for both those remain duce its employment even as the national
ing and those being released. The more economy was booming. In addition, sev
likely short-term reality has very different eral teams of facilitators have applied the
features. Management’s decision making is design in the past few decades. Various pre-
likely to be extended and even tumultuous; versus posttest measures have also esti
rumors will overstate the dimensions of the mated effects, and the overall results have
cutback; and an exodus is likely, with the been positive in all applications. Finally,
most mobile people being the first to leave the demotion design was first used with or
and the departures having been known to ganizational members who had substantial
be so numerous or so strategic that an orga prior experience with OD values and ap
nization has to simultaneously conduct a proaches, but some subsequent applica
cutback and perform numerous personnel tions involved no prework. The effects
searches. have been similar.
Moreover, in the long term, the typical The demotion design has a generic OD
scenario does not promise benign effects. kinship with the town meeting discussed
For example, in the typical scenario, the at previously, but the two differ in many re
tempt to distance oneself and others from spects. The town meeting was held only
the immediate pain of the quick personnel once, with one facilitator. Moreover, only
shuffles very often will increase the long- postintervention data are available for the
term pain for all involved, including con town meeting, and these derive largely
cerns that later arise about the justice of it from interviews. In addition, the town
all. Absent the information on which the meeting design rested on substantial prior
original cutback was based, survivors may experience with OD values, whereas the
fear the other shoe will soon drop. Also, demotion design seems to profit from such
the fantasies underlying the typical cut experiences but has been applied success
back scenario probably will not mirror re fully without them.
ality in important particulars, as Sutton
and others have shown. For example, peo
ple’s productivity does not necessarily dete Elements of OD Design for Demotion
riorate sharply if they are given substantial
notice of an adverse personnel action, The initial demotion design was moti
which represents the quintessential fear vated by an unsuccessful effort to add to
that typically rationalizes sudden person the product line of a pharmaceutical firm,
nel separations. which resulted in a major cutback that was
long delayed by hopeful marketing execu
tives. Among other actions, the original de
CASE 2: DEMOTION EXPERIENCE cision envisioned releasing 13 district man
AS ARTICULATED DESIGN agers, all of whom had been satisfactory
performers often for 5 to 10 years. Man
This section describes another example of a agement found the decision unpalatable—
super-optimum solution via OD under cut both in humanistic terms and in a loss of
back conditions, and the word articulated valuable experience that could be tapped
has multiple denotations. Basically, unlike later if sales permitted—but executives saw
in the first case, the design is substantially no reasonable alternative. For example,
programmed and is more in line with mak demotion was viewed by them as both un
ing things happen than allowing things to usual and beset with insurmountable dif
happen. Moreover, this design of a super- ficulties for employer and employees.
optimum solution has been applied several Demoted managers would suffer loss of
income and important perks in “picking up demotees. Pairs discussed sales philoso
the bag” again, and the required changes in phies, reviewed territories, and so on.
attitude and behaviors were seen as beyond
the reach of the ex-managers and of man Effects were estimated via pre- and
agement. postmeasures on the Multiple Affect Ad
A team of OD intervenors, however, jective Checklist (MAACL) and by the
persisted in advocating a “demotion expe long-term performance of the demotees.
rience” for all willing ex-managers, and Four points summarize the results of
management relented. Most managers ac several applications of the demotion de
cepted the offer of demotion; only 2 of 13 sign. First, the MAACL measures three im
opted for a generous separation pack portant affects—hostility, anxiety, and
age. The willing ex-managers, along with aggression—and the demotions not only
two facilitators, met at a central location seem to have sharply increased the levels of
several days after the adverse personnel all three but also apparently maintained
action. those elevated levels during the interval be
The demotion design occurred during 2 tween the receipt of the news about the op
days. Essentially, it was rooted conceptu tion and arrival at the training site. How
ally in avoiding the following conditions: high is high? Norms from other popula
tions exposed to the MAACL imply that
1. Imaginings triggered by demotion + rela the population of demotees score “high”
tive aloneness + relative helplessness = but not “unusually high,” with the latter
increases in anxiety, hostility, and depres referring to decompensations implying the
sion, all associated with poor coping. need for clinical intervention. Specifically,
perhaps 10% of demotees’ scores attain the
2. Imaginings triggered by demotion + com top 2% of a standardization sample, with
munity + mastery = more effective coping, an additional 20% of the scores approach
as reflected in reductions in initial anxi ing that level. The demotees’ pretest scores
ety, hostility, and depression. average very much higher than those of
their new managers, with all differences
Details of the design are available else typically being statistically significant.
where, but the following dominant themes Second, the 2-day demotion experience
economically suggest its character: typically has a major impact on the three
MAACL measures for the demotees, al
1. Choice was emphasized throughout the most always in the expected direction. Spe
design so as to maximize involvement, cifically, as Table 7.1 shows for the original
commitment, and ownership. application, there were 33 total paired
comparisons of MAACL scores for indi
2. The first half of the design focused on
viduals—11 demotees on three MAACL
building and using a sense of community
scales. Twenty-six show reductions, and 3
among the demotees: They shared reac
indicate no change. One demotee did re
tions, feelings, hopes, and fears; they re
sent the “handholding,” however. Signifi
counted how they dealt with news of the
cantly, the participating managers seem to
demotions, as in telling spouses; and they
suffer no major adverse effects during the
practiced ways of talking about their de
intervention, at least on the MAACL mea
motion to relevant others—customers,
sures (Table 7.1).
peers, and so on.
The MAACL reductions tend to persist.
3. The second half of the design dealt with For the initial application, as Table 7.1
establishing relationships between de shows, no major regressions in MAACL
motees and their new supervisors, who in scores occurred throughout the long post-
some cases were chosen by individual test, which followed the short posttest by
Table 7.1 SUMMARY OF MAACL SCORES, DAYS 1, 2, AND 3, IN ONE

APPLICATION
Mean Scores, t-Test for Differences
by Administrations Between Pairs and Means
1 2 3 1 vs. 2 1 vs. 3 2 vs. 31
Demotees
Anxiety 9.8 7.5 6.5 * * *
Depression 17.8 14.8 13.6 * * *
Hostility 9.5 7.2 7.2 * * ns
Managers
Anxiety 6.3 5.3 4.6 * * *
Depression 9.8 9.5 9.5 ns ns ns
Hostility 5.1 5.3 5.7 ns ns ns
*Statistically significant difference at or higher than p = .5; ns, a random difference.
approximately 1 month. Not only were all tion design can improve this state of af
short posttest reductions maintained for fairs, although it cannot eliminate the sting
demotees, but anxiety and depression also of the personnel action felt by management
decreased significantly between the second and the demotees.
and third administrations of the MAACL. First, the demotion design increases the
Fourth, interviews with participants range of alternatives for both management
typically reveal no broader adverse effects and the demotees. Thus, management can
over time. Several (but not all) applications tangibly express its appreciation for a job
of the demotion design include a series of satisfactorily performed in the past, and
interviews—shortly after the experience valuable experience may be husbanded for
and extending for several years in one case. economic recovery. Moreover, the deci
In the initial application, one third of sions by ex-managers relevant to separa
the participants were repromoted during a tion and demotion give them real choices
3- or 4-year interval, and the population as not only about remaining or accepting gen
a whole in the interval experienced no erous separation settlements but also
work difficulties beyond normal company about possibly moving closer to relatives
experience. All the demotees continued or children and even choosing their new su
employment except for one, who died of pervisor.
causes unrelated to work. In a critical sense, choice is at the heart
of OD, and an enriched set of possibilities
increases the chances that real psychologi
Aspects of a Super-Optimum Solution cal ownership of decisions will result.
Hence, one can expect greater commit
The demotion design has numerous at ment to make a success of the adaptations
tractive features, and these qualify it as a required from all.
super-optimum solution in a situation that Second, not just any choices will do: A
is usually negative for all and dire for some. choice that involves a probable failure
Five perspectives suggest how the demo has little to recommend it. The increasing
amount of experience with the demotion moderate the stressful situations and their
design increases confidence that it pre aftermath. Stress effects can be mundane, if
sents reasonable, informed, and attainable troublesome, but these effects can also un
choices. For management and employees, leash dangerous assaults on our immuno
experience indicates that the demotion de logical systems.
sign can help in the numerous adjustments The demotion design, however, does not
that both must make in a workable demo ease all problems associated with adverse
tion. A key factor may be that all applica personnel actions. Thus, not all cutbacks
tions of the demotion design of which I permit demotion, although even close ob
have knowledge involve people who were servers will be surprised at its incidence in
satisfactory performers (or better) in the today’s human resources administration.
role from which they were demoted. Moreover, the initial application of the de
Third, the demotion design increases the motion design did attract some early unfa
mutual control by all participants in a diffi vorable attention, essentially on ethical
cult situation. Of course, major elements of grounds. The following was the major is
coercion remain for both major sets of ac sue: Who is the client? Clearly, the manage
tors, but their diminution seems a definite ment was the initiating client, and some ob
consequence of the design. This generaliza servers worried that this might leave the
tion applies least to the new supervisors of demotees unrepresented and thus poten
the demotees, several of whom reported tially disadvantaged.
that they agreed to participate with faint The issue and related ones are conse
heart. This may explain the significant de quential, and the reader can consult the lit
crease in anxiety over time for the manag erature regarding efforts to address them.
ers (Figure 7.1). By hypothesis, confirmed Consider the answer of our consulting
by interviews, the managers may have ex team to the question, Who is the client? We
perienced highly elevated anxiety when viewed our “client” in multiple and shift
they initially learned of the demotion expe ing terms, as moderated by our sense of an
rience, which the pretest measures. Evi effective organization. Consequently, top
dence such as that reviewed previously may management was our client. During the de
help managers in dealing with this up-front motion experience, however, the demotees
anxiety, ostensibly associated with facing became the focal client, and management
the demotees and perhaps triggered by a understood the privileged status of off-site
conviction that demotions tend to be diffi discussions.
cult or impossible for all.
Fourth, the design seems to have posi
tive implications for the survivors of a cut DISCUSSION
back. Significantly, as interviews generally
confirm, the demotion design seems to be The two candidates for super-optimum so
viewed by many as a significant sign of a lution do double duty. They illustrate a
general organizational resolve to be people technology cum values, usually called OD,
oriented, and this implies enhanced com and they support the usefulness of Nagel’s
mitment by all and removes a potential seminal metaphor. Three points add useful
block to performance. detail supporting these broad conclusions.
Fifth, the apparent palliative effects of First, the two micro case studies rest on
the demotion design constitute a major rea a broadly applicable approach to super-
son for proposing super-optimum status. optimum solutions via inducing aspects of
Of course, the MAACL scores suggest the regenerative interaction between people
stressful character of the adverse personnel and groups. This augments Nagel’s origi
action. What we know about their conse nal list of “procedures,” including gen
quences motivates substantial efforts to erating new or novel policy alternatives,
proposing new goals, and bringing in a intervenors, in several settings, and at vari
third party. The OD approach often in ous times. These two senses of reproduci
volves a third party—a change agent or bility add to the appeal of super-optimum
intervenor—but adds to Nagel’s list a focus solutions, which can in part rest on founda
on useful interpersonal and intergroup tions in addition to flashes of insight about,
processes and interaction that can enrich for example, new or novel policies.
and enliven exchanges between people. Third, the two case studies serve to high
This focus on models of interaction is at light the challenge inherent in the concept
once narrow and ubiquitous in applica of super-optimum solutions. Their basic
tion. Thus, regenerative interaction might definition—as referring to situations from
well facilitate policy development. For ex which participants “come out ahead of
ample, I have heard (but do not know for their initial best expectations”—consti
certain) that the Camp David accords tutes a dynamic target. For example, ef
rested on the conscious effort to induce re forts to build regenerative systems are no
generative interaction by a skilled facilita longer rare, but neither are they usual. This
tor. Also, Nagel rightly highlights Camp situation may well change. Certainly, the
David as illustrating a super-optimum so trend line of reliance on OD has been
lution. sharply higher during the past two de
Second, the two cases also add a useful cades. In summary, today’s super-optimum
sense of reproducibility of approaches to solution can become tomorrow’s initial
super-optimum solutions. Both cases in best expectation or even a commonplace
volve the induction of aspects of regenera expectation. Therefore, the continual
tive interaction via techniques that typi search for super-optimum solutions will be
cally “work.” Moreover, the demotion motivated by its own successes.
design has been replicated by different
CHAPTER 8
University to Industry Transfer
Dianne Rahm
Iowa State University
Veronica Hansen
University of South Florida
S uper-optimum policy solutions are

those through which liberals, conser
vatives, and people holding other
major viewpoints all believe themselves to
be winners in policy outcomes. Distinct
vation as a goal to be included in a competi
tive business strategy. Having universities
as participants in technology transfer ac
tivities maximizes the benefits and mini
mizes the costs to all by providing for
from compromises, in which each side is shared equipment, personnel, and labora
forced to accept less than the desired out tory facilities. This fact is particularly clear
come, super-optimum policy solutions are in situations in which precompetitive re
consensual. They have the characteristics search is undertaken at university-based
of fairness, efficiency, stability, and wis centers or consortiums that draw their
dom. Various methods can be used to members from wide groups of industry
achieve these outcomes, including expand participants.
ing the resource base, setting higher goals, Since the early 1980s, U.S. public policy
and maximizing the benefits to all while has sought to cultivate this super-optimum
minimizing the costs. technology policy by providing economic
Using the knowledge, know-how, and incentives for closer ties between institu
technologies developed in universities to tions of higher education and business en
improve the competitiveness of U.S. indus terprises. Much of this competitiveness
try is a super-optimum technology policy policy has been formulated in legislation.
solution. Transferring technologies devel The Bayh-Dole Act of 1980 began the new
oped at universities to industry vastly ex policy direction by supplying financial im
pands the resource base by providing com petus to universities. Since its passage, U.S.
panies with no internal research and research universities have been increasing
development (R&D) effort with that capa their technology transfer activities. Bayh-
bility and by augmenting the R&D of com Dole was a watershed because its provi
panies with some level of internal effort al sions allowed universities to collect royal
ready in place. By taking advantage of ties on patentable inventions developed by
university technology transfer, all compa researchers funded with federal money.
nies and policymakers can emphasize inno Prior to Bayh-Dole, the federal government
59
maintained rights to any invention result lowing open-ended survey question: “Not
ing from research paid for with taxpayer all researcher-firm interactions are ‘suc
dollars. Because federal grants comprise cessful.’ From your point of view, what
the bulk of research money at the top U.S. constitutes a ‘successful’ interaction with a
institutions, this change in public policy firm?”
has had a large impact. The text responses to this open-ended
Although revenues generated from pat question were content analyzed in the fol
ents and licenses are still a relatively small lowing manner. First, a random sample of
portion of total university research ex responses for the question was drawn.
penditure (approximately 1.5%), their Each individual response from this sample
contribution to the university budget is was carefully read to identify systematic
of increasing importance. In 1992, the categories or typical responses. A list of
nation’s top research universities earned a categories was thus developed. Using these
total of $172 million from royalties and categories as a general guideline (adding or
licenses. This amount was 30% higher deleting categories as seemed appropriate),
than that in the prior year. Because of these the rest of the responses were read and fre
rapid increases in royalty income, most quencies for categories were coded. Inter-
research universities encourage the pur coder reliability for research assistants par
suit of patents and dedicate scarce re ticipating in the coding of the open-ended
sources to technology transfer and licens question was maintained at 90% to ensure
ing activities. accuracy of translation from text to sys
From the university perspective, there tematic categories of responses.
are three actors that should be viewed sepa The responses of the industry-linked
rately: technology transfer administrative researchers to the question of what con
personnel, PhD-level researchers with no stitutes a successful interaction with a
industrial experience (university-bound re firm were compiled into 12 independent
searchers), and PhD-level researchers who (although perhaps related) categories. As
have interacted with businesses in an effort Table 8.1 shows, industry-linked research
to transfer knowledge, know-how, or a ers tend to define successful technology
technology (industry-linked researchers). transfer primarily in terms of its benefit to
The authors’ sample data contain ques the firm, the researcher, or both. Benefits to
tionnaire responses from 121 technology either the university or society clearly play
transfer administrators, 254 university- a smaller role to industry-linked research
bound researchers, and 759 industry- ers, at least in terms of defining a successful
linked researchers. This discussion ex interaction.
plores how the viewpoints of these actors
differ regarding the definition of “success
ful” technology transfer interactions with COSTS AND BENEFITS
firms, perceptions of the costs and benefits
associated with transfer activities, and the What are the costs and benefits to the uni
factors that may inhibit or promote univer versity of engaging in technology transfer
sity linkages to firms. interactions? Administrators were asked to
describe from their vantage point the effect
of industry linkages, and these responses
SUCCESS were content analyzed. Table 8.2 details
the results of this analysis.
What constitutes successful technology As Table 8.2 shows, revenue enhance
transfer from a university to a firm? To ex ment in one form or another seems to be
amine this issue, industry-linked research noted by many administrators as a primary
ers were asked to respond freely to the fol benefit of interaction with firms, although
University to Industry Transfer | 61
Table 8.1 WHAT CONSTITUTES A SUCCESSFUL INTERACTION

WITH A FIRM?
% of Industry-Linked Researchers
Responding by Category
Category (N = 726)
Benefit to the firm 30

Benefit to the researcher 28
Mutual benefit to the firm and the researcher 27
A new product is developed 16
A trusting and strong collaborative relationship is built 14
Long-term or repeated interaction with the firm results 13
Benefit to the university 11
Expectations are met (the project is completed) 11
Transfer of information, people, technology, money,
facilities 10
A mutual understanding between the researcher and firm
develops 10
Frequent site visits occur 3
Benefit to society 2
the benefit of exposing students to indus INHIBITING AND

trial problems is not overlooked. Interest PROMOTING FACTORS
ingly, a significant number of administra
tors cite the overall benefit to society as From a policy-implementation perspective,
important. This position is of note, espe understanding the factors that retard or
cially given industry-linked researchers’ promote university-firm technology trans
low emphasis on social payoff. Costs are fer interaction is paramount. Removing
apparently seen across two dimensions. barriers and providing enticements will re
The first is in the loftier realm of university sult in more universal adoption of the de
purpose. Clearly, some concerns are ex sired policy. From the perspective of uni
pressed regarding the effect of technology versity personnel, what are these factors?
transfer activities on the traditional role of Administrators and researchers were all
the university (the marketplace of ideas, asked to respond to the open-ended ques
with the emphasis on basic research and tion, “In your judgment, what are the most
educating the next generation of basic re important factors inhibiting or promoting
searchers). On the second dimension, costs the involvement of university researchers
are denoted on a practical level. Here, ad in technology transfer and industrial inno
ministrators refer to the very real details of vation efforts?” Table 8.3 reports these
implementation in which conflicts of inter findings.
est, intellectual property disputes, and le Researchers provide more variety in
gal costs loom large. their responses. Although agreeing with
Table 8.2 BENEFITS AND COSTS OF TECHNOLOGY TRANSFER

TO UNIVERSITIES
% of Administrators
Category (N = 95)
Benefits
Money for research 68
Employment and support for students 39
“Real-world” experiences and training for students 39
Potential licensing revenue and extra income for faculty 37
Benefits to society from economic position of the nation 23
Advance the progress on research problems and programs 14
Good public relations for the university 12
Access to industrial equipment 6
Enhance applied research 3
Costs
Distortion of academic principles and the university’s mission 34
Creation of conflicts of interest 23
Time consumption 21
Administrative and legal costs 19
Intellectual property disputes 14
Threat to basic research 10
Firm support is extremely short-lived 7
Lack of control over work 3
Need for increased accountability measures 3
administrators that conflict of interest and CONCLUSION

differing organizational cultures inhibit
technology transfer activities, researchers Technology transfer from universities to
also cite factors such as extensive time de industry can be viewed as a super-optimum
mand of technology transfer activities, lack policy solution to the problem of U.S.
of exposure to firms, and the shortsight competitiveness in several ways. First,
edness of firms as obstacles. Researchers university-industry technology transfer es
agree with administrators that financial in tablishes the higher policy goal of improv
centives promote technology transfer inter ing competitiveness by increasing and
actions, but researchers also point to fac speeding the diffusion of innovations. Sec
tors such as finding mutual interests among ond, technology transfer maximizes the
participants and having frequent contacts shared benefits of increased R&D to all
with firm personnel as helpful. firms while minimizing the costs to all by
University to Industry Transfer | 63
Table 8.3 INHIBITING OR PROMOTING UNIVERSITY-FIRM TRANSFER
% of Administrators
Category (N = 93)
Inhibiting
Different organizational cultures 36
Conflict of interest 34
Focus on basic research 24
Intellectual property dispute 23
Ambiguous university policies 14
Time consumption 11
Publication disputes 10
Lack of incentives 8
Lack of knowledge of technology process 7
Promoting
University and faculty need for research funding 30
Development of commercial application for profit through royalty 12
Frequent contact between university and firm personnel 11
University service mission (to industry and to government) 9
Experienced scientists with prior good experience with firms 8
Provides “real-world” experience with students 5
taking advantage of shared personnel, transfer. This chapter has examined how
equipment, and facilities. Finally, univer actors within the university answer three
sity transfers of knowledge, know-how, key questions: What constitutes successful
and technology to industry enlarge the technology transfer? What are the costs
R&D resource base of the entire nation. and benefits? What are the most important
Given the possibility of revenue en factors that inhibit or promote technology
hancement since the passage of the Bayh- transfer?
Dole Act, technology transfer activities are The researchers responding to the sur
of increasing concern to research universi vey results presented here do not generally
ties. Universities can perform better in this define technology transfer in the typical
arena if their knowledge of the technology linear approach presented in the literature.
transfer process is improved. One way to University researchers tend to view success
improve this understanding is to examine far more in the wider terms of researcher-
how university technology transfer admin firm mutual benefit than in the narrow
istrators and researchers conceptualize and terms of merely passing a device to a firm.
evaluate certain aspects of technology There is little social perspective, however,
in the researchers’ construct for benefit to other self-interest than the advancement of
society. Innovation, diffusion, and adop science.
tion are not considered. What clearly emerges from the analysis
University administrators view the ben of the question of promoting factors is that
efits of technology transfer activities in direct economic pressures serve to drive
financial terms, whereas the costs are de both administrators and researchers to
fined in terms of the stresses placed on the undertake technology transfer efforts. On
university. Particularly highlighted are the the other hand, the major obstacle to
stresses associated with the movement to a university-firm technology transfer is the
commercial model and its impact on the differing organizational cultures of the uni
traditional university mission of basic re versities and businesses.
search performed by a researcher with no
CHAPTER 9
Profit Sharing and Job Anxiety
Moving Public Policy

Toward a Win-Win Solution
Daniel Mitchell
University of California at Los Angeles
P rofit sharing and other alternative

payment systems are not new con
cepts. The notion of paying workers
other than a time-based wage was certainly
present in modern economies at their in
to consider alternatives to the standard
wage system by an American economic
problem of the time, namely, “stagflation.”
Moreover, actual high-profile experiments
with profit sharing in the United States dur
ception in the 19th century and even be ing the 1980s predate Weitzman’s initial
fore. There have been waves of interest in contributions, notably in the automobile
such systems during various periods, how industry.
ever; the 1980s was the most recent exam My premise in this chapter is that inter
ple, and this latest wave of interest carried est in profit sharing—often viewed as a
over into the 1990s. form of “flexible” pay—is part of a more
general concern by employers and policy-
makers about flexibility in personnel prac
MOTIVATIONS TO ADOPT tices. Therefore, we must ask why the em
ployer push for flexibility developed in the
An interesting question, therefore, is why 1980s in all market economies. At the most
now? What is there about the circum general level, my answer to this question is
stances of the 1980s and 1990s that pro that it developed due to increased uncer
voked renewed attention to alternative pay tainty in the marketplace.
systems? A simple answer might be that Flexibility (in pay or any other person
economists—notably Martin Weitzman— nel policy) has value to employers only if
happened to write about the advantages of future conditions cannot be predicted. In
profit sharing in the 1980s, and that the an unchanging economy, a stable equilib
idea passed from the academic literature to rium of labor practices would be achieved
the popular. This response, however, is and there would be no need to worry about
clearly inadequate. Weitzman was induced contingencies. The same practices would
65
be optimum, period after period. Thus, if The historical literature suggests that
one believes that the uncertainties that ap the use of particular pay systems (including
peared in the marketplace in the 1980s profit sharing) has varied over time. It sug
were (or are) transitory, one would predict gests that there is a strong element of his
that interest in flexibility—including the torical accident and management fad in
kind of pay flexibility represented by profit plan usage in any particular period. That
sharing—will diminish. I argue that such a is, pure efficiency considerations play only
return to stability is unlikely and, thus, that a part in determining how pay systems
profit sharing in particular will have spe evolve. Government policy, however, in the
cial value in the future. form of either tax incentives or mandates,
Profit sharing is a desirable way to con can strongly affect employer compensation
tract in the labor market; it allows some policy.
product market risk to be absorbed by la Generally, historical review of the litera
bor in the form of variable pay in exchange ture regarding profit sharing indicates
for more job security. When such variable three motivations for installation of such
pay is not part of the contract, the result is plans. First, profit sharing is viewed as a
likely to be socially undesirable labor mar possible method of alleviating labor-
ket outcomes. These outcomes may be ex management tensions in the larger society
cessively high unemployment rates (as in or in particular firms. A left-of-center
some European countries) or an exces interpretation might be that profit sharing
sively insecure employment relationship is a social advance because it diverts in
(as in the United States). Regardless of the come that might otherwise go to profit re
level of overall unemployment, those who cipients to workers. A right-of-center view
have the misfortune of becoming unem might be that by making workers into
ployed suffer long durations of job search minicapitalists, profit sharing will induce
due to employer reluctance to hire. Al an appreciation of markets and capitalism.
though profit sharing is a desirable way to These various arguments for profit sharing
structure the employment contract, it needs can be characterized as ideological.
public encouragement. Firms will not adopt A second argument for profit sharing is
sufficient profit sharing on their own, due that it will function as a motivational de
in part to the fact that the macrolevel bene vice for workers. It is recognized that be
fits of profit sharing are external to the cause profit sharing is a group plan, there is
firm. There is now a considerable literature a danger of individual shirking and free
reviewing research evidence on the impact riding. Steps can be taken to encourage
of profit sharing. In general, this literature group monitoring, however. Although
finds a positive impact of profit sharing on other forms of motivational tools can be
productivity or profitability or both. The used (notably, piece rates), such arrange
conclusion is not unanimous, however, and ments may create problems of quantity
it is sensitive to model specification; in par over quality and of labor-management fric
ticular, simultaneous specifications do not tions and restrictions of output when work
always support a causal link from profit standards must be reset. The motivational
sharing to some firm performance mea arguments for profit sharing can be charac
sure. There is also evidence that profit terized as the incentive approach.
sharing has an employment-stabilizing ef Finally, the third argument for profit
fect in the face of varying demand. Profit- sharing is that it will reduce unemploy
sharing research is part of a wider range of ment. Weitzman’s “share economy” pro
studies dealing with other forms of alterna posal is in this category. The idea that
tive compensation, ranging from piece profit sharing creates wage flexibility that
rates to employee stock ownership, and might encourage employment, however,
their impact on firm performance. can be found much earlier and was cer
Profit Sharing and Job Anxiety | 67
tainly present during the Great Depression in this argument, however. The kinds of
of the 1930s. This argument for profit employment guarantees that are viewed as
sharing can be characterized as macroeco the culprits for unemployment in the flexi
nomic. bility literature are basically a form of “in
surance” for risk-averse workers. Just as
with other forms of insurance and benefits
COMPARING COUNTRIES that employers often provide, employment
insurance has a cost. It will not add to total
Although the academic literature has not labor costs on a one-for-one basis, how
had much effect on actual public policy in ever.
the United States, the British experience How much it adds depends on how
has been different. In the late 1980s, Brit much of the cost is absorbed by labor. In
ain adopted tax incentives for profit shar principle, all the cost could be absorbed by
ing (and certain other kinds of share plans), labor, leaving no added cost to the em
partly in response to Weitzman and partly ployer. There is a considerable literature
in response to the right-of-center ideologi dealing with the absorption by labor of
cal approach. Even earlier, the French had payroll taxes and benefit costs that is often
required forms of profit sharing for right ignored in calls for more employer flexibil
of-center ideological reasons and later with ity as a remedy for unemployment. There is
some macroeconomic motivation as well. an important difference, however, between
The fact that the profit-sharing approach the cost of a payroll tax or a benefit such as
can be attractive across the political spec a pension and the cost of an employment
trum internationally suggests that it is one guarantee. The difference lies in the degree
of those rare “win-win” targets for public to which the eventual expense can be pre
policy. The challenge is to bring that spirit dicted. Taxes and pensions have predict
to the United States. able costs, but in an unstable economy the
Here, I argue that incentives for the in cost of job security to the employer may be
stallation of profit sharing are desirable, both significant and difficult to anticipate.
regardless of the motivation of the politi As with other options, the cost will in
cians who propose them. There is an unfor crease with the variability of the underly
tunate notion, however, that installation of ing asset (in this case, the value of the
profit sharing is just a hidden way of cut worker to the firm). In addition, employers
ting wages. Such a notion may be persua may behave as insurance companies some
sive to those in authority who believe that times do when faced with risks that are dif
current problems of unemployment are ficult to appraise: They will try to avoid
due to too high real wages and that profit writing policies rather than attempting to
sharing will undo these wages by hidden price them. For employers, this means ces
means. It will hardly serve to make the idea sation of employment contracts that pro
of profit sharing popular among wage vide job security, reductions in hiring into
earners, however. My argument is differ positions that have security guarantees, or
ent: Profit sharing is a better way to allo both.
cate risk than current labor market institu The United States has comparatively lit
tions frequently allow. tle regulation of employer freedom to lay
American employers have more legal off workers, especially in response to eco
freedom to lay off or terminate unwanted nomic fluctuations in the product market.
workers than do those in many other in Thus, shifts in American labor market
dustrialized countries. Thus, the lesson has structure are likely to reflect changing
been drawn that by relaxing legal restric market forces rather than shifts in public
tions, other countries could lower their un policy. Changes observed in U.S. labor
employment rates. There is a missing link markets during the 1990s suggest that
American employers have begun to exhibit meet uncertain demand, an optimum con
the kind of reluctance to hire that earlier tract is likely to reflect all these preferences.
characterized their counterparts in other It is likely to have a fixed-wage element and
countries, despite increasing reports of la a variable-pay element in which the latter
bor shortages. In turn, these findings sug adjusts to changing demand levels. To
gest that greater uncertainty in the market some extent, the fixed-wage element and
place is being anticipated. the variable-pay element should be substi
tutes (even if not perfect substitutes). Pay
received from the variable element adds to
JOB ANXIETY worker income, as does the fixed wage. In
addition, if the employer is providing some
The duration of unemployment is at high degree of job security, that, too, represents
levels, given low unemployment. Although a cost to the employer and a benefit to the
there is no continuous measurement of the worker.
flow into the unemployment pool, the Because such a system has a labor-
number of weekly new claims for unem demand stabilizing potential, it also has the
ployment insurance serves as a proxy. Such potential to reduce the amplitude of the
claims are currently at very low levels. To business cycle and the accompanying waste
gether, the claims data and the duration of economic resources. Such a potential
data suggest a labor market in which rela represents an externality not captured at
tively few individuals are becoming unem the microlevel. That is, profit-sharing con
ployed, but those who do become unem tracts will tend to be underused if pure
ployed have a difficult time finding new market forces are relied on to induce their
jobs. That is, employers are hanging on to implementation. Moreover, there may be
existing employees and showing surpris institutional lethargy in departing from an
ingly little interest in acquiring new ones. existing pattern of employment contracts
The unemployment rate is the product of and pay systems.
those entering unemployment and their du Where there are union contracts, there is
ration in the unemployment pool. Thus, it available to workers an agent to monitor
is quite possible for these two influences to the variable payment and to ensure that
produce both a low rate and a high dura any adjustments in that component actu
tion of unemployment. ally follow true product demand varia
Thus, in the United States, as in other tions. In addition, the terms of the bar-
countries, employers seem to be reluctant gain—how much job security is to be
to hire and to commit to maintaining the provided in return for how much risk ab
employment relationship. An important sorption by labor—can be specified in an
question, therefore, is whether current la explicit contract. As noted earlier, how
bor market trends are producing employ ever, American experience suggests that al
ment contracts that meet employee de though union attitudes have shifted with
mands for security and employer demands regard to profit sharing relative to the pre
for flexibility. In my view, the answer is 1980 period, there is still only limited use
“no.” Neither labor markets characterized of such arrangements in the union sector.
by high levels of unemployment (as have Nonunion employees have a disadvan
appeared outside the United States) nor the tage under profit-sharing arrangements in
erosion of the employment relationship (as not having an agent that can monitor prof
has appeared in the United States) seems its and negotiate explicit trade-offs be
optimum. Profit sharing, however, can as tween risk sharing and job security. This
sist in structuring a better form of contract. problem is even greater in the case of lump-
If workers value both wages and job se sum bonuses that do not have a formal tie
curity and employers need flexibility to to profitability. There is no information on
Profit Sharing and Job Anxiety | 69
how widespread bonuses of the lump-sum Clearly, absorption of the bonus in the
variety are in nonunion settings in the base wage is important if dramatic moves
United States. Nonunion employees have toward a profit-sharing economy are to
long received bonuses for individual pro take place. To encourage absorption, pub
ductivity. Nonproduction bonuses, how lic policy should aim at promoting plans in
ever, do not account for a large fraction of which the bonus is viewed by workers to be
pay (although they do so more than in the highly substitutable for the base wage.
union sector). Plans that put the bonus into a deferred re
Regardless of sector—union or non tirement fund are less likely to promote ab
union—profit sharing cannot reach the sorption (given the absence of perfect capi
magnitude of bonus needed for employ tal markets) than those that pay cash
ment stabilization and risk sharing if it is bonuses. Thus, tax incentives should be
simply added on to the levels of labor com given to cash plans that are at least as gen
pensation that would prevail absent a erous as those given to deferred plans.
share arrangement. The numbers simply National tax policies that only give tax
will not add up. For example, in the United preferences to profit sharing if it operates
States, corporate profits before tax amount as a pension do not promote absorption.
to approximately one tenth of labor com American tax policies are of this variety.
pensation in a reasonably good year. Thus, The same is true of systems based on man
if all profit income were given to labor in a dates; mandated deferred profit sharing
profit-sharing scheme, the bonus payment does not promote absorption. Indeed, the
would be only approximately 10%. French experience has been that mandating
An “add-on” plan that gave, for exam deferred profit sharing leads employers to
ple, 20% of profits to workers (presumably discontinue cash profit sharing to finance
in the hopes of increasing productivity) the compulsory plan.
would therefore provide a bonus payment
of approximately 2% of total compensa
tion in a typical American corporation. On CONCLUSIONS
the other hand, suppose the (fixed) base
wage were reduced by 10% in exchange for In summary, interest in profit sharing
a scheme that over the cycle provided an among employers and policymakers since
offsetting 10% bonus. Under such an ar the 1980s is part of a general search for
rangement, workers would receive the flexibility. Economic analysis of the type
same average level of pay over the business associated with the Weitzman proposal
cycle in wage plus bonus that they received suggests that profit sharing as a form of
before in wages alone. Total pay, however, flexible pay would have desirable macro
would be more variable due to the bonus economic properties. These macro consid
component. Prebonus profits would dou erations, however, are not reflected in pri
ble over the cycle, but workers would have vate pay setting practices that are based
a profit-sharing plan that gave them 50% solely on microincentives. There is a win-
of profits (and 50% of the variability of win element in the profit-sharing proposal:
profits). Both employers and workers would benefit
At such magnitudes, employment- from a more stable economy. Thus, a role
stabilizing effects would be available. for public policy in fostering profit sharing
Surely, with a reduction in profit variability is desirable, and I advocate such an ap
of one half, stabilizing employment would proach.
be facilitated. In addition, there might be Perceived increases in risk in product
Weitzman-style employment-expansion ef markets will translate into higher unem
fects because of the lower base wage and ployment if linked to an employment guar
marginal cost of hiring. antee based on mandate or practice and if
the cost of job insurance is not borne by la ment that cannot be reduced by demand
bor. There is a need for more efficient em measures without causing inflation. In con
ployment contracts that balance employer trast, the United States has achieved low
and employee needs in the face of increased unemployment but with a kind of employ
risk in the product market. Such arrange ment flexibility that has downgraded the
ments, however, seem to be slow in coming quality of the employment relationship. As
when left entirely to private determination, in Europe, it has produced unusually long
again suggesting a win-win aspect of the periods of unemployment for those un
profit-sharing proposal. An efficient con lucky enough to be jobless. On both conti
tract would surely have a profit-sharing el nents, it is time to move beyond vague calls
ement, even if that element were simply a for pay for performance and flexibility and
bonus implicitly linked to profits. Al move toward more concrete encourage
though there has been a move in this direc ment of profit sharing as a major element in
tion, the magnitude has been small. compensation. There is no reason why the
Some European countries seem to be United States cannot take the lead.
stuck with permanently high unemploy
CHAPTER 10
Another Win-Win
Occurrence
E conomists (especially Keynesian

economists) have argued that an ex
panding economy requires (or gen
erally requires) deficit spending to stimu
late the economy. If the government spends
turning into surpluses as of 1998. Figure
10.2 indirectly shows recent GNP growth
from less than $5 trillion in 1990 to more
than $7 trillion in 1998.
This win-win occurrence is a result of
more than it taxes (an undesirable occur improved technology, training, competi
rence), than the gross national product tion, free trade, and public policy. These
(GNP) increases (a desirable occurrence). factors cause increased GNP. An increased
Deficits are undesirable because they GNP enables the government to have in
cause (a) government borrowing, which creased revenue from income taxes and
raises interest rates, which in turn hurts the have decreased welfare costs. These two
economy; (b) inflexibility in needed gov factors lower the deficit, especially as a per
ernment spending because much of the centage of the GNP.
budget is used to pay interest on the debt; Readers should not think that win-win
and (c) a class of relatively unproductive analysis is biased against liberal econo
people who live off unnecessary interest mists such as Keynes. For example, the
paid by taxpayers. An increased real GNP Phillips curve is associated with conserva
is desirable because it means more jobs, tives, who state that we have to suffer un
higher wages, more funds available for ed employment to avoid inflation. Page 4 of
ucation and other worthwhile government the autumn 1996 issue of Policy Evalua
programs, and improved quality of life via tion shows unemployment decreasing in
private purchasing. the 1990s to a generation low of 4.3% and
Traditional trade-off thinking holds inflation simultaneously decreasing to less
that we must accept undesirable costs to than 1%, which is almost nothing. More
get desirable benefits. Win-win thinking information on the win-win aspects of in
holds that we can avoid the undesirable flation, the money supply, and other con
costs of large deficits and still have eco servative concerns is provided in the sum
nomic growth. Figure 10.1 shows deficits mer 1999 issue of Policy Evaluation.
71
Figure 10.1. Federal Budget Deficit as a Percentage of Gross National Product
Figure 10.2. Percentage Change in Gross National Product

Part 3
PUBLIC
POLICY STUDIES
CHAPTER 11
Policy Evaluation Questions
T he questions in this chapter

were distributed at the all-campus
faculty seminar of the Everett
Dirksen-Adlai Stevenson Institute on In
ternational Policy Studies at the University
6. How can business have entrepreneurial
freedom while consumers are provided
quality products at low prices without
government regulation?
7. How can we most effectively upgrade la
of Illinois. There are 10 questions on bor skills and business technologies, es
economic, technology, social, political, pecially in light of the right combination
international, and legal policy. There of private initiatives and government in
are 19 questions on policy analysis meth centives?
ods. The substance questions emphasize
conservative-liberal conflict. They are 8. How can we best combine sales taxes
partially designed to stimulate win-win that are easy to collect with income taxes
thinking. that are based on ability to pay?
9. How can we arrange for personal in
come to reflect better quality and quan
ECONOMIC POLICY tity of performance, such as paying
stock brokers-advisers a percentage of
dividends or profits received by stock
1. How can we simultaneously have low in
buyers instead of a percentage of the
flation and low unemployment?
sales price?
2. How can we simultaneously have low tax
10. How can we provide land reform or re
rates, expensive government services, and
training for displaced farmworkers, es
a low budget deficit?
pecially in developing countries, in ways
3. How can we simultaneously have the pro that are feasible politically, administra
ductivity of private profit and the equita tively, economically, technologically, le
ble allocation of quality living that usu gally, and psychologically?
ally goes with collective responsibility?
4. How can farmers have adequate incomes
while food consumers pay low prices TECHNOLOGY POLICY
without wasteful government subsidies?
5. How can management and labor simulta 1. How can business prosper while simul
neously prosper? taneously reducing pollution?
75
76 | Public Policy Studies
2. How can low-cost housing be provided 3. How can we stop the killing of unborn
to the poor without the undesirable ef babies and simultaneously stop the kill
fects of eliminating housing profits, rais ing of pregnant mothers through back-
ing taxes, and congesting poor people alley abortions?
together? 4. How can we provide for adequate ele
3. How can the time consumption of com mentary and secondary education with
muter transportation be decreased while out an unreasonable tax burden and
still allowing freedom to drive to work? forced busing?
4. How can energy be provided that is si 5. How can we preserve the social security
multaneously safe, clean, and inexpen system without the tax burden becom
sive? ing unbearable?
5. How can health care be provided that is 6. How can there be merit downsizing in
high on quality, accessible to all, and low higher education while preserving the
on cost to taxpayers and consumers? academic freedom that goes with ten
ure?
6. How can new technologies be encour
aged without providing monopolistic 7. What is the proper role of government in
abuses to investors? providing participatory and spectator
leisure-time activities regarding arts,
7. How can solid waste collection and re
sports, gambling, and adult education?
cycling be provided with regard to the
roles of private enterprise and govern 8. How long should the workweek be, be
ment activity? yond which employers must pay time
and-a-half overtime?
8. How far should toxic waste cleanup be
carried, and how should the costs be al 9. How can we reduce teenage pregnancy
located? in terms of abstinence, birth control,
and other means?
9. How can housing for the homeless be
provided in terms of construction, re 10. What should the rules be on divorce,
training, substance abuse, emergency child adoption, child support, and mar
shelters, and mental outlook? riage eligibility?
10. How can policy issues raised by new

forms of communication, including is
sues of censorship, competition, geo
POLITICAL POLICY
graphical access, availability to the poor,
privacy, and teaching aspects, be dealt 1. How can we have the coordination of
with? federal and executive government with
the responsiveness of local and legisla
tive government?
SOCIAL POLICY 2. How can we have the protection of civil
liberties that goes with judicial review
1. How can we provide for merit hiring while having the majoritarian democ
and college admissions and simulta racy that goes with legislative suprem
neously obtain diversity of minority rep acy?
resentation? 3. How can we greatly increase our low
2. How can we best deal with dependent voter turnout while not making it easier
children and the totally disabled in a for some people to vote more than once?
manner that is both productive and hu 4. How can we avoid the divisiveness of
mane? drawing minority districts while simul
Policy Evaluation Questions | 77
taneously providing minority represen 4. What U.S., United Nations, or other

tation? foreign policies are appropriate for pro
moting peace, prosperity, and democ
5. How can we have the stability and
racy in developing and industrialized
accountability of a two-party system
nations without unacceptable loss of
while obtaining the responsiveness of a
lives, tax burdens, and domestic inter
multiple-party system?
ference?
6. How can we allow the free speech as
5. How can we facilitate international
pects of campaigning and campaign fi
technology transfer that promotes better
nance while avoiding the control of
customers, suppliers, and investment
politicians by large campaign contribu
outlets for the United States and others
tors?
without discouraging inventors and dis
7. How can technical competence among rupting U.S. competition?
people in government be provided while
6. How can we have a strong dollar that
simultaneously providing for respon
will enable U.S. businesses and consum
siveness to popular values?
ers to easily buy overseas products and
8. How can we draw legislative districts so at the same time have an affordable dol
as to simultaneously provide for (a) pro lar so that overseas buyers can buy U.S.
portional representation of the parties in products?
the legislature, (b) equal population per
7. What should U.S. foreign policy be to
district, (c) compact contiguous dis
ward the five countries that are cur
tricts, and (d) as much competition as
rently listed as terrorist states—Cuba,
possible between the parties in each dis
Iran, Iraq, Libya, and North Korea?
trict?
8. What should U.S. foreign policy be to
9. How can we combine the responsiveness
ward such current or potential trouble
of short terms with the experience that
spots as the Middle East, the Taiwan
goes with long terms for legislators and
Straits, south Asia, the Caucasus region
chief executives?
of the former Soviet Union, and the for
10. How and should we provide for voting mer Yugoslavia?
to indicate second choices so that win
9. How should U.S. defense policy change
ners will have a majority without a run
further in light of the end of the Cold
off election having to be performed?
War, the absence of international wars
since 1992, and the recent substantial
lessening of civil wars?
INTERNATIONAL POLICY
10. What should U.S. policy be on American
factories locating abroad and foreign
1. How can we obtain the benefits of sell factories locating to the United States?
ing our products overseas without the
disruption of overseas competition dis
placing American and other workers? LEGAL POLICY
2. How can we obtain the benefits of immi
gration that add to our economy with 1. How can we decrease drug usage with
out the costs that reduce our economic out the undesirable side effects of police
prosperity? abuses, overflowing prisons, AIDS, and
crime to obtain drug money?
3. How can we provide for an effective
peace-keeping United Nations without 2. How can we protect the innocent from
losing American sovereignty? conviction and harassment while still
making it easy to arrest and convict the sus Policy X2, which yields B2 benefits
guilty? at P2 probability, then how does one de
3. How can we enable injured persons to cide between the two policies, taking
get compensation without such liability into consideration that some policy-
becoming excessive? makers are more risk averse than others?
4. How can we have separation of church 2. If one is faced with Policy X1, which
and state and simultaneously allow for a yields B1 benefits at C1 costs, versus
school system that is rich in widely ac Policy X2, which yields B2 benefits at
ceptable religious content? C2 costs, then how does one decide be
tween the two policies if B1/C1 is greater
5. How can we provide attorneys for the
than B2/C2, but B1 – C1 is less than B2 –
poor in criminal and civil cases without
C2?
excessive taxpayer expense and political
opposition? 3. If one is faced with Policy X1, which
6. How can we deter or decrease wrongdo yields B1 benefits at C1 costs, versus
ing through effective punishments and Policy X2, which yields B2 benefits at
doing-right facilitators without being C2 costs, then how does one decide be
overly severe, lenient, inaccurate, or ir tween the two policies if information on
relevant? any one of the four variables is missing?
Any two? Any three? All four?
7. How can we hold more arrested people
in jail to keep them from committing 4. If one is faced with Policy X1, which
crimes after they are released and to yields B1 benefits at C1 costs, versus
keep them from not showing up for their Policy X2, which yields B2 benefits at
trials while simultaneously hold less ar C2 costs, then how does one decide be
rested people in jail so as to reduce jail tween the two policies if any one or
costs, lost productivity, and bitterness? more of benefits or costs do not occur
for T years?
8. How can we get the cost-saving benefits
of bribing or threatening defendants to 5. If one is faced with Policy X1, with B1
plead guilty while simultaneously avoid benefits at C1 costs, versus Policy X2,
ing the overly lenient sentencing of those with B2 benefits at C2 costs, then how
defendants who have strong bargaining does one decide between the two poli
power and the overly severe sentences of cies if one or more of the benefits or
those who have weak bargaining power? costs are nonmonetary and not easily
monetized?
9. How can we provide for greater delay
reduction in the courts without exces 6. How does one determine the benefits
sive costs or denial of due process? and costs of a policy?
10. How can we provide free speech even 7. How does one determine what the pol
when dealing with abhorrent communi icy alternatives are or could be?
cations that advocate violence, rape, 8. Who makes the decision on how to re
and other criminal behavior but do not solve questions 1 through 7 and those
represent a clear and present danger of that follow?
causing that behavior?
9. What factors explain variances in why
some policies are subsequently adopted
POLICY ANALYSIS METHODS or implemented and others are rejected
or fail in different times and places?
1. If one is faced with Policy X1, which 10. How can one arrange experimentally
yields B1 benefits at P1 probability, ver or observe naturally an experimental
Policy Evaluation Questions | 79
group and a control group for determin ceive a minimum allocation and (b) the
ing the effects of policies, especially in sum of the minimums is more than the
light of reciprocal causation, spurious total budget?
causation, and other confounding oc 16. How can public policy (a) increase the
currences? benefits of doing right, (b) decrease the
11. What value is there in policy evaluation costs of doing right, (c) decrease the ben
to have broad normative schemes, such efits of doing wrong, (d) increase the
as democracy, autocracy, capitalism, costs of doing wrong, and (e) increase
socialism, libertarianism, communitar the probabilities of those benefits and
ianism, utilitarianism, or religious sys costs occurring?
tems? 17. How can policymakers decide on appro
12. How can one systematically deal with priate allocations of authority to (a) the
policy problems for which doing too public and private sectors; (b) the levels
much or too little is undesirable? and branches of government; and (c) the
13. How can one systematically deal with government vis-à-vis the political par
policy problems for which scarce re ties, interests groups, and the electorate?
sources need to be allocated to persons, 18. How can universities (including Illinois)
places, or things rather than the easier structure their curriculums and activi
problem of choosing or ranking discrete ties so that they can make more of a con
policies? tribution to resolving or ameliorating
14. When conservatives advocate X1 to substantive and methodological policy
achieve Y1 and liberals advocate X2 to problems?
achieve Y2, how can one develop an X3 19. How does and should policymaking
that will achieve more Y1 than can X1 deal with constraints that are economic,
and simultaneously achieve more Y2 political, administrative, psychological,
than can X2? Such an X3 is referred to legal, and technological?
as a win-win solution.
15. How can one deal with conflicting con
straints such as (a) each entity must re
CHAPTER 12
Integrating Institutions
and Implementation Into
Policy Decisions
Derick W. Brinkerhoff
Abt Associates
A s the developing world moves into

the new millennium, experience
with policy reform has demon
strated that socioeconomic transforma
tion, when it takes place, is the product of
pays explicit attention to what it takes to
make policy changes happen, not simply
design what they should do.
Today these broader societal factors are
even more critical because in many devel
what Joan Nelson terms “long-haul” ad oping countries economic and sectoral pol
justments rather than “quick-fix” mea icies are being pursued in an environment
sures. The earlier notion that manipulating of profound upheaval. The winds of politi
a few, key technical policy variables (e.g., cal liberalization that swept Eastern Eu
getting the prices right) would relatively rope and the former Soviet Union in the
quickly set in motion a societal metamor late 1980s and early 1990s are blowing
phosis has given way to a more sober, pa dramatically across Africa, Latin America,
tient perspective. This viewpoint holds that and into Asia as well. State-society linkages
the variables involved in policy change are are in flux, and policymakers are con
numerous; extend beyond the narrowly fronted with new demands from previously
economic and technical to include social, excluded groups to participate in the policy
political, cultural, and institutional dimen process. Further, policymakers are operat
sions; and interact in complex and incom ing within a public sector wrestling with
pletely predictable ways that are highly novel and unfamiliar roles to fulfill as com
context-specific. Long-haul reforms call mand economies transition to market-
for a different kind of policy analysis to driven ones. No longer are governments
help guide decision makers: analysis that called upon to manage development di
makes sense of these broader factors and rectly via market controls and direct ser
EDITOR’S NOTE: This chapter is reproduced with permission from Derick Brinkerhoff, “Integrating Institutions
and Implementation Into Policy Decisions,” Policy Evaluation, 4, no. 1 (1998): 24-28.
81
vice provision, but rather they are to man shrinking the public sector wage bill, and
age indirectly through providing a con strengthening markets. Within the frame
ducive regulatory framework for private work of the broader macroeconomic pack
transactions while strategically intervening ages, sectoral adjustment packages sought
to produce certain key goods and services. to extend structural reforms to deal with
Making and pursuing policies in this new specific sectoral issues.
environment call for distinctive types of First-generation policy analysis, in its
policy-analytic thinking and tools to help pure form, relies heavily on macro
decision makers cope effectively. economic modeling that seeks “first-best”
Policy analysis in support of promoting equilibria to maximize socioeconomic wel
economic growth and reducing poverty in fare for the greatest number of citizens un
developing countries has become an in der free market conditions. Analytic meth
creasingly sophisticated field of endeavor ods, such as the general equilibrium
since the 1950s, when the industrialized modeling techniques that emerged in the
nations began assistance to the newly inde 1970s and 1980s, have fine-tuned these
pendent states of Asia and Africa, as well as models to their present-day level of so
to Latin America. Approaches to “speak phistication. Sectoral applications employ
ing truth to power,” as Wildavsky charac sector-specific input-output matrices to as
terizes policy analysis, have moved sess policy options; for example, pricing
through a series of shifts in thinking that and marketing of agricultural commodi
can be loosely framed in evolutionary ties. At the program and project level, first-
terms. The seeds of earlier policy analysis generation techniques introduced cost-
techniques have been fertilized by innova benefit and rate-of-return methodologies
tion and the lessons of experience, thereby to arrive at a decision-making calculus to
leading to the emergence of new genera rank order national investment priorities
tions of approaches and tools. To oversim and/or select among alternative invest
plify somewhat, three generations of policy ments.
analysis approaches can be discerned. Experience with first-generation policy
prescriptions revealed to economists, do
nor agencies whose programs incorporated
NEOCLASSICAL ECONOMICS those prescriptions, and developing coun
try decision makers that technically “cor
The first generation consists of the con rect” policies often were not adopted or
cepts and techniques of neoclassical eco implemented. In fact, many countries pur
nomics. Economic precepts undergirded sued development strategies that were irra
the early advice given to third world gov tional from the perspective of these policy
ernments on how to achieve the “take-off” analysis models. The gap between prescrip
to growth and development that would tion and real-world application led to a
lead to increased prosperity. Later, first- critical reexamination of the assumptions
generation policy prescriptions informed underlying policymaking based on neo
the economic stabilization and structural classical economics. Scholars and prac
adjustment programs that were initiated in titioners initially focused on the role and
many countries during the 1980s. Stabili capacity of the state as the missing variable
zation reforms focused on staunching fis set, neoclassical approaches having as
cal deficits, reducing balance of payments, sumed that (a) governments are interested
and bringing down inflation rates. Struc in maximizing welfare for all citizens
tural adjustment followed by realigning ex (the “benevolent” state), and (b) govern
change rates, modifying trade regimes, re ments have sufficient administrative ca
ducing subsidies, changing tax policies, pacity to implement policy choices effec
Integrating Institutions Into Policy Decisions | 83
tively. Calling these assumptions into phasize how incentive patterns are a func
question opened the door for the inclusion tion of underlying political objectives and
of politics and institutions as categories of interest group interactions, thus explaining
inquiry in policy analysis and design and why governments often appear bent on
led to the next generation of analytic ap pursuing economically irrational policies.
proaches. The state, political economists hold, is cap
tured by interlocking circles of economic
and political elites. From the perspective of
POLITICS AND INSTITUTIONS small farmers or local businesses, for ex
ample, the average developing country gov
The second generation of policy analysis ernment, far from being benevolent, rep
approaches pays explicit attention to polit resents a “predator,” resource-extractive
ical and institutional considerations in de state whose policies add significantly to the
vising policy prescriptions to get countries costs of doing business. Among the contri
on a path to more sustainable socioeco butions of political economy to an exami
nomic development. Among the streams of nation of transaction costs are analyses of
investigation that form the theoretical ba these incentive structures in terms of the
sis for the second generation are the “new opportunities for rent-seeking or monopo
institutional economics,” the “new politi listic profits that they create, and how re
cal economy,” and the “new institution gimes use those opportunities to maintain
alism.” In the words of Oliver Williamson, support from their constituencies. Follow
“the new institutional economics is preoc ing this analytic tack, second-generation
cupied with the origins, incidence, and approaches target issues such as informa
ramifications of transaction costs.” Trans tion and transparency, civil service reform,
action costs emerge as a function of the in market reform, privatization, decentraliza
stitutions through which economic ex tion, corruption, and so on.
changes are mediated, with markets and The new element in the “new political
hierarchies forming the two ends of an in economy” refers to a recognition that de
stitutional continuum. By ordering dif veloping country governments are neither
fering patterns of transaction costs, these wholly predatory nor totally devoted to
institutions, which encompass a broad self-aggrandizement at the expense of pur
range of rules that constrain behaviors suing policies that yield some set of wider
(e.g., market regulations, organizational benefits to citizens. This modified analytic
procedures, property rights, and cultural framework recognizes the “perspective of
norms), influence various actors’ incen public choice theorists (all predatory, no
tives to enter into economic transactions or productive activities) and the conventional
not. Thus economic efficiency is, if not in welfare economics perspective (all produc
stitutionally determined, at least institu tive, no predatory activities) as two special
tionally influenced to an important degree. cases.” Reality lies somewhere in between,
Efforts directed toward the reduction of which leaves the door open for sincere in
transaction costs by moving toward the terest in pursuing beneficial policy goals
market end of the continuum constitute a and altruistic behavior. As Lewis (1989)
significant portion of the policy prescrip states, there are “instances of government
tions advanced in the economic stabiliza decision and action that appear to have
tion and adjustment packages currently be been driven neither by class nor by self-
ing pursued in many developing countries. seeking but by the actors’ notions of the
Political economy analyses place the im public interest (p. 69).” This modification
pacts of political variables at the center of is important for policy analysis tools be
explanations of policy outcomes. They em cause it allows for the possibility that deci
sion makers might be interested in using have and one that operates effectively at
the results of policy analysis to achieve es multiple levels in what Ostrom and oth
poused policy goals. It places a premium on ers refer to as “polycentric institutional
understanding the institutions involved in arrangements.”
a particular policy situation and the incen
tives they create.
The “new institutionalism” emerges POLICY DIALOGUE AND
from the confluence of the new institu REFORM EXPERIENCE
tional economics, the new political econ
omy, and other social science disciplines. The third generation of policy analysis ap
This broad stream combines a variety of proaches responds to the lessons learned
perspectives: organizational studies, pub from the policy dialogue and reform expe
lic administration, anthropology, political rience of the last decade. The policy pre
science, and the progressively expanding scriptions and targets remain in large part
scope of economics within the new institu the same, but how they are arrived at and
tional economics paradigm. Among their implemented has changed, as well as ideas
contributions is an increased understand about who should take the lead on design
ing of the factors that are critical to match and implementation. Building on the pre
ing institutional arrangements with policy vious two generations, third-generation
choices and service delivery modes in vari techniques reframe policy analysis and de
ous sectors to deal effectively with the in sign as a process, rather than simply a
stitutional problems those policy regimes product. This shift means that policies are
pose (e.g., free-riding, corruption, infor not treated as machines amenable to de
mation asymmetries, uncertainty of out tailed specification at the formulation
comes, and so on). stage according to precise technical crite
Within this multidisciplinary stream is a ria. Rather, they are seen as dynamic com
focus on the institutional capacity ques binations of purposes, rules, actions, re
tion. Institutional analysis approaches sources, incentives, and behaviors leading
have undergone their own evolution within to outcomes that can only imperfectly be
the larger category of development policy predicted or controlled. Third-generation
analysis, and since the discovery of the policy analysis recognizes the complex in
“implementation gap” in the mid-to-late teractions among policy statutes, target
1970s, they have occupied an increasingly populations, implementors, and socio
center-stage position in policy analysis and political environments. It also recognizes
formulation. As a result, most policy re that the process perspective on policies and
form and program packages include an in programs makes the separation of design
stitutional development component that and implementation less distinct.
seeks to build institutional capacity of one Third-generation approaches use the
sort or another: for example, in policy concepts and methods of the previous gen
analysis, management and implementa erations in addressing the technical content
tion, monitoring and evaluation, or non of economic and sectoral policies at the for
governmental organizations. The emphasis mulation stage in selecting among alterna
on institutional capacity for policy reform tive policy options. These concepts are also
reflects the realization that while liberaliz helpful in monitoring and evaluating pol
ing the economy may call for a smaller, less icy outcomes and impacts. The process per
interventionist state, the tasks of effectively spective, however, calls for an additional
fulfilling governmental functions in sup set of tools that incorporates social and in
port of a market economy require a stron stitutional factors more centrally into tech
ger state than most developing countries nical policy alternatives. Further, it sug
Integrating Institutions Into Policy Decisions | 85
gests that policy analysis is more useful simply in the donor agency financing the
to policymakers in helping to guide policy package. The implications for policy analy
development as it unfolds, rather than in sis concepts and methods are
choosing among competing policies prior
to selection and implementation. Weiss
1. a need for better understanding of the in
(1989) identifies four ways that analysis
ner workings of institutional variables in
can offer such guidance during the policy
the policy process,
process: (a) support for the appropriate
ness of a preexisting policy direction, (b) 2. an analytic focus that integrates imple
warning that a problem exists, (c) propos mentation more effectively into the policy
ing of alternative solutions, and (d) enlight cycle,
enment through new analytic constructs or
3. an emphasis on helping policymakers and
approaches. Although she is writing about
their designates to monitor and manage
the United States, her taxonomy fits other
the implementation process more strate
countries’ policy situations as well. As
gically.
Horowitz (1989) argues, the policy process
in developing countries reflects a pattern of
characteristic features that in many cases
are quite similar to those in the U.S. policy REFERENCES
cycle.
Thus, instead of identifying “first-best”
ideal solutions a priori, the process per Horowitz, D. L. (1989). “Is There a Third
spective highlights the importance of World Policy Process?” Policy Sciences 22
iteratively developing “second- or third- (2): 197-212.
best” answers that stakeholders can agree Lewis, J. P. (1989). “Government and National
on over the life of the policy. It also empha Economic Development.” Daedulus 118(1):
sizes that the key players who need to mas 69-83.
ter policy analysis and management tech Weiss, C. H. (1989). “Congressional Commit
niques, and learn from experience, reside tees as Users of Analysis.” Journal of Policy
in the country pursuing the reforms, not Analysis and Management 8(3): 411-431.
CHAPTER 13
Public and Private Sectors for
Administering Public Functions
A broad-level issue in the discussion

of public policy (at least since an
cient times) has been the division of
labor between the government and private
enterprise in administering societal activi
vate (business) sector. This part provides
examples of good and bad public and pri
vate administration to show that whether
public or private administration is most
appropriate depends on many pragmatic
ties. This is partly the traditional issue of circumstances and cannot be resolved by
socialism (or collectivism) versus capital ideological dogma. The second part of
ism (or individualism). Until recently, the this chapter is concerned with alternative
debate focused on who should own the ma forms of public involvement and with de
jor means of production and distribution. veloping criteria for deciding among the
The contemporary debate tends to place alternative forms, which include total non
more emphasis on how the government involvement, government subsidies, pri
and public policy should stimulate either vate litigation, regulation, and govern
public or business administrators to be ment ownership in the order of degree of
more productive for the good of society. involvement.
This chapter is concerned with who should This chapter is also concerned with (a)
administer public or societal activities, re relations between the public-private con
gardless of who has ownership rights. troversy and various policy problems, (b)
This chapter is divided into two main trends in the public-private controversy,
parts. The first deals with developing crite and (c) relations with the socialism-capital
ria to decide who should administer public ism controversy. The overall conclusion
functions—the public (government) or pri emphasizes the need for resolving public
EDITOR’S NOTE: This chapter is adapted from material in “Coordinating Public and Private Sectors” in Stuart
Nagel, Higher Goals for America: Doing Better Than the Best (Lanham, MD: University Press of America, 1989). It
also contains material from Stuart Nagel, Combining Capitalism, Socialism, and Democracy (Huntington, NY:
Nova Science, 2001). It is Volume 2 in the Handbook of Win-Win Economics (Huntington, NY: Nova Science,
2001). It has been translated into Russian under the coauthorship of Vladimir Rukavishnikov and Stuart Nagel,
Combining Capitalism, Socialism, and Democracy: Public Policy in Russia and the USA (Moscow: Letni Said,
1999).
87
private controversies in terms of individual that houses of ill repute should not be pro
situations but with the use of general vided either by the government or by the
evaluative criteria. private sector. This does not mean that peo
ple are in favor of police crackdowns on
nonobtrusive, one-on-one prostitution.
WHAT IS A PUBLIC FUNCTION? The issue regarding houses of ill repute in
the United States is not whether such
Before discussing who should administer houses should be government institutions
public functions, it seems appropriate to or private businesses but whether they
discuss what a public function is. A public should be provided to people at all. The an
function is an activity that a majority or swer is generally no, except in Nevada and
substantial number of the people in a soci possibly a few other places. On this matter,
ety agree needs to be provided on a collec it is up to each individual to make his or her
tive basis rather than on an individual ba own arrangements to buy, sell, or other
sis. An example is having an army to wise obtain sex without expecting society
defend the society from attack. This can be to provide either government or private-
contrasted to having each individual citi enterprise brothels. At one time, private-
zen own nuclear weapons so that he or she enterprise brothels were quite popular,
can be the equivalent of a one-person army. but they have disappeared at least partly
That would be intolerable in terms of the because of such technological develop
danger that citizens would present to each ments as the telephone (which has facili
other. Having an army can also be con tated the call girl business) and the automo
trasted to requiring each individual to own bile (which has facilitated the streetwalker
a rifle and to be available on call to defend business).
the nation from nuclear attack or against a Between the national army (which is
conventional army. This would be a useless largely accepted) and the house of ill repute
defense force today, although it worked in (which is largely rejected), there are many
1775 at Lexington and Concord. activities that people believe a properly
Just because an activity such as having functioning society should provide. There
an army is determined to be a public or so may be disagreement, however, as to
cietal function does not mean that it has to whether they should be provided by gov
be administered by the government. There ernment or by a private enterprise. An ex
is no inherent reason why General Motors ample is airline service. All civilian pas
or Westinghouse could not be given a con senger airlines in the United States are
tract to hire an army and procure weapons privately owned. Virtually all passenger
to defend the United States. We do not re airlines elsewhere in the world are govern
sort to privatization with regard to having ment owned. It is possible to have a govern
an army because it is probably not cost- ment-owned airline that is managed by a
benefit effective. The cost would be far private managing company, although there
higher than what we could pay draftees or does not seem to be such an airline in exist
even semipatriotic volunteers. The benefits ence. Other examples of societal activities
of successful combat would also be less be that are sometimes government owned and
cause mercenaries are less likely to sacrifice sometimes privately owned include electric
their lives than soldiers imbued with saving power companies, telephone companies,
their country. and steel mills but seldom garden plots,
Having a national army may be the most small retail operations, or services such as
widely accepted public function. At the op barbering.
posite extreme might be an activity such as An interesting new phenomenon is the
having houses of ill repute. Most people, at government-owned facility that is pri
least in American society, seem to believe vately managed. This is the case with some
Public and Private Sectors | 89
prisons in the United States. The govern From these examples, we should be able to
ment owns the prison, but it gives a con derive some general principles or criteria
tract to a private company to hire manage for deciding who should administer public
ment personnel and guards to administer functions.
the prison. It is also the case that some pub
lic housing projects are owned by the gov
ernment but managed by a private real es Example of Good Public and
tate management company. The opposite Bad Private Administration
situation can also occur, in which a pri
vately owned facility is operated by the Legal services for the poor are an exam
government. An example is a privately ple in which public administration has
owned apartment building that the govern been reasonably effective, efficient, and eq
ment rents and manages for use as a public uitable in comparison to private adminis
housing project. Likewise, there can also tration. In this context, public legal ser
be a situation in which a building that con vices refer to the Legal Services Program
sists of nothing but government offices and of the Office of Economic Opportunity
government administrators is owned and (OEO), which was established in 1965 and
leased by a private landlord. followed by the Legal Services Corporation
Thus, we can classify activities in terms (LSC) in 1976. Private legal services for the
of whether people consider them essential poor refer to the charitable legal aid pro
to properly functioning society or either grams that existed prior to 1965 and cur
nonessential or detrimental. We can then rently operate to a lesser extent, along with
classify the ones that are considered essen proposed government reimbursement pro
tial public functions into those that are or grams such as Medicare and Medicaid.
should be provided by the government and Quantity of cases processed and quan
those that are or should be provided by pri tity won are measures of effectiveness in
vate enterprise. We can further subclassify this area. Prior to 1965, legal aid programs
the government-provided functions into in midsized cities such as Champaign-
those in which government employees do Urbana handled only a small quantity of
the providing and those in which the gov cases compared to the large quantity subse
ernment hires a private entity to do the pro quently handled by the Legal Services Pro
viding. We can likewise subclassify the gram. In 1964 and 1965, the Champaign
private-enterprise activities into those that County Legal Aid Program handled 50 and
have no government involvement at all and 49 cases, respectively. In 1966, the Cham
those in which there is government involve paign County Legal Services Program han
ment in the form of subsidies, liability dled approximately 100 cases every month
rules, regulation, or a combination of all and successfully closed them through ad
three forms of government involvement. vice, negotiation, or sometimes litigation.
The reasons for the increased effectiveness
included (a) maintaining a regular location
WHO SHOULD ADMINISTER rather than the use of volunteers scattered
PUBLIC FUNCTIONS? throughout the city; (b) publicizing the
availability of legal services; (c) establish
To answer the question of who should ad ing trust with poor people, including mili
minister public functions, it is helpful to tant poor people; (d) specializing and ac
describe some examples in which public quiring expertise in poverty law problems;
administration is generally recognized as and (e) having some federal funds available
being more successful and some examples for facilities, equipment, and salaries. One
in which it is generally recognized as being should also note that the cases handled by
less successful than private administration. full-time salaried Legal Services lawyers
tend to be more important precedents than terms of objective poverty guidelines and
the more routine cases handled by tradi procedural due process whereby those who
tional legal aid or Judicare systems. believe that they have been wrongly denied
Regarding efficiency, meaning cost sav legal services can have a meaningful proce
ing, one would think that legal aid volun dure to voice their complaints and obtain a
teers would be more efficient. They do save hearing. The salaried Legal Services Pro
the taxpayer money, but they do not neces gram also serves as a liberal symbol of con
sarily save society money. An example of cern for the legal rights of the poor and as a
their wastefulness is that they had lawyers conservative symbol designed to promote
go to the county courthouse every Saturday respect for the legal system.
morning to wait for poor people to show There are those who object to legal ser
up with legal problems. Many mornings vices for the poor on the grounds that it dis
were spent with virtually no clients, given rupts landlords and merchants, takes cases
the low visibility and acceptability of the away from other lawyers, or supports radi
program among poor people. The Legal cal causes. In the 20 years of federal legal
Services Program, on the other hand, has services, however, there have been no scan
been able to employ competent attorneys dals regarding padded bills or services
at low wages partly by drawing on their charged that were not provided. This is in
idealism, although there is a high turnover sharp contrast to the Medicare and Medi
rate. Contracting legal services out under a caid system of private medical services for
Judicare system analogous to Medicare is the poor, which has had numerous scandals
far more expensive. Judicare has been re involving doctors, nursing homes, pharma
jected for both civil and criminal cases in cists, dentists, and other health-care pro
favor of less expensive public defenders viders. This is one reason why the Reagan
and LSC attorneys who operate on rela administration advocated a volunteer pro
tively low salaries rather than relatively gram to provide legal services to the poor
high case-by-case fees. rather than a Judicare program with gov
Regarding equity, the traditional legal ernment reimbursement to private sector
aid programs were not very evenly geo lawyers.
graphically distributed. They tended to ex
ist only in large cities and only in down
town areas. They were not as available to Example of Good Private and
the rural poor or even to the urban poor Bad Public Administration
who did not go to the downtown area. The
OEO and the LSC have prided themselves Housing for the poor is an example in
on their neighborhood law offices that which the private sector has been reason
reach out to poor neighborhoods and also ably effective, efficient, and equitable in
on their rural legal services. The LSC can be comparison to public administration. In
found in white Appalachia, Indian reserva this context, public housing means govern
tions, black ghettos, Hispanic barrios, the ment-owned and -operated housing pro
rural south, and the rural north. jects for the poor. Private housing means
In addition to performing better on cri rent subsidies to the private sector to en
teria of effectiveness, efficiency, and equity, able the private sector to provide housing
the government-provided program of legal for low-income tenants.
services for the poor also performs better Regarding effectiveness, public housing
on political criteria, including public par has been a failure compared to rent supple
ticipation by members of the poor com ment programs. There has been little in
munity, members of the bar, and public of crease in the quantity of public housing in
ficials. This also includes predictability the United States since approximately
regarding qualification requirements in 1970. In fact, there have been some dra
matic decreases, such as the destruction of housing projects have traditionally been
the Pruitt-Igoe Homes in St. Louis. They managed. This is in contrast to the greater
were considered bankrupt in the sense of dignity associated with rent supplements.
consistently costing more to maintain than The rent supplement program also serves
the monetary or nonmonetary benefits as a liberal symbol of doing something im
could justify. On the other hand, the pri portant for the poor while being a conser
vate sector is willing to make available al vative symbol of the meaningfulness of pri
most unlimited housing to the poor as long vate sector property.
as poor people with rent supplements can It is relevant to note that although rent
pay the rent. supplements are an example of good pri
Regarding efficiency, public housing vate administration of a societal function,
projects have been extremely expensive per this is not the case with the mortgage sup
dwelling unit. They were originally de plement program of the early 1970s. This
signed to save money by being high-rises, program involved the federal government
which decrease land costs, enable every in making funds available for poor people
floor to also be a ceiling, and allow for to buy homes through private real estate
many common walls. The lack of more in agents rather than through Department of
dividualized dwelling units, however, re Housing and Urban Development (HUD)
sulted in a lack of sense of ownership or employees or other public administrators.
even possession, which led to vandalism The privately administered program be
and the failure to report it. Rent supple came a scandal, worse than used-car fraud
ments, on the other hand, save money in or the Medicare and Medicaid frauds. Real
such ways as (a) avoiding the initial build estate agents failed to inform low-income
ing cost by using existing housing stock; buyers of the maintenance costs of bad
(b) encouraging better care of property, heating, plumbing, and electrical systems.
thereby lowering maintenance costs that Trying to meet these costs frequently inter
might otherwise require higher rent supple fered with the ability to pay even the low
ments; and (c) increasing self-pride and mortgage payments. As a result, fore
ambition, which lower the costs of welfare closures were frequent, analogous to used-
and crime. car repossessions but with the federal gov
Regarding equity, public housing has re ernment making good on whatever was
sulted in discrimination against poor owed. The greed factor became so great
whites and segregation of poor blacks. that it was not enough to collect two or
Whites have in effect been discriminated three times on the same house through
against as a result of public housing pro foreclosures. Assessors were bribed to in
jects being located disproportionately in flate the value of the houses to further in
black neighborhoods in which the projects crease what was collected. The program
have frequently become all black. Rent was soon abandoned, even though it began
supplements, on the other hand, are as with strong liberal and conservative sup
available to poor whites as they are to poor port and might have succeeded if it had
blacks. Also important is the fact that rent been administered by salaried government
supplements can easily lead to racial and employees rather than by private real estate
class integration, whereas large housing agents operating on commissions.
projects are not easily absorbed into white
or middle-class neighborhoods.
Public housing also performs poorly Criteria for Who Should
with regard to the political values of public Administer Public Functions
participation, predictable rules, and proce
dural due process in view of the authoritar In view of these examples, the most ob
ian and arbitrary manner in which public vious criteria for administration of public
functions relate to the three E’s, the three important criterion is probably effective
P’s, and political feasibility, which is closely ness, followed by efficiency, equity, and the
related to liberal and conservative sym three P’s. Political feasibility is more a con
bols. These criteria are as follows: straint than a criterion. Without it, a pro
gram cannot be adopted or continue, re
Effectiveness relates to how well public ver gardless of how well it scores on the other
sus private administration achieves the criteria.
basic public function (e.g., providing legal A key point is that there is nothing in
services for the poor or housing for the herent in a publicly or privately adminis
poor). tered program that makes it likely to be
more or less effective or efficient. One has
Efficiency relates to keeping the cost per unit
to analyze each public function separately.
low. It is normally less expensive to pay
Legal services programs for the poor oper
salaried government employees than inde
ate better in government hands, but hous
pendent contractors who charge on a per
ing programs for the poor operate better
item basis. Substantial cost can be saved,
largely in the private sector. Note, however,
however, by relying on existing private
that in both cases government money is
sector facilities.
needed to make the programs successful
Equity normally favors government adminis because the low-income beneficiaries or
tration because it is usually not profitable charities cannot afford to sufficiently sup
for the private sector to be concerned with port either program. The main reason that
equitable distribution of services and legal services programs operate better in
products rather than distribution in terms government hands is because there are not
of where money can be made. Special cir enough volunteer attorneys to do the work
cumstances, however, may make a mar needed, and paying for individual cases is
ketplace solution more equitable across too expensive. The main reason that rental
race and class, as in the case of housing for housing programs operate better in private
the poor. hands is because there is plenty of private
Public participation, if it is an important housing available, and the rent supple
goal, is more likely to be provided by gov ments are actually less expensive than
ernment agencies than by private firms. providing comparable housing through
Predictable rules and procedural due process government-owned and -operated projects.
are also more likely to be provided by gov
ernment agencies that have constitutional
obligations to do so than by the private ALTERNATIVE FORMS OF
sector. PUBLIC INVOLVEMENT
Political feasibility from liberal and con
servative perspectives is important. If a There are five major forms of public in
program is liked by both liberals and con volvement in the administration of public
servatives, it is likely to be a success. The functions:
Legal Services Program is liked by both
liberal and conservative lawyers, al Total noninvolvement is not a form of in
though not necessarily for the same rea volvement, but it is important to include it
sons. Public housing projects are disliked in the list of possibilities. It largely means
by both liberals and conservatives, al leaving the provision of the public func
though again not necessarily for the same tion up to the private marketplace, with
reasons. no government subsidies, liability rules,
or regulation.
This list of criteria is arranged approxi Government subsidies or contracting out are
mately in order of importance. The most ways of getting the marketplace to do
what is considered socially desirable but ment ownership of a factory, park, or

for which the ordinary income and ex school with a private firm are hired to run
pense incentives are insufficient or nonex it is possible.
istent. An example is subsidizing the
adoption of antipollution equipment that
would otherwise be too expensive for
Examples of All Forms
businesses or municipalities and would
Operating in the Same Industry
not produce any increased income. An
other example is paying for the retooling
of the auto or the steel industry through In almost any industry, all five forms
special tax breaks that could include to of public involvement operate simultane
tally forgoing taxes to the extent of the ously. This is true of such basic industries
cost of retooling. Such a subsidy may be as food, shelter, clothing, police protection,
necessary when the stock and bond mar and garbage collection. To obtain insights
ket is not willing to provide the capital for for developing criteria to decide among the
a large, risky venture that may take years five forms, we can randomly pick three in
to pay off. dustries in which to observe all five forms
in operation, and especially to observe in
Private litigation involves the establishment
what circumstances one form rather than
of liability rules by the government and
another is used.
the authorizing of courts or quasi-judicial
agencies to grant hearings and court or
ders concerning alleged violations. Pri
vate litigation could be subsidized by rules Air Transportation
that require the losing defendant to pay
the lawyer costs of the plaintiff. In the air travel industry, doing nothing
has in recent years been effective for lower
Regulation means establishing rules concern
ing prices. The best way to have low prices
ing how the private sector is to behave in
is to have vigorous competition, which
areas such as occupational health and
may occur without subsidies, litigation,
safety, environmental protection, equal
regulation, or ownership. Subsidies, how
employment opportunity, labor-manage
ever, are important when an industry is
ment relations, and other fields covered
new or being retooled. For example, the
by the regulatory agencies. A difference
airmail industry required expensive subsi
between regulation and private litigation
dies in its early years to literally get off the
is that under regulation the government
ground.
brings the legal action against violators. A
Litigation can often be helpful for de
difference between regulations and subsi
creasing abusive practices, as in the case of
dies is that regulations are backed by neg
suing asbestos manufacturing companies
ative sanctions, such as injunctions, fines,
for abusing workers. This has not been nec
and jail sentences, whereas subsidies are
essary in the air travel industry because an
rewards or reimbursements for doing
airline that has more than a few accidents is
right as opposed to punishments for doing
likely to go bankrupt, be taken over, or
wrong.
change its name for lack of customers.
Government ownership is the ultimate in Class-action lawsuits with regard to
public or government involvement. This overbooking may be an example of chang
is what is usually meant by govern ing the behavior of the airlines through liti
ment administration. The Legal Services gation, but regulation of overbooking by
Program, however, involves government the Civil Aeronautics Board and by the De
administration generally with no govern partment of Transportation has been more
ment-owned facilities. Likewise, govern effective.
Regulation is important in the air travel of the federal air pollution legislation of the
industry for licensing pilots and mechanics 1970s. The existence of the offer has al
and for inspecting planes. Airline regula ready served to stimulate manufacturers
tion illustrates two contrasting forms of and inventors to experiment more than
regulation, both of which label certain they otherwise would. A feasible electric
types of behavior as being undesirable, car has still not been developed because it
such as overworking workers. One form requires a storage battery that is currently
considers the behavior to be so undesirable too large for an ordinary car. The alterna
as to flatly prohibit it. This is the case with tives to driving with a long extension cord
pilots flying more than a certain number of or frequently stopping to recharge a bat
hours, which could jeopardize the safety of tery are not feasible.
the passengers. The second form considers An example of litigation as a regulatory
the behavior to be undesirable, but instead device in the automobile industry is the
of prohibition, the behavior is allowed to lawsuit against the Ford Pinto or the Chevy
occur but at an increased cost. This is the Chevette. The Pinto was discontinued due
case with overworking people at the ticket to lawsuits from people severely injured as
counter, who are required to be paid time a result of a gas tank that too easily ex
and a half for overtime but are not prohib ploded. The Chevette was also discontin
ited from working more than 40 hours a ued as a result of lawsuits that successfully
week. established that it could roll over too easily
Government ownership manifests itself compared to what one would expect from
in the air travel industry in the form of gov a normal car.
ernments owning all the airports through Regulation in the automobile industry is
out the country that handle major airlines illustrated by standards for decreasing pol
and large jets. The main reason seems to be lution exhaust. Without federal regula
that airport safety is too important and un tions, there would be little incentive for
profitable an activity to be left to the pri automobile manufacturers to institute pol
vate sector. lution devices or for auto users to buy
them. Regulation is also widespread with
regard to speed limits, stop signs, stop
Automobiles lights, and numerous rules of the road that
make driving probably the most regulated
Doing nothing or having a laissez-faire of all activities.
government policy is useful for obtaining Government ownership is present in the
low auto prices in the context of interna field of auto transportation because virtu
tional competition. One of the main rea ally all highways and streets are owned by
sons for low auto prices in the United federal, state, or local governments. The
States, or at least prices that are lower than days of private toll roads ended approxi
they otherwise would be, is competition mately 200 years ago. Even the strongest
from Japan, West Germany, and elsewhere. conservatives do not seem to advocate a re
One of the main ways of adversely interfer turn to privately owned highways sup
ing with these low prices is for the govern ported by tolls paid to private landlords,
ment to institute tariffs, import quotas, or with a different landlord approximately
other policies that will lessen the interna every 100 yards.
tional competition.
An example of a government subsidy in
the automobile industry that someday may Telecommunications
pay off is the government’s offer to buy a
huge quantity of electric cars from any The policy of leaving matters to a com
manufacturer who can develop an inex petitive marketplace has been very effec
pensive, feasible version. This offer is part tive in reducing prices for long-distance
calling. The cost of long-distance tele space has become an international and ex
phone calls is one of the few items that has traterrestrial matter by virtue of the
decreased throughout the years despite in competition to locate communications sat
flation. One can now call anywhere in the ellites in prime areas in space. Leaving
United States during off hours for approxi these location problems to individualistic
mately $7 an hour, which is substantially solutions could result in countries shooting
less than it cost 10 years ago. Also, service down the communications satellites of
is faster due to direct-distance dialing to al other countries. This would not be as desir
most anywhere in the world. able as having meaningful criteria for allo
A good example of the role of govern cating scarce space, such as giving the less
ment subsidies in the telecommunications expensive, closer spaces to countries that
field is the development of communica have less ability to pay for the more expen
tions satellites. Developing them was far sive spaces that are farther away from the
too expensive and risky for private enter earth.
prise, especially because it also meant de Government ownership manifests itself
veloping the rockets to boost the satellites in telecommunications mainly in the form
into orbit. The advent of communications of some publicly owned TV and radio sta
satellites has made it possible for the mod tions. In the United States, these are usually
ern equivalent of Dr. Livingstone to phone owned by state universities or public cor
home from Malawi to Scotland in a matter porations that rely on tax support, contri
of seconds rather than have to wait for Dr. butions, and foundation grants. These
Stanley to spend a year finding him. Com publicly owned stations provide program
munications satellites also make it possible ming that may be considered intellectually
for the whole world to watch popular and culturally desirable but not sufficiently
American TV shows simultaneously. commercially profitable. Such program
Litigation has been important in the ming is even more prevalent in Europe and
telecommunications industry, but not to elsewhere. Like government-owned air
enable people to sue for damages for per ports and roads, government-owned edu
sonal injuries. Instead, litigation has en cational TV stations (along with all the
abled business firms such as phone equip commercial ones) seem to be accepted even
ment manufacturers and long-distance by conservatives who recognize the social
resellers to successfully sue AT&T for anti istic nature of a government-owned TV
trust violations. These lawsuits have made station. It is interesting that conservative
possible the competition that has reduced William Buckley does most of his broad
the price of phone equipment and long- casting on government-owned TV stations.
distance calling.
An example of regulation in the tele
communications field that many people CRITERIA FOR DECIDING
consider desirable is the licensing of prime AMONG THE FIVE FORMS
channels to radio and TV stations so as to
rationally allocate the scarce space. One From the previously discussed examples,
criterion used in awarding licenses is one can generalize some principles regard
whether the station will provide opportu ing when noninvolvement, subsidies, liti
nities for minority viewpoints to be heard gation, regulation, or government owner
and will give equal time to political candi ship might be best. Noninvolvement works
dates when their opponents have been best when the industry is highly competi
given free time. Liberals support this kind tive, and competition is likely to achieve
of criterion. Conservatives support criteria socially desired behavior. This is espe
that state that licensees must not un cially true regarding the pricing of prod
duly engage in obscenity. It is interesting to ucts because competition capitalism lowers
note that the rationing of communications prices. This is not the case regarding such
matters as environmental protection, oc sional intentional wrongdoing. It is not

cupational health and safety, or equal em very effective in changing the behavior of
ployment opportunity. In fact, competition business firms unless it becomes very ex
is likely to hurt the achievement of these pensive to them. Otherwise, the expense of
societal goals. If competition is high, busi paying damages may be substantially less
ness firms may cut back on antipollution than the expense of changing their behav
devices, safety devices, and affirmative- ior. When a class action involves many in
action programs because they may involve jured people, litigation awards can be quite
extra expense that the firms cannot afford. expensive. Litigation has been more impor
Sometimes, competition is not furthered tant in promoting safer cars than safer air
by noninvolvement because the formerly planes because an unsafe airplane that
competing firms may conspire to fix prices crashes generates a major news story that
or may engage in mergers that result in too decreases consumer purchases of that air
few firms to be competitive. In these cir line’s services. An unsafe car does not gen
cumstances, antitrust litigation or regula erate major news, but a few million-dollar
tion may be needed to supplement non damage suits can do so. Litigation can also
involvement to promote competition for be more effective if the legislatures or
the benefit of consumers. The firms may courts establish rules of strict liability or
also benefit from competition by virtue of no-fault liability. The plaintiff then merely
increased sales due to lower prices, but es has to show that the defendant’s product
pecially by virtue of the stimulus it pro was a factor in the accident and not that the
vides for innovations, including those that defendant acted negligently. Antitrust liti
increase profits. gation is a special form of litigation sepa
Subsidies are important when society rate from personal injury litigation, but it is
wants business firms to provide unprofit often highly effective in changing behavior
able services to the poor, as in the cases of by restoring competition.
subsidies for the energy industry in the Regulation is most meaningful when
form of energy purchase supplements or there are serious problems present and
for the housing industry in the form of rent competition, subsidies, or litigation do not
supplements. Subsidies may also be needed seem as meaningful. This is the case when
when innovation is too expensive for pri we are interested in preventing serious
vate industry to undertake, as in the cases accidents before they occur rather than
of communications satellites, the develop compensating people or bankrupting a
ment of nuclear energy, and the develop company afterwards. Thus, we flatly pro
ment of the airplane industry. The fields hibit certain unsafe practices regarding pi
that were mentioned as not being especially lots, airplanes, toxic chemicals, and drunk
relevant to competition, such as pollution, driving. Regulation is also especially ap
workplace safety, and equal opportunity, propriate when there are scarce resources
could be handled by subsidies. This might to be allocated, such as food rations in war
meet with political opposition on the time, prime channels on radio or TV, or
grounds that business firms should not be possibly gasoline during an energy short
subsidized to do the right thing. Such subsi age. The alternative would be to allow the
dies would be analogous to paying them highest bidder to have the food, prime
not to commit crimes. It should be noted channels, or gasoline, which society might
that subsidies in the form of tax breaks are consider to be an inequitable solution.
more politically acceptable than subsidies Regulation is also important when certain
in the form of outright cash gifts, with low- forms of business behavior are socially de
interest loans in between. sired but the marketplace provides no
Litigation may help individuals to ob income-receiving or expense-avoiding in
tain compensation for negligence and occa centives to behave accordingly and society
does not want to buy the behavior through phone companies, and electric companies
subsidies. to rent their infrastructures at high prices
The main explanation or justification to competing companies.
for government ownership in a basically This is a win-win solution for (a) busi
free-enterprise society is that there are cer ness consumers, who get cheaper com
tain services that society wants to have per petitive rates and better quality service; (b)
formed but that private enterprise finds too railroad passengers and residential con
unprofitable to provide. This includes sumers, who similarly benefit; (c) compet
much of what were formerly thought to be ing railroads, telephone companies, and
natural monopolies, including railroads electric companies, which can make a
because it was thought to be unnatural to profit even with the high rents they pay;
have competing railroad tracks. It also in and (d) the previous monopolistic compa
cludes telephone companies and electricity nies, which now make more money renting
companies because it was thought to be un their infrastructures than they formerly did
natural to have competing telephone lines selling railroad, telephone, or electricity
or electrical lines parallel to each other. We service. These benefits are as true of public
are now in the process of moving toward sector monopolies as they are of private
requiring monopolistic railroads, tele sector monopolies.
CHAPTER 14
Sherman the Shark on
Policy Evaluation
DIALOGUE BETWEEN TWELVE CONCLUSIONS

SHERMAN THE SHARK
AND FILLMORE 1. A large part of spreadsheet analysis and
other statistical analysis is just mindless
Fillmore: What do you want on your pizza, numerology.
pepperoni or sausage?
2. Flipping a coin or randomizing one’s
Sherman: That’s just the kind of multi
moves is frequently recommended in
variable problem that’s perfect for a com
game theory and mathematical model
puter spreadsheet.
ing. Admitting to such an approach
Fillmore: Oh no . . . not another spreadsheet. would result in a juror being held in con
Sherman: Let’s quantify our parameters. On a tempt and a legislator or CEO being re
scale from 1 to 10, rate your ingredients. placed. Even a monkey can flip a coin,
Fillmore: Pepperoni 8, sausage 3. and an amoeba can randomly turn left
or right.
Sherman: I’ll give sausage a 7, pepperoni a 4.
Now let’s divide by our respective weights, 3. A win-win solution might be to give Fill
do a little formatting. . . . Presto, the answer more an extra-large pizza with 8/11 pep
is 48. peroni and 3/11 sausage and to give
Fillmore: 48? What’s that supposed to Sherman an extra-large pizza with 4/11
mean? pepperoni and 7/11 sausage. That way,
they both get more of everything in the
Sherman: It means 48. You can’t argue with a
right proportions, probably beyond
number, Fillmore.
their initial best expectations.
Fillmore: But how does this result get us any
4. The only implicit goal here is taste. Per
closer to a decision?
haps they might also want to consider
Sherman: Oh my God . . . let’s flip a coin. cost, healthfulness, speed, and other
Fillmore: Heads we get pepperoni. goals.
99
5. The only explicit alternative being con scale, especially if the scores on different
sidered for achieving satisfaction is criteria will be combined. If, however,
whether to order a pepperoni pizza (the the results are the same or still win-win,
conservative or No. 1 alternative) or a then the results are independent of the
sausage pizza (the liberal or No. 2 alter measurement method, and this issue be
native). Perhaps they should also con comes irrelevant, as it often does.
sider (a) what drinks to order, (b) de
9. If the budget cannot provide for extra-
livery or pick-up, (c) which restaurant,
large pizzas, then perhaps Sherman
and (d) other alternatives.
should be allowed his preference for the
6. By having multiple goals and multiple one pizza. Fillmore can be rewarded by
alternatives, one can more easily arrive getting to use Sherman’s computer. On
at win-win solutions in which every the other hand, perhaps Fillmore should
body wins something that is important be allowed his preference for the one
to them, the way everybody wins a de pizza. Sherman can then be rewarded by
sired prize at a well-coordinated birth getting some of Fillmore’s salvaged trea
day party. sure, including an old boot, a peg leg,
7. Thought can be given to expanding the and Titanic memorabilia.
budget. In this case, many pizzas (or 10. Appropriate computer analysis can
other things) could be ordered and stimulate ideas regarding how to com
frozen for future eating or immature bine in a win-win way opposing goals,
food fights. This is how the win-win alternatives, and relations.
concept of the expanded (pizza) pie may
have originated. 11. I personally prefer mushroom and ham
burger pizza with a thick crust and a gi
8. Perhaps there is a better way than us
ant mug of skim milk.
ing a 1 to 10 scale to relate the alterna
tives (pepperoni vs. sausage) to the goal 12. Additional conclusions are welcome on
(taste), such as a 1 to 5 or a 0 to 100 this and on all items I publish.
Part 4
POLICY
PROFESSIONALISM
CHAPTER 15
Productivity for Success
P revious articles in Policy Evaluation

have indicated that success as a so
cial scientist depends partly on (a)
getting one’s ideas published, (b) getting
funding, (c) obtaining a good first job, (d)
most relevant part of the article is the sec
tion on maximizing output. It makes the
following points:
1. Sleep less by conditioning yourself to get

networking, (e) exercising leadership, (f) along with less sleep and by taking short
avoiding abuses to which graduate stu naps.
dents have been known to be subject, and
2. Improve your reading speed and com
(g) being creative or being able to develop
prehension.
usefully innovative ideas. Creativity is es
pecially important because it cuts across 3. Do more work by dictating and less
the other six factors. work by writing or typing.
Creativity, however, needs to be supple 4. Take on commitments that stimulate
mented by productivity. In this context, getting work done.
productivity can be defined as the applied
5. Do work that is enjoyable, and you will
ability to get things done. Creativity may
be willing to do more of it.
not be worth much if the creative ideas can
not be implemented because the innovator 6. When you get behind, take on more
does not efficiently use his or her time. Per work. That will generally result in get
sonal productivity is thus closely associ ting more work done, and it will proba
ated with efficient time management. Na bly stimulate you to work faster on the
tional productivity is closely associated work on which you are behind.
with training, technology, competition, 7. Put in more hours, even though your
free trade, and stimulating public policy. output per hour decreases and you are
thus less efficient. Efficiency is generally
less important than total output.
MAXIMIZING OUTPUT 8. Delegation generally gets the work done
faster and also gets more work done.
In 1984, I wrote an article subtitled “Max Anything that improves both output
imizing Output in Decision-Making” for and speed is doubly desirable. Output,
the Public Administration Times. Most of however, is generally more important
it was reprinted in the autumn 1985 issue than speed or efficiency, although not
of the GAO Review of the General Ac necessarily more important than quality,
counting Office of Congress under the ti which may decrease as a result of exces
tle “Checklist for Decision-Making.” The sive or improper delegation.
103
104 | Policy Professionalism
9. Avoid distractions from the output on dependent on other people, however,

which you want to concentrate. Work rather than thinking for yourself.
ing with others or one other person can
3. Get a good night’s sleep and have a clear
be especially helpful in this regard in the
mind when making important decisions.
same way that members of an Alcoholics
Anonymous group keep each other from 4. List the advantages and disadvantages
being distracted by liquor. of each alternative.
10. Work in a conducive environment, 5. Do not be too cautious. Otherwise, op

which may also be confining so as to portunities will be missed. Also, do not
avoid negative distractions. be too reckless. Otherwise, resources
will be wasted.
11. Good output in terms of both quantity
and quality generally requires stimuli 6. Consider both the benefits and the costs,
for creativity, such as knowing one’s not just the benefits and not just the
subject matter, interacting with relevant costs.
others, and accepting commitments that 7. Have some goals in mind, and list them.
require creative output. 8. Do not confine yourself to deciding for
12. Think positively about your abilities to or against doing something or between
achieve desired outputs, and work on just two alternatives. Try to think of a
projects for which success reinforces variety of possible decisions.
positive thinking. 9. Try to determine the relation between
13. Minimize unproductive time, such as each reasonably possible decision and
commuting, television, and unproduc each goal. Indicate whether those rela
tive conversations. The best recreation is tions are favorable—that is, whether
to be involved in enjoyable productivity, they are beneficial relations or costly re
especially several kinds of enjoyable lations. Also indicate the rank order of
productivity. the relations or the degree of the rela
tions at least in verbal terms.
14. Develop situations in which one in
creases benefits and decreases costs for 10. Do not treat goals as if they are necessar
being productive and in which one in ily of equal value. Think about their rel
creases costs and decreases benefits for ative weights.
being unproductive. Do likewise to fa
vorably influence those on whom your For further details, see the following ref
productivity partly depends. erences:
Kendrick, John W., and John B. Kendrick. Per

sonal Productivity: How to Increase Your
EFFECTIVE DECISION MAKING
Satisfaction in Living. Armonk, NY: Sharpe,
1988.
In my article, a section on efficient and ef Lakein, Alan. How to Get Control of Your Life.
fective decision making makes the follow New York: Wyden, 1973.
ing points. Mattlin, Everett. Sleep Less Live More. Phila
delphia: J. B. Lippincott, 1979.
1. Know your subject matter. Be careful, McRae, Bradley C., ed. Practical Time Manage
however, to avoid unnecessarily post ment: How to Get More Things Done in
poning the making of decisions by using Less Time. Bellingham, WA: Self-Counsel
lack of information as an excuse. Press, 1988.
Winston, Stephanie. The Organized Executive:
2. Try your ideas on other people for their New Ways to Manage Time, Paper, and Peo
reactions. Avoid, however, becoming ple. New York: Warner Books, 1983.
CHAPTER 16
Professionalism Books
for Graduate Students and Others
T he professionalism books listed in

this chapter are applicable to all
fields of political science. The
books deal with the following five impor
tant topics, which are listed randomly:
5. Good books on chairing a department or
administering a program are also in
cluded.
1. Obtaining funding, including the funding

of dissertations: Virtually all funding
OBTAINING FUNDING
sources will fund dissertations if they are
innovative, useful, well planned, and well
endorsed. Carson, Jim. Winning Grants Step by Step: Sup
port Centers of America’s Complete Work
2. Publishing articles and books, including book for Planning, Developing, and Writing
while one is a graduate student: Prior Successful Proposals. San Francisco: Jossey-
graduate students have been multiple co Bass, 1995.
authors and coeditors of books. One
Mantegna, Anne. Guide to Federal Funding for
member of our department had acceptan
Social Scientists. Washington, DC: Ameri
ces from the American Political Science
can Political Science Association, 1990.
Association and other major political sci
Nagel, Stuart, and Marian Neef. Policy Grants
ence journals while a graduate student.
Directory. Urbana, IL: Policy Studies Orga
Motivation and inspiration are major fac
nization, 1977.
tors.
Schumacher, Dorin. Get Funded! A Practical
3. Obtaining jobs in Washington and else Guide for Scholars Seeking Research Sup
where: Publishing as a graduate student port From Business. Newbury Park, CA:
opens doors that otherwise are not open Sage, 1992.
to the competition. A good academic first
Szabo, Stephen. Research Support for Political
job also facilitates future publishing on an
Scientists: A Guide to Sources of Funds for
upward spiral.
Research Fellowships, Grant, and Con
4. Teaching is also included, but it is par tracts. Washington, DC: American Political
tially subject specific. Science Association, 1977.
105
GETTING PUBLISHED Bergerson, Peter. Teaching Public Policy: The

ory, Research, and Practice. Westport, CT:
Martin, Fenton, and Robert Goehlert. Political Greenwood, 1991.
Science Journal Information. Washington, Eble, Kenneth. Professors as Teachers. San
DC: American Political Science Association, Francisco: Jossey-Bass, 1972.
1990. Justman, Joseph, and Walter Mais. College
Nagel, Stuart, and Kathleen Burkholder. Policy Teaching: Its Practice and Its Potential. New
Publishers and Associations Directory. Ur York: Harper, 1956.
bana, IL: Policy Studies Organization, 1980. Meyers, Chet. Teaching Students to Think
Simon, Rita, and James Fyfe. Editors as Gate Critically: A Guide for Faculty in All Disci
Keepers: Getting Published in the Social Sci plines. San Francisco: Jossey-Bass, 1987.
ences. Lanham, MD: Rowman & Littlefield, Rothwell, Easton. The Importance of Teaching:
1994. A Memorandum to the New College
Wagner, John. Political and Social Science Jour Teacher. New Haven, CT: Hazen Founda
nals: A Handbook for Writers and Re tion, 1970.
viewers Santa Barbara, CA: ABC-CLIO, Shenson, Howard. How to Develop and Pro
1983. mote Successful Seminars and Workshops.
New York: John Wiley, 1990.
Weimer, Maryellen. Improving Your Class
OBTAINING JOBS room Teaching. Newbury Park, CA: Sage,
1993.
American Political Science Association, Direc
tory of Political Science Department Chair
persons (for developing mailing lists to send CHAIRING AND ADMINISTERING
materials, including a cover letter, vita, and
reference letters). See also Association for Nanus, Burt. Visionary Leadership. San Fran
Public Policy Analysis Management’s Mem cisco: Jossey-Bass, 1992.
bership Directory for writing to policy Schwarz, Roger. The Skilled Facilitator: Practi
schools. Letters from effective mentors are cal Wisdom for Developing Effective
highly recommended, but act on your own if Groups. San Francisco: Jossey-Bass, 1994.
such letters cannot be obtained. Tucker, Allan. Chairing the Academic Depart
American Political Science Association, Person ment: Leadership Among Peers. Washing
nel Newsletter. See also American Political ton, DC: American Council on Education,
Science Association, Public Administration 1981.
Times for policy jobs in universities and gov
ernment.
Caplow, Theodore, and Reece McGee. The Ac GENERAL AND NETWORKING
ademic Marketplace. New York: Basic
Books, 1958. The following general books also deal with
Mann, Thomas. Alternative Careers for Politi networking by joining, making contacts,
cal Scientists. Washington, DC: American and participating in conferences. Net
Political Science Association, 1976. working is important to increase one’s suc
cess in funding, publishing, obtaining jobs,
teaching, and chairing. Having something
TEACHING worthwhile to say, however, is more impor
tant than one’s communication system or
Bean, John. Engaging Ideas: The Professor’s packaging, but they are all important.
Guide to Integrating Writing, Critical
Thinking, and Active Learning in the Class Gaff, Sally, Conrad Festa, and Jerry Gaff. Pro
room. San Francisco: Jossey-Bass, 1996. fessional Development: A Guide to Re
Professionalism Books | 107
sources. New Rochelle, NY: Change Maga Oral Histories of a Discipline. Lexington:
zine Press, 1978. University Press of Kentucky, 1991.
Nagel, Stuart. The Policy-Studies Handbook. Dunn, William, and Rita Mae Kelly, eds. Ad
Lexington, MA: Lexington Books, 1980. vances in Policy Studies Since 1950. New
Nagel, Stuart, and Miriam Mills. Professional Brunswick, NJ: Transaction Books, 1992.
Developments in Policy Studies. Westport, Eulau, Heinz, and James March, eds. Political
CT: Greenwood, 1993. Science. Englewood Cliffs, NJ: Prentice
Sindermann, Carl. Winning the Games Scien Hall, 1969.
tists Play. New York: Plenum, 1982. Finifter, Ada, ed. Political Science: The State of
van den Berghe, Pierre. Academic Gamesman the Discipline. Washington, DC: American
ship: How to Make a Ph.D. Pay. New York: Political Science Association, 1983 (2d ed.,
Abelard-Schuman, 1970. 1993).
Zanna, Mark, and John Darley, eds. The Com Hyneman, Charles. The Study of Politics: The
plete Academic: A Practical Guide for the Present State of American Political Science.
Beginning Social Scientist. New York: Ran Champaign: University of Illinois Press,
dom House, 1987. 1959.
Nagel, Stuart, and Miriam Mills. Professional
Developments in Policy Studies. Westport,
THE POLITICAL SCIENCE CT: Greenwood, 1993.
PROFESSION Ricci, David. The Tragedy of Political Science:
Politics, Scholarship, and Democracy. New
New graduate students might find it Haven, CT: Yale University Press, 1984.
worthwhile to read such introductions to Somit, Albert, and Joseph Tanenhaus. Ameri
the political science profession as the can Political Science: A Profile of a Disci
books listed in this section. A profession pline. New York: Atherton, 1964.
can be defined as an income-producing ac Somit, Albert, and Joseph Tanenhaus. The De
tivity that requires (a) a special training velopment of Political Science: From Bur
program and credentialing; (b) jobs that re gess to Behavioralism. Boston: Allyn & Ba
fer to the profession in the job descriptions; con, 1967.
(c) organizations of people in the profes
sion who produce a literature of journals,
books, and conferences; and (d) an en
forced code of ethical behavior. These and TENURE ISSUES
other related subjects are discussed in the
following books, specifically in the context American Association of University Professors.
of political science. Defending Tenure: A Guide for Friends of
Academic Freedom. Washington, DC:
Almond, Gabriel A. A Discipline Divided: American Association of University Profes
Schools and Sects in Political Science. sors, 1997.
Newbury Park, CA: Sage, 1990. Eames, Patrica, and Thomas Hustoles, eds. Le
American Political Science Association. A gal Issues in Faculty Employment. Notre
Guide to Professional Ethics in Political Sci Dame, IN: National Association of College
ence. Washington, DC: American Political and University Attorneys, Notre Dame Law
Science Association, 1990. School, 1989.
Baer, Michael, Malcolm Jewell, and Lee Finkin, Matthew. The Case for Tenure. Ithaca,
Sigelman, eds. Political Science in America: NY: Cornell University Press, 1996.
CHAPTER 17
Survey on Running a
Policy Program
To: People Associated With Policy policy school or to typical faculty mem
Programs bers.)
From: PSO [Policy Studies 2. How do you recruit new faculty?
Organization] 3. How do you get funding for research,
Date: 05/17/01 teaching, and service projects?
Subject: Running a Policy Program
Criteria for Allocation
We would especially welcome whatever 1. What criteria do you use in deciding what
you can do in answering the enclosed open- to research?
ended items that relate to public policy 2. What criteria do you use in deciding what
teaching and schools. courses to teach?
We have been told by various deans and
3. What criteria do you use in deciding what
administrators that this kind of informa
public or professional service projects to
tion will be mutually helpful, even more so
encourage?
than exchanging catalog information or
dry statistics.
I shall be pleased to respond to any ques Past, Present, and Future
tions, comments, or suggestions you might 1. How did your school get started and/or
have. Please return to PSO Networking Di restarted?
rectories, 361 Lincoln Hall, University of
2. What are you presently implementing to
Illinois, Urbana, Illinois 61801.
make your school different from most
Thank you for your helpfulness. Best
other policy schools?
wishes for our related interests in seeing
political and social science applied to im 3. What approximately are your plans for
portant policy problems. the future?
Recruiting People and Funds The Three I’s

1. How do you recruit students? (On all 1. What is your school doing of an interna
questions, “you” refers to your public tional nature?
109
2. What is your school doing to have an im Miscellaneous

pact on public policy?
3. What is your school doing to involve inter What suggestions do you have for fol
disciplinary people and ideas from natu low-up subjects that you would like to see
ral science, philosophy, arts, communica covered?
tion, business, education, social work,
agriculture, and other disciplines?
CHAPTER 18
Academic Tyranny
1
The Tale and the Lessons
Robert Weissberg
University of Illinois, Urbana
I f an impartial Martian visited the typi

cal American university, he or she
would undoubtedly conclude that de
mocracy flourished. After all, do not ma
jority votes decide issues of consequence?
ment is undoubtedly overdrawn. After all,
the Martian is but a hurried tourist ill pre
pared to peek below the veneer and, more
important, unfamiliar with the odd, often
deceptive world of contemporary campus
Is it not true that representative bodies life. Stated sharply, today’s centers of
such as faculty senates abound? Is it not higher learning are more blemished than
true that thick rule books proclaim rule by superficial appearances suggest, and what
law and offer endless democratic pro often seems “democratic” is little more
tections? Conversations with all parties, than contrived public displays. To be sure,
from assistant professors to college presi a “People’s Republic of Harvard” remains
dents, would surely reveal great pride in in far distant, but as all the mounting imposed
stitutional democracy. Occasional break political correctness stories testify, let us
downs happen, admittedly, but they are— not confuse graduation speech rhetoric
allegedly—more inadvertent than mischie with pedestrian reality. Perhaps “limited
vous. Indeed, it is commonplace to hear democracy” or “managed democracy”
freshly appointed outsider “take-charge” better captures the spirit of actual gover
administrators wail that today’s fetish with nance. The totalitarian impulse in myriad
democracy renders the academy virtually forms is making inroads, although it is of
ungovernable. Everything, goes the grum ten artfully disguised as utopian idealism.
bling, must be discussed ad nauseam and Alerts to these mounting nefarious ten
voted on by innumerable committees, and dencies issue from multiple perspectives,
even the slightest action may well elicit but they all share a common approach:
howls of outrage if an obscure procedural They derive from a medley of incidents
safeguard is violated. across multiple campuses involving an
Although our Martian visitor might re ever-changing cast of characters and cir
turn home satisfied, this glowing assess cumstances. Accounts are thus riveting
111
snapshots, and the resultant understanding THE TALE

is little different from gaining an under
standing of a family by perusing a profes Background
sionally edited photo album. We derive “a
sense” of the sweeping picture but little Our Everyman drama begins by depict
insight into the particulars. Here, we take ing its chief protagonist, Stuart Nagel, who
a different tack in exposing the anti is now retired associate dean of interna
democratic impulse by concentrating more tional policy studies but was professor of
microscopically. Ours is a case study of a political science (University of Illinois, Ur
single individual who inadvertently en- bana) at the time when our narrative com
snarled himself in an “incident” that even mences. By all measures, he has proven
tually escalated into the proverbial night himself a model disciplinary and depart
mare. This episode might even be better mental citizen. During more than three and
described as a German surrealist novella a half decades, he has written or edited 65
than a typical Ivory Tower conflict. As a re books and more than 100 articles. Indeed,
sult of untold memos, several unpleasant innumerable publications of his depart
confrontations, two federal trials, and mental colleagues are wholly due to his
more than $100,000 in legal defense fees, helpful efforts. On top of this prodigious
some unique insights into the true state of scholarly output, he long edited two jour
democracy on at least one campus have nals and a newsletter, and he gave hundred
been gained. of presentations worldwide while serving
Our story offers no grand theories ex as secretary of the Policy Studies Organiza
plaining academic life and democratic tion. Moreover, time has not slowed him
abuses. We can only conclude with a few down one iota: Among his many recent ac
sensible lessons drawn from somber expe complishments has been the publication of
rience. Nor do we recount dramatic events, the Encyclopedia of Policy Studies (New
heroic accomplishments, or the fashioning York: Dekker, 1994) and Super-Optimum
of elegant legal doctrine or expose devious Solutions and Win-Win: Policy Basic Con
conspiracies and munificent corruption cepts and Principles (Westport, CT: Green
schemes. Beyond the immediate parties in wood-Quorum, 1997).
volved, moreover, all is quickly being ob If this were insufficient, Nagel has regu
scured by time. Nevertheless, as we shall larly taught a full teaching assignment (two
see, the very humdrum quality of events courses per semester) in a department of
makes them so pertinent. There is scarcely commonplace partial teaching loads. As
an academic alive who could not nervously sessing teaching performance is com
exclaim “Why, that could be me.” To in plicated, but by the usual performance
voke Hannah Arendt’s famous term, it is measures—class enrollment, student eval
the banality of the tale that catches our at uations, and seriousness of assignments—
tention. Everything about this travesty, his performance has always been at least
from the ironic innocuousness of its ori adequate. Of course, room for improve
gins to the ordinariness of the partici ment always exists. Like all passionate
pants, suggests lessons of near universality. scholars, Nagel would sometimes enthusi
In an odd way, our saga resembles a medi astically get carried away with obscure de
eval morality play in which a humble vil tails or explore topics that might initially
lager is unexpectedly hauled before a judg puzzle students. This “professor-centric”
ing god. Here, however, our “Everyman” style should be quite familiar to any stu
facing the wrath from on high is a distin dent at a research-oriented university. Es
guished full professor at a Big Ten univer pecially notable, the lure of scholarship
sity, and those who call the shots are hardly never detracted from his accessibility or
benign. caused him to avoid his instructional re
Academic Tyranny | 113
sponsibilities. The bottom line is that in came a broached possibility. In fact, the
more than 35 years of teaching, deficient department head offered a retirement
instructional performance was never a for package, but it was eventually rejected.
mal or informal problem. The reason was simple: Nagel was then still
The final relevant background element only 60 years old and believed scholarship
is Stuart Nagel’s strong, vocal support of and teaching were as productive as ever.
African American civil rights. After gradu Why abandon intellectual activity for loll
ating from Northwestern University Law ing about in Leisure Village?
School, he joined the Legal Service Pro In most circumstances, this “no thank-
gram of the Office of Economic Opportu you” to ending a career would settle the
nity and spent a year working on behalf discussion. Perhaps the offer would be
of African Americans in the Mississippi sweetened or arguments made more per
Delta. His sympathies here are unequivo suasive, but to proceed further ventures
cal, and anybody who has discussed race- into troubled terrain. As fate would have it,
related issues with him cannot doubt his however, just as World War I began with an
sincerity. To even hint that Nagel has even unanticipated “minor” event, an alleged
the smallest racist bone in his body is ludi classroom incident would breathe new life
crous. Keep this in mind as we later venture into the possibility of a “voluntary” Nagel
into the murky waters of alleged racial con departure. In effect, this occurrence offered
frontation. an opportunity for those in power to resur
rect a previously rejected severance possi
bility. This confrontation involved Nagel
The Triggering Incident mentioning the predicaments of black busi
nesses in Africa, black students clashing
The next player in our drama is “the with Nagel’s interpretation, and a postclass
university.” The university (actually some heated exchange between Nagel and the
unnamed administrators) has recently be upset students.2 On its face, nothing in
come desirous of enticing senior faculty flammatory. According to witnesses, no
into early retirement. Given that, at least in physical contact occurred and the matter
principle, faculty can now teach until senil dissipated within minutes. No doubt, in
ity, this policy is reasonable and perhaps times past, the entire matter would quickly
even advantageous for collective intellec become a dim memory.
tual vitality. There is nothing wrong with Two points about this “incident” are
offering handsome retirement benefits to critical over and above its fundamentally
those possessing more attractive opportu inconsequential character. First, Nagel’s
nities elsewhere. All parties would benefit. classroom comments, regardless of their
The voluntary nature of this arrangement unintentional impact, were wholly pro
is critical. Pushing senior faculty off the ice tected by academic freedom. His analysis
berg is not only unethical but also illegal. was integral to course content, and he was
Although the line dividing voluntary well within his disciplinary expertise (the
and coerced retirement may be clear ab Kenyan government even invited him to
stractly, haziness prevails in practice. Uni address this issue in Kenya). Second,
versities abound with anecdotes of once heated student-professor interchanges, al
distinguished scholars prodded into leav though not daily occurrences, are integral
ing via unwelcome teaching assignments or to academic life. To teach political science
tiny offices under stairwells. In the case of in a lively fashion encourages contentious
Nagel, this retirement issue surfaced begin debate, and spiritedness is typically a plus
ning in 1994. At that point, due to the intri in the classroom. If classroom controversy
cacies of the state pension system and were an actionable offense, the university
Nagel’s long service record, retirement be would collapse into terminal boredom.
Until this point, nothing especially note Memos, Investigations, and Injunctions
worthy had transpired. It is in the next se
quence of events that our tale pertains to During the time between the November
academic democracy. Here, the line be 1995 incident and the subsequent spring
tween honest differences of interpretation semester, the demands on Nagel increased.
and tyrannical harassment is crossed. In a Among other things, he was asked to pro
matter of weeks, a seemingly forgotten re vide syllabi from past years, faculty at
jected offer of retirement would transform tended his class (with threats of more visits
itself into a rapidly escalating jihad pitting to come), and students were interviewed
Nagel and a tiny handful of allies on one about his teaching performance. Needless
side against nearly the entire department to say, this sudden scrutiny is highly un
energetically reinforced by the administra usual and was reasonably interpreted as
tion and its well-provisioned Office of Le “something bad is in the works.” Surpris
gal Counsel. An unsubstantiated letter of ingly, the actual investigation of the alleged
complaint by two students (supplemented incident never occurred. Evidently, this
by an anonymous letter), appended with was an issue not to be resolved by marshal
vague charges of bad teaching, would serve ing evidence: The desired outcome (resig
as the ever so convenient “smoking gun” nation) was to be accomplished by intimi
that would, it was hoped, push this hesi dation. What else explains the lack of
tant potential retiree over the brink. The formal inquiry coupled with ad hoc inqui
phrase “workplace violence” also infil sition? The upshot of this pressure sans
trated the complaint, although this was corroborating evidence or due process was
pure allegation if not fantasy. That this pre a blizzard of memos from Nagel to col
text was imbued with the hot-button issues leagues and administrators providing his
of “racial insensitivity” made it all the reaction. In effect, it was the time-honored
more promising. stratagem of appealing one’s case to the
The intended “script” here is hardly court of public opinion—a “look at what
novel and has proven successful elsewhere. they are trying to do to me!” Departmental
To wit, a senior professor is confronted reaction was annoyance at all the commo
with a medley of grave and difficult to re tion. Ironically, Nagel’s unexpected resis
fute changes of a personal nature and, in ef tance was often depicted as “damaging”
fect, told “you can fight or leave quietly the department’s reputation. If there were
with a handsome reward.” Faced with the those who sympathized, they almost en
prospect of lawyer bills and unpleasant tirely remained publicly silent.
confrontation, the bribe is usually grudg While this “memo war” escalated,
ingly accepted. If the intended victim is Nagel made a good-faith effort to improve
slightly obstinate, a few preliminary hear his teaching. He voluntarily contacted the
ings or threats of unsought publicity will university’s Office of Instructional Re
often do the trick. After all, why spend a sources (OIR) and arranged for videotap
small fortune and risk sullying a reputation ing of his classes and consulted with OIR
to avoid what will inevitably occur any experts on improving lecture quality. This
how? That Nagel had already once con remediation effort lasted several weeks. Be
templated the possibility of leaving made cause frankness is essential to progress, all
this “push over the edge” strategy particu discussions with the OIR were understood
larly attractive. No doubt, the prospect of to be confidential. Moreover, and this be
defending oneself against “racism” and comes important later, student evalua
workplace violence would impel a less tions collected by the OIR are also con
hardy soul to abandon ship and head fidential and can be released only with
straight to Leisure Village. the instructor’s permission. Notable here is
the evidence of “good faith” in addressing Two subsequent events supply further
an allegation. insight into how a modern university can
Despite this teaching remediation effort, operate. The first was the long-delayed
Nagel now honestly believed that his ten “investigation” of the original incident
ure was under threat of revocation. Indeed, (approximately 6 months after it oc
the language of the department head’s curred). This inquiry soon expanded well
complaint against him went well beyond beyond the initial incident and encom
the specific incident and instigated an in passed Nagel’s teaching performance in
vestigation that “must transcend the par general. It was quite clearly a one-sided
ticulars raised in that attached documents search for ineptitude apart from any peda
(words, examples) and the particular gogical accomplishment. Nagel’s adversar
style of Professor Nagel” (Nardulli memo, ies went so far as to contact OIR to obtain
January 29, 1996). This memo also called teaching deficiency material. This was in
for a sweeping investigation of past teach formation explicitly protected by the confi
ing, although there was no evidence of dential principle, but this regulation was
previous difficulties. Nor, in principle, easily abandoned in the rush to obtain
was this investigation time bound: It could damaging evidence. When one OIR admin
continue indefinitely until the hoped-for istrator was asked why these data were re
smoking gun was uncovered. Obviously, leased despite the restrictions, she lamely
more was being launched here than an responded, “Well, we [referring to the de
attempt to calm one or two agitated stu partment head] both work for the same
dents. Few university teachers with compa university.”
rably long teaching careers could emerge The heart of this investigation was a
perfectly blameless in such a review: There questionnaire haphazardly distributed to
will always be a few disgruntled stu Nagel’s former students. The stilted nature
dents eager to settle scores. If tenure was of the inquisition is apparent by examining
not to be revoked then and there, per specific questions. For example, one ques
haps the anti-Nagel campaign would be tion asked if Nagel made himself available
more incremental, namely, removing him to students in his office. The use of the
from the classroom and curtailing access word “office” might seem absolutely in
to resources—retirement on the install nocuous, but it was generally known by
ment plan. Nevertheless, whatever the pre faculty (and all Nagel’s students) that
cise design, Nagel felt sufficiently threat Nagel did not consult with students in his
ened to seek a federal court injunction office, preferring instead to meet elsewhere
to prevent the university from proceeding or to consult via telephone or e-mail.
further with their open-ended intimida Hence, office unavailability appears as in
tion. In March 1996, Nagel went to fed difference to student concerns. When out
eral court in Peoria, Illinois, seeking pro side experts gave their opinion of this
tection. By now, the university had hired an “assessment,” judgments were especially
outside law firm to supplement its in-house damning. Seymour Sudman, a University
counsel. After some impassioned testi of Illinois marketing professor and re
mony from both parties, Judge Michael nowned questionnaire expert, explicitly
Mihm denied Nagel’s request on the cautioned against using the proposed ques
grounds that nothing tangible to that date tionnaire on the grounds that it had never
had been done to harm Nagel. He assured been employed elsewhere and thus the re
the court, however, that if something were sults lacked a clear baseline meaning. He
done, he was confident that Nagel would also noted that the instrument’s design (no
return and injunctive relief would then be precoded categories for open-ended re
granted. sponses) made it especially vulnerable to
biased interpretation and could easily be modern democratic governance. The judge
construed as a search only for negative stu specifically ruled that “Nagel cannot be de
dent comments (Sudman, letter, April 22, prived of his teaching activities without ap
1996). This suspicion of wrong doing was propriate due process.” When the political
seconded by Michael Scriven, a consulting science department head professed that
professor at the School of Education, Stan this removal was a minor administrative
ford University, and a widely recognized glitch performed by a subordinate, the
expert on teaching evaluation. Scriven judge characterized this rejoinder as “not
characterized this investigation of Nagel as credible.” Regarding the results of the in
“an unseemly rush to an inappropriate vestigation that wandered off well beyond
judgment and highly adverse personnel ac the initial accusation, Judge Mihm re
tion, amounting to public humiliation that marked, “It’s rather amazing to me that
is completely unjustified given the proceed this incoherence that is being investigated
ings, report, and circumstances.” Scriven apparently dropped out of the sky.”
also noted the “vagueness of the charges,” If this saga were a Hollywood movie, it
a sure indicator of due process violation might have a more upbeat ending. We
(Scriven, memo, May 1996). Note that this might envision Nagel triumphantly re
inquiry exclusively focused on Nagel’s ab turning to the department, a statue erected
solute classroom performance and not on in his honor, the shamed evil-doers fleeing
his proficiency relative to that of others in to the hinterland, a new regime installed,
the department. Perhaps other instructors and Nagel happily ever after teaching his
were equally inept, but this was never beloved win-win nostrums to attentive un
broached. Reinforcing a predetermined dergraduates. After all, any number of
outcome was hardly subtle. others could be brought up on similar
The second event was Nagel’s actual re charges at any moment. Alas, Urbana, Illi
moval from his two courses. How this was nois, is not Hollywood, California. The up
mysteriously implemented would rival shot was a complex negotiated settlement
anything imagined by Franz Kafka. It was whereby Nagel agreed to relinquish teach
done invisibly and by “accident.” Spe ing in exchange for a 2-year appointment
cifically, quite by chance and acting on a as associate dean of international policy
hunch, Nagel discovered that his fall offer studies. A substantial salary increase fur
ings had been silently delisted from the ther sweetened the retirement package.
electronic timetable employed for student Strictly in financial terms, when large legal
registration. Just how this happened re bills were factored in, this arrangement
mains unclear, but their removal is uncon was at best a wash. The university did
tested. To invoke an old Soviet expression, “win” insofar as Nagel would leave, but
Nagel had been officially airbrushed out of only after 2 more years. Given Nagel’s
educational history. At this point, the dis eventual retirement, this only sped up the
pute had shifted from name-calling to con inevitable by a few years at most.
crete action: The once hypothetical easing But, apparently, this “war” had not
out of the department was now real. been concluded. As in the Balkans, endur
Nagel was quickly back in federal court ing and often pointless animosities seem
on April 15, 1996, and this time the injunc culturally endemic. Shortly after this legal
tion to protect Nagel’s First Amendment agreement, at the instigation of the politi
rights was granted. What makes this ju cal science department head, Nagel’s de
dicial intervention to protect free speech partmental voting rights were withdrawn
especially noteworthy is that it pertained (two other senior faculty were similarly
to an internationally famous “liberal” disenfranchised). Given Nagel’s singular
research-oriented school, not some ob marginalization and his zero influence in
scure backward school out of touch with departmental decision making, this gesture
can only be interpreted as retribution, not a Nobody Is Safe

political maneuver to tip a delicate balance
of power. Moreover, recent disclosures First, there is no absolutely secure pro
made available through the federal Free tection from incidents that can be manipu
dom of Information Act and the Illinois lated to one’s disadvantage. The menu
Personnel Review Act have raised the pos available to devious administrators is
sibility of legally relevant information be bountiful: offensive off-hand classroom
ing hidden or even destroyed during the commentary, assigning the “wrong” read
federal trial period. In the fall of 1998, the ing material, not taking silly classroom
department acted to deprive Nagel of a comments seriously, an odious public re
mailbox with his organizational affiliation mark, alleged grading favoritism, sexual
(the Policy Studies Organization [PSO]) innuendoes (real and imaginary), display
listed next to his name. At one point, a ing controversial pictures in one’s office,
threat was made that if he insisted on re endorsing a heretical political sect, and so
ceiving PSO mail at the his departmental on. Nearly every utterance can potentially
mailbox, first-class mail would be opened end a career. Regardless of paranoid pru
by the secretary and returned to sender if it dence, we are all “sitting ducks,” and if the
involved PSO business. Perhaps more bat intended victim is too circumspect, he or
tles and court orders loom as new evidence she perhaps can be “set up” in the same
surfaces. way that the police use entrapment. Just
ask willing accomplice students to keep
asking loaded questions on provocative
topics and eventually the “crime” will oc
LESSONS FOR DEMOCRACY cur, or, as recently happened to Lino
AND THE ACADEMY Graglia, a distinguished University of
Texas law professor, take an innocuous
What might we glean from this sordid tale statement out of context and call it inflam
involving one’s person’s travail? Obvi matory hate speech. It also hardly matters
ously, to the extent that history never re if accusations are anchored in reality; in to
peats itself exactly, all can be dismissed as day’s lingo, “perceptions” can be just as
idiosyncratic. To reaffirm an earlier point, devastatingly valid as a smoking gun. Even
however, what transpired was profoundly the most hard-edged scientific item, after
ordinary: a few misconstrued lecture re all, can be offensive, and today it is feelings
marks, two disgruntled students, an ambi that count.
tious administrator searching for “oppor Exacerbating this vulnerability is the
tunities” to thin out senior faculty, and fact that energetic bureaucracies now exist
a powerful university dedicated to self- to expose even the slightest infractions.
protection. All these ingredients, no doubt, Without incidents, there can be no pro
are abundantly plentiful elsewhere. It is grams, and without programs there are
merely a matter of time before the basic no administrative careers; therefore, eco
drama is repeated, although the details will nomic self-interest is yoked to uncovering
naturally be unique. If it does not escalate “dangerous heresy.” The traditional ap
to these absurd proportions, this will prob proach of informally settling misunder
ably be more a factor of resource commit standings over coffee is less available when
ment than the situation’s inherent tyranni a sensitivity apparatchik is building a for
cal character. Few academics can afford mal record that might end up in court. Es
$100,000 legal bills or possess the requisite calation, then, becomes built into the
fortitude to resist. What, then, can we ad disputational process: Hire a lawyer imme
vise those who await this possible event? diately, and hope that a scorched-earth
Five lessons are easily offered. campaign will intimidate the enemy. To
trust passively in good faith to dissolve the a skilled Machiavellian to manipulate the
acrimony may well invite ruin. levers to muzzle potential troublemakers.
A few dollars here, a course reduction
there, and vague hints of future generosity
Do Not Count on Friends are often sufficient to purchase acquies
cence. In fact, what is truly depressing is
Do not expect colleagues, even alleged how effortlessly faculty can be lured into
friends, to rally to your cause when calam careers as spies and double agents. To
ity strikes. Stories from dictatorships of by an insecure professor, a raise of a few
standers “not getting involved” when dis thousand dollars can have a remarkable
sidents are dragged off by the secret police transforming effect on loyalty. That all this
are depressingly relevant. The term cour bribery is done slyly and may be indistin
age does not immediately come to mind guishable from the normal flow of benefits
when describing today’s faculty. Expect lit reinforces its effectiveness.
tle more than a silent pat on the back, a
“confidential” missive to keep the faith, or
some vague consolidation in hushed hall University Amorality
way gossip. That potential supporters are
all tenured, enjoying handsome guaranteed Today’s universities are fundamentally
salaries, makes scant difference. Indeed, it amoral. These institutions may inhabit a
is equally plausible that their very security moral society, and nearly all itheir employ
paralyzes any interventionistic urge. In ees may be exemplary human beings, but as
their thinking, misfortune is not a commu a collectivity that must be confronted the
nicable disease. A recent nature program palaces of higher learning are as virtuous as
on a cable TV channel exemplified this a rock. To hope that righteousness will in
mentality. A crocodile tried to devour a evitably triumph over evil is almost always
monkey while other troop members looked delusional. The most vigorous appeals to
on in amusement. Not a single fellow mon venerated statuary requirements easily fall
key came to the rescue (eventually, the in on deaf ears. To assume an inherent honor
tended victim escaped without assistance). ableness invites disappointment. No mat
Today’s university incentive structure ter how right one’s case, it is far more pru
explains much of this indifference. Espe dent to presuppose the worst, prepare for
cially relevant is that onlookers, potential deceit, and hire a belligerent lawyer.
allies, seldom escape the enticements of A little reflection will convince that such
the powerful. This indifference is often amorality is predictable and not a momen
economically driven. Joining the acad tary lapse. As administrative bureaucracy
emy no longer requires vows of destitute grotesquely expands, responsibility grows
ness. Even mediocre faculty can maneu ever more defuse. If a dirty deed is to be
ver handsome salaries—easily in excess of done, it can be executed almost invisibly,
$90,000—independent of conspicuous ac incrementally with a paper trail so clut
complishment. After all, who is to say that tered that in the final analysis nobody is re
a particular trifling research note is not sponsible. A document signature means
“pathbreaking” and thus worthy of a huge nothing because the “real” command may
bonus? An alleged precise salary standard have originated elsewhere and in multiple
may well be post hoc impromptu reward committees. As in a well-performed Mafia
ing of confidants. Ample nonmonetary re hit, no witnesses come forward, evidence
wards abound to bestow to the faithful— mysteriously vanishes, and inquires are
reduced teaching loads, a new computer, met by stone silence. If this were insuffi
invitations to exclusive occasions, and cient, add ample discretionary funds useful
prestigious appointments. One need not be for quieting the disgruntled. Modern uni
versities abide by a unique form of punish beg off, claiming heavy case burdens, in
ment: Generously remunerate all parties to adequate resources, and uncertainty re
a misdeed. If a fellow administrator screws garding the gravity of one’s plight. They
up, calm the troubled waters by a pro cannot be compelled to intervene, and
motion to a less challenging position or one’s own desperation does not certify
encourage a generous early retirement. If worthiness to an organization bombarded
a professor cannot control scatological with petitions. Properly understood, such
urges, “deprive” him or her of teaching re assistance must be judged an unexpected
sponsibilities but continue the salary. No bonus. Perhaps the same could be said of
wonder complaints are few. One can only academic unions: Even if they did offer
imagine the howls of derision if such a friendly advice, they are hardly the Team
“punishment” system were applied to our sters, ever ready to strike over some alleged
criminal population. violation.
The upshot is a culture that inhibits the The predictable lack of rescue efforts by
virtues of honor and responsibility. As in these outsiders makes the indifference by
the long-gone urban machines, “make no one’s colleagues and friends all the more
waves, back no losers.” Displaying a moral noteworthy. In a nutshell, one must fight a
backbone or a proclivity for forthrightness solitary battle, and this is highly conse
quickly disqualifies one from upward mo quential. Potential allies currently outside
bility. Such an upright individual is “diffi the academic milieu (e.g., the Individual
cult” and may even be considered “un Right Foundation) can thus easily go unno
trustworthy” by administrative peers. Why ticed, as can critical information and court
invite into the clique possible whistle- decisions. Strategy and tactics must be im
blowers inclined to go public with lurid provised or provided by paid legal counsel
tales of financial irregularity or hushed-up more adroit at house closings and divorces.
incidents of sexual exploitation? Better to Intricate questions will be resolved ad hoc
recruit the colorless who embrace the code in one’s spare time. The entire defense en
of silence or who conveniently cannot tell terprise will surely be amateurish. More
right from wrong. Also, given the financial important in the long run, deprived of daily
rewards that now accrue to those who ad support and encouragement, the will to re
vance administratively, why seek trouble? sist atrophies. After a point, the only sure
Dutiful soldiers are generously rewarded; allies helping to keep the battle going may
the incentives for seeking the moral high be family. This isolated wariness is well un
ground, in contrast, are miniscule. derstood by one’s bureaucratic enemies:
Unlike yourself, they can continue the bat
tle virtually forever.
Do Not Count on Outsiders
Do not expect to be rescued by the cav Surrender Only Exacerbates

alry from outside the university. Numerous
organizations exist to protect citizen rights Finally, appeasement or quiet surrender
(e.g., the American Civil Liberties Union), only exacerbates. As cities often become
and a few specialize in academic plights accustomed to blatant crime, universities
(notably the American Association of Uni may well expand their comfort zones to
versity Professors). Although these safe permit regular abuses of power. This all
guarding organizations certainly play a vi too-familiar pattern is hardly confined to
tal role in sustaining our liberties, they educational governance. Fresh from a mi
hardly constitute the local 911 emergency nor triumph, the petty tyrant becomes em
professorial police service. If contacted boldened, turning his or her sights on
with pleas for aid, many would no doubt larger pray. Today, banish a troublemaker
to an office in Siberia; tomorrow, remove could express optimism. As has been re
voting rights. Eventually, with a few artful peatedly intimated, however, the faults lie
maneuvers, cranky colleagues will be con more in the nature of modern higher educa
signed to the dustbin of departmental his tion and less so in the people staffing the in
tory. With practice, abuses become better stitutions. It is the triumph of what sociolo
executed and more skillful, and cover-ups gists call “role socialization”—the job
become more adept. Top administrators, shapes the person, not vice versa. The vast
ever anxious to avoid awkward publicity, ness of bureaucracy and the comforts of an
pretend not to notice. Potential opposition administrative career path offer little in
becomes disheartened and retreats to ther centive to stand up for what is right. That
apeutic gossip. That anxious bystanders irritants can be eliminated by financial gen
can seek employment elsewhere or retreat erosity only further encourages the flight
into a monastic existence is all the better from responsibility. Also, short of blowing
because this removes potential resisters. up buildings, there seems little risk of those
Eventually, a point is reached at which in charge destroying their institutions. A
aberrations become routine, even toler modern-day Hitler or Stalin as dean or
ated. In the language of political science, even president would cause only a few rip
abuse becomes institutionalized. Rules are ples before being retired with a most gener
now rewritten to provide a legitimate pa ous settlement package. In such circum
tina to the once unthinkable. This is not stances, it is no wonder that proponents of
nearly as difficult as it might seem in envi the highest principles are unwelcome nui
ronments in which precepts typically pre sances.
vail as an unwritten consensus. A clever ad If change is to occur, it will probably oc
ministrator might, under the guise of cur by forces far distant from the current
“democracy,” award votes to those wholly academy. A certain irony presents itself
dependent on his or her whim. New faculty here. Traditionally, financial generosity
might be compelled to pledge loyalty oaths. has been promoted as the handmaiden to
Election results can be altered via interpre educational expansion, which in turn was
tation; for example, with a little verbal considered integral to the survival of de
messaging, an 11 to 9 vote can be disre mocracy. Thus, a dollar spent on learning
garded entirely as “ambiguous” (although was further insurance for the preservation
in other situations it may be “close but de of democratic life. As any social scientists
cisive”). Key positions can be filled by will attest, however, what is a linear rela
those too inept to resist these subversions. tionship over one portion of the data may
Those familiar with academic life could, no not be so over a different portion of the
doubt, add innumerable more ruses that data. Unfortunately, this may now be true
can be moved from the shadows to certified for democracy, education, and spending.
respectability. Once the initial inertia is After some point, the embarras de richesse
overcome, the usurpation grows easier by now enjoyed by contemporary higher edu
the day. cation becomes a source of corruption.
Ample funds easily permit escape from
making the right, but often difficult,
Hope? choice.
Perhaps the downsizing mentality, espe
Is there no hope? Might we have uncov cially its emphasis on personal account
ered some “iron law” in which academic ability, that now infuses corporate America
democracy inevitably deteriorates? To be has something to teach the academy. The
perfectly forthright, the situation is glum. recent collapse of several Asian economies
If it were merely a matter of replacing confirms this message: Building enterprises
“bad” people with “good” people, we on insider deals, cronyism, bribery, and du
plicity all supported by pecuniary extrava NOTES

gance is not a guaranteed long-term solu
tion. Allowing petty tyrants to escape 1. All references in this chapter are from
responsibility, saying “yes” to every hare material contained in Academic Witchhunt:
brained proposal, or hushing misdeeds The Federal Courts Versus a University Inquisi
with largesse only feed the monster. The tion (www.u-reform.org) (University Reform,
1997).
clamor for funds to cover such excesses
2. Specifically, Nagel suggested that local
cannot continue endlessly. At some point, black businesses were at a competitive disadvan
perhaps in a scene resembling a 1930s tage vis-à-vis their Indian counterparts because
grade B monster movie, the humble town- they were more generous in extending credit and
folk will become outraged and, pitchforks discounts to friends and relatives. The solution
in hand, turn on the institutions that for de suggested by Nagel was for instruction in mod
cades they have so copiously supported. ern business practices to make black businesses
This will not be a happy time for higher more competitive. Needless to say, the racism of
education. this argument is hardly self-evident.
Part 5
POLICYMAKER
PERSPECTIVES
CHAPTER 19
Public Health Challenges
Donna E. Shalala
Former Secretary of Health and Human Services
I have spent most of my adult life on the

borderline between making public pol-
icy and being a student of public policy.
After years of doing both, I have learned
that solutions rarely rise to the surface with
geted—and successful—approach. That
year, under the great leadership of Senator
Kennedy, we passed the Kassebaum-
Kennedy law so people who lose their jobs
or have a preexisting condition will not
mathematical precision. Yet time and have to live in fear of losing their health
again, I have seen leaders from both politi- insurance. In 1997, we passed our Chil
cal parties put nation above party and dren’s Health Insurance Program (CHIP),
better the lives of millions of Americans. which is a $24 billion dollar program to
My years as Secretary of Health and Hu- provide coverage for up to 5 million unin
man Services were an exhilarating ride sured children.
with many accomplishments that make me Both these legislative accomplishments
proud to have improved the lives and came after the Republicans took over Con-
health of Americans. For me, the lessons of gress in 1995. Although people feared that
being a cabinet member came fast—and on divided government would cause gridlock,
occasion painfully. I learned quickly to be that did not happen. Instead, the change in
flexible and realistic. Congress led to what I think was a very
In 1994, we lost on universal health healthy national debate about the role of
care, in part because the other side orga- government. The American people said
nized quickly and framed the debate. We they wanted limits on the size and cost of
learned our lesson. In 1996, we were flexi- government. President Clinton heard that
ble enough to find a slower, more tar- message and declared, “The era of big gov
EDITOR’S NOTE: Donna Shalala has a PhD in political science from the Maxwell School at Syracuse University.
She may have been the most highly placed political scientist in American government since Woodrow Wilson, who
also had a PhD in political science. Shalala greatly upgraded policy evaluation research when she was head of the
policy evaluation division in the Department of Housing and Urban Development during the Carter administra
tion. She did likewise as secretary of the Department of Health and Human Services during both terms of the
Clinton administration. This 1998 chapter is written from the perspective of an insider in politics, public adminis
tration, political science, and especially policy evaluation. Currently, she is president of Miami University, possibly
waiting to join the next Democratic president in Washington, DC.
125
126 | Policymaker Perspectives
ernment is over.” President Clinton, how Through all these accomplishments, Presi
ever, also believed—and still believes—that dent Clinton submitted to Congress the
government has an important role to play first balanced budget in 30 years. All of this
in protecting the health and well-being of happened despite conventional wisdom
our children, opening the door of Amer and with the smallest government since the
ica’s economic bounty to all who are Kennedy administration.
locked out, preserving the promise of This is the era of closing deficits. We
Medicare and Medicaid, and ensuring that have done it with the budget, and now we
the root of basic research becomes the must do it with our health. For America’s
flower of life-saving medicine. We fought racial and ethnic minorities, the health def
hard for this vision of America—an Amer icit is all too real. Racial and ethnic minori
ica that would live within its means with ties suffer from many diseases at higher
out sacrificing its principles or its soul. rates than whites. For example, infant mor
That fight was worth having. After we tality is 2½ times higher for African Ameri
got through the government shutdown, we cans and 1½ times higher for Native Amer
had a period of almost unparalleled legisla icans than it is for whites.
tive achievement. We passed major welfare We have a moral obligation to close
reform legislation that, along with the these gaps, and by focusing on the health
booming economy, has brought the num needs of minority Americans, we will im
ber of welfare recipients below 10 million prove the health of all Americans. We also
for the first time in more than 25 years. We need to balance the books on access and
expanded the earned-income tax credit in quality by extending Medicare benefits to
1994, and we increased the minimum wage Americans 55 to 65 years old. This Medi
in 1996. We approved tough new child care buy-in will not raise taxes or nega
support measures that are expected to in tively affect the trust fund. But it will do
crease collections by $24 billion dollars what is right.
from 1998 to 2008. Also, as mentioned We also need to do what is right to
previously, we passed CHIP, which is the ensure quality in our health care system.
largest expansion in health care since we Managed care is here to stay, but we must
created Medicare and Medicaid more than never, ever sacrifice quality for efficiency.
30 years ago. That is why the president’s commission
At the same time, we strengthened studying health care quality recommended
Medicare and Medicaid, adding important including a Patient’s Bill of Rights that will
new benefits and extending the life of the ensure greater choice, better informa
Medicare Trust Fund to 2007. Head Start tion, emergency care, privacy of health
was restructured, and we invested in a qual records—and much more. We’ve already
ity strategy. We cracked down on fraud and given these rights to every person with fed
abuse, and we are still cracking down. erally subsidized health insurance. That’s
Childhood immunization rates soared one third of all Americans. Private insur
to record highs, and the infant mortality ers are called on to sign on and do the
rate hit a record low. Teen pregnancy rates same.
have declined for 5 straight years, from When the president announced the first
1993 to 1998, paternity establishments are balanced budget, he said he wanted the sur-
up, and overall drug use among younger plus—and future surpluses—to go to sav
teens leveled off last year for the first time ing Social Security. That is because closing
since 1992. We are starting to see real re the health deficit not only means paying up
sults from new AIDS-fighting drugs. AIDS today—it means investing for tomorrow.
deaths decreased 44% in the second half That is exactly what the Clinton adminis
of last year. Also, cancer incidence and tration did—invested in the children of the
death rates decreased from 1990 to 1995. millennium and their children. First, we
Public Health Challenges | 127
proposed the largest single investment in public health messages. Teaching teenage
child care in our nation’s history—almost girls that they can prevent osteoporosis by
$22 billion over 5 years to make child care drinking milk is just one piece of a much
more available, more affordable, and more larger agenda for living longer and health
trustworthy for millions of working fami ier lives in the 21st century.
lies. And second, we tried to make sure As we near the end of what has come to
these children of the millennium grow up be called the American century, we have
safe from today’s most dangerous diseases. the chance to plant the seeds of an Ameri
To do that, we proposed a new 21st can millennium. Where the burden of his-
Century Research Fund to infuse millions tory—and the yoke of disease—is finally
of dollars into a prevention research pro lifted from our children. Where every child
gram. The fund would give our National can grab the baton of education and sprint
Institutes of Health (NIH) the single largest to a prosperous future. Where equality and
budget increase in its history: $1.1 billion economic opportunity are a certainty—
next year as a down payment on a historic and intolerance a long-ago memory. Where
5-year, 50% expansion. These new re we refuse to forego our principles or make
sources would allow us to boost the num others forego their dignity.
ber of funded research grants to an all-time Is this too idealistic for the hardball
high and increase NIH cancer funding by world of politics and policy—budgets and
65% by 2003. bureaucracy? No. In the 20th century, mil
Recently, I sat for 6 hours being photo lions died because government thought
graphed with a milk mustache. I did the ad they could impose a utopia, the lesson for
as part of my strategy of going where no the 21st century is unmistakable: Policies
Health and Human Services secretary has that move the human spirit are policies that
gone before to communicate important change us for the better and forever.
Section
II
POLICY
EVALUATION
AT THE
CUTTING EDGE
Part 1
BASIC
CONCEPTS
CHAPTER 20
Policy Theory
P olicy theory can be divided into con

ceptual theory, theory of knowing,
causal theory, and normative the
ory. They all have in common a high level
of generality about public policy—higher
4. Drawing a tentative conclusion regarding
which policy or combination of policies is
best to adopt in light of the goals, policies,
and relations
5. Determining what is necessary for a sec
than methods, process, or substance.1 ond best or other alternative to become
the best alternative
CONCEPTUAL THEORY AND Other concepts that are often used to

POLICY ANALYSIS mean public policy analysis include policy
evaluation, policy studies, program evalu
ation, public management science, and pol
Defining Policy Analysis icy science. One can make distinctions be
tween these concepts as follows2:
Public policy analysis can be defined as
determining which of various alternative Policy evaluation emphasizes evaluating al
public or governmental policies will best ternative public policies, as contrasted to
achieve a given set of goals in light of the re describing them or explaining why they
lations between the policies and the goals. exist.
This definition brings out the five key ele Policy studies includes describing policies,
ments of policy evaluation: explaining their existence, and evaluating
them.
1. Goals, including normative constraints
Program evaluation emphasizes evaluating a
and relative weights for the goals
specific program, such as that for a half
2. Policies, programs, projects, decisions, way house in Chicago in 1984, as con
options, means, or other alternatives that trasted to developing general principles of
are available for achieving the goals how to evaluate.
3. Relations between the policies and the Public management science emphasizes deci
goals, including relations that are estab sion making that is involved in imple
lished by intuition, authority, statistics, menting broader decisions, generally
observation, deduction, guesses, or other made by legislatures and agencies that
means have quasi-legislative authority.
133
134 | Basic Concepts
Policy analysis emphasizes systematic ana lows from the goals, policies, and rela
lytic methods that can be quantitative or tions.
qualitative.
Policy science emphasizes quantitative meth Validity can occur in degrees, or at least
ods. nonvalidity can do so. A valid study meets
all four of the previously mentioned re
Methods of public policy analysis refer to quirements. An invalid study fails to meet
at least one of the four requirements. A
1. How to draw a conclusion regarding study is even more invalid if it fails to meet
which policy to adopt from information more than one of the requirements or fails
on goals, policies, and relations to meet a requirement by a large margin.
Validity in policy evaluation is thus like eq
2. How to establish the relations between
uity, where equity is defined as providing a
policies and goals
minimum benefits level for all relevant per
3. How to determine what policies are avail sons, groups, or places. Thus, if the mini
able for adoption and what goals are ap mum level is met, equity is present, al
propriate to consider though equality may not be present. There
can be degrees of inequity, however, de
pending on the size of the individual devia
Defining Good Policy Analysis tions from the minimum level and the num
ber of people involved, as is the case with
The key characteristics of good policy nonvalidity.
analysis relate to validity, importance, use
fulness, originality, and feasibility.
Importance
Validity Importance can be defined in two ways:
Validity in general refers to being accu

1. Does the research deal with issues in
rate. In the context of policy evaluation re
which major societal benefits or major
search and its key elements, validity refers
societal costs or both are being analyzed?
to the following:
For example, research on avoiding nu
clear war is more important than research
1. The listed goals should include all the ma
on whether a city should have a strong
jor goals and no non-goals of the relevant
mayoral form of government or a city
policymakers in this context.
manager.
2. The policies being considered should en
2. Does the research deal with a subject mat
compass the total set of feasible alter
ter or a set of causal hypotheses that po
natives and no infeasible alternatives.
tentially have broad explanatory power?
Feasibility in this context refers to the
This is theoretical importance, as con
capability of being adopted and imple
trasted to policy importance.
mented by the relevant policymakers and
policy appliers.
There can be degrees of policy impor
3. There should be external consistency with tance depending on the product of the total
empirical reality in describing the rela benefits multiplied by the total costs that
tions between the alternative policies and are at stake. This benefits × costs criterion
the goals. makes sense in judging the relative impor
4. There should be internal consistency in tance of two research projects, even though
logically drawing a conclusion that fol benefits–costs is the criterion for judging
Policy Theory | 135
which of two investments or alternative of innocence. Likewise, conservatives also

policies to adopt. In other words, if one re found support in such studies because they
search project has benefits of 100 units and wanted a reduction in the expensive jail
costs of 150 units, and a second project has burden on the taxpayers. This kind of rein
benefits of 10 units and costs of 8 units, forcement did accelerate the presumably
then the first project is more important desirable occurrence of increased pretrial
given the amount of the benefits and the release with a constant or lower no-show
costs, even though the second project rate.
would be a better or more profitable invest At the next to the lowest level is research
ment. We would not want to add benefits that is referred to by policymakers orally or
to costs to judge importance because those is officially cited. The citing could be by ei
variables are likely to be measured in dif ther the majority group among the decision
ferent units that cannot be meaningfully makers or the minority group or dissenters.
added. In this context, however, different Either kind of citing is an example of low-
units can be meaningfully multiplied. level use, even if the research cited was not
on the winning side and was not influential
enough to convert opinions or even rein
Usefulness force preconceived opinions. This is also a
common occurrence. People who are skep
Usefulness should be considered a con tical of the value of policy research tend to
tinuum concept rather than a yes/no con emphasize the commonness of the lowest
cept. Usefulness at its lowest level involves categories of no citing or citing but no in
doing a policy research project that is not fluence. One should recognize, however,
in any way referred to by the people who that progress in dealing with policy prob
make policy in the subject matter area. Not lems may require many unused research
only is the research project not referred projects before a research project is devel
to, but also there is no evidence that the oped that does become well used. The pol
policymakers were even aware of the pro icy research system is still a success if only 1
ject. It is sometimes possible that a research in 10 projects is used, if that project tends
project is not explicitly cited but that it was to produce benefits that outweigh the costs
referred to in hearings, preliminary discus of the other 9.
sions, or other oral or written asides. When
none of this occurs, this is clearly nonuse.
At the other extreme or next highest Other Criteria of
level is research that reinforces pre Good Policy Analysis
conceived decisions. This is reasonably
common. Some skeptics of the value of sys In defining good policy evaluation, one
tematic policy analysis consider this occur should add as a criterion the concept of
rence not to be utilization. Policy research originality to the concepts of validity, so
ers, however, should be quite pleased if cial and theoretical importance, and use
their research accelerates a worthwhile de fulness. Originality can be measured in de
cision that otherwise might not be made for grees because all research differs to some
awhile. An example is the research that extent from previous research, unless an
showed that more defendants can be re exact plagiarism is involved. Even highly
leased prior to trial without increasing the original research builds on and synthesizes
no-show rate, provided there is some sys prior research. Feasibility is an additional
tematic screening to determine who is to be criterion for judging proposed policy re
released. Liberals found support in such search compared to completed policy re
studies because they wanted more defen search. Feasibility is concerned with how
dants released in view of the presumption easily the research can be implemented
given the limited time, expertise, inter 2. Statistical or observational analysis: Ana
ests, funds, and other resources of the re lyzing specific instances to generalize
searcher. what the goals, policies, or relations
In defining good policy evaluation, we might be
should also indicate certain criteria that 3. Deduction: Drawing of a conclusion from
should probably be considered irrelevant. premises that have been established from
One such criterion is whether the recom authority, observation, intuition, or all
mendations of a research study have been three
adopted by policymakers, even though
policymakers show no awareness of the 4. Sensitivity analysis: Estimating the goals,
existence of the research. To be considered policies, or relations and determining
useful, the research must at least be re what effect, if any, the estimated values
ferred to by policymakers. A second irrele have on the final decision regarding
vant criterion is the direction of the re which policy is best
search recommendations in terms of being
liberal or conservative. This criterion is not The four basic sources can be sub
relevant to good policy analysis in an ob classified in various ways. For example,
jective scientific sense because there is gen authority can be meaningfully discussed in
erally no objectivity regarding whether a terms of expert authority and general pub
liberal or a conservative recommendation lic opinion. Authority can also be contem
is better. One could argue that liberal rec porary or historical. Observation can be
ommendations tend to directly benefit impressionistic or systematic, including
more people given their mass orientation. statistical. Deductive approaches can be
On the other hand, one could argue that based on intuitively accepted or empiri
conservative recommendations benefit cally validated premises. Sensitivity analy
more people in light of the trickle-down sis is threshold analysis in which we want
theory, which states that the masses are to know the break-even point, above which
better off if well-to-do potential investors we should take one course of action and be
are encouraged to develop new technology low which we should take another.
and businesses. The other criteria of valid What constitutes an authority on goals,
ity, importance, and usefulness do have policies, or relations? The answer depends
some objective reality on which both liber on the subject matter. For example, the Su
als and conservatives can agree.3 preme Court is an authority on what goals
are legitimate in satisfying the right-to
counsel clause of the Sixth Amendment to
the Constitution. The Court has said that
THEORY OF KNOWING AND saving money is not an appropriate goal
POLICY ANALYSIS but that saving innocent persons from be
ing convicted is appropriate. If, however,
Sources of Policy Analysis Elements the issue is not whether right to counsel
should be provided but, rather, how it
should be provided, then saving money is
Where do goals, policies, and relations an appropriate goal. For this issue, the
come from? The answer includes the fol goals of a county board would be relevant
lowing main possibilities: because it generally appropriates money to
pay court-appointed lawyers to represent
1. Authority: One or more persons, books, the poor. Such goals might include satisfy
articles, or other reliable sources of infor ing the local bar while minimizing expen
mation regarding the relevant goals, poli ditures. The board might therefore decide
cies, or relations to use a salaried public defender system
Policy Theory | 137
rather than a less expensive but less politi which the controversy occurs, the overall
cally feasible assigned-counsel system or a conclusion regarding which policy or com
less legally feasible volunteer system. For bination is best is still the same. Sensitivity
other policy problems, the key authorities analysis also enables the policy evaluator
might be legislative opinion, public opin to convert difficult questions about goals,
ion, the head of an administrative agency, policies, and relations into relatively easy
and so on. questions, such as “Is a given weight, pol
Accounting is a variation on statistical icy, or relation above or below some
analysis. Like statistical analysis, it in threshold?” rather than “What is the exact
volves aggregating data, but accounting weight, policy, or relation?”
data are generally more precise than statis There is no need to argue about which
tical analysis that is based on averages or source between authority, statistics, and
the fitting of curves to scattered data deduction is the most desirable. Authority
points. A public opinion survey is not a is clearly a major time-saver if an accessible
variation on statistical analysis in the con and respected authority is involved. De
text of the typology of sources. Rather, it is duction enables one to draw conclusions
a form of consulting authority in which the about goals, policies, and relations without
authority is the general public or a special having to gather original data but instead
segment of it. A statistical analysis (as a dis by synthesizing already known informa
tinct source of information on goals, poli tion. Statistical analysis does constitute a
cies, or relations) involves a cross-tabula more ultimate, but more difficult, form of
tion, an analysis of the variation between proof. In any concrete policy evaluation
averages, or a regression equation analysis. situation, the best source depends on the
These forms of statistical analysis involve subject matter and what is to be done with
determining a relation that is relevant to it. If the policy evaluation involves consti
weighting goals, deciding which policies tutional policy, an appeal to Supreme
are feasible to choose among, or relating a Court authority may be most relevant. If it
policy to a goal. involves the effects of a strike in the coal in
Deduction involves deriving a conclu dustry on another segment of the economy,
sion from premises that have been estab a deductive input-output model may be the
lished by way of authority, empirical vali preferable type of analysis. If it concerns
dation, prior deduction, or intuition. The the trade-off of inflation and unemploy
more acceptable the premises, the more ac ment, a time-series statistical analysis may
ceptable the conclusions should be, assum be especially appropriate in relating infla
ing the conclusions have been validly de tion and unemployment to suicide rates,
duced from the premises. Deduction is the percentage of the two-party vote that
especially helpful when there is no author goes to the incumbent party, or other social
ity and no empirical data for determining indicators.
the information desired.
In policy evaluation, sensitivity analysis
is a useful source of information about Overcoming Obstacles to
goals, policies, and relations when author Policy Analysis Knowledge
ity, statistics, and deduction do not provide
clear answers regarding them. Sensitivity There are five key methodological prob
or threshold analysis enables one to deter lems in decision making:
mine the amount of room for error in
weighting the goals, listing the policies, or
1. Multiple dimensions on multiple goals
measuring the relations. Often, the contro
(the “apples and oranges” problem)
versy regarding precision in these matters
is wasted because, within the range in 2. Multiple missing information
3. Multiple alternatives that are too many 3. Convergence analysis, whereby the com
for one to be able to determine the effects puter shows for each goal weight at what
of each magnitude the goal tends to dominate the
other goals, such that nothing is to be
4. Multiple and possibly conflicting con
gained by increasing the weight
straints
4. Best-worst analysis, whereby the com
5. The need for simplicity in drawing and puter first shows what the conclusion
presenting conclusions despite all this would be using values that most favor a
multiplicity given alternative and then the values that
least favor a given alternative. The two
Decision-making problems often in conclusions are then averaged.
volve multiple goals measured on a variety
of different dimensions, such as miles, Decision-aiding software can help in al
hours, dollars, 1-5 attitude scales, and yes- locating resources, in contrast to the gener
no dichotomies. Multiple dimensions can ally easier problem of simply finding a best
be handled, for example, by (a) multiplying alternative or combination. A good way to
the apples by 2 if you like each apple twice allocate resources is to convert into per
as much as each orange. Then, all data will centages the raw merit scores of the objects
be expressed in orange units; (b) asking to which the resources are to be allocated.
whether the gain in apples from choosing One can then apply the percentages to the
one alternative is worth more or less than grand total available to be allocated. A
the gain in oranges from choosing a second good way to convert the raw scores into
alternative; or (c) by converting the apple percentages is to divide them by their total
units into percentages by dividing the raw within the same goal to get part-whole per
scores on the apples goal by the sum of the centages. These percentages can then be
apples and by converting the orange units summed across the goals using a weighted
into percentages by dividing the raw scores sum in which the goals have different
on the oranges goal by the sum of the or weights.
anges. Decision-aiding software can help in
We often do not know relation scores dealing with constraints that require mini
for each alternative on each goal, and we mums or maximums on the alternatives or
often do not know the relative weights of the goals or other conditions that must be
the goals. The main way in which missing met, regardless of how high the scores are
information is handled is to allow the user for an alternative or for the goals. The con
to quickly and accurately determine the ef straints can be met before one allocates
fects of inserting various values for the scarce resources or determines the relation
missing information. Specific techniques scores. Doing so tends to result in giving an
include alternative more than it is entitled to when
it deserves only the minimum. This result
1. “What if” analysis, whereby the com
cannot occur if adjustments are made after
puter shows what would happen if
allocating so as to bring alternatives up to
changes were made in the goals, alterna
their minimums. The best ways to resolve
tives, relations, or all three
conflicting constraints are either to expand
the total benefits available or to reduce the
2. Threshold analysis, whereby the com total costs to be imposed so that all the con
puter shows for each relation score and straints can be satisfied simultaneously. If
goal weight the value that would cause a this is not possible, then one can resolve
tie between the second best alternative conflicting constraints by developing com
and the best alternative promises that satisfy each constraint in
Policy Theory | 139
proportion to its importance. Other, less amples could be given of highly praised
desirable alternatives involve partially sat policies that were adoption failures due to
isfying all constraints equally or fully satis interest-group opposition that was not ad
fying certain constraints in the order of equately won over, such as tariff removal in
their priority. the 1930s, free-market farm pricing in the
Decision-aiding software that is based 1950s, and pollution taxes in the 1970s.
on multicriteria decision making (MCDM)
can greatly simplify the analysis of a vari
ety of decision-aiding problems that have Success Versus Failure
traditionally used more complicated and Among Adopted Policies
often less valid methods, such as arrow dia
grams, payoff matrices, decision trees, There are a variety of ways to classify
optimum-level curves, indifference curves, postadoption policy failures. One dimen
functional curves, and multiobjective pro sion is in terms of the subjective intent of
gramming. The essence of MCDM soft the decision makers versus the objective re
ware is that it works with a table, matrix, ality. In terms of intent, a policy is a success
or spreadsheet, with alternatives on the if it achieves its goals, and it is a failure if it
rows, evaluative criteria on the columns, does not. In terms of reality, a policy is a
relation scores in the cells, and a summa success if its benefits minus its costs are
tion column at the right showing the over maximized, or at least positive, regardless
all score or allocation percentage of each of whether the benefits or costs were in
alternative.4 tended. A second dimension is in terms of
quantity and quality. A policy is a quantita
tive failure if its achievement units fall be
CAUSAL THEORY low an intended or objective standard,
AND POLICY ANALYSIS even though there is some net achievement.
A policy is a qualitative failure if it pro
Adopting Versus duces more undesirable than desirable re
Rejecting Proposed Policies sults, as measured either by the intentions
of the decision makers or by the objective
A fundamental distinction in public pol effects regardless of intent. Because each of
icy analysis is that between policy forma these dimensions has two categories, it is
tion and policy implementation or that be possible for four types of policy failures to
tween policy causes and policy effects. This occur by combining the two pairs of cate
distinction is relevant to the concept of pol gories into a four-cell table.
icy failure and the counterpart concept of
policy success. Policies can thus be failures
in the sense of never being adopted or in the Prohibition and Allocation Policies
sense of being adopted but having unsatis
factory effects. The failure to get a policy A good set of categories, however, is one
adopted is a subject of particular relevance that suggests meaningful ways of reducing
to political science because adoption fail policy failure. The previously mentioned
ure tends almost always to be due to a lack categories may lack this characteristic.
of interest-group support relative to the Showing too much concern for the intent of
opposition for the policy being considered. decision makers may, for example, lead
Studying the interaction of interest groups one to suggest reducing policy failure by
is an important part of mainstream politi lowering one’s goals, which is analogous to
cal science. This kind of awareness could reducing crime by legalizing all activities
be helpful in developing policies that are that were formerly criminal. A more use
more likely to be adopted. Numerous ex ful classification of postadoption failure
might be in terms of policies that prohibit cause of the difficulty of measuring the
or legitimize certain activities versus poli benefits and the costs and of relating them
cies that involve allocating resources or ef to varying inputs. To the extent that one
fort. Prohibition or legitimation policies can at least approximately determine a no
can relate to criminal activities, negligent tion of policy optimum, one can then mea
behavior, breach of contract, economic sure failure for the these policies as the dif
regulation, transferring property, uncon ference between the optimum and the
stitutional administrative practices, or actual. Thus, if the optimum allocation of a
other activities in which legal policies spec budget to a given anticrime activity is
ify what is right and what is wrong. $1,000 and the actual allocation is $800,
Postadoption failure in this context refers then the anticrime allocation is $200 less
to noncomplying behavior, which is behav than optimum. If the $1,000 allocation
ior that does wrong despite the prohibition would produce 50 crimes and the $800 al
or nonlegal recognition. Compliance is location would produce 60 crimes, then the
likely to be facilitated when (a) the legal anticrime allocation is suffering an oppor
policies are clearly specified and represent tunity cost of 10 crimes. Perhaps one
a minimum deviation from custom; (b) should generally measure policy failure in
the policymakers are highly regarded and terms of the degree of noncompliance, the
maintain a unity of support for the legal deviation between actual and optimum,
policies; (c) the policy appliers have time, and in terms of opportunity costs rather
financial resources, expertise, positive in than on a dichotomy of failure versus suc
centives, and negative sanctions in admin cess.
istering the policies; (d) the policy recipi
ents have attitudes and backgrounds that
favorably dispose them toward the poli Deviation Between
cies; and (e) environmental conditions are Optimum and Actual
conducive to compliance, including com
munications media, education facilities, The deviation between the optimum
and business conditions. and the actual can generally be explained in
Opposite kinds of policies on the prohi two ways. The researcher may be wrongly
bition-allocation dimension are those that attributing values or intended goals to the
involve decisions to generate various in decision makers, or the decision makers
puts to achieve various outputs. These poli may be misperceiving the relations be
cies include allocating resources to places tween their decisions and their goals. For
or activities, deciding the degree of en example, if the optimum percentage of de
forcement for given policies, or deciding fendants to hold in jail prior to trial is 4%,
how much due process to provide to pro and the actual percentage is 27%, the devi
tect the innocent from being treated as if ation may be explained by noting that the
they were guilty while simultaneously ap optimum was arrived at by using societal
prehending and negatively sanctioning the costs, such as the costs of incarceration and
guilty. At least in theory, such policies lend lost gross national product. The actual de
themselves to determining an optimum al cision makers do not bear these holding
location of resources in which the nonlin costs, but they may be quite sensitive to the
ear marginal rates of return are equalized personal embarrassment of releasing a de
across places or activities or to determining fendant who fails to appear in court or
an optimum level at which the marginal commits a crime while released. The prob
benefits equal the marginal costs. In prac lem in these common circumstances is how
tice, it is often quite difficult to use the to internalize the external costs that the de
methods of operations research or related cision makers generate. Doing so may in
fields to determine the optimum levels be volve trying to generate some offsetting
Policy Theory | 141
embarrassment by publicizing the holding 4. Efficiency versus equity as policy goals

costs that the high holders incur without a 5. Evaluation versus evaluation plus diverse
commensurate improvement over the low replication as an obligation
holders in getting defendants to appear.
The alternative or supplementary expla 6. Cost incurring versus cost saving in re
nation is that the decision makers do have search
the goals that the researchers attribute to 7. Whether or not to share one’s raw data
them, but the decision makers in this con
8. Research validity versus questionable
text do not have the facts regarding how
findings that are not sufficiently ques
their own behavior relates to their goals.
tioned
Specifically, the legal policymakers may
lack information on the high percentage of 9. Whether or not to put people at risk in
released defendants who appear in court policy evaluation
without committing crimes while released,
and they may lack information for predict Openness may be the key factor under
ing more accurately the probability that lying the resolution of ethical dilemmas in
various defendants will appear. There are policy evaluation. The situation is similar
numerous policy situations in which the to that of the blue sky laws that regulate the
degree of failure could be decreased or the securities markets. A stockbroker can legit
degree of success increased if policymakers imately sell the blue sky as long as he or she
had additional social science information. informs potential customers and others
When one talks in terms of the deviation what they are buying. Likewise, policy
between optimum and actual, one can evaluators may be complying with basic
readily see that social science and policy ethical obligations when they make clear
analysis can play a useful role in attempt exactly what they are doing on matters
ing to determine the optimum and how the such as the nine dilemmas mentioned pre
actual can be moved closer to the opti viously.
mum.5 To resolve these ethical dilemmas, how
ever, perhaps more affirmative critique
may be needed than just openness in re
NORMATIVE THEORY porting one’s research. In the analogy to
AND POLICY ANALYSIS the blue sky laws, one might argue that a
stockbroker should have an ethical obliga
Professional Ethics tion not to sell worthless stock rather than
merely an obligation to report that he or
An interesting question concerns the she is selling stock in a corporation whose
ethical obligations of people who do policy liabilities exceed its assets and that has
analysis research. Such research often in been taking a loss in recent years.
volves ethical dilemmas that relate to
1. Whether one’s purposes should include Societal Values

prescription or evaluation as well as pre
diction or explanation In discussing ethical policy analysis, one
should discuss both individual and societal
2. Whether or not to work to maximize the ethics. Individual ethics refer to standards
interests of a political party or special- of professional behavior, as previously
interest group or to maximize only gen mentioned. Societal ethics refer to the goals
eral societal interests that society should be seeking and toward
3. Focusing on intended consequences ver which public policy should be directed. On
sus all consequences a high level of generality, one can say that
society should be seeking to maximize soci consider nonmonetary benefits and mone
etal benefits minus societal costs in making tary costs simultaneously rather than
policy decisions. The concept of societal sequentially.
refers to the collective good in the sense of On a more specific level of generality,
such ideas as one can say that there are six subcriteria to
the overall criterion of maximizing societal
1. The greatest happiness for the greatest benefits minus costs. The first three are
number, as expounded by such utilitari sometimes referred to as the three Es be
ans as Jeremy Bentham and John Stuart cause they start with the letter E and are as
Mill and to a lesser extent by American sociated with the field of economics. They
pragmatists such as William James and consist of effectiveness, efficiency, and eq
John Dewey uity. Effectiveness refers to the benefits
achieved from alternative public policies.
2. Bringing up the bottom with regard to
Efficiency refers to keeping the costs down
those who are least well off, as ex
in achieving the benefits, generally as mea
pounded by John Rawls
sured by benefits divided by costs. Equity
3. Doing things that make everyone better refers to providing a minimum level of ben
off or at least no one worse off, as ex efits or a maximum level of costs across
pounded by Vilfredo Pareto persons, groups, or places.
The other three subcriteria are some
Benefits refer to whatever the society or times referred to as the three Ps because
its leaders or both consider desirable. Costs they start with the letter P and are associ
refer to whatever is considered undesir ated with the field of political science. They
able. Benefits and costs can refer to mone consist of public participation, predictabil
tary or nonmonetary effects. Benefits and ity, and procedural due process. Public par
costs are interchangeable concepts depend ticipation refers to decision making by the
ing on how they are worded. Thus, high target group, the general public, relevant
employment is a benefit, and high unem interest groups, or other types of decision
ployment is a cost, but they are the comple makers whose involvement appeals to our
ments or inverses of each other. It makes desire to use democratic procedures for
more sense to subtract costs from benefits achieving given goals. Predictability refers
in talking about overall goals than dividing to decision making by way of following ob
costs by benefits. The subtraction criterion jective criteria in making decisions so that
gives more of a net gain to one’s original as similar decisions would be arrived at by
sets when one project is better on B – C, but others following the same criteria. Proce
another is better on B/C. Other overall dural due process or procedural fairness
goals are also defective, such as (a) merely means those who have been unfairly
maximizing benefits without considering treated are entitled to have (a) notice of
costs, (b) merely minimizing costs without what they have done wrong, (b) the right to
considering missed benefits, (c) maximiz present evidence, (c) the right to confront
ing benefits subject to a maximum cost their accusers, (d) a decision maker who is
level, (d) minimizing costs subject to a min not also an accuser, and (e) an opportunity
imum benefit level, or (e) maximizing for at least one appeal.
change in benefits divided by change in On an even more specific level of gen
costs. The last alternative is only a means erality, societal values manifest themselves
to maximizing benefits minus costs. The in specific policy problems, such as how
third and fourth alternatives are sometimes to deal with unemployment-inflation, en
justified because benefits and costs are vironmental protection, poverty, crime,
often measured on different dimensions. health care, freedom of communication,
There are meaningful ways, however, to world peace, and reforming government
Policy Theory | 143
structures. The goals of societal values at Knowledge, Causes, and Norms (Westport, CT:
this level may refer to specific aspects of Greenwood, 1990).
the three Es or the three Ps, such as (a) in 3. On conceptual theory in policy evalua
creasing effectiveness by reducing unem tion, see Phillip Gregg, ed., Problems of Theory
in Policy Analysis (Lexington, MA: Lexington
ployment and pollution, (b) increasing effi
Books/Heath, 1976); William Dunn, ed., Policy
ciency by reducing the tax costs of public Analysis: Perspectives, Concepts, and Methods
aid and defense spending, (c) increasing (Greenwich, CT: JAI, 1986); and Yehezkel Dror,
the equitable distribution of crime preven “Basic Concepts in Policy Studies,” in Encyclo
tion and health care, (d) increasing public pedia of Policy Studies, ed. Stuart Nagel (New
participation in freedom of communica York: Dekker, 1994).
tion and the reforming of government 4. On the theory of knowing in policy evalu
structures, (e) increasing predictability and ation, see William Dunn, Public Policy Analysis
stability in crime prevention and the busi (Englewood Cliffs, NJ: Prentice Hall, 1992);
ness cycle, and (f) increasing procedural Stuart Nagel, Evaluation Analysis With Micro
due process in the administration of gov computers (Greenwich, CT: JAI, 1989); and
Jack Rabin and Edward Jackowski, eds., Hand
ernment programs and criminal prosecu
book of Information Resources Management
tion.6 (New York: Dekker, 1988).
5. On causal theory in policy evaluation and
policy studies, see Thomas Dye and Virginia
Gray, eds., The Determinants of Public Policy
(Lexington, MA: Lexington Books/Heath,
NOTES
1980); Judith May and Aaron Wildavsky, eds.,
The Policy Cycle (Beverly Hills, CA: Sage,
1. On general aspects of policy theory, see 1978); and Helen Ingram and Dean Mann, eds.,
Fred Frohock, Public Policy: Scope and Logic Why Policies Succeed or Fail (Beverly Hills, CA:
(Englewood Cliffs, NJ: Prentice Hall, 1979); Sage, 1980).
William Dunn, ed., Values, Ethics, and the Prac 6. On normative theory in policy evalua
tice of Policy Analysis (Lexington, MA: tion, see Frank Fischer and John Forester, eds.,
Lexington Books/Heath, 1982); Stuart Nagel, Confronting Values in Policy Analysis: The Poli
Policy Studies: Integration and Evaluation tics of Criteria (Newbury Park, CA: Sage, 1987);
(Westport, CT: Greenwood, 1988); and Louise Ronald Cohen, ed., Justice: Views From the So
White, “Values, Ethics and Standards in Policy cial Sciences (New York: Plenum, 1986); Paul
Analysis,” in Encyclopedia of Policy Studies, ed. Diesing, Science and Ideology in the Policy
Stuart Nagel (New York: Dekker, 1994). Sciences (Chicago: Aldine, 1982); and Stuart
2. Modified from Stuart Nagel, ed., Policy Nagel, Public Policy: Goals, Means, and
Theory and Policy Evaluation: Concepts, Methods (New York: St. Martin’s, 1984).
CHAPTER 21
Building Frameworks
for Policy Analysis

Laure Paquette
Lakehead University
A certain mystique clings to theorists

in the popular imagination: They
take the universe as their inspira
tion and, from their all-too-real flesh and
blood, mysteriously alchemize ideas that
greater challenge, in fact, lies in represent
ing a nonlinear method of theory building
such as this one with words and two-
dimensional figures—a challenge rooted in
the very nature of strategy or grand policy-
move humanity forward, or so the legend making.
goes. The myth does accurately reflect a The process of building frameworks for
certain ersatz creativity involved in theory policy analysis can be represented by a six-
building, and it does highlight the impor step, cyclical process. This process moves
tance of intuition. forward in fits and starts, retracing its own
On the other hand, the myth says noth steps as needed. The creativity required in
ing about the tedious, technical work that theoretical development is so carefully
paves the way to rigorous, tightly argued channeled that the process may sometimes
theory: establishing definitions, producing seem rote. Because there has been little or
a welter of possible statements and rela no work on the influence of values on
tionships between phenomena, setting as grand policy per se, it might also appear as
sumptions and conditions, refining and if the theory is being built in a vacuum. This
clarifying the propositions, checking the is not the case. In fact, theory is probably
theory for internal consistency, opera the type of research that uses germane
tionalizing it, and, finally, illustrating it. scholarship the most. With regard to the
The myth is all the more potent because ory building, however, the literature is si
there are few, if any, descriptions of policy- lent. Therefore, the sources of inspiration
specific theory building. Demystifying the are very broad.
theorizing process is, if anything, even Generally, the theory develops in six
more important. stages: (a) definition of terms, (b) brain
There is another argument made here: storm, (c) distillation of statements, (d) or
Not only does the theory meet criteria by dering of statements, (e) testing for inter
which scholars judge theory qua theory but nal consistency, and (f) operationalization
also it actually exceeds them. The far (Table 21.1).
145
Table 21.1 STEPS OF THE METHOD
Definition
Identify primary, secondary, and methodological terms to be defined.
Delineate and express the essence of the concept.
Review on the basis of Aristotelian criteria.
Brainstorm
Produce a flood of suggestions, statements, and relationships.
Distillation
Break complex and compound statements down into simple ones.
Differentiate statements according to type.
Check for accuracy.
Choose only central statements.
Ordering
Create a set of statements by ordering by type, eventually clustered around main concepts.
Establish a genealogy.
Backward test
Verify for completion and parsimony by moving from last-generation proposition to
assumptions.
Operationalize
Transform essentialist definitions of hypothesis into observable, measurable operation.
Apply the theory to an actual country’s politics.
Illustration
Illustrate the theory and the empirical hypotheses to the particular case of a country’s
policy to the hypothesis and, indirectly, the theory.
DEFINING TERMS strategic policy and decision making, na

tional values, and national policy; (b)
Wittgenstein once said that common usage secondary definitions, which are impor
should be the basis of definitions: How tant but less central; and (c) methodo
much simpler the task would be if that were logical terms—that is, assumptions, con
possible. Terminology is important in any ditions, propositions, and hypotheses
study, but it is even more important for the (defined later).
ories that aspire to logic and parsimony but The role of a definition is usually limited
persist in using words. Defining terms, al to expressing an idea, but in this theory it
ways important, is even more important must also carefully distinguish it from
here because it is the first of six steps that other ideas. Only essentialist definitions
build on each other. Consequences of de (i.e., definitions that give the nature of the
fining terms reverberate throughout the thing defined) can do this. Of the three
theory. major types of definition (essentialism,
There are three kinds of terms to be de descriptivism, and intentualism), essential
fined: (a) primary terms, which arise di ism works best for conceptual research and
rectly from the central hypothesis about to provide criteria according to which defi
Building Frameworks for Policy Analysis | 147
nitions can be improved. These criteria are The result is a motley assortment of rag
convenience, freedom from normative con ged, inconsistent, needlessly complicated
cerns, verifiability, and precision. More statements in much greater numbers than
over, neither prescriptivist nor contextual are necessary. In fact, a beginner might pro
ist definitions suit the study of policy. duce 10 times as many statements as can be
Essentialism is not without its problems, included in a theory. Nevertheless, the
however. First, it tends to rely on meta more raw material, the better the theory. A
phors: “Metaphors are apt or inapt, illumi brainstorm should be a flood of ideas for
nating or misleading, according to two cri which accuracy or elegance mean little.
teria: (a) the number and importance of the There will be time to check and double-
known points of resemblance between the check later. The important thing is to get
things compared and (b) the number and started and to stop only when intuition (or
importance of previously unnoted facts exhaustion) prompts.
suggested by the metaphor.”1 Second, there
is a greater risk of syllogism with essen
tialist definitions than there is with either DISTILLATION
prescriptivist or pragmatic-contextual def
initions: “Too often, a single term has been Distillation is the reiterative process of
used to symbolize different concepts, just adding, subtracting, classifying, revising,
as the same concept has been symbolized and clarifying statements. It is governed by
by different terms.”2 For instance, the the a series of checks and balances. For the
ory uses values in the same way that “value purpose of explanation, distillation can
systems” is used by the Parsonian school be divided into a three-step process: (a)
or ideology is used in political culture. Syl Various types of statements are distin
logism can also be a problem for meth guished; (b) statements are refined, usu
odological terms: The theory uses “as ally by breaking them down into a simple
sumption” the way other scholars use standard format; and (c) statements are
“postulate” or “premise.” checked for accuracy.
I am writing a book titled Analyzing and Two distinctions can be made about
Building National Policy: France as a Case statements—between types of statements
Study. It guards its definitions against and between types of propositions.
essentialist problems in two ways: first,
it submits the theory to stringent and
detailed tests for internal consistency. Sec Types of Statements
ond, it develops the definitions by rigor
ously applying Sartori’s rules of defini The main test for internal consistency is
tions. what philosophical logic calls the back
ward test. The backward test ensures that
every statement is in its proper place rela
BRAINSTORM tive to other statements. That position de
pends on the role of a particular statement,
A brainstorm is by definition unpredict and that role depends in turn on the type of
able: It produces raw insights that need to statement. There are five types of state
be reworked to be of any use. It can be done ments—assumptions, conditions, hypothe
by a single scholar or by a team. It should ses, propositions, and definitions—that
happen mostly at the start of the process, can be distinguished by their respective
but it is really always happening. It needs characteristics.
some inspiration—a question of particular Assumptions are the most basic state
interest, an abstract phenomenon, or a ments. They provide the foundation on
complicated or subtle idea. which other statements build. There is usu
ally significant agreement among scholars ses must be deductive: They must be logi
on either the truth or the plausibility of as cally necessary derivations of propositions,
sumptions, but they cannot be proven di which means that each hypothesis must be
rectly because they are philosophical in successful (i.e., that it must be possible to
content. They must, however, meet three work through every statement from as
requirements: (a) Assumptions must be sumptions to hypotheses and back again,
logical (i.e., meet various formal require without finding a gap or skipping a state
ments of logic), (b) assumptions must be ment). Second, hypotheses generated by
epistemic (i.e., be consistent with prevail this theory must be probabilistic: Although
ing conventions about knowledge), and (c) the assumptions formally imply them, the
assumptions must be substantive (i.e., ad assumptions are probabilistic about indi
dress some sort of content). The easiest vidual events or single occurrences. Third,
way to recognize an assumption is to hypotheses are teleological (i.e., they per
search for its origin: If it is derived from form one or more functions in maintaining
any other statement, then it cannot be an certain traits of a system).
assumption. Propositions are divided into genera
A condition’s role is to reduce the scope tions depending on the statements that in
of a theory. It does so by specifying which spired them. The first generation is de
events can be included in the study, such as duced from assumptions and conditions,
including policy choices but excluding de the second generation from at least one
cisions about means and ways; by singling first-generation proposition, the third
out particular phenomena for study (e.g., from at least one second-generation prop
decision-making processes, but not plan osition, and so on. Successive generations
ning or programming); by setting spatial or mold the theory increasingly more closely
temporal limits, such as studying only deci to the original phenomenon, moving from
sions made by France between 1955 and the general to the specific, the theoretical to
1970; and, indirectly, by focusing on cer the empirical (or the more theoretical to the
tain aspects of the research design. less so), or the abstract to the concrete.
Latter-generation propositions can eventu
ally be operationalized. For the theory to
Types of Propositions be tested for consistency, the statements
must all be of the same format. The basic
If assumptions are the infrastructure of format uses only one verb to link two phe
the theory, then propositions are the super nomena: No complex propositions and no
structure. Propositions are deduced from compound sentences are used. While state
earlier statements, usually other proposi ments are being broken down into the basic
tions. In theory, a scholar could develop format, it is important to keep track of
propositions ad infinitum, but in practice every statement’s origin. The basic test for
the capacity to integrate propositions is al accuracy involves deriving propositions
ways limited, sometimes extremely. that contradict existing propositions or
Empirical hypotheses are propositions that are obviously false.
in operational language that can be investi
gated by empirical research. By their very
nature, hypotheses are impossible to con ORDERING THE STATEMENTS
firm absolutely. Evidence supporting them
can mount so much that they are generally It is possible that portions of the theory
regarded as being verified, but it is still pos have been displayed in orderly successive
sible to encounter evidence to disprove it. generations already. The rest also have to
Hypotheses, like assumptions, should be displayed systematically for the theoret
meet several requirements. First, hypothe ical work to proceed. Once this representa
Building Frameworks for Policy Analysis | 149
tion is complete, it is possible to test the parsimony, and the ability to predict or ex
theory for internal consistency. plain phenomena or both. These criteria
now enjoy a broad acceptance within the
discipline, even though they leave a great
BACKWARD TEST deal to the imagination. The method of the
ory building outlined previously is geared
The backward test is imported from philo to meet the following interpretation of
sophical logic. First, some method of sche Waltz’s five requirements.
matic representation, such as cell dia Solid definitions and consistent termi
grams, is chosen. Symbols are assigned to nology are the key to clarity. It is easier to
each type of statement, and then the gener be consistent than it is to use rigorous defi
ations of propositions are determined. The nitions because definitions rarely inspire
theorist moves through the statements’ any kind of consensus in social science. In
template from the late-generation through addition to terminology, the meaning of
the first-generation propositions to condi each statement has to stand on its own mer
tions and assumptions using the cell dia its and also do so in the context of other
grams or other kinds of abstract represen statements. Both distillation and the back
tation. ward test ensure clarity.
It is almost impossible for a theorist to
check the accuracy of his or her own work.
OPERATIONALIZATION A process as mechanical as possible is one
solution, such as asking “Is it possible to
There are three possible outcomes to deduce propositions that contradict each
operationalizing the theory. It can produce other, from an identical set of statements?”
feedback that leads either to confirmation or “Is it possible to deduce propositions
of the empirical hypothesis, which is un that are patently untrue (such as reversing
likely, or to adjustments of the theory. the law of gravity or the cycles of the
If the theory needs to be adjusted, this moon)?”
can mean one of two things. Either na Waltz does not mention it directly, but
tional values are not one of the key factors for a theory to be accurate it also has to be
in determining national strategies and the complete. This theory is judged to be com
hypothesis is rejected, or only minor ad plete if it can generate plausible empirical
justments are necessary. Should the hy hypotheses from the statements included
pothesis be rejected completely, the theory and if each proposition is supported by
can be changed to suit a new independent other statements. This is a second use for
variable using the same method used to the schematic representation, or template,
build the theory in the first place. More of the theory. The template’s role is to rep
over, the backward test provides all the resent the entire theory, making it obvious
necessary details about assumptions, con where there are gaps. The template makes
ditions, and propositions needed to make any superfluous statements just as obvious,
these changes. After all, changes to theory ensuring parsimony.
are par for the course once empirical re Ensuring clarity or accuracy may be
search has begun. very technical, but it is actually easier than
There are no criteria specific to policy by trying to make the theory elegant. Elegance
which to judge theory, but there are criteria is the least tangible of Waltz’s require
for the theory of international relations ments, and in some ways it is the most im
due to the work of Kenneth Waltz. When portant. Few scholars will be interested in
Waltz launched his own theory of interna the theory unless it has elegance. Although
tional relations in 1979, he listed the fol classics of strategy, the root of policy analy
lowing criteria: clarity, accuracy, elegance, sis, provide some models, they do not pro
vide any real guidance. André Beaufre’s a minimum of effort. This economy of the
work has a carven simplicity that allows audience’s effort is the most desirable char
the reader an economy of effort. This kind acteristic for theory, and this balance of
of simplicity is a move in the right direc melos and opsis is what elegance is about.
tion, but there is more to it than that or ele
gant theories would all be relatively simple.
There are many scholars, such as Raymond
Aron or Zeev Maoz, whose theories are not
simple at all, but they have an undeniable NOTES
elegance.
Elegance, I suggest, is actually a balance 1. Abelson, Raziel, “Definitions,” in The
between the images created in the mind’s Encyclopedia of Philosophy, ed. Paul Edwards
eye and the sound created in the mind’s ear. (New York: Macmillan/Free Press, 1967), 315.
When image and sound strike some sort of 2. Merton, Robert K., Social Theory and So
balance, the theory can be understood with cial Structure (New York: Free Press, 1968), 74.
CHAPTER 22
Causal Relations
Among Policy Fields
T able 22.1 shows causal relations

among four basic policy fields.
Each field has an opportunity to be
a cause and an effect. This results in 16 re
lations (4 × 4), which reduces to 12 after
ployment. Prosperity has a mixed effect on
education. In a time of recession, people
may attend school if they can afford to go
to do so instead of trying to find a job. It
may have an adverse effect on remaining in
eliminating the possibility of each policy high school if one needs to work to support
field acting against itself. the family in difficult times.
Economy Affects Technology. When the Prosperity Has an Effect on Political Prob
economy is prosperous, business firms lems. People turn more readily to extreme
spend more money on research and devel politics in times of depression or runaway
opment. They less money in times of reces inflation.
sion, as is currently occurring in Japan.
Technology Affects Social Relations. Re
Prosperity Affects Social Relations. This productive technology can affect family
includes the divorce rate and the crime planning. New technology means new edu
rate. Also, people may have more leisure cation and leisure time devices, such as
time in times of recession because of unem television, videotapes, and computers.
Table 22.1 CAUSAL RELATIONS AMONG THE FOUR BASIC

POLICY FIELDS
Causes
Effects Economic Technology Social Political
Economic 7 8 9
Technology 1 10 11
Social 2 4 12
Political 3 5 6
151
New technology may affect methods used Economic and technology fields are es
by both criminals and the police. pecially relevant to prosperity. Social and
political fields are especially relevant to de
Technology Affects Politics. It does so by mocracy. International and legal fields are
providing new ways of campaigning for of especially relevant to foreign and domestic
fice and thereby creating campaign finance peace.1
problems.
Social Relations Affect Politics. Thus, the WIN-WIN CITATIONS

occurrence of abortions, crime, leisure,
and the need for education have an impact Talk about win-win. Save on both auto parts
on public policy. A key social relation is and labor.
ethnic relations. They influence how peo —Mike Raisor, Audi Imports
ple vote.
Energy Department awards $3.7 million for
Technology and the Economy. The major research to both lift fuel efficiencies and cut
impact of technology on the economy is to emissions.
increase productivity but to displace work —Chronicle of Higher Education
ers in the process. (November 18, 1998)
Social Institutions and the Economy. Eth A win-win on housing, allowing diversity of
nic relations and immigration have an up public housing tenants.
lifting effect on the economy but also a dis —New York Times editorial, 1998
placing effect. Education is important for
uplifting the economy. Crime, such as A win-win offer from Headset Discounters.
drug-related crime, can have an adverse ef —A customer testimonial
fect on the economy by diverting many re
sources.
The whole idea is to get a win-win situation
for the government and Lockheed.
Politics and the Economy. Politics and
—General Richard Davis, the Pentagon
public policy can stimulate the economy,
especially by way of stimulating new tech
A win-solution by publicizing sponsors of
nologies and education.
the IPSA convention.
—John Trent, IPSA convention chair
Social Relations Affect Technology. This
includes especially education, which
Elia Kazan could have condemned both Sta
makes it possible to benefit from new tech
linism and HUAC in his New York Times ad,
nologies and to invent them in the first
instead of just Stalinism.
place. Inventiveness may begin at an early
age, before formal education. —Victor Navasky, The Nation
Politics Affects Technology. It does so by NOTE

way of the patent system, government sub
sidies, and tariffs to protect infant indus 1. For a broader and more detailed discus
sion of the reciprocal causal relations among all
tries.
six policy fields, see “Policies as Causes and Ef
fects of Other Policies,” in Super-Optimum So
Politics Can Affect Social Relations. It can lutions and Win-Win Policy, ed. Stuart Nagel
do so by way of public policy toward the (Westport, CT: Quorum/Greenwood, 1997),
family, schools, crime, and leisure. 40-49.
Part 2
METHODS AND
PROFESSIONALISM
CHAPTER 23
Diverse Methods for
Policy Analysis
T he purpose of this chapter is to de

scribe five diverse perspectives on
public policy analysis. Public pol
icy analysis can be defined as the study of
the nature, causes, and effects of alterna
(a) societal goals to be achieved, (b) policy
alternatives for achieving them, and (c)
relations between goals and alternatives
to choose the best alternative, combina
tion, or allocation1
tive public policies. An important part of
studying the effects is using the informa MCDM is closest to what good analy
tion to evaluate alternative policies to de sis and decision makers do implicitly.
termine which ones should be adopted. MCDM involves analyzing public policy
problems by
THE PERSPECTIVES 1. Listing available alternatives on the rows

of a two-dimensional matrix
The five perspectives are
2. Listing criteria for judging the alterna
tives on the columns of the matrix
1. Mathematical optimizing, with an em
phasis on operations research, manage 3. Inserting scores in the cells showing how
ment science, and decision science each alternative relates to each criterion
2. An econometric approach, with an em 4. Transforming the scores, if necessary, to

phasis on statistical regression analysis take into consideration that the goals may
be measures on different dimensions
3. A quasi-experimental approach, with an
emphasis on trying to arrange for a pre 5. Aggregating the transformed scores
test, a posttest, a control group, and a across each alternative to obtain a sum
nonrandom, quasi-experimental group mation score for each alternative
4. A behavioral process approach, with an 6. Drawing a conclusion as to which alter
emphasis on the process of policy forma native or combination should be adopted
tion and policy implementation
7. Determining what it would take to make
5. Multicriteria decision making (MCDM), a second best or other alternative the best
with an emphasis on processing a set of alternative
155
156 | Methods and Professionalism
One form of MCDM is policy/goal 5. The need for simplicity in drawing and
percentaging. It relates policies to goals presenting conclusions in view of such
and uses part/whole percentaging to deal multiplicity
with goals that are being measured in dif
ferent ways.2 Mathematical optimizing tends to
The five perspectives on public policy
analysis emphasize methodology rather 1. Obliterate multiple goals by forcing a sin
than substance. They are related to various gle objective function
standard disciplines, however. Mathemati
cal optimizing clearly relates to mathemat 2. Wastefully find missing information or
ics but also to engineering (because it is a make wrong assumptions
part of industrial engineering) and business 3. Allocate through classical calculus opti
(because it is a part of management sci mization, although even approximately
ence). Econometrics is fundamental to con accurate elasticity coefficients may not be
temporary economics. Quasi-experimental available
analysis is associated with the psychology
4. Be paralyzed by conflicting constraints
of Donald Campbell, the sociology of Peter
Rossi, and the educational evaluation of 5. Be needlessly complicated in drawing and
the American Evaluation Association. The presenting conclusions
behavioral process approach goes to the
heart of the behavioral and the process Compared to MCDM prediction, ec
orientation within political science. These onometric or multivariate statistical analy
orientations can be contrasted to the legal sis also tends to be needlessly complicated
istic, journalistic, historical, and philo without having the offsetting benefits of in
sophical orientations that preceded them creased empirical validity.
and to the postbehavioral policy concerns Quasi-experimentation (like mathemat
that followed them. MCDM cuts across all ical optimizing and multivariate statistical
social science disciplines because they all analysis) may be useful in some circum
involve people or other entities choosing stances. Often, however, there are no
among alternatives in different subject meaningful experimental group, control
matters in light of multiple goals. group, “before” data, or “after” data.
Quasi-experimentation also requires the
possible harmful adoption of the experi
mental policies before they can be tested,
CRITERIA FOR EVALUATING in contrast to a deductive modeling ap
THE PERSPECTIVES proach.
Behavior process analysis is valuable for
Key criteria that can be used for evaluating sensitizing policy analysis to the impor
these diverse perspectives relate to how tance of political feasibility, but the best pol
well they handle frequent obstacles to sys icies are not simply those that are feasible.
tematic public policy evaluation, including Multicriteria decision making (with its
explicit emphasis on multiple goals, con
straints, policies, relations, and the system
1. Multiple dimensions on multiple goals
atic drawing of conclusions) is generally
2. Multiple missing information the approach that can best handle the five
key methodological problems.
3. Multiple alternatives that are too many to
The most exciting recent occurrence
determine the effects of each
concerning these perspectives is the devel
4. Multiple (and possibly conflicting) con opment of meaningful and easy-to-use
straints microcomputer programs for mathemati
Diverse Methods for Policy Analysis | 157
cal optimizing, multivariate statistical ica, 1979); Alexander Mood, Public Policy In
analysis, quasi-experimentation, process troduction to Policy Analysis (Amsterdam:
simulation, and especially MCDM. This North-Holland, 1983); and Stuart Nagel, Public
software is helping to bring these diverse Policy: Goals, Means, and Methods (New York:
St. Martin’s, 1984).
perspectives out of the realm of method
2. On multicriteria decision making, see
ological theory and into the realm of useful Ching-Lai Hwang and Kwangsun Yoon, Multi
applications. The perspectives and the soft ple Attribute Decision Making: Methods and
ware are now in a state of rapid devel Applications (New York: Springer-Verlag,
opment, with new improvements being 1981); Milan Zeleny, Multiple Criteria Decision
adopted as a result of new experiences. Making (New York: McGraw-Hill, 1982);
These are especially exciting times to be in Ralph Steuer, Multiple Criteria Optimization:
the field of public policy analysis.3 Theory, Computation, and Application (New
York: John Wiley, 1986); Tom Saaty, Decision-
Making for Leaders: The Analytical Hierarchy
Process for Decisions in a Complex World
NOTES (Belmont, CA: Wadsworth, 1982); and Stuart
Nagel, Policy Analysis With Microcomputers
1. On diverse perspectives to public policy (Westport, CT: Quorum, 1988).
analysis in general, see Edward Quade, Analysis 3. For further details regarding diverse
for Public Decisions (Amsterdam: North-Hol methods for policy analysis including multi-
land, 1989); William Dunn, Public Policy Anal criteria decision-making, see Stuart Nagel, “Five
ysis: An Introduction (Englewood Cliffs, NJ: Great Issues in Public Policy Analysis,” in Hand
Prentice Hall, 1981); Duncan MacRae and book of Public Administration, ed. Jack Rabin,
James Wilde, Policy Analysis for Public Deci Bartley Hildreth, and Gerald Miller (New York:
sions (Lanham, MD: University Press of Amer Dekker, 1989).
CHAPTER 24
Interactive Policy Analysis
Process Methods for Policy Reform
Louise G. White
George Mason University
T here are special challenges in ap

plying policy analysis techniques
in developing countries. The dom
inant policy analysis methods are associ
ated with Western social science ap
viewing the lessons of policy reform inter
ventions and summarizing their major
characteristics. Second, it analyzes trends
in the practice of policy analysis and partic
ularly in donor technical assistance, noting
proaches and neoclassical economics. In an increasing interest in drawing on inter
addition, analytic methods are often linked active approaches in providing technical
to policy prescriptions that developing assistance. Third, the chapter outlines one
country officials believe are being imposed model for interactive analysis that stresses
on them by outsiders. As a result, much of the importance of cognitive learning.
the policy analysis literature lacks legiti Finally, it describes a modest effort to in
macy for these officials. For these reasons, troduce learning into decision making in
it is not enough to simply define appropri Mozambique, noting both the importance
ate methods and concepts and demonstrate and the difficulty of doing so.
their relevance to developing economies
and policy choices. It is also important that
local officials are able to understand and CHARACTERISTICS OF
use these, and that they have some owner POLICY REFORMS
ship of the choice of methods and concepts.
This chapter discusses experience in work Critically burdened with debt and faltering
ing with officials in Mozambique and de economies, developing country officials
scribes a strategy for working with local of are being strongly encouraged by interna
ficials to increase the range of options they tional donors and lenders to embark on a
consider and to collaborate in designing an series of policy reforms to expand the pri
appropriate policy response. vate sector and reduce the role of the gov
The rationale for interactive policy anal ernment in their economies. These institu
ysis stems from the characteristics of policy tional reforms have been largely based on
reforms. This chapter begins by briefly re policy analytics drawn from Western social
159
sciences and neoclassical economics and lic sector rather than simply reduce it. For
urge that host governments need to begin example, to reduce the role of parastatals,
by “getting the prices right.” For example, it is not sufficient to simply offer assets for
analytic techniques based on macroeco sale on the open market; officials need to
nomic analysis predict that farmers are un create an environment that motivates indi
likely to use new technology if policy keeps viduals to enter the private sector and en
commodity prices low. Policy analytics are sure that they can perform effectively.
then used to propose devaluations of cur Third, observers are increasingly finding
rencies and reductions in subsidies as criti that economic development depends on the
cally important steps in stimulating devel education and health of the populace and
opment. on human resource development more gen
This economic emphasis on price incen erally. New technologies, for example, can
tives and on “stroke-of-the-pen” decisions, not simply be transplanted but depend on
however, is incomplete. It has become in an educated workforce. A fourth reason
creasingly evident that the process of for appreciating that implementing re
change requires a more complex and lon forms involves long-haul efforts is the need
ger term set of actions than originally to mobilize communities, particularly the
thought. Initially, the international com poor, to participate in growth opportuni
munity was attracted to economic policy ties. For example, officials in Zimbabwe
reforms precisely because they did not re have been promoting agricultural produc
quire the complex set of interventions and tivity through producer price increases and
assistance long associated with develop distributions of seed, fertilizer, and credit.
ment activities. It is increasingly clear, They have benefited enormously from lo
however, that although economic reforms cal farmer groups that encourage farmers
can trigger major changes in the economy, to use and share knowledge and offer assis
without additional implementing actions tance with marketing. They reach farmers
they will have uneven results. Macroeco not ordinarily reached through the Minis
nomic changes are not sufficient to gener try of Agriculture and create a demand for
ate growth and development. There is in information and government services by en
creasing interest in four additional sets of couraging the use of technical information.
activities: supporting investments, institu This broader perspective suggests that
tional development, development of hu policy reforms have the following charac
man resources, and social mobilization. teristics:
Macro policy changes are seldom put
into place as isolated actions. Rather, they 1. They typically require new ideas and
are part of a complex set of supporting ac ways of viewing problems as well as new
tions that the World Bank in 1988 termed roles and new activities.
“hybrid reforms,” a combination of mac
2. They require specific knowledge of local
roeconomic policies, investment strategies,
areas. They are not actions that can be ap
and project activities. The rationale is sim
plied across the board; they should take
ple. Price increases are unlikely to be effec
the local setting into account. Thus, they
tive unless complementary actions ensure,
need to draw on local and tacit knowl
for example, that credit is available, that
edge of those who are closest to the situa
roads and storage facilities are adequate,
tion.
that research is relevant to farmer needs,
and that extension services are available to 3. Such activities can be very threatening to
women producers. local officials, making it important to
A second change is an increasing realiza elicit the commitment and energy of those
tion that policy reforms require changes in who will be involved in carrying them
institutions or activities to reform the pub out. Shared ownership is particularly im
Interactive Policy Analysis | 161
Substantive Focus of intervention: Process for design

prescription and implementation
Conditionality Method of intervention: Collaboration

Pursuit of political and Motivation for change: Concern with issues
economic interests and problem solving
Market Mechanism for change: Government
Figure 24.1. Varieties of Policy Interventions
portant when the changes are viewed as icy would be best or would produce the
being imposed by outsiders. most efficient results (Figure 24.1). Those
4. Such activities can be very complex. They interested in policy content usually draw
involve many interrelated actions, and on rational techniques and analytic tools
the results are highly uncertain. to improve the rationality of the design
process. Typically, these include statistical
5. They can easily overwhelm the capacity of analyses of large data sets and macroeco
organizations to collect relevant knowl nomic models that use cost-benefit analysis
edge and carry them out. to establish which policies will achieve the
most efficient result. Alternatively, one can
intervene in the process of decision making
TRENDS IN POLICY and in the ways in which information is
INTERVENTIONS collected, communicated, and analyzed.
What do we need to know? How can we
Policy analytics are useful but inadequate find this information? Who should be part
tools for helping us deal with these charac of the process? How can we include multi
teristics. The question is not simply what ple perspectives? This alternative emphasis
analytic techniques are appropriate to a assumes that it is important to ensure that
policy problem. Rather, the issue is how to effective processes and institutions are in
engage local officials in selecting, using, place for developing an adequate policy.
and supplementing analytic techniques. The process typically involves parties with
Such engagement is particularly important different levels of expertise, and partici
to the extent that policy changes require of pants may draw on different analytic ap
ficials to undertake entirely new activities, proaches including macroeconomic analy
adopt unfamiliar and perhaps threatening sis. Interventions try to alter processes or
roles, and design policies that will drasti institutions or promote new ones, and spe
cally curtail their operations or services. cific policy plans emerge from this process.
Thus, the analytics need to be part of a
broader learning process called interactive
analysis. There is evidence that donors are Method of Policy Intervention
moving in this direction.
A second dimension concerns the
method of intervening. Donors often at
Focus of the Policy Intervention tach strong conditions to their assistance—
specific activities that serve as benchmarks
One type of intervention focuses on pol to be carried out before another round of
icy content and asks what substantive pol funds is released. Although conditionality
may be a useful way to counter domestic ties together to wrestle with problems and
political opposition to change, it poses consider policy options.
problems. It requires extensive monitor
ing, which can become an irritant. Leaders
may agree to conditions but then downplay Responsibility for Change
them during implementation. Conditions
tend to work best for specific actions or One perspective argues that govern
policy actions and less well for longer ments are poorly equipped to bring about
range sectoral adjustments. Another strat economic growth. There are several rea
egy relies more on collaboration to estab sons. First, to the extent that governments
lish new policies. These interventions can depend on political support, they are not in
be occasions for exchanging views on the a position to carry out the necessary
problems of economic development and changes because these will threaten their
also an opportunity to inform participants base of support. Second, governments are a
about untried strategies. Admittedly, col major source of inefficiency, if not corrup
laboration can include considerable ma tion. In the process of regulating activities,
nipulation and serve as a euphemism for they charge what economists call “rents,”
donor initiatives, but there are also in which in turn cause significant inefficien
stances in which good-faith efforts are cies in the economy and provide an oppor
made to have genuine collaboration. tunity for systemic corruption. Long-haul
sectoral reforms can make the problem
worse by providing an extended series of
Motivation for Change opportunities for officials to obstruct the
reforms. Although markets are not without
Policy studies applied to developing so problems, competitive and market-like ar
cieties have been heavily influenced by po rangements are more appropriate institu
litical economy. This approach assumes tions for carrying out public policies, and it
that policy actors pursue their interests in is important to promote privatization and
the political arena just as they pursue eco decentralization wherever possible. An al
nomic interests in the economic arena. ternative approach stresses that although
They are preoccupied with relatively nar market reforms are probably necessary, the
row and special interests and with maxi state will continue to have a positive role.
mizing their positions. The best way to Political institutions are needed to trans
overcome narrow policy solutions is to ac late values into policy goals, to ensure there
commodate as many interests as necessary is a social safety net, and to put in place the
to develop a feasible policy. Following this supporting activities needed to make the
logic, however, economic interests tend to reforms work.
be relatively stable, and one can expect Although debate continues on all four of
only modest or incremental changes. Those these dimensions, there is a trend to move
who use a political economy model gener toward the right on each dimension (Figure
ally predict that change will only occur 24.1). These developments are evident in
when crises occur and those in power are the emphases within the traditional policy
most vulnerable. An alternative approach analysis community, among those special
does not deny that interests play a major izing in interventions in developing na
role in the policy process but argues that tions, and in the activities of donor institu
there are additional forces at work—that tions such as the World Bank. For example,
problem solving, idea exchange, and policy a review of 55 World Bank sectoral-level
learning also take place. To the extent that reforms noted that reform packages were
they anticipate these developments, propo paying increased attention to such institu
nents search for opportunities to bring par tional issues as restructuring organizations
and building a greater capacity for con Elements of the Model

ducting policy analysis.
This broad trend is evident for each of Logically, the model involves the follow
the factors. First, there is greater awareness ing tasks (Figure 24.2):
of the role that democratic institutions and
processes play in policy making and more 1. Convene a network of appropriate indi
concern for institution building. Second, viduals or stakeholders to find a way to
there is increasing sensitivity to the value of cope with some situation. The purpose is
collaboration, and more attention is being twofold: to gain their commitment and
paid to designing occasions when local of ownership of the plans and to take their
ficials and donors interact. Third, there is immediate knowledge of the situation
more emphasis on strategies for introduc into account. The concept of stakeholder
ing new ideas into policy discussions and suggests that one should look beyond the
an appreciation that policy processes can obvious interests that are involved with a
be an occasion for groups to use new infor policy and include all those potentially
mation and ideas to reshape and redefine affected by it. Ideally it will include those
their interests. Finally, there is more inter who will be implementing activities.
est in the role of the state in providing a 2. Map the key features of the situation. As
framework for market processes and for sess the immediate situation, available re
ensuring that issues such as poverty and the sources, potential opportunities, and
environment are taken into account. threats. This step derives from an appreci
ation that problems are part of broader
systems of interdependent parts and can
A MODEL FOR AN seldom be dealt with in isolation. The
INTERACTIVE PROCESS broader the group of stakeholders, the
greater and more varied the available
One resource for designing an interactive knowledge about the situation. This step
process appropriate to deal with the char can include both collecting available in
acteristics of policy reform is strategic formation and generating new data.
planning or analysis. Strategic as used here
simply refers to an approach or a way of 3. Identify major issues. Try to get the stake
thinking rather than to a specific formal holders to reach a reasonable agreement
process or set of techniques. According on the nature of the problem or the
to the International Labor Organization hoped-for results. The selection can be
(ILO), “it is a concept, a state of mind, guided by a vision or a set of goals or sim
which can be applied in any environment ply by reference to the most salient prob
and at any stage of development if the insti lem or concern of the group. The results
tution is prepared to tackle fundamental usually reflect what is politically accept
questions concerning its purpose, objec able or what is credible to those involved.
tives, orientation, resources, competence, This step helps to provide focus and re
performance and effectiveness.” From this duce the complexity of the situation by
perspective, it is a commonsense technique developing a focus.
for diagnosing one’s situation and develop 4. Develop coping strategies. On the basis of
ing a way to cope with it. Its strength is its mapping, think about strategies to ac
emphasis on generating new ideas, taking complish the goals. Throughout the im
the immediate context into account, elicit plementation process, compare the actual
ing the commitment of those responsible results with the goals.
for putting policy reforms into place, and
reducing complexity by focusing on a few It is always tempting to move quickly
key issues. to identify the major issues, but a strategic
Map the Situation Identify Major Issues Develop Coping Strategies
Collaborative inquiry Strategies can include:

among several perspectives
to gather OPINIONS and Policy changes
compile INFORMATION
about: Participants review Investments
mapping and select:
NATURE OF PROBLEM Changes in institutions
MAJOR ISSUES
SOCIAL AND POLITICAL Development of
ENVIRONMENT human resources
IMPLEMENTATION Ways to mobilize

CAPACITY communities
Political negotiations
Implementation plans
Figure 24.2. A Strategic Approach to Implementation
interactive approach assumes that it is needed, there is a need to encourage new

valuable to spend time analyzing and map preferences and options and to talk about
ping the situation. For example, assume learning rather than simply about finding
that there is a concern that farmers in an an equilibrium among existing prefer
area have no access to credit facilities. If a ences. Second, it enables officials to
planning group moves too quickly to iden reconceptualize and examine problems in
tify a solution, it would probably propose a new ways and from new perspectives. Such
government loan program or turn the reconceptualizing is based on mapping the
problem over to a private bank. A mapping setting and obtaining different views. It is
exercise, however, might find that local designed to go beyond simply gathering
community organizations had formed sav perceptions; instead, it seeks to infuse new
ings groups. The group might then develop data and information into the process.
a strategy to provide seed capital to the Third, it offers a way to take the local set
nonprofits to develop a revolving credit ting into account and draw on local and
program and bring in an outsider to train tacit knowledge, what might be called
them in monitoring the loans and repay “time and place” information. Fourth, it
ments. offers a way to build shared ownership,
The approach fits with the characteris to develop a shared vision or purpose or
tics of policy reforms in several ways. First, definition of a task, by including those
it involves local officials in considering who will be in charge of carrying it out and
alternative responses and institutions. One who have immediate information about it.
is not simply maximizing preferences but Finally, offering a clear logic and a frame
is placing stakeholders in a position to work provides a vehicle for host officials to
learn about and explore options. Classical understand and own the process. Laying
economic models are designed to search out the logic of the framework enables host
for equilibria rather than change. If new officials to understand the process and de
ways to accomplish economic growth are sign it to suit their needs. If this logic is not
clear, it is easy for them to be hostage to do has underestimated the role that ideas and
nors and external consultants. involvement in decisions can play.
Finally, there is sufficient time for this
process to take place; problems are not so
critical that change has to be put in place
Assumptions of the Model immediately from the top. Rather, those
above will provide support and time to ap
The model makes certain assumptions proach activities in new ways.
about both host officials and donor organi The model also makes assumptions
zations. First, it assumes that host officials about donors and expatriate groups. First,
will be willing to focus on policy problems it assumes that it is possible for donors to
rather than, or at least in addition to, pur focus on the core and logic of strategic
suing their organizational agendas. Much thinking without being engulfed in the de
of the literature indicates that a policy fo tails or complexity of the process. This as
cus is difficult to maintain, and that organi sumption is important because case studies
zations focus on their own structural document that it is easy for planning activi
needs. The literature on strategic interac ties to become cumbersome and unduly
tion assumes that officials are potentially complex.
concerned about issues and will respond to Second, donors can play what is in many
the opportunity to be part of a planning respects a dual role. Typically, donors will
process. have a particular policy concern and view
Second, it assumes that ideas are not point about the direction in which to pro
necessarily fixed and rigid. Officials and ceed. For example, donors clearly have a
community groups can respond to new strong preference for reducing the size of
ideas and ways of thinking about problems the civil service and for decentralizing and
and tasks. People are not just creatures of privatizing activities. An interactive ap
narrow political interests but can respond proach assumes that it is possible to com
to new information and new ideas. By ex bine these policy interests with assistance
tension, officials may entertain changes in in developing a planning process, even
their roles and responsibilities, even to the though participants may not pursue these
point of decentralizing or contracting out policy preferences.
some tasks. Finally, donor institutions can tolerate
Third, such change is most likely if offi the open-endedness and long time frame
cials are involved in analyzing and plan involved so that they can balance their need
ning their tasks. The implementation liter to be accountable within their own systems
ature has been so enamored with the with an emphasis on developing shared
importance of individual incentives that it ownership.
CHAPTER 25
Changing Policy Research
R edistricting is a good subject for

illustrating what might be called
the old, the middle, and the new in
policy research because
defending the existing districting won four
times. The attacker won four times prior to
Baker v. Carr. Thus, there was a tie among
these cases. Four variables were used to
predict the second case from the first case,
1. Redistricting is a metapolicy subject be the third case from the first two cases, the
cause it determines who the policymakers fourth case from the first three cases, and
will be, which in turn determines the poli so on. The four variables related to (a)
cies adopted in many policy fields. whether the relevant constitution expressly
required districts of equal population per
2. This is especially a political science sub
representative; (b) whether the territory,
ject unlike other important policy prob
state, or congressional districting was be
lems, such as (a) economic growth associ
ing attacked; (c) whether less than 35% of
ated with economics, (b) technological
the population could choose more than
innovation and dispersion associated
50% of the legislature; and (d) whether a
with engineering and science, and (c) edu
federal or a state court decided the case.
cation at the preschool, kindergarten
Using eight prior cases and four vari
through 12th grade, college, and adult
ables, one could do a predictive regression,
levels associated with sociology and psy
discriminant, or correlation analysis to
chology.
predict Baker v. Carr. Such an analysis
3. Redistricting is highly emotional in divid would indicate that the attacker was likely
ing conservatives and liberals, Republi to win in the case of Baker, even though the
cans and Democrats, blacks and whites, attacker had lost in the classic case of
and others. Colegrove. Colegrove, however, was on the
wrong side of three of the four variables.
Baker was on the proattacker side on all
The Old: Correlates of Redistricting four variables. The analysis would explain
a high percentage of the variance across the
Table 25.1 shows some typical redis cases. To be more meaningful, every case
tricting policy research from the 1960s. could be accurately predicted from the pre
The table shows nine redistricting cases vious cases using this analysis.
from Colegrove v. Green in 1946 to Baker Doing a correlation analysis of case
v. Carr in 1962. Of the nine cases, the side facts against judicial decisions served the
167
Table 25.1 PREDICTING AND EXPLAINING REDISTRICTING CASES
Variables Present a
The Cases Who

(Arranged Chronologically) Won One Two Three Four
Colegrove v. Green, 328 U.S. 549 (1946) Defender No Congress No Federal

(Illinois)
Dyer v. Abe, 138 F. Supp. 220 (1956) Attacker Yes Territory Yes Federal
(Hawaii)
Magraw v. Donovan, 163 F. Supp. 184 Attacker Yes State Yes Federal
(1958) (Minnesota)
Asbury Park Press, Inc. v. Woolley, Attacker Yes State Yes State
33 N.J. 1, 161 A.2d 705 (1960)
(New Jersey)
Scholle v. Secretary of State, 360 Defender No State Yes State
Mich. 1, 104 N.W.2d 63 (1960)
(Michigan)
W.M.C.A., Inc. v. Simon, 196 F. Defender No State No Federal
Supp. 758 (1961) (New York)
Maryland Committee v. Tawes, Circ. Defender No State Yes State
Ct. Arundel County (1961) (Maryland)
Grills v. Anderson, 29 U.S.L. Week 2443 Attacker Yes State No State
(1961) (Indiana)
Baker v. Carr, 369 U.S. 186 (1962) Attacker Yes State Yes Federal
(Tennessee)
a. Variable 1: Did the relevant constitution or organic act expressly require districts of equal population
per representative? Variable 2: Was a territorial, state, or congressional apportionment attacked? Variable
3: Could less than 35% of the population choose more than 50% of the legislative membership involved?
Variable 4: Did a federal court or a state court decide the case?
following useful purposes in advancing po same as finding remedies for diseases or
litical science and public policy research in social problems, as is less frequently
the 1960s: noted.
1. At that time, correlation and regression 3. Correlation analysis may be useful to

analysis were new to political scientists practicing lawyers in predicting cases in a
and especially new in the fields of public variety of subject matters and useful to
law and public policy. law professors in explaining variation
across cases or judges.
2. One can define the goal of social science
as explaining variations in human behav 4. One can define political science as the
ior, including that of judges. Correlation study of who gets what, when, and how,
analysis does this to some extent, al as Harold Lasswell defined it. Correla
though correlation is not causation, as tion analysis is relevant to this definition,
frequently noted. Understanding of cau especially given the importance of who
sation, however, is not necessarily the wins in redistricting disputes.1
Changing Policy Research | 169
The Middle:
the development of a computerized pro
Optimizing Redistricting
gram for maximizing the product of
equality ∂ compactness ∂ proportionality,
One defect in the previous research is with various exponent weights for each of
that it does not relate to who should get these three goals. The example here in
what, when, and how. In other words, the volves redistricting 90 of the 102 down
research may have predictive, explanatory, state Illinois counties. They originally con
or causal significance, but it lacks prescrip stituted 21 districts. Due to relative loss of
tive, evaluative, or normative significance. population since 1900, however, they were
The second kind of significance is espe entitled to only 18 districts by the 1970s.
cially associated with policy evaluation. The original 21 districts deviated from per
Table 25.2 shows some redistricting pol fect equality by as much as 39%. The 18
icy research in the 1970s. It is designed to new districts, however, deviated from per
indicate how a change can be made from a fect equality by a maximum of only 17%,
current districting pattern to a future which could have been reduced even fur
districting pattern in such a way as to mini ther by using units smaller than counties as
mize the average deviations from equality, building blocks.
compactness, and political party propor Doing an optimizing analysis of legisla
tionality while preserving continguity and tive redistricting in the 1970s served the
also minimizing disruption to incumbents. following useful purposes in advancing po
Equality is measured by all the districts litical science and public policy research:
having the same population as the total
population divided by the number of dis
tricts. Compactness is measured by how far 1. At that time, the use of computer model
the center of each precinct or other build ing for either optimizing or causal analy
ing block is from the center of the district. sis was new to political scientists, espe
Proportionality is measured by noting that cially in the fields of public law and
if the Democrats have 60% of the states’ public policy.
population, then they should dominate 2. The normative goals of political science
60% of the districts. Continguity refers to and public policy in the important sub
being able to walk from any point in the jects of redistricting and representation
district to any other point without leaving are goals such as equality, compactness,
the district. A major feasibility obstacle to proportionality, and stability. Trying to
redistricting plans is the opposition of in develop optimizing models stimulates
cumbent legislators or other politicians thinking about how to measure such nor
who generally like to minimize changes in mative goals. It also stimulates thinking
their number of constituents. This is true about how to develop alternatives for
even if the partisan percentages do not achieving those goals.
change because a new set of people even
from one’s own party means new work in 3. Good social and political science can be
constituency massaging. Such changes can can define as developing social and politi
be minimized while still satisfying other re cal knowledge that has important im
districting requirements by using the cur pacts on decision making. The redistrict
rent redistricting as a starting point for ing models developed in the late 1960s
making changes rather than starting with a and early 1970s have had important im
blank slate or a totally undistracted state or pacts. They have been used for redistrict
area to be redistricted. ing legislatures, courts, administrative
Achieving these goals and constraints is agencies, police departments, fire depart
quite difficult to do by hand. The research ments, school districts, business ware
from which Table 25.2 derives resulted in houses, and other geographical entities.2
Table 25.2 REDISTRICTING 90 ILLINOIS COUNTIES FROM 21 TO 18

DISTRICTS
100 –
Population/Average (Population/Average)
District Population (%) (%)
Initial populations
1 147,422 86 14
2 150,690 88 12
3 168,140 98 2
4 133,812 78 22
5 149,010 87 13
6 143,613 84 16
7 189,044 111 11
8 161,031 94 6
9 129,738 76 24
10 171,475 100
11 161,161 94 6
12 146,539 86 14
13 155,360 91 9
14 159,562 93 7
15 131,886 77 23
16 152,402 89 11
17 122,491 72 28
18 122,368 72 28
19 104,349 61 39
20 131,842 77 23
21 121,201 71 29
Redistricted populations
1 163,768 96 4
2 147,422 86 14
3 164,024 96 4
4 150,991 88 12
5 157,275 92 8
6 165,966 97 3
7 189,044 111 11
8 165,314 97 3
9 200,412 117 17
10 156,936 92 8
11 161,161 94 6
12 161,078 94 6
13 172,383 101 1
14 151,325 89 11
15 192,299 113 13
16 196,346 115 15
17 176,356 103 3
18 181,036 106 6
Super-Optimizing or Win-Win district in terms of other things of value,

Redistricting and the other side gets the equivalent of
70% of the district in terms of still other
A defect in the previously mentioned re things of value. Thus, in light of this, some
search is that it results at best only in com people would say the solution was practi
promises in redistricting disputes, gener cally obvious rather than impossible. Some
ally not win-win solutions. For example, day, win-win analysis will be close to obvi
for Republicans the redistricting program ous as a matter of foresight, not just as a
can indicate the best districting plan in matter of hindsight.
terms of maximizing the number of dis
tricts that Republicans dominate given
where Republicans and Democrats live. Black Redistricting
Likewise, for Democrats the program can
indicate the best districting plan in terms of Table 25.3 applies win-win or super-
maximizing the number of districts that the optimizing analysis to the problem of black
Democrats dominate. One can then arrive districting. Assume we are dealing with the
at a compromise between these two ex city of Chicago or the state of Mississippi,
tremes. in which blacks constitute about 40% of
the population and nonblacks or whites
constitute 60%.
Partisan Redistricting Conservatives advocate color-blind dis
tricting that allocates people, precincts, or
A win-win solution might involve the other building blocks to districts with no
Democrats stating that they want a plan in awareness of where blacks or whites live.
which they dominate 70% of the districts. Their claimed goal is to reduce racial divi
Republicans may state that they want a siveness. The result is likely to be relatively
plan in which they dominate 60% of the little or no black representation, but with
districts. Both plans are feasible within the every district being about 40% black, espe
guidelines of the Supreme Court that state cially if the districts are drawn like pie
that all districts should have equal popula slices out of the center of the city. This is
tion and be contiguous. The usual solution especially true of Mississippi, where blacks
would be a 65% compromise. The Demo are more scattered among whites than they
crats in Illinois might be willing to give the are in Chicago. Having no or few blacks in
Republicans a guarantee that the Republi the legislature (in which 40% of the pop
cans will win the governorship and many ulation is black) is likely to be highly
otherwise competitive congressional races divisive. Some people defend color-blind
if the Republicans will give the Democrats districting on the grounds that it gives
the 70% they want in the state legislature blacks major influence because they cast
and control over Cook County. The Re the swing vote between two white candi
publicans might consider such a deal to be dates, but blacks want direct and possibly
better than controlling 60% of the state proportionate black representation.
legislature. The Democrats likewise might Liberals advocate proportionate dis
consider such a deal to be better than con tricting, which means arranging for 40%
trolling 70% of the state legislature. This is of the districts to have a 51% black major
similar to the deal that was worked out in ity. This is possible to do with computer
the redistricting of 1970. ized redistricting. The claimed goal is to be
At first, it seems absurd that one side equitable, although in reality they may be
could get 60% and the other side 70% of seeking to increase black or Democratic in
some scarce resources. The answer is that fluence, just as the real goal of conserva
one side gets the equivalent of 60% of the tives may be to increase white or Republi
Table 25.3 BLACK DISTRICTING
Criteria
C L
Increase Black
Reduce Influence and
Alternatives Racial Divisiveness Representation
C
Color-blind districting (0%) + –
L
Proportionate districting (40%) – +
N
Safe black districts (20%) 0 0
At-large cumulating voting (40%) ++ ++
can influence. Deliberately arranging for tionate districting because many black
40% of the districts to be black majority votes are wasted creating safe black dis
districts, however, may be unconstitutional tricts. Incumbent black legislators tend to
in light of the latest Supreme Court deci favor safe black districts, but so does the
sions. Klu Klux Klan in Mississippi. This is so be
A neutral position might be to have as cause it results in fewer black legislators
many safe black districts as possible. A safe than proportionate districting provides,
black district means that the district is and it gives blacks less swing-vote influ
more than 60% black, in contrast to a ma ence than does color-blind districting.
jority black district, which is slightly more The objective is to employ a districting
than 50% black. The extra 10% provides system that is even less divisive than color
safety for black candidates running against blind districting and gives blacks even
white candidates because (a) the black more influence and representation than
turnout may be lower than the white turn does proportionate districting, especially if
out; (b) blacks in Mississippi and Chicago, proportionate districting is unconstitu
at least in the past, may have been fearful of tional and if it results in a relatively ineffec
recriminations if they voted for the black tive minority bloc in the legislature. Such a
candidate; and (c) blacks in Mississippi system is at-large cumulative voting with
and Chicago even today may think the three seats per district. All the candidates
white candidate will have more legislative run at large and represent the whole dis
influence than the black candidate. Safe trict, which minimizes divisiveness. Black
black districts are referred to as neutral be representation, however, may be more
cause in Chicago, Mississippi, and else meaningful than any single-member dis
where they result in the percentage of black tricting because of the cumulative voting.
legislators being between the 0% of “color Cumulative voting allows each voter to
blind” districting and the 40% of propor vote three ways: (a) 1 vote for each of 3
candidates, (b) 1½ votes for each of two virtually every district. A rule could be es
candidates, or (c) all 3 votes for one candi tablished that states that all major parties
date. The result is that one of the three must run at least two candidates to give the
elected representatives will be black if the voters some choice.
district has at least 17% blacks who cast all Thus, the major feasibility problem of
3 of their votes for the black candidate. cumulative voting (for simultaneously re
The black candidate may also receive ducing racial divisiveness and providing
some white votes, which means that blacks appropriate representation) is not that the
will be well represented without any gerry system is inherently too democratic or too
mandering. It also means that there will be undemocratic. The problem is that the sys
no deliberately segregated black majority tem is relatively unknown. It seems to be a
districts or white majority districts. All the truly American Midwest invention. It is
districts could be approximately 60% very simple and much fairer than the
white and 40% black, with two white rep method of single-member districts. It could
resentatives and one black one. All three, be a feasible win-win solution if the Su
however, are at-large representatives who preme Court would at least discuss it as an
represent the whole district. alternative to color-blind versus deliberate
Cumulative voting with three represen black majority districts. It could especially
tatives per district can also provide ap be a feasible win-win solution if the presi
proximately proportionate representation dent or Congress would endorse it. It pro
regarding political parties, ethnic groups, vides a minimum threat to incumbents be
gender, or other group characteristics that cause the number of legislators in a
can muster 17% of the vote. This occurs legislature would not have to change by
without having to use complicated and more than one or two. The only change
truly divisive proportional representation would be that the number of districts
lists that give undue pivotal representation would equal the number of legislators di
to minority political parties that get less vided by 3.3
than 17% or even less than 5% of the vote.
This kind of cumulative voting was used
for years in Illinois but then abandoned. CONCLUSIONS
Why was it abandoned? First, it was too
equitable for the politicians who wanted The purpose of this chapter is not so much
no substantial opposition. It was too equi to discuss the substance of black district
table in the sense that it provided for some ing, partisan districting, or districting in
intolerable Democratic representation in general. It is, however, quite difficult to
downstate Illinois and some intolerable meaningfully discuss research methods in
Republican representation in the Chicago the abstract without having some sub
area. Since the authoritarian one-party stantive concreteness. The research meth
days, American democracy has matured ods illustrated here are the those of (a) pre
enough to be able to tolerate such minority diction, explanation, or causal analysis;
party representation. At the same time, the (b) prescription, evaluation, or normative
system as applied was almost totally un analysis; and (c) win-win policy evalua
democratic. In downstate Illinois, the Re tion.
publicans would generally run two candi Referring to these as the old, the middle,
dates in each district, and the Democrats and the new does not mean that causal an
would run one. In Chicago, the Democrats alysis is obsolete. We still very much need
would generally run two candidates, and to know the effects of alternative policies.
the Republicans would run one. Thus, the We also need to know how to make certain
voters had no electoral choices because all desired effects or goals occur. Likewise,
three candidates would win by default in win-win policy evaluation does not make
ordinary evaluation obsolete. In ordinary purely journalistic, historical, legalistic, or

evaluation, X1 does well on Y1 but not so philosophical.
well on Y2. Likewise, X2 does well on Y2 but 2. For further details on this application of
not so well on Y1. Which is better, X1 or X2? prescriptive or optimizing analysis, see Stuart
The answer is X1 if one likes Y1 better than Nagel, “Computers and the Law and Politics of
Y2. The answer is X2, however, if one likes Redistricting,” Polity 5 (1972): 77-93. The
application is based on methods developed in
Y2 better than Y1.
Stuart Nagel, “Simplified Bipartisan Computer
The win-win answer is X3 if X3 does well
Redistricting,” Stanford Law Review 17 (1965):
on both Y1 and Y2, especially if X3 does 863-898. For a book-length expansion, see
better than X1 on Y1 and X3 also does better Stuart Nagel, Improving the Legal Process: Ef
than X2 on Y2. To determine if this is true, fects of Alternatives (Lexington, MA:
one must know what is meant by “doing Lexington-Heath, 1975).
well” and “doing better.” This is the lan 3. For further details on this win-win appli
guage of traditional evaluation. Thus, win- cation, see Stuart Nagel, “Political Policy for
win evaluation presupposes and builds on Democracy,” in Super-Optimum or Win-Win
both traditional explanation and tradi Society (Aldershot, UK: Ashgate, 1999). The ap
tional evaluation. Combining these two plication is based on methods developed in Stu
processes simultaneously is a win-win.4 art Nagel, Super-Optimum Solutions and Win-
Win Policy: Basic Concepts and Principles
(Westport, CT: Quorum/Greenwood, 1997).
4. For other articles that deal with the old
NOTES (correlation), the middle (evaluation), and the
new (win-win), see “The Predecessors of SOS
1. For further details on this application of Analysis,” in Teach Yourself Decision-Aiding
predictive analysis, see Stuart Nagel, “Applying Software, eds. Stuart Nagel and Lisa Bievenue
Correlation Analysis to Case Prediction,” Texas (Lanham, MD: University Press of America,
Law Review 42 (1964): 1006-1017. The appli 1992), 221-230, which uses right to counsel for
cation is based on methods developed in Stuart illustrative purposes. Also see Stuart Nagel,
Nagel, “Using Simple Calculations to Predict Ju “What Is New in Legal Analysis Technology?”
dicial Decisions,” American Behavioral Scien in Legal Scholarship, Microcomputers, and
tist 4 (1960): 24-28. For a book-length expan Super-Optimizing Decision-Making (Westport,
sion, see Stuart Nagel, The Legal Process From a CT: Quorum/Greenwood, 1993), 181-198,
Behavioral Perspective (Belmont, CA: Dorsey, which uses search and seizure for illustrative
1969). For nonscientific analysis that is older purposes.
than old, see the analyses of redistricting that are
CHAPTER 26
Recruiting People
and Obtaining Funds
PEOPLE AND FUNDS sions rather than by teaching courses. We

are anticipating offering fellowships to
How Do You Recruit Students?1 short-term visiting faculty. They will be
mainly invited to participate in brain
As of 2001, the Everett Dirksen–Adlai storming conferences scheduled for ap
Stevenson Institute of International Policy proximately 2 weeks at a time. The confer
Studies was mainly recruiting students ences will deal with important controversial
from the existing student population of the policy problems and how they might be
University of Illinois and from the Cham handled through win-win or other solu
paign-Urbana community. We may be tions. Visiting faculty will be recruited
writing to heads of political science depart mainly through the e-mail database of the
ments, public administration programs, Policy Studies Organization.
and public policy schools inviting them to
send graduate students who would like to How Do You Get
do mainly postdoctoral work relevant to Funding for Research,
win-win policy analysis. We are anticipat Teaching, and Service Projects?
ing receiving funding to attract at least a

few postdoctoral students for a semester or As of 2000, our funding mainly came
a year. There will be numerous publication, from annuities provided by Miriam K.
teaching, and service opportunities. Mills through Teacher’s Insurance Annuity
Association, College Retirement Equities
Fund, and Prudential Insurance. Funding
How Do You
also came from the State Universities Re
Recruit New Faculty?
tirement System. As of 2001, we are antici
pating funding from foundations, gov
As of 2001, our faculty consisted of par ernment agencies, and other universities
ticipating faculty from the University of mainly to cover the cost of the postdoctoral
Illinois and a few visitors. The Illinois fac student fellowships and the visiting faculty
ulty participate by offering seminar ses fellowships.
175
CRITERIA FOR ALLOCATION analysis consulting, especially for develop

ing nations.
What Criteria Do You Use in
Deciding What to Research?
PAST, PRESENT, AND FUTURE
We emphasize various research criteria,
including the following: How Did Your School Get
Started or Restarted or Both?
1. Research should have causal, prescrip
tive, or explanatory significance in being The Dirksen-Stevenson Institute began
able to add to our understanding of why in 1997. It originated at the University of
people behave the way they do or why Illinois, with which it is still unofficially
policies function as they do. The more connected by way of Professor Emeritus
that is causally explained, the better. Stuart Nagel. He was appointed associate
2. Research should have normative, pre dean of international policy studies of the
scriptive, or evaluative significance in be College of Liberal Arts and Sciences as part
ing able to add to our understanding of of a litigation settlement involving viola
what people or policies should do to tions of free speech and due process by the
achieve given goals. The more people political science department. In his role as
whose quality of life is improved, the associate dean, he pursued the following
better. steps in starting the institute:
3. Other criteria include (a) ease of research,
1. Establishing a focus on publishing, teach
(b) originality of research, (c) ability to
ing, and service activities relevant to win-
stimulate other research, and (d) degree of
win dispute resolution whereby all major
controversy.
sides could come out ahead of their best
initial expectations simultaneously
What Criteria Do You Use in 2. Obtaining not-for-profit incorporation

Deciding What Courses to Teach? status
3. Making arrangements to house the insti
For determining what topics to include tute at the Miriam K. Mills Research Cen
in our brainstorming conferences, we use ter for Super-Optimizing Analysis and
the same criteria as mentioned previously Developing Nations
in choosing among research projects. They
4. Obtaining personnel to staff the institute
include social utility, theoretical utility,
ease, originality, heuristic value, and de 5. Obtaining permission from the represen
gree of controversy. tatives of the families of Everett Dirksen
and Adlai Stevenson to name the institute
the Dirksen-Stevenson Institute
What Criteria Do You Use in Deciding
What Public or Professional Service The following are reasons that the
Projects to Encourage? names of Senator Everett Dirksen and Gov
ernor Adlai Stevenson were used:
We use criteria similar to those for de
ciding what public service activities to un 1. They are the most illustrious policy-
dertake. Our public service activities (other makers from the state of Illinois, at least
than publishing and teaching) mainly in since President Abraham Lincoln and
clude win-win policy mediation and public Senator Stephen Douglas.
Recruiting People and Obtaining Funds | 177
2. They both had a strong concern for do What Are You Currently Implementing
mestic and international policy problems. to Make Your School Different From
Senator Dirksen was instrumental in pro Most Other Policy Schools?
viding President Kennedy with bipartisan
support for foreign policy and civil rights. The Dirksen-Stevenson Institute cur
Adlai Stevenson was ambassador to the rently does not offer courses for credit. In
United Nations and also governor of stead, it emphasizes noncredit seminars for
Illinois. interested faculty, community members,
3. They represent the best traditions of the
and students. It is also planning a series of
Republican party and the Democratic
brainstorming seminars. Participation in
party, respectively, and the best traditions
these teaching, research, and service activi
of American conservatism and liberalism.
ties can possibly result in independent
This fits well with the bipartisan win-
study credit at the University of Illinois.
win philosophy of the Miriam K. Mills
The research and publishing program is
Center.
oriented around the theme of global win-
win policy analysis. This is in contrast to
the usual research program of a policy
The following were initial activities of
school that tends to be a hodgepodge of
the institute:
miscellaneous individual research projects.
Win-win policy analysis, however, is appli
1. Having an all-university faculty seminar cable to any substantive or procedural field
one evening per week in the autumn of of public policy. It is a provocative or heu
1997 to cover a different area of public ristic tool for stimulating individual and
policy group brainstorming.
2. Buying a house on the Miriam K. Mills es The service mission of the Dirksen-
tate to be used by visiting faculty fellows Stevenson Institute emphasizes research
participating in public policy conferences and publishing designed to train the train
and to be used by postdoctoral students ers. This means holding win-win seminars
at APSA or ISA for political and social sci
3. Offering a community education pro
ence professors. It also means holding win-
gram in public policy controversies one
win seminars for middle- to upper-level
night per week in the spring of 1999
public administrators in overseas govern
4. Offering worldwide workshops in win- ments, especially Africa and Asia.
win policy analysis, including West Afri
can regional workshops involving 12
countries held in February 1999 What Are Your Plans for the Future?
5. Offering win-win policy analysis work
shops at annual meetings of relevant asso To expand our publishing activities, we
ciations, such as the American Political have invited policy papers from all the peo
Science Association (APSA) in September ple presenting papers at the annual meet
1998 and the International Studies Asso ings of (a) political science associations,
ciation (ISA) in February 1999 such as the International Political Science
Association, APSA, and Midwest; (b) pub
6. Working closely with the Policy Studies
lic administration associations, such as In
Organization in the publication of four
ternational Association of Schools and In
journals and other activities
stitutes of Administration, International
7. Working closely with the Miriam K. Mills Institute of Administrative Sciences, Na
Research Center in the publication of var tional Association of Schools of Public Af
ious books dealing with win-win analysis fairs and Administration, and the Ameri
and developing nations can Society for Public Administration
(ASPA); and (c) public policy associations, These ideas for being more useful,
such as the Association for Public Policy however, may be limited by our location
Analysis and Management and the Policy and auspices. We might do better if the
Studies Organization (PSO). We received Dirksen-Stevenson Institute were located
more than 1,000 good papers in 1997. in Washington, D.C. It could then change
These resulted in the publication by Marcel its name, for example, to the Ronald
Dekker of a six-volume set on global eco Reagan-Jimmy Carter Institute. We would
nomic, technology, social, political, inter also welcome an affiliation with a major or
national, and legal policy and also the pub even a minor university. For nonscholarly
lication of other more specialized books. reasons that relate to petty academic poli
This approach can yield edited volumes on tics, we have been evicted after almost 40
numerous policy problems. We are also ex years from the University of Illinois, or one
panding the symposia that are edited by could say we have evicted the University of
others that are published in the Policy Illinois.
Studies Review or the Policy Studies Jour
nal. This expansion has occurred partly as
a result of no longer requiring any special THE THREE I’S
funding for symposia issues.
To expand our teaching activities, we What Is Your School Doing
have circulated reports on our workshops That Is of an International Nature?
to government officials and professors

throughout the world. In addition to the re The institute publishes the journal De
ports, we have offered to conduct work velopmental Policy Studies. It is published
shops on win-win policy analysis without in collaboration with the Developmental
any honoraria and often without any cov Policy Studies Consortium of the PSO. The
erage for travel costs. We are also advertis consortium includes representatives from
ing our community education program, Africa, Asia, Eastern Europe, Latin Amer
which mainly involves offering public pol ica, North America, and Western Europe.
icy courses in a brainstorming salon atmos The editorial board is also organized in
phere. We are looking forward to the invi terms of cross-cutting issues and specific
tational conferences that will also serve for policy problems as well as regions and
the participants to teach each other and nations.
also to teach students and community The institute has also published and
members who attend. publishes various books devoted to inter
To expand our service activities, we national policy studies, including
have offered both Trent Lott (the minority
leader in the U.S. Senate) and Tom Daschle 1. A six-volume set titled Global Public Pol
(the majority leader in the U.S. Senate) our icy (Dekker), which covers economic,
win-win analysis workshops to help re technology, social, political, interna
solve their differences. We have recently tional, and legal policy in six regions
conducted win-workshops for government throughout the world
officials and trainers in India, Thailand, 2. A three-volume set titled Multi-National
Cambodia, Namibia, Gambia, Ghana, and Policy Toward Peace, Prosperity, and De
Mexico. Workshops are being planned for mocracy (Macmillan)
South Africa, Japan, Armenia, Brazil,
Bolivia, Indonesia, and elsewhere. The in 3. A set of diverse authored volumes dealing
stitute is also active on a service level in the with developing nations published by
state of Illinois, including workshops of Ashgate as part of the PSO series
fered through the extramural program of 4. A multivolume set titled Policy Studies in
the University of Illinois. Developing Nations (JAI), which has to
Recruiting People and Obtaining Funds | 179
date covered poverty, political reform, icy Studies Review, and Policy Evaluation
public budgeting, human rights, and pol (PE). The PE journal has recently added ar
icy analysis methods ticles by governors, cabinet members, and
prime ministers.
5. An annual volume titled Advances in De
velopmental Policy Studies (JAI)
What Is Your School Doing to Involve

The institute also conducts overseas
Interdisciplinary People and Ideas
workshops on policy analysis, especially
(From Natural Science, Philosophy,
win-win policy analysis in Africa, Asia,
Arts, Communication, Business,
Eastern Europe, and Latin America. For
Education, Social Work, Agriculture,
example, win-win policy analysis work
and Other Disciplines)?
shops were conducted in February 1999
for 12 countries in West Africa.
In the short time that the Dirksen-
Stevenson Institute has been in existence, it
has conducted policy analysis workshops
What Is Your School Doing to at the annual meetings of scholarly associa
Have an Impact on Public Policy? tions other than political science, public
administration, or public policy, such as
Activities of the Dirksen-Stevenson In the 1998 annual meeting of the American
stitute that impact the government include Association for the Advancement of Sci
conducting policy analysis workshops for ence.
U.S. government agencies, such as the The institute has also published books
workshops conducted for the Office of that are of interest to scholars in other
Personnel Management. The Dirksen- disciplines, such as Applications of Super-
Stevenson Institute also reaches U.S. gov Optimizing Analysis (JAI, 1998), which
ernment officials by way of workshops was favorably reviewed in the Journal of
conducted at annual meetings of policy- Economic Literature.
oriented organizations, such as the ASPA. In autumn 1997, the Dirksen-Stevenson
The book-publishing program of the Institute held a weekly public policy semi
Dirksen-Stevenson Institute (along with nar for people from all disciplines at the
the PSO) covers the work of many govern University of Illinois. In January 1999, the
ment agencies and many specific policy institute held an open house for all Illinois
problems. In the past, PSO has received faculty designed to further stimulate inter
contracts, grants, or at least cooperation disciplinary interaction toward resolving
from every cabinet-level department in the important public policy problems.
federal government for the development of
one or more edited volumes dealing with
policy problems over which they have
some authority. NOTE
The journal-publishing program of the
institute includes cooperation in the writ 1. For all questions, “you” refers to your in
ing of the impact-relevant articles that ap stitutional program or to typical faculty mem
pear in the Policy Studies Journal, the Pol bers.
CHAPTER 27
Funding for Policy Evaluation
A. SUBJECTS FUNDED
Funding Sources for Policy Problems
B C D E F G H I J K L M N O P Q R S T U
A1 . . . X . X . X . . . X X . . . X . . . (elderly issus only)
A2 X X X X X X X X . . .
A3 . . . X X X . . . . . X X X X . X . . .
A4 . X . . X . . . . . . X . . . . X . . . (Southern California only)
A5 . . . . . . . . X . . . . . . . . X . .
A6 . X . . X X . X . . . . . . . . . . . .
A7 . . . . X . . . . . . . . . . . . . . . (graduate grants only)
A8 . X . X X . . . . X . X . . . . X X . . (Great Lakes economic development)
A10 . X . X X . X . . . . X . . . . . X . .
A11 . X . . X . X . . . . . X . X . . . . .
A12 X X . X X . . . . . . X . . X . . . X .
A13 . X . X X X . X . . . X . . . . X . . .
B1 . . X . . X . X . . . . . . . . . X X .
B2 . . X . X X X X . . . . X . . X . X . .
B3 . . X . . X . X . . . . X . . . . . . .
B4 . . . . . . . . . X X . . . . X . . X .
B5 . . . . X X . . . . . . . . . . . . . .
B6 . . . . . . . . . . . . . . . . . . . . (young professionals work in Germany

1 year)
B7 . . . . . . X . X . . . . . . . . . . .
B8 . . . . . . X . X . . . . . . . . . . .
B9 . . . . X X . . . . . X . . . . . . X .
C1 . . . X X X . . X X . X . . . . . X X .
C2 . . . . X . . X . . . . . . . . . . X .
C3 . . . . . . . . . . X X . . . . . . . .
C4 . . . . . . . . . . . . . . . . . . . .
C5 . . . . . X . . X . . . X X X X . . . .
C6 . . X . . . . . X . . X . . . . . . . .
C7 . . . . . X . . . . . X . . . . . . . .
C8 . X X . X . . X . X X . . . . . . . . .
C9 . . . . . . . X . . . . . . . . . . . .
C10 . . . . . . . . . . X . . . . . . . . . (libraries needed only)
C11 . . . . . . . . . X . . . . . . . . . .
C12 . . . . . X . . . . . . . . . . . . . .
C13 . . X . . . . . . . . . . . X . . . . X
C14 . . . . X X . . . . . . . . X X . . X . (contact board members regarding
policy search)
C15 . . . . . . . . . X . . . . . . . . . .
181
D1 . . . . . X . . . . . . . . . . . . . . (precollegiate education only)
D2 . . . . . X . . . . . . . . . . . . . . (Princeton fellowships only)
D3 . . X . . . X . X . . . . X . X . . X .
D4 . . . . . . . . . . . X . . . . . . . . (Congress)
D5 . X . . X X X . X . . . X X . . X . . .
D6 . . X . . X X X X . . . . . . X . X . . (animal welfare)
E1 . . . . X . . . . X . X . . . . . . . . (philosophy)
E2 . X X . . X . X X X . . X . . X . . . .
E3 . . . . . . . X . . . . . . . . . . . . (fund recipients, not givers)
E4 . . X . . X . X . . . . X . . X . X X X (public policy regarding math,
education, and the environment)
F1 . . . . . X . . X . . . . . X X . X . . (children only)
F2 . . X . . X . X . . . . X . . . . X . .
F3 . . X . . X . . . . . . X . . . . X . . (Chicago area only)
G1 . . X . . X . X . . . X . X . . . . X .
G2 . . X . . X . . . . . . X . . . . . X . (especially higher education policy and
developed countries)
G3 . . X . . X X . X . . . . . . X . X . . (substance abuse, disabled)
G4 . . X . . X . X . . . . X . . . . . . . (Northern California and Hawaii
only)
G5 . X . . X X X X . X . X . . . . X . X X
G6 . . X . . X . X X . . . X X X . X . . . (children and youth only)
G7 . . . . . . . . X . . . . . X . . . X . (teen pregnancy, criminal justice)
G8 . . . . X . . . . . . . . . . . . . . . (fellowship grants only)
G9 . . X . X X X X . . . . X X . . . X . .
H1 . . . . . . . . . . . . X . . . . . . . (not a funding source; bioethics)
H2 X X . X . X . . . . . . . . X . X .
H3 . . X . X X . . . . . . . . . . . . . X
H4 . . . X . . . . . . . . . . . . . . . .
H5 . . . . . X . . . . . . . . . . . . . . (scholarship and building funds)
H6 . . . X . . . X . . . . . . . . . . X X (Hudson River area only)
I1 . . . . . . . . . . . . . . . . . X . . (sabbaticals in Madison, WI)
I2 . X . . X . . . . . . . . . . . . X . . (self-help in Latin America only)
I3 . . X . X X . . X . . . X . . X . . X . (California only)
I4 . . . . . . . X X . . . X . X . . . . .
J1 . . X . X X . . . X . . . . . . . . X . (dynamics of cultural change)
J2 . . . . . . . . X . . . X . . X . X . . (disabled, substance abuse)
J3 . . . . . . . . . . . . . X . . . . . . (health care only)
J4 . . . . . X . . X . . . X . . . . . . .
J5 . . X . X X . X . . . X X . . X . . X .
K1 X . . . . X . . X . . . X . . . . . . . (leadership development)
K2 . X . . . X . . . . . . X . . . . X . .
K3 . . X . . X . X . . . X X . . . . . . .
L1 . . . . . . . X X X X . . . . . . . .X .
L2 . . X . X X . . X . . . . . . . . . . . (Indiana only)
L3 . X X . . X . . . . . X . . . . . . . . (especially women in engineering and
science)
M1 . . . . . . . . . . X X . . X . . . . .
M2 . . . . . . . . X . X X . . . . . . X X
M3 . . . . . X . . . X . . X . . . . . . X
M4 . . X . . X . X . . . . X X X . . X . .
M5 . . X . . X . X . . . X . . . . X . . .
M6 . . X . . X . X . . . . X . . . . X . .
M7 . . . . . X X . . . . X . . X . X . X . (Mexican American only)
M8 . . X . . X . . X . . . X . . . . X . .
M9 . . X . . X . . . . . . X . . . . . . .
Funding for Policy Evaluation | 183
M10 . . . . X X X X . . . . . . . . . X . .
M11 . . X . . X . . . . . X X . . X . . . X (Pacific Northwest only)
M12 . . X . X X X . X . . . X . X . . . . .
M13 . . . . . . . X . X X . X . . . X . . . (autism)
N1 . X X . X X X . . . X X . . X . . . X .
N2 . . . . . X . . . . . . . . . . . . . .
N3 . . . . . . . . X . . . . . . . . . . . (aging only)
N4 . . . X X . . . . . . X . . X . X . . X
N5 . . . . . X . . . . . . . . . . . . . .
N6 . . X . . X . X . . X . . . . . . X . . (especially journalism)
N7 . . . . . . . . . . . . . . . X . . . . (Pacific Northwest only)
O1 . . . . . . . . . X . X . . X . . . . .
O2 . . X . . X . . . . . . . . . . . . . .
P1 . . X . . X . . . . . . . . . . . . . .
P2 . . X . . X X X X . . . . . . . X X X X (and ocean policy)
P3 . . X . . X . . . . . . X . . . . X . .
P4 . . . . . . . X . . . . . . . X . X . . (especially disadvantaged youth)
P5 . . X . . . . X . X . . . . . . X . . .
P6 . . X . . X . X . . . X . . . . . . X .
R1 . . . . . . . . X . . . X . . . . . X . (elderly only)
R2 . . . . X . . X . . . . . . . . . . . . (environment, broadly defined)
R3 X . . . X . . X . X . . . . . . . . . .
R4 . . . . X X . . . . X . . . X . . . . .
S1 . . X . . X . . . . . . X . . . . X . .
S2 . . . . . . . . . X . . . . . . . . X .
S3 . . X . . . . . X . . . . . . X . X . . (especially Chicago)
S4 . . . . . . . . . . . . . . . . . . X .
S5 . . X . X X . . . . . . X . . . . X . .
S6 . . . . . . . . . . . . . . X . . . . . (criminal justice alternatives;

Massachusetts only)
S7 . . . . . . . X . X . X . . . . . . . .
S8 . . . . . . . X . . . . . . . . . . . . (history)
S9 . . . . . X . . . . . . . . . . . . . . (any topic as it relates to education)
T1 . . X . . X . X . . . . X . . . . X . .
T2 . . . . X X . X . . . X . . . . . . . . (as relates to Latin America, Iberia,
Antartica)
U1 X . . . X X . . . X . X . . . . . . . .
U2 . . . . X X . X . . . X . . . . . . X . (Japan-United States related)
U3 . . X . . X . . . . . . X . . . . X . X
U4 . . . . . X . . . X . . . . . . . . X .
W1 . . . . . X . . . . . . . . . . . . . . (archeology and anthropology only)
NOTES:
B = agriculture L = speech and civil liberties
C = cross-cultural M = government
D = culture and arts N = health and biomedical
E = dispute resolution O = housing
F = economic regulation and development P = legal and civil justice issues
G = education Q = minorities and discrimination
H = employment and job training R = population
I = environment and energy conservation S = poverty and welfare
J = family, elderly, and youth T = public policy
K = foreign relations, national defense, and world peace U = science and technology
B. ADDRESSES
A1 = AARP Andrus Foundation, 1909 K St., NW, Washington, D.C. 20049.
A2 = Administrative Conference of the U.S., 2120 L St., NW, Ste. 500, Washington, D.C. 20037.
A3 = Aetna Life & Company Foundation, 151 Farmington Ave., Hartford, CT 06156.
A4 = The Ahmanson Foundation, 9215 Wilshire Blvd., Beverly Hills, CA 90210.
A5 = American Defense Institute, 214 Massachusetts Ave., NE, P.O. Box 2497, Washington, D.C. 20013.
A6 = American Express Philanthropic Program, American Express Plaza Tower, New York, NY 10285.
A7 = American Historical Association, 400 A St., SE, Washington, D.C. 20003.
A8 = American Philosophical Society, 104 S. 5th St., Philadelphia, PA 19106.
A9 = Amoco Foundation, Inc., 200 E. Randolph Dr., Chicago, IL 60601.
A10 = ARCO Foundation, 515 S. Flower St., Los Angeles, CA 90071.
A11 = AT&T Foundation, 550 Madison Ave., Room 2700, New York, NY 10022.
A12 = Alcoa Foundation, 1501 Alcoa Bldg., Pittsburgh, PA 15219.
B1 = Mary Reynolds Babcock Foundation, 102 Reynolda Village, Winston-Salem, NC 27106.
B2 = BankAmerica Foundation, P.O. Box 37000, San Francisco, CA 94137.
B3 = William Bingham Foundation, 1250 Leader Bldg., Cleveland, OH 44114.
B4 = Boehm Foundation, 500 5th Ave., New York, NY 10110.
B5 = Borg-Warner Foundation, 200 S. Michigan Ave., Chicago, IL 60604.
B6 = Boston Foundation, Inc., 60 State St., 6 Floor, Boston, MA 02109.
B7 = Florence V. Burden Foundation, 630 5th Ave., Ste. 2900, New York, NY 10111.
B8 = Lynde & Harry Bradley Foundation, Inc., 777 E. Wisconsin Ave., Ste. 2285, Milwaukee, WI 53202.
C1 = Carnegie Corporation of New York, 437 Madison Ave., New York, NY 10022.
C2 = Mary Flagier Cary Charitable Trust, 350 5th Ave., Room 6622, New York, NY 10118.
C3 = Center for Study of Human Rights, 1108 International Affairs Bldg., New York, NY 10027.
C4 = Edna McConnel Clark Foundation, 250 Park Ave., New York, NY 10017.
C5 = Robert Sterling Clark Foundation, Inc., 112 E. 64th St., New York, NY 10021.
C6 = Columbia Foundation, 1090 Sansome St., San Francisco, CA 94111.
C7 = Conservation and Research Foundation, Connecticut College, Foundation Call Box, New London,
CT 06320.
C8 = Corporation for Public Broadcasting, 901 E. St., NW, Washington, D.C. 2004.
C9 = Council of Foreign Relations, 58 E. 68th St., New York, NY 10021.
C10 = Council on Liberty Resources, 1785 Massachusetts Ave., NW, Ste. 313, Washington, D.C. 20036.
C11 = Charles E. Culpeper Foundation, Inc., 10 Stamford Forum, Ste. 800, Stamford, CT 06901.
C12 = Cummina Engine Foundation, Mail Code 60814, Box 3005, Columbus, IN 47202.
C13 = Center for International Affairs, 1737 Cambridge St., Room 416, Cambridge, MA 02138.
D1 = Danforth Foundation, 231 S. Bemiston Ave., Ste. 580, St. Louis, MO 63105.
D2 = Shelby Collum Davis Center for History Studies, 129 Dickinson Hall, Princeton, NJ 08544.
D3 = Dayton Hudson Foundation, 777 Nicollet Mall, Minneapolis, MN 55402.
D4 = Dirksen Congressional Center, Broadway & 4th St., Pekin, IL 61554.
D5 = William H. Donner Foundation, Inc., 500 5th Ave., Ste. 1230, New York, NY 10110.
D6 = Geraldine R. Dodge Foundation, Inc., 95 Madison Ave., P.O. Box 1239, Morristown, NJ 07962.
E1 = Earhart Foundation, 2929 Plymouth Bldg., Ste. 204, Ann Arbor, MI 48105.
E2 = Educational Foundation of America, 23161 Ventura Blvd., Ste. 201, Woodland Hills, CA 91364.
E3 = Environmental Law Institute, 1616 P St., NW, Washington, D.C. 20036.
E4 = Exxon Corporation, 225 E. John W. Carpenter Freeway, Irving, TX 75062.
F1 = Foundation for Child Development, 345 E. 46th St., New York, NY 10017.
F2 = Frost Foundation, Ltd., 650 S. Cherry St., Ste. 205, Denver, CO 80222.
F3 = Lloyd A. Fry Foundation, 135 S. LaSalle St., Ste. 1910, Chicago, IL 60603.
G1 = Gates Foundation, 3200 Cherry Creek S. Dr., Ste. 630, Denver, CO 80209.
G2 = General Electric Foundation, 3135 Easton Turnpike, Fairfield, CT 06431.
G3 = General Mills Foundation, P.O. Box 1113, Minneapolis, MN 55440.
G4 = Wallace Alexander Gerbode Foundation, 470 Columbus Ave., Ste. 209, San Francisco, CA 94133.
Funding for Policy Evaluation | 185
G5 = German Marshall Fund of the U.S., 11 Dupont Circle, NW, Ste. 750, Washington, D.C. 20036.
G6 = William T. Grant Foundation, 515 Madison Ave., New York, NY 10022.
G7 = Daniel & Florence Guggenheim Foundation, 950 3rd Ave., New York, NY 10022.
G8 = John Simon Guggenheim Foundation, 90 Park Ave., New York, NY 10016.
G9 = George Gund Foundation, 1 Erieview Plaza, Cleveland, OH 44114.
H1 = Hastings Center, 255 Elm Rd., Briarcliff Manor, NY 10510.
H2 = William & Flora L. Hewlett Foundation, 525 Middlefield Rd., Menlo Park, CA 34025.
H3 = Hitachi Foundation, 1509 22nd St., NW, Washington, D.C. 20037.
H4 = Hoover Presidential Library Association, Inc., P.O. Box 696, West Branch, IA 52358.
H5 = Houston Endowment, Inc., P.O. Box 52338, Houston, TX 77052.
H6 = Hudson River Foundation, 40 W. 20th St., 9th Floor, New York, NY 10011.
I1 = Institute for Research on Poverty, 1180 Observatory Dr., 3412 Social Science Bldg., Madison, WI
53706.
I2 = Inter-American Foundation, P.O. Box 9486, Arlington, VA 22209.
I3 = James Irvine Foundation, 1 Market Plaza, Spear Tower, Ste. 1715, San Francisco, CA 94105.
I4 = Ittleson Foundation, 645 Madison Ave., 16th Floor, New York, NY 10002.
J1 = Japan-U.S. Friendship Commission, 1200 Pennsylvania Ave., NW, Room 3416, Washington, D.C.
20004.
J2 = J. M. Foundation, 60 E. 42nd St., Room 1651, New York, NY 10165.
J3 = Robert Wood Johnson Foundation, College Rd., P.O. Box 2316, Princeton, NJ 08546.
J4 = Fletcher Jones Foundation, 1 Wilshire Bldg., Suite 1210, 624 S. Grand Ave., Los Angeles, CA 90017.
J5 = Joyce Foundation, 135 S. LaSalle St., Ste. 4020, Chicago, IL 60603.
K1 = W. K. Kellogg Foundation, 400 N. Ave., Battle Creek, MI 49017.
K2 = Kraft Foundation, Kraft Court, Glenview, IL 60025.
K3 = Kresge Foundation, 3215 W. Big Beaver Rd., P.O. Box 3151, Troy, MI 48007.
L1 = Max & Anna Levinson Foundation, P.O. Box 125, Costilla, NM 87524.
L2 = Lilly Endowment, Inc., 2801 N. Meridian St., P.O. Box 88068, Indianapolis, IN 46208.
L3 = Henry Luce Foundation, Inc., 111 W. 50th St., New York, NY 10020.
M1 = J. Roderick MacArthur Foundation, 9333 N. Milwaukee Ave., Niles, IL 60648.
M2 = John & Mary R. Markle Foundation, 75 Rockefeller Plaza, New York, NY 10019.
M3 = James S. McDonnell Foundation, 1034 S. Brentwood Blvd., Ste. 1610, St. Louis, MO 63117.
M4 = McDonnell Douglas Foundation, P.O. Box 516, St. Louis, MO 63166.
M5 = Andrew W. Mellon Foundation, 140 E. 62nd St., New York, NY 10021.
M6 = Richard King Mellon Foundation, 525 William Penn Place, 39th Floor, Pittsburgh, PA 15219.
M7 = Mexican-American Legal Defense & Educational Fund, 634 S. Spring St., 11th Floor, Los Angeles,
CA 90014.
M8 = Meyer Memorial Trust, 1515 SW 5th Ave., Ste. 500, Portland, OR 97201.
M9 = Mobil Foundation, Inc., 3225 Gallows Rd., Room 3D809, Fairfax, VA 22037.
M10 = Charles Stewart Mott Foundation, 1200 Mott Foundation Bldg., Flint, MI 48502.
M11 = M. J. Murdock Charitable Turst, P.O. Box 1618, Vancouver, WA 98668.
M12 = Metropolitan Life Foundation, 1 Madison Ave., New York, NY 10010.
M13 = John Merck Foundation, 11 Beacon St., Ste. 600, Boston, MA 02108.
N1 = National Endowment for Democracy, 1101 15th St., NW, Ste. 203, Washington, D.C. 20005.
N2 = National Endowment for the Humanities, 1100 Pennsylvania Ave., SE, Washington, D.C. 20506.
N3 = National Institute on Aging, 9000 Rockville Pike, Bldg. 31, Bethesda, MD 20892.
N4 = National Science Foundation, 1800 G St., NW, Washington, D.C. 20550.
N5 = Newberry Library, 60 W. Walton St., Chicago, IL 60610.
N6 = New York Times Co. Foundation, Inc., 229 W. 43rd St., New York, NY 10036.
N7 = Northwest Area Foundation, W. 975 First National Bank Bldg., St. Paul, MN 55101.
O1 = John M. Oliln Foundation, 100 Park Ave., Ste. 2701, New York, NY 10017.
O2 = Ottinger Foundation, 1601 Connecticut Ave., NW, Ste. 803, Washington, D.C. 20009.
P1 = Pacific Telesis Foundation, 130 Kearny St., Room 3351, San Francisco, CA 94108.
P2 = David & Lucille Packard Foundation, 300 2nd St., Ste. 200, Los Angeles, CA 94022.
P3 = PPG Industries Foundation, 1 PPG Place, Pittsburgh, PA 15272.
P4 = Pillsbury Co. Foundation, 200 S. 6th St., Pillsbury Center, Minneapolis, MN 55402.
P5 = Prospect Hill Foundation, 420 Lexington Ave., Ste. 3020, New York, NY 10170.
P6 = Pew Charitable Trusts, 3 Parkview, Ste. 501, Philadelphia, PA 19102.
R1 = Retirement Research Foundation, 1300 W. Higgens Rd., Ste. 214, Park Ridge, IL 60068.
R2 = Resources for the Future, 1616 P St., NW, Washington, D.C. 20036.
R3 = Rockefeller Bros. Fund, 1290 Ave. of the Americas, New York, NY 10104.
R4 = Samuel Rubin Foundation, 777 UN Plaza, New York, NY 100017.
S1 = Shell Oil Co. Foundation, 2 Shell Plaza, P.O. Box 2099, Houston, TX 77252.
S2 = Social Science Research Council, 605 3rd Ave., New York, NY 10158.
S3 = Sara Lee Foundation, 3 First National Plaza, Chicago, IL 60602.
S4 = Sarah Scaife Foundation, P.O. Box 268, Pittsburgh, PA 15230.
S5 = Dr. Scholl Foundation, 11 S. LaSalle St., Ste. 2100, Chicago, IL 60603.
S6 = Gardiner Howland Shaw Foundation, 45 School St., Boston, MA 02108.
S7 = Florence & John Schumann Foundation, 33 Park St., Montclair, NJ 07042.
S8 = L. J. Skaggs & Mary C. Skaggs Foundation, 1221 Broadway, 21st Floor, Oakland, CA 94612.
S9 = Spencer Foundation, 875 N. Michigan Ave., Chicago, IL 60611.
T1 = Texaco Philanthropic Foundation, Inc., 2000 Westchester Ave., White Plains, NY 10650.
T2 = Tinker Foundation, Inc., 55 E. 59th St., New York, NY 10022.
U1 = U.S. Information Agency, 301 4th St., SW, Washington, D.C. 20547.
U2 = U.S.-Japan Foundation, 145 E. 32nd St., New York, NY 10016.
U3 = USX Foundation, Inc., 600 Grant St., Room 2649, Pittsburgh, PA 15219.
U4 = U.S. Institute of Peace, 1550 M St., NW, Ste. 700, Washington, D.C. 20005.
W1 = Wenner-Gren Foundation for Anthropological Research, 220 5th Ave., 16th Floor, New York,
NY 10001.
Part 3
POLICY
EVALUATION
TRENDS
CHAPTER 28
Trends in Cross-Cutting
Procedural Policy Issues
T his chapter is concerned with pro

jecting trends in public policy. It is
specifically concerned with trends
in the cross-cutting issues of incentives for
encouraging socially desired behavior, gov
tional jailing and fining, such as confiscat
ing profits or property, reimbursement of
victims, and penalties by way of missed op
portunities that might otherwise be mean
ingfully available.
ernment structures for more effective goal Incentives work better when the prob
achievement, the coordination of public- ability of benefits being received for
private relations, and systematic methods rightdoing and costs occurring for wrong
of public policy evaluation. These issues doing is increased. Benefits are more likely
cut across the specific policy problems of to be received for rightdoing if negotiable
economic, technology, social, and political vouchers are used rather than subsidies
policy. Trends in these substantive issues that have to be applied for with red tape.
were discussed in the spring 1999 issue of Likewise, costs are more efficiently in
Policy Evaluation. flicted on wrongdoers as our criminal jus
tice system becomes more efficient through
modern management and forensic science.
INCENTIVES On the other hand, the role of socialization
to make various kinds of wrongdoing un
Table 28.1 summarizes some of the trends thinkable has lessened with the decreased
regarding incentives for encouraging so impact of the family and school. There is a
cially desired behavior. An overall trend is trend toward more physical structuring to
an increasing reliance on rewarding the make wrongdoing difficult, such as better
rightdoer in contrast to punishing the street lighting to discourage muggings and
wrongdoer. The emphasis on rightdoing rapes, more areas within the control and
manifests itself more in decreasing the responsibility of individual apartments,
costs of rightdoing (such as tax deductions) and more gun control to reduce the avail
than in increasing the benefits of right- ability of lethal weapons. The major over
doing (such as reward subsidies) because all trend is the combining of an in
tax deductions are more politically feasi creased variety of approaches for dealing
ble. For wrongdoers, there is an increasing with wrongdoing across all policy prob
emphasis on penalties other than tradi lems, including pollution and discrimina
189
190 | Policy Evaluation Trends
Table 28.1 TRENDS IN INCENTIVES FOR ENCOURAGING SOCIALLY

DESIRED BEHAVIOR
Incentive Example Trend Advantage
Increase benefits Reward subsidies Increase Can buy cooperation

of rightdoing but expensive and
politically unpopular
Decrease costs of Tax deductions Larger increase Buys less cooperation
rightdoing but politically feasible
Decrease benefits Confiscate profits Increase but only in Could change behavior
of wrongdoing criminal activities but difficult to apply
Increase costs of Large penalties Increase Penalties usually ab-
wrongdoing sorbed as an expense
and hemmed in by due
process
Increase probability Better monitoring Increase through Essential for benefits
of benefits and costs and bounties improved personnel and costs to be mean-
occurring ingful, but worthless if
benefits are not sub
stantial
Socialization to make Street crimes among Decreases in the May require special
wrongdoing unthink middle-class people importance of upbringing
able conscience
Physical structuring Gun prohibition or Mild increase Effective but may not
to make wrongdoing control be politically feasible
difficult
tion, not just traditional criminal behav trend, especially the executive branch of
ior.1 government has increased in size, largely as
a result of the need for speed, technical spe
cialization, and a broader constituency.
GOVERNMENT STRUCTURES Stating that there has been an increase in
roles at the national level and in the execu
Table 28.2 summarizes some of the trends tive branch may tend to oversimplify be
in the roles of different levels and branches cause the policymaking role of states, cit
of government regarding the formation ies, legislatures, and courts has also
and implementation of public policy. The increased. It is also an oversimplification
overall trend is an increase in activity at all because it does not adequately recognize
levels and branches of government for rea that some public policy fields are very
sons mentioned in the following section. much in the domain of (a) the states regard
Within this overall trend, the national gov ing contracts, property, torts, and family
ernment has increased its role largely as a law; (b) the cities or other local govern
result of the increased geographical broad ments regarding zoning, sanitation, policy,
ness, complexity, and expense of public and schools; (c) the legislatures, such as
policy problems. Also within the overall taxing-spending policy; and (d) the courts
Cross-Cutting Procedural Policy Issues | 191
Table 28.2 TRENDS IN THE ROLES OF LEVELS AND BRANCHES OF

GOVERNMENT
Level or Branch Trend Advantage
Level
National Increasing, especially on un Coordination and uniformity across
employment-inflation, foreign- states
defense policy, and civil liberties
States Increasing, but not as much, Coordinated across cities and
with an emphasis on criminal counties, plus being closer to
justice, property rights, and where programs are implemented
family relations
Cities Increasing, especially regarding Closer to where programs are
zoning, sanitation, police, fire, implemented
and schools
Branches
Executive Increasing, especially regarding Speed, unity, and possibly decisive
foreign-defense policy and unem ness
ployment-inflation
Legislative Increasing, but not as much, Debate and diversity of viewpoints
with an emphasis on taxing-
spending policy
Judicial Plateauing after previous Relative immunity from the pres
increases, especially in civil sures of reelection
liberties and liability
regarding free speech, criminal justice, and from a pure marketplace perspective, even
equal protection under the law.2 though the marketplace was substantially
more important a generation or two ago.
Thus, there is more government regulation,
PUBLIC-PRIVATE RELATIONS litigation, and use of subsidies and tax
breaks in all the major policy fields: labor,
Table 28.3 summarizes some of the trends consumer, free speech, criminal justice,
concerning various public-private sector merit treatment, government reform,
activities. The overall idea is that we are world peace/trade, poverty, education, en
moving away from the more extreme activ vironment, and health.
ities toward more pragmatic intermediate For example, labor was almost com
approaches. This can be seen at both ends pletely a marketplace matter until the
of the five-point continuum. The influence 1930s. The Supreme Court had held that
of the pure marketplace as an approach for minimum wage laws, maximum hour laws,
dealing with public policy matters has and child labor laws were all unconstitu
greatly lessened. If one looks at a list of pol tional. There were no laws for the Supreme
icy fields, none of them are being handled Court to hold unconstitutional regarding
Table 28.3 TRENDS IN PUBLIC-PRIVATE SECTOR ACTIVITIES
Activity Trend Advantage
Pure marketplace Decreasing except where com Good for prices, quality, and
petition benefits consumers or safety where competition is
where government contracts present
out government functions
Subsidies and tax breaks Increasing to encourage Good where politically feasible
socially desired behavior and where discretion is allow
able
Litigation Increasing as injured persons Good for compensating injured
acquire more rights and persons, especially if on a no-
relations become more fault basis
anonymous
Government regulation Plateauing after previous Good for controlling practices
increases especially dangerous to others
Government ownership Decreasing in advocacy Good for activities that private
enterprise does not want to
conduct
race or sex discrimination. In 1938, the Authority. This lessening of advocacy of

Fair Labor Standards Act governing wages, government ownership is not peculiar to
hours, and child labor was implemented. In the United States. The idea has been sub
1964, the Civil Rights Act, which con stantially decreased in the program of the
tained prohibitions against race and sex British Labor Party, the German Social
discrimination, was enacted. In 1980, the Democrats, and the French Socialists. It
Reagan administration introduced enter has been decreased in various aspects of ag
prise zones designed to provide subsidies riculture and retail sales within Eastern Eu
and tax breaks for business firms that re rope and China. Even traditional govern
duced unemployment in the inner city. ment functions are now sometimes being
At the opposite end of the continuum, contracted out to private enterprise, such
one should note the reduced advocacy of as the operation of some prisons, although
government ownership even by those asso the government retains control and respon
ciated with socialist politics. The Socialist sibility.3
Party of Eugene Debs in the early 1900s
and that of Norman Thomas in the 1930s
received many votes when advocating gov METHODS OF
ernment ownership and operation of the POLICY EVALUATION
basic means of production and distribution
in America. Many people believe that the Table 28.4 summarizes some of the trends
Democratic Party destroyed the Socialist regarding methods of public policy evalua
Party by adopting socialist ideas concern tion. The key overall trend is toward new
ing social security and labor legislation, ideas that combine both simplicity and va
but the Democratic Party never pushed the lidity. There is a trend toward the use of mi
idea of government ownership, with the crocomputer software that facilitates sys
possible exception of the Tennessee Valley tematic trial-and-error experimentation.
Cross-Cutting Procedural Policy Issues | 193
Table 28.4 TRENDS IN METHODS OF PUBLIC POLICY EVALUATION
Method Example Trend Advantage
Multiple dimensions Multicriteria decision Increase Can deal with non-

on multiple goals making monetary benefits,
monetary costs, and
multiple goals
Missing information Break-even analysis, best- Increase Can deal with missing
worst scenarios, and information without
graphics having to gather the
information
Allocation analysis Part/whole percentaging Increase Avoids assumptions and
measurement needs of
operations research/
management science
Multiple and con- Prioritizing, compro- Increase Expanding approach
flicting constraints mising, or expanding encourages growth where
the constraints everyone benefits
Multiple prediction If-then analysis Increase Fits what good decision
makers actually do
Simplicity Spreadsheet analysis Increase Easy to manipulate, in
cluding what-if analysis
There is also a trend toward an expert sys analysis as the most popular decision-aid
tems perspective that seeks to develop ing software.4
methods by analyzing how good decision
makers implicitly decide rather than by try
ing to deduce how they should decide in OVERALL TRENDS
light of unrealistic or unfeasible premises
or both that relate to calculus optimization The post-1985 period can be characterized
or mathematical programming. as one in which (a) there are higher goals
Specific trends relate to how to deal with for public policy, including the goal of sat
each of the six major obstacles to system isfying both liberals and conservatives; (b)
atic evaluation shown under Method in there are more positive incentives, more
Table 28.4. These trends involve moving sources of ideas among government levels
toward (a) multicriteria decision making and branches, and more pragmatic rela
rather than single objective functions, (b) tions between the public and private sec
variations on breakeven analysis to deter tors for achieving those goals; and (c) there
mine critical values of missing information is a trend toward multicriteria decision
rather than trying to devise expensive ways making and spreadsheet analysis.
to not have missing information, (c) the use Instead of talking in terms of goals,
of percentaging methods to deal with allo means, and methods, one could discuss the
cation problems, (d) an expansionist phi trends in policy studies in terms of sub
losophy to deal with conflicting con stance and process. With regard to sub
straints, (e) variations on if-then analysis stance, there has been a trend from a con
for multiple prediction, and (f) spreadsheet cern for how to allocate resources to a
Table 28.5 ELEMENTS OF POLICY ANALYSIS IN FOUR RECENT

TIME PERIODS
Period Goal Means Methods Institutions
Pre-1960 Good Describing policies Journalism, history, American Political

government and philosophy Science Association
and American Politi
cal Science Review
1960-1975 Goals as Correlating policies Statistical analysis Behavioral and re-
being gional journals
unscientific
1975-1985 Goals as Feasible and inter- Benefit-cost analysis Policy journals and
variables disciplinary policies courses
Post-1985 Questioning Incentives, multiple Multicriteria Design science
goals government foci, decision-making
and pragmatism spreadsheet analysis
greater concern for how to increase the re Reform and Effective Government (Washing
sources to allocate. This trend can be seen ton, DC: Brookings Institution, 1985); David
in supply-side economics, industrial pol Walker, Toward a Functioning Federalism (Bos
icy, win-win mediation, and non-zero-sum ton: Winthrop, 1981); and Michael Reagan and
games. With regard to process, there has John Sanzone, The New Federalism (New York:
Oxford University Press, 1981).
been a trend from talking about the process
3. For further details on trends in the divi
of policy formation to talking more about
sion of labor between the public and private sec
the process of policy implementation.
tors, see Martin Rein and Lee Rainwater, eds.,
Along with implementation is a concern Public/Private Interplay in Social Protection:
for impact and how to improve impact or Comparative Study (Armonk, NY: Sharpe,
goal achievement (Table 28.5). 1986); David Linowes, ed., Privatization: To
ward More Effective Government (Washington,
DC: Government Printing Office, 1988); and
Dennis Thompson, ed., The Private Exercise of
NOTES Public Functions (New York: Associated Fac
ulty Press, 1985).
1. For further details on trends regarding in 4. For further details on trends regarding
centives to encourage socially desired behavior, methods of public policy evaluation, one can
see Barry Mitnick, The Political Economy of compare relevant books from the 1950s, 1960s,
Regulation: Creating, Designing, and Removing 1970s, and so on, such as Daniel Lerner and
Regulatory Forms (New York: Columbia Uni Harold Lasswell, eds., The Policy Sciences (Palo
versity Press, 1980); William Hamilton, Larry Alto, CA: Stanford University Press, 1951);
Ledebur, and Deborah Matz, Industrial Incen Raymond Bauer and Kenneth Gergen, eds., The
tives: Public Promotion of Private Enterprise Study of Policy Formation (New York: Free
(Washington, DC: Aslan Press, 1984); and Press, 1968); Irving Horowitz and James Katz,
Alfred Blumstein, ed., Deterrence and Incapaci Social Science and Public Policy in the United
tation (Washington, DC: National Academy of States (New York: Praeger, 1975); Nick Smith,
Sciences, 1978). ed., New Techniques for Evaluation (Beverly
2. For further details on trends in the divi Hills, CA: Sage, 1981); and Stuart Nagel, Evalu
sion of labor among levels and branches of gov ation Analysis With Microcomputers (Green
ernment, see James Sundquist, Constitutional wich, CT: JAI, 1988).
CHAPTER 29
Public Policy
in the 20th Century
T his chapter describes some of the

major changes that have occurred
in the main fields of public policy
since 1900. These major changes generally
occurred during three time periods. The
were emphasized. The 1920s, 1950s, and
1980s were periods in which there was a
relative emphasis on economic growth
rather than equalizing previous gains.
In discussing each policy field, one can
first period was the era of Woodrow Wil ask what happened in that field in the
son, partly continuing with the public pol 1910s, 1930s, and 1960s to better deter
icy program of Theodore Roosevelt. The mine how things have changed, although
second period was the era of Franklin important changes may have also occurred
Delano Roosevelt, partly continued by in the intermediate periods. Some fields un
Harry Truman. The third time period was derwent substantial change as early as the
the 1960s during the presidencies of John F. 1910s or 1930s, such as consumer and la
Kennedy and Lyndon Johnson. The inter bor matters. For others, such as poverty
mediate time periods tended to legitimize discrimination, environment, and energy,
the policy changes that had occurred dur there was not much activity until the 1960s
ing the 1910s, 1930s, and 1960s. Thus, the or later.1
subsequent nonrepeal of (a) the Wilson leg
islation in the 1920s, (b) the FDR legisla
tion in the 1950s, and (c) the Kennedy- ECONOMIC ISSUES
Johnson legislation in the 1980s has served
to make these changes less controversial Unemployment and Inflation
and more accepted.
Cycles in policy change can also be con Regarding unemployment, inflation,
sidered as periods that promote greater and regulating the business cycle, the ma
equality or sharing of productivity ad jor contribution of the 1910s was the es
vances in contrast to periods that concen tablishment of the Federal Reserve system.
trate on technological improvements for This system allows for stimulating the
increasing national productivity. Thus, the economy to reduce unemployment by low
1910s, 1930s, and 1960s were periods in ering interest rates and by lowering the
which rights to consumers, workers, mi cash requirements banks need to keep on
norities, and other nondominant groups reserve. The opposite is to be done in time
195
of inflation to dampen the economy. It is centives system can also be used to reduce
interesting that this kind of monetary pol inflation. In this regard, tax breaks can be
icy, which had been a radical proposal dur given to businesses and labor unions for
ing the Wilson administration, is now con not raising prices or wages. This has been
servative economics, especially associated discussed in the economic policy literature
with Milton Friedman. but not implemented. The inflation of the
The contribution of the 1930s was the early 1980s was dealt with mainly by in
explicit establishment of Keynesian eco creasing interest rates, but this may be too
nomic policy. It involves stimulating the costly an approach in terms of negatively
economy to reduce unemployment by de affecting economic growth.
creasing taxes and increasing government
spending. The opposite is to be done in
times of inflation to dampen the economy. Consumer Policy
Keynesian economics largely replaced Fed
eral Reserve monetary policy for dealing Prior to approximately 1910, consumer-
with the depression due to the fact that no business relations in the United States were
matter how low interest rates are and how controlled almost completely by the mar
much lending money is available, busi ketplace and a probusiness legal system. In
nesses are unwilling to borrow to expand the Woodrow Wilson years, the Clayton
their plants if they are currently operating Anti-Trust Act was passed. It was slightly
at substantially less than 100% of capacity. more consumer oriented than the previous
The contribution of the 1960s and later Sherman Anti-Trust Act, which empha
to the handling of unemployment and in sized protecting businesses from monopo
flation is the increasing adoption of a more lies, although businesses are important
focused incentives approach. Keynesian consumers for other businesses. More im
policy did not work well for dealing with portant was the establishment of the Fed
inflation of the 1960s or later because it eral Trade Commission and the Pure Food
is politically unfeasible to sufficiently in and Drug Administration, which had a def
crease taxes and decrease government inite consumer orientation. In the field of
spending. Worse is the fact that in the common law, Justice Cardozo of the New
1970s, we were faced with increased unem York Court of Appeals established the
ployment and increased inflation simulta principle that the consumer could sue man
neously due to the ability of businesses and ufacturers for defective products even if the
unions to keep prices and wages high even consumer had not dealt directly with the
though demand had decreased. Monetary manufacturer and even if the consumer
and Keynesian approaches advocate stimu could not prove the manufacturer was neg
lating the economy to deal with unemploy ligently responsible for the defect except by
ment and dampening the economy to deal circumstantial evidence. This was the be
with inflation, but both cannot be done si ginning of effective products liability litiga
multaneously. tion. Consumer rights were strengthened in
The more contemporary Reagan and the 1960s as a result of congressional leg
Carter administrations increasingly looked islation establishing the Products Safety
toward using a system of incentives to stim Commission. The common law courts also
ulate potential employers to hire the unem established the idea that a consumer con
ployed and aid to stimulate unemployed tract could be too unconscionable to be en
people to obtain jobs and training. The in forced and that consumers must be given
centives system can also help stimulate new minimum due process before they can be
technology and increased income, thereby subjected to product repossession or a lien
increasing the need to hire people. The in on their wages or property.
Public Policy in the 20th Century | 197
Labor Policy obtaining important policy changes be

cause they have the least power of the three
Prior to approximately 1910, labor- sets of interest groups.
management relations in the United States
were controlled almost completely by the
marketplace and a promanagement legal Poverty
system. Some gains were made during
World War I in essential industries such as The war on poverty was an important
railroading, in which strikes could be policy activity of the 1960s. Perhaps its
highly effective because there was no prod greatest gains were in the form of judicial
uct to be stored and competitive trucking precedents that held that (a) welfare recipi
was just beginning. The most important ents were entitled to at least minimum
legislation, however, was not implemented due process and nonarbitrary classifica
until the 1930s, partly because the Su tion before they could be terminated; (b)
preme Court found wage, hour, and child indigent defendants were entitled to court-
labor legislation to be unconstitutional. appointed counsel in felony and misde
The key 1930s legislation was the National meanor cases; (c) delinquents, illegitimate
Labor Relations Act (NLRA). It allowed children, and neglected children were enti
workers to petition for a secret ballot elec tled to hearings with at least minimum due
tion to determine whether they wanted to process and no arbitrary denial of equal
be represented by a union, and it prohib protection; and (d) tenants could withhold
ited management from firing workers sim rent if landlords failed to satisfy minimum
ply because the workers wanted to join a implied warranties of habitability. Also im
union. Also highly important was the Fair portant was the beginning of work incen
Labor Standards Act, which provided for tive programs providing that employees (a)
minimum wages, overtime pay, and a pro be allowed to keep a portion of their earn
hibition on child labor. There have been ing without losing welfare benefits, (b) be
amendments to the NLRA in subsequent provided with day care facilities so that
years, but the extremely emotional and mothers of preschool children could work,
sometimes lethal battles between labor and and (c) be provided with meaningful train
management that occurred in the 1930s are ing. Also important was legislation for rent
now relatively noncontroversial. supplements to rent economic housing in
the marketplace and for food stamps to
buy food in the marketplace rather than
SOCIAL ISSUES rely on federal commodities or food hand
outs. The Reagan administration added an
In the development of public policy, the increased emphasis on the importance of
have-not groups that have relatively economic prosperity and growth for deal
greater power are more likely to achieve ing with poverty, in contrast to specific
their policy goals first. Thus, consumers antipoverty programs, and also the impor
succeeded in obtaining important legisla tance of incentives to business to provide
tion and judicial precedents in the 1910s on-the-job training and to hire welfare re
because most people considered them cipients.
selves consumers. Labor succeeded in ob
taining important policy changes in the
1930s. Labor has less political influence Discrimination
than do consumers collectively. It was not
until the 1960s, however, that poor people In the realm of race discrimination,
and race and sex minorities succeeded in mainly at the Supreme Court and congres
sional levels during the 1960s, gains were icy problems that had not previously been
achieved in (a) voting rights by abolishing salient. The first was environmental pro
the poll tax and racial malapportionment; tection. Prior to approximately 1970, peo
(b) criminal justice by abolishing discrimi ple tended to consider air, water, and land
nation in becoming a juror, lawyer, or a fills as virtually unlimited goods, unless
judge; (c) education by prohibiting legally they lived in an area in which there was a
required segregation and providing federal water shortage. After 1970, people became
aid to education that stimulates compli much more concerned with the public
ance with desegregation guidelines; and (d) health aspects of air pollution, water pollu
housing by prohibiting race and sex dis tion, and solid waste disposal. Federal leg
crimination in job activities. Any judicial islation was passed providing for standard
precedent or legislation that benefits the setting, permits, inspections, hearing pro
poor is likely to benefit blacks and vice cedures, and other rules designed to pro
versa, given the correlation between these tect the environment. Along related lines,
two policy fields. prior to 1970, energy was also thought of
as an almost unlimited inexpensive prod
uct. Since 1975, however, there has been in
Criminal Justice creased legislation designed to stimulate
energy conservation and regulate new
Regarding criminal justice, in the early forms of energy production, such as nu
1900s the Supreme Court first stated that clear energy.
the Bill of Rights was applicable to the
states, beginning with the principle against
double jeopardy. In the 1930s, right to Health Policy
counsel was established but only for capi
tal and serious felony cases. In the 1960s, Prior to the 1960s, health policy was
the important right to counsel was ex largely left to the marketplace and private
tended to misdemeanor cases, pretrial in charity. Probably the first major break
terrogation, and posttrial appeal. The es through with regard to government re
tablishment of the rule excluding illegally sponsibility was the establishment of
seized evidence on a nationwide basis also Medicare for the aged and Medicaid for the
occurred in the 1960s. This was also a time poor. Such programs might have been es
for bail reform, which involved releasing tablished sooner, but they required muster
more defendants prior to trial accompa ing sufficient public support to overcome
nied by screening, periodic reporting, noti the power of the American Medical Asso
fication, and prosecution for jumping bail. ciation. As the elderly have increased in ab
There were also increased experiments and solute and percentage terms, increased
concern for reducing delay in the criminal pressure has been placed on Medicare
and civil justice process. The Supreme funds. The idea of federal funding is now
Court established minimum rights for peo well accepted, and even the Reagan admin
ple on parole, on probation, or in prison. istration proposed federally funded cata
strophic health insurance. Someday, there
may be government-salaried doctors for
TECHNOLOGY AND Medicaid and Medicare patients, just as
SCIENCE POLICY ISSUES there are government-salaried lawyers un
der the Legal Services Corporation. Em
Environment and Energy ploying government-salaried doctors is
substantially less expensive to the taxpayer
At the end of the 1960s, there was an in than reimbursing the private health care
creased concern regarding two sets of pol providers.
POLITICAL POLICY ISSUES be that the liberal Democrats of the 1910s

and the 1930s were more prone to go to
Free Speech war with the reactionary governments of
Kaiser Wilhelm, Adolf Hitler, and Hideki
The previously discussed economic, so Tojo. In the 1960s, the liberal Democrats
cial, and technology-science issues tend to may have been trying to avoid appearing to
have a chronological relation in the order be soft on communism more than were the
of consumer issues (Woodrow Wilson), Republicans, which could have been a fac
labor issues (FDR), poverty and discrimi tor leading to the Vietnam War. More im
nation issues (Kennedy-Johnson), and the portant in terms of current trends is the fact
issues of the environment and the elderly that there was no international war compa
(Nixon and after). The political issues of rable to World War I or II in the second half
free speech, world peace, and government of the twentieth century, and the likelihood
reform tend to be more constant through of such a war may be decreasing as a result
out the 1900s, like the economic issues of of recent changes in Russia and agreements
unemployment and inflation. One can ar between Russia and the United States. This
gue that free speech is the most important trend could be very desirable in terms of
public policy issue because all the other making funds available for economic
policy problems would be poorly handled growth that would otherwise be wasted on
if there were no free speech to communi armament.
cate the existence of and possible remedies
for the other problems. Free speech, how
ever, was not recognized as a national right Government Reform
in the sense of being applicable to the states
by way of the First and the Fourteenth Government reform can be subdivided
Amendments until the 1930s. At that time, into legislative, judicial, and administra
the Supreme Court first declared that the tive reform. Government reform refers to
states had an obligation to respect First changes in the structures and procedures of
Amendment free speech. The early cases, institutions so as to make them more effec
however, involved blatant forms of govern tive in achieving their purposes and more
ment censorship and suppression of ideas, efficient in doing so in less time and with
including criticism of the mayors of Min less expense. Effective and efficient func
neapolis and Jersey City. In the 1960s, the tioning of government structures affects all
Supreme Court declared unconstitutional public policies. During the twentieth cen
less severe nonpolitical activities, such as tury in the United States, there were signifi
restrictions on most pornography, allow cant challenges in all three sets of institu
ing ordinary libel suits by public figures in tions.
stead of requiring intentional libel or gross At the congressional and state legislative
negligence, and restrictions on commercial level, reforms include (a) redrawing legisla
speech such as lawyer advertising. tive districts so as to provide for equal pop
ulations per district; (b) the lessening of the
filibuster, whereby a minority bloc of the
World Peace U.S. Senate could prevent a bill from com
ing to a vote; (c) an overemphasis on the
Regarding world peace, the time periods power of seniority in choosing committee
of expansion in public policy were also pe chairs, in contrast to merit or a vote by
riods during which the United States be committee members; (d) less power to the
came involved in World War I (1910s), House speaker and committee chairs to
World War II (1930s), and the Vietnam make binding agenda decisions; (e) more
War (1960s). Part of the explanation may voting rights for women, blacks, poor
people, and young people; (f) more techni ing, and judicial review; (h) better coordi
cal competence available through legisla nation of administrative agencies across
tive staffs; and (g) more open disclosure of different levels of government; and (i) more
activities of interest groups and income of freedom of information so that the public
legislators. An especially important reform can obtain access to administrative rec
for the future that relates to legislative rep ords.
resentation is the idea of expanding repre
sentation and participation to provide for
voter registration by way of the census and MUTUALLY
vote casting at any polling place in the BENEFICIAL RESULTS
country on election day.
At the judicial level or branch, reforms Table 29.1 summarizes some of the trends
include (a) free counsel for the poor in in specific policy fields. The main idea is
criminal and civil cases; (b) encouraging that there have been increased benefits for
out-of-court settlements through pretrial people who had few rights as of the base
procedures; (c) shifting cases away from years of 1910, 1930, or 1950. These people
the courts to administrative agencies; (d) have been the immediate beneficiaries of
computerizing court records for increased the policy changes. It is unduly narrow,
efficiency; (e) encouraging alternative dis however, to limit the analysis to those im
pute resolution through ad hoc arbitration; mediate effects. The longer term and
(f) clearer guidelines for more objective broader effects have generally also bene
sentencing and the determination of dam fited the dominant groups or the total soci
ages; and (g) higher standards for admis ety. For example, as indicated in Table
sion to the bar and the bench, with more 29.1, labor has benefited from better
emphasis on professional responsibility. wages, fewer hours, better working condi
An important reform for the future that re tions, the end of child labor, and a decrease
lates to the judicial process is the idea of se in race and sex discrimination. Also highly
lecting judges on the basis of their having important is the stimulus that labor poli
been specially trained and tested for the cies have had on encouraging the develop
bench in law school, like high-level civil ment and adoption of labor-saving tech
servants, rather than through a system of nology. As of 1980, the United States might
political appointment or election. still have been using slave labor or cheap
At the administrative level or branch, re immigrant labor and have been a back
forms include (a) increased emphasis on ward, low-technology country if it had not
hiring on the basis of merit rather than po been for the successful efforts of labor un
litical considerations; (b) more perfor ions and working-class people to increase
mance measurement and evaluation of the cost of their labor. Another result is that
government programs; (c) more profes the labor-saving technology has made la
sional training, especially in schools of bor more productive and more skilled. This
public affairs and administration; (d) a has the effect of increasing wages further,
lessening of elected department heads in thereby stimulating greater consumption
state government to provide better coordi and the creation of new jobs, especially in
nated control by state governors; (e) in service fields.
creased use of professional city managers Likewise, it can be seen from each of the
to supplement mayors at the municipal 11 policy fields in Table 29.1 that the initial
level; (f) improved grievance procedures, policy changes have tended in a direction of
collective bargaining, and working condi increasing the rights of the have-nots.
tions; (g) the development of the field of ad These have in turn stimulated benefits for
ministrative law for clarifying due process the total society, regardless of the policy
in administrative adjudication, rule mak field.
Table 29.1 TRENDS IN SPECIFIC POLICY FIELDS
Policy Field Benefits for the Have-Nots Benefits for the Haves or All
Economic policy
Labor Better wages, hours, work Stimulus to labor-saving tech
ing conditions; no child nology; happier and more pro
labor; less discrimination ductive workers
Consumer More rights concerning Stimulus to providing better
product liability products and increased sales
Political-legal policy
Free speech More rights in politics, art, Stimulus to creativity
and commerce
Due process and More rights to counsel, More respect for the law
criminal justice notice, hearings
Equal treatment More rights to blacks, More equality of opportunity
women, and the poor on and allocation on the basis of
voting, criminal justice, merit
schools, employment,
housing, and as consumers
Government reform Less corruption, intimida More effectiveness and
tion, and incompetence efficiency
World peace and trade Increased standards of living Uplifted countries become
for developing countries good trading partners
Social policy
Poverty More rights as employees, The same rights apply to
consumers, tenants, welfare middle-class employees, con
recipients, and family sumers, tenants, and family
members members
Education More access to more More efficient economy from
education better training; less welfare
Science policy
Environment More rights with regard The same rights are important
to cleaner air, water, solid to all people
waste disposal, noise, radia
tion, and conservation
Health More access to medical help Includes catastrophic help from
which even the rich benefit
PREDICTING AND (a) economic problems, such as unemploy

PRESCRIBING FUTURE ment, inflation, and consumer rights; (b)
PUBLIC POLICY political problems, such as world peace,
free speech, and government reform; (c) so
Table 29.2 summarizes the ideas presented cial problems, such as crime, poverty, dis
with regard to doing better than the opti crimination, and education; and (d) science
mum. It shows how this kind of thinking policy problems, such as health policy and
can apply to all policy problems, including environmental policy.
Table 29.2 DOING BETTER THAN THE BEST
Policy Problem An Optimum Society A Better Than Optimum Society
Economic problems
Unemployment Zero unemployment Zero unemployment plus a higher per
centage of adults in the labor force and
fully employed
Inflation Zero inflation Zero inflation plus increased benefits
for prices paid
Consumer Zero fraud Zero fraud plus giving useful informa
tion
Political problems
World peace Zero casualties Zero casualties plus world cooperation
Free speech Zero interference Zero interference plus providing a sup
portive atmosphere for innovative ideas
Government Zero waste and Zero waste and corruption plus creativ
corruption ity, popular participation, equity, and
due process
Social problems
Crime Zero crime Zero crime plus zero civil wrongdoing
and job wrongdoing
Poverty and Zero poverty and Zero poverty and discrimination plus
discrimination discrimination productive job satisfaction
Education Zero functional illiteracy Zero functional illiteracy plus rising to
one’s maximum, with broadness and
inquisitiveness in education
Science problems
Health Zero nonaging diseases Zero nonaging diseases plus health
robustness and greater longevity
Environment Zero pollution Zero pollution plus reclamation and
renewal
Table 29.2 does not indicate the trend in involve some reduction in goals to accom
defining goals for each policy problem. The modate problems that have become more
implication, however, is that if one goal is severe, such as pollution and drug-related
better than another, there would eventually crime.
be a trend toward the better goal. “Better” Table 29.2 is appropriate for this section
in this sense has a high level of generality, not so much because it indicates what will
such as the standard of the greatest happi be but because it implies what should be.
ness for the greatest number. There is a One can make a case that the world is get
trend toward higher goals, although this ting better on many important dimensions.
varies depending on the policy field. Goals This is a key idea of Table 29.1 on trends in
in civil liberties, education, and health are specific policy fields. It is even easier for
frequently being raised. Other fields may one to make a case that the world should be
getting better. Both optimists and pes NOTES

simists are likely to agree that there is
room for improvement. Optimists believe 1. For further details on the recent history of
that the improvement can occur more developments in the fields of public policy, see
readily than do pessimists. Table 29.2 Theodore J. Lowi and Alan Stone, eds., Nation
could be interpreted from an optimistic alizing Government: Public Policies in America
perspective as at least a partial projection (Beverly Hills, CA: Sage, 1978); John Schwarz,
America’s Hidden Success: A Reassessment of
of future trends in public policy. It can
Public Policy From Kennedy to Reagan (New
more easily be interpreted from either per York: Norton, 1988); Robert Bremmer et al., eds.,
spective as a worthy agenda for the future American Choices: Social Dilemmas and Public
of public policy. Policy Since 1960 (Columbus: Ohio State Uni
It is hoped that this book will stimulate versity Press, 1986); and David Rothman and
additional ideas about what will be and Stanton Wheeler, eds., Social History and Social
why. Even more important, it is hoped that Policy (New York: Academic Press, 1981).
this book will stimulate additional ideas 2. For further details on trends regarding the
about what should be and how. On this development of higher goals for America and
matter, perhaps there has traditionally elsewhere, one can compare relevant books
been too much emphasis on the idea of be from the 1960s, 1970s, and 1980s, such as
Henry Wriston, ed., Goals for Americans: The
ing satisfied with less than with the best.
Report of the President’s Commission on Na
It has become almost commonplace to talk tional Goals (New York/Englewood Cliffs, NJ:
about having a positive attitude that em American Assembly/Prentice Hall, 1960);
phasizes “Why not the best?” What may Kermit Gordon, ed., Agenda for the Nation
be needed (as emphasized in Chapter 1 and (Washington, DC/New York: Brookings Institu
other chapters in this book) is a realistic tion/Doubleday, 1968); Henry Owen and
desire to do better than what has tradition Charles Schuitze, eds., Setting National Pri
ally been considered the best, along with orities: The Next Ten Years (Washington,
realistic ideas for achieving these higher DC: Brookings Institution, 1976); and Isabel
goals.2 Sawhill, ed., Challenge to Leadership: Eco
nomic and Social Issues for the Next Decade
(Washington, DC: Urban Institute, 1988).
CHAPTER 30
The Future of the
Policy Studies Organization
INTERNATIONAL AND 1. A research annual on policy studies and

CROSS-NATIONAL ACTIVITIES developing nations to be published by JAI
Press that will contain the best long pa
International and cross-national dimensions pers of the previous year or so (further de
of public policy will increasingly impact tails are given in Policy Studies Journal,
policy studies. The Policy Studies Organi 17, Issue 4, p. 1002)
zation (PSO) will be called on to undertake 2. The establishment of a JAI Press
an expanding role in promoting interna multivolume treatise on policy studies
tional and cross-national policy studies in and developing nations (further details
its publication, training, and organization are given in Policy Studies Journal, 17, Is
activities. The PSO has already undertaken sue 4, p. 1003 and Policy Studies Review,
a “developing nations” focus under the di 19, Issue 2, p. 433)
rection of the secretary/treasurer.
The PSO is embarking on an expanded 3. The coordination of a set of volunteer in
program of professional developments di structors to teach short courses in policy
rected toward applying policy studies to analysis skills in developing nations and
the problems of developing nations. There Eastern Europe as part of a Peace Corps
are four key PSO activities in that regard, program (further details are given in Pol
for which the PSO is in the process of seek icy Studies Review, 9, Issue 2, pp. 426
ing additional funding and especially par 427)
ticipation by interested PSO members. 4. The establishment of a new journal of
They include Policy Studies and Developing Nations
EDITOR’S NOTE: This chapter is adapted from the “Report of the Futures Committee of the Policy Studies Orga
nization” chaired by Tom Dye. Committee members included Martha Derthick, Yehezkel Dror, Don Hadwiger, and
Alexander Hicks. This chapter deals with the committee’s advocacy that the Policy Studies Organization should be
come more involved in the three I’s of international, impact, and interdisciplinary. A key way in which the Policy
Studies Organization has done this is by way of newsletter journals. Developmental Policy Studies is international
oriented, Policy Evaluation is impact oriented, and Creativity Plus is interdisciplinary oriented.
205
GOVERNMENT-IMPACT state-local levels of government, as de

ACTIVITIES scribed on pages 813 and 814 of
Volume 18 of the Policy Studies Jour
The PSO should continue to develop its nal and page 856 of Volume 9 of Pol
governmental relations program—training icy Studies Review
workshops with government agencies in Numerous books dealing with legislative,
the United States and in other nations. judicial, administrative, and chief ex
These activities were recently described by ecutive branches of government, as
the secretary/treasurer as follows: described in Volume 19, Issue 2, of the
Policy Studies Journal and Volume 10,
Training Issue 2, of Policy Studies Review
Workshops for public administrators, Numerous books dealing with the spe
such as the all-day workshop on pol cific policy problems of all federal de
icy analysis for administrative agen partments and their state counter
cies held at the 1991 annual meeting parts, as described on pages 676 and
of the American Society for Public Ad 677 of Volume 9 of Policy Studies Re
ministration, as described on page view
1065 of Volume 18 of the Policy
Studies Journal The PSO should endeavor to include
Workshops for judicial personnel, such more of its members in these activities. The
as the four half-day workshops on ju PSO should consider publishing a current
dicial decision making for judges and directory of its members with references
judicial administrators held at the and cross-references to their policy inter
1991 annual meeting of the Judicial ests and specializations. Rather than the
Administration Division of the Ameri PSO, as an organization, suggesting indi
can Bar Association, as described in viduals for specific political or governmen
Volume 19, Issue 2, of the Policy tal posts, the PSO could provide all inter
Studies Journal ested agencies, groups, parties, and so on
with its directory. (The Heritage Founda
Workshops for legislative personnel,
tion has a policy specialist directory that is
such as the workshop for legislators
popular among its constituent groups.)
and staff members held at the Phila
The directory should be published at least
delphia headquarters of the Commit
biennially and should be made as attractive
tee on Professional Education of the
as possible. It should be distributed as
American Law Institute and the Amer
widely as possible to government agencies
ican Bar Association in autumn 1991
and media organizations both in the United
Workshops for government personnel States and abroad.
and trainers of government personnel
in Africa, Asia, Eastern Europe, and
Latin America, such as the workshops
INTERDISCIPLINARY ACTIVITIES
conducted in South Africa in 2000, In
dia in 2000, China in 1997, and Mex
The PSO is dedicated “to promote the ap
ico in 1998
plication of political and social sciences to
important policy problems.” This expands
Publishing the original 1972 mandate “to promote the
Numerous books funded by government application of political science” to policy
agencies and/or edited by practition studies.
ers from government agencies, dealing A recent overview of PSO interdisciplin
with the global, U.S. national, or ary activities stated
Future of the Policy Studies Organization | 207
1. The purpose of this report is to clarify the nals and subsequent book-length publica
interdisciplinary training and publishing tions in the PSO series of Macmillan,
activities of the PSO. In this context, in Greenwood, or other PSO publishers.
terdisciplinary mainly means outside of Publishing can also include drafting arti
political science. It would also refer to re cles and book chapters dealing with pol
lating political science and other disci icy studies for inclusion in books pub
plines (or fields of knowledge) to public lished by people in fields other than
policy studies. political sciences.
2. The training activities mainly take the 4. This report is the third of three reports on
form of conducting workshops at the an the new interactions of the PSO. The first
nual meetings of scholarly or practitioner deals with international activities, espe
associations other than political science cially developing nations. The second
meetings. deals with government-impact activities,
3. The publishing activities mainly take the including administrators, legislators, and
form of developing relevant symposia for judges at international, national, state,
publication in the Policy Studies Journal, and local levels of government.
the Policy Studies Review, or other jour
Part 4
POLICY
EVALUATION
SUBSTANCE
CHAPTER 31
Welfare Reform
John Engler
Governor of Michigan
MICHIGAN WELFARE REFORM: come of $200 plus 20%, and give transi
A NATIONAL LEADER tional child care and medical coverage
when cash assistance stops due to earnings.
The goal of welfare reform is to reduce the In 1995, this program continued with the
number of families receiving assistance by addition of a new policy encouraging cli
requiring work and providing the tools for ents of Aid to Families With Dependent
them to become self-sufficient. In Mich Children to increase their earned income:
igan, we achieved that goal through the clients who did not seek employment or re
persistent application of commonsense training or both would have their grants
principles. Our Michigan reforms require and food stamps reduced by 25%. After a
personal responsibility, encourage employ 12-month period of noncooperation, their
ment, and involve the community. Due to cases would be closed, enforcing the point
reform, the number of welfare recipients in that welfare is a two-way street. Those in
Michigan receiving cash assistance has de need can receive public assistance if they
creased to below 200,000—the lowest are willing to become productive members
level since 1968. of the community.
The following year (1996) marked the
next exciting stage of welfare reform in
A BRIEF HISTORY Michigan—block grants as a part of fed
eral welfare reform. Block grants are an im
Our welfare reform strategy—“To Strengthen portant step in restoring federalism, shift
Michigan Families”—began in 1991 with ing money and power back to the 50
the elimination of general assistance for “laboratories of democracy.” Block grants
82,000 single, able-bodied, childless adults. promote greater simplicity, flexibility, and
In October 1992, the pace of reform accel efficiency in administering welfare pro
erated when Michigan earned several fed grams.
eral waivers. The waivers allowed us to We also changed the Michigan Depart
provide incentives to eliminate “marriage ment of Social Service into the Family In
penalties,” disregard earned monthly in dependence Agency (FIA). FIA clients are
211
212 | Policy Evaluation Substance
assigned one caseworker or employment STATISTICS

services, given financial assistance, and
provided with child care services. Each Since the launch of Michigan’s welfare re
adult client must meet the requirements of forms in 1991 and 1992, the welfare case-
a customized contract outlining specific ar load has decreased to its lowest level in
eas of responsibility to receive assistance. more than 30 years. Dependency on cash
The ultimate goal of each contract is inde welfare in Michigan has declined nearly
pendence. Other policy changes in 1996 70%. More than 275,000 families have
confirmed our commitment to making achieved independence from cash welfare.
families financially independent: a mini Making a first step toward self-sufficiency,
mum work requirement for food stamp eli nearly 70% of welfare recipients in the
gibility and a cutoff of all cash grants after state are currently working and earning a
60 days for those not fulfilling employment paycheck.
or training expectations. The Michigan budgets during the mid
1990s also indicate the commitment that
legislators have to long-term welfare re
form. For example, hundreds of millions of
A CASE STUDY dollars have poured into increasing invest
ment in child care and into transportation.
Why has “To Strengthen Michigan Fam In fact, nearly 65,000 families receive help
ilies” worked so well? Project Zero is a case with child care. Many politicians have
in point; it comprehensively illustrates the talked about “ending welfare as we know
reasons behind our success. The dual pur it.” In Michigan, we have done it.
pose of Project Zero is (a) to identify barri
ers to employment that are unique to wel
fare recipients who are not earning income CONCLUSION
and (b) to assist state agencies and commu
nity organizations in developing programs Michigan’s remarkable successes with wel
and services that increase the number of re fare reform offer many lessons to other
cipients with earned incomes. Everyone states. Our principled approach has
works. proven both necessary for and consistent
Project Zero clearly shows the three with real welfare reform. Of prime impor
principles behind welfare reform at work. tance is the concept of personal account
Each recipient is held personally account ability. Without it, the welfare system de
able. Each recipient must maximize his or scends into a vicious cycle of dependence
her effort to work, be retrained, or per and poverty.
form community service. Each recipient In Michigan, a broken system needed to
benefits from community involvement. be fixed. Due to committed leaders, our
Project Zero cannot function without com state led the way when reform legislation
munity organizations initiating local pro passed with strong and often overwhelm
grams and services for the unemployed. ing bipartisan support. I am confident that
The results have been impressive. In fact, Michigan’s success signals a spirited, na
since beginning in six test areas in 1996, tionwide attempt to open a new phase in
Project Zero has expanded statewide and history of welfare. Our success in empow
nearly three of four targeted recipients are ering thousands of independent strong
working. Even more impressive is the fact families should provide Congress ample
that dozens of communities throughout reason to renew federal welfare reform and
Michigan—from neighborhoods in De to encourage other states to continue on
troit to the rural Upper Peninsula—have the path to reform.
achieved the goals of 100% employment.
CHAPTER 32
“Ordinary” Injustice
A Memo to the Editor
Charles H. Moore
Millsaps College
I have been reviewing law cases regard

ing college and university personnel
practices as of spring 2000 in prepara
tion for filing a lawsuit against Millsaps
College, a United Methodist Church-
dured 15 years of firms’ “downsizing,”
“right-sizing,” “down-waging,”
“down-benefiting,” accompanied by plant
closings and relocations that have ad
and
versely affected whole communities in eco

related liberal arts college that is my under nomic terms. Economic insecurity has sub
graduate alma mater, the college that em stantially grown for much of the American
ployed my father and mother for 25 years labor force. Academia in the 1990s rapidly
until their retirement, and the college that emulated this corporate behavior, shoving
currently employs me. The lawsuit is a more of its basic functions off on graduate
breach of contract lawsuit, including a students, adjunct faculty members, and
claim for “tenure by default.” The college term hires for the same reason—to save
has broken many of its personnel policy money on personnel costs and generate
rules and, in my case, violated national turnover at the bottom to save long-term
American Association of University Profes expenditures. Never mind the benefits of
sors (AAUP) standards. It is puzzling why continuity of personnel or program; “sav
college administrators continually behave ing” money is all that is important. As a
this way and why faculty members gener result, I find myself a 56-year-old aca
ally let them get away with it. demic, who just devoted 8 years of profes
This is not a tragedy. A tragedy is an sional life to an institution I care much
unexpected or a systematic disaster. Tor about, potentially out on the street search
nadoes bring tragedy; ethnic cleansing in ing for a job.
Kosovo is a tragedy. I can recognize trag My personnel case is an ordinary injus
edy: I lost my wife and daughter in an auto tice—an unjust attempt by the president
mobile accident in 1972. This personnel and dean to terminate me. As Robert
case is rather an ordinary injustice, but it Weissberg (1998) says in writing about
is an injustice that is becoming more wide Stuart Nagel’s case at the University of Illi
spread. In the private sector, we have en nois, it is the “humdrum quality of the
213
events [that] makes them so pertinent” contract, and my attainment of “tenure by

(p. 100). The first impression that review default” under national AAUP standards.
ing recent law cases concerned with college When I tried to ascertain the reasons for a
and university personnel practices leaves is terminal appointment (I have been in
the sheer variety of ways in which college volved with Millsaps in one way or another
and university administrators have tried to since 1961), Dean Smith said to me, “Presi
undo, evade, or abridge faculty members’ dent Harmon instructed me not to say
personnel policy rights under both local [what they are].” In brief, the college ille
and national standards. Sometimes, the af gally extended my 6-year probationary pe
fected faculty members challenge these ef riod, first by 2 years and then by an addi
forts; often, they simply go away, daunted tional year, with promise to complete my
by the array of officialdom ordered against tenure review at the end of the extension.
them and the prospect of lengthy and costly The college is now attempting to terminate
battles to try to realize the rights they me before I can complete tenure review.
thought they had. My original grievance stated,
What are my issues? AAUP Associate
General Secretary Jordan E. Kurland sum President Harmon and [then] Dean Robert
marized them succinctly in his letter to King invented a new procedure for me,
President George Harmon: applied it only to me out of all Millsaps
faculty members, gave me explicit pro
We note at the outset that Professor Moore, fessional performance charges, changed the
who began on the Millsaps College faculty “rules” of performance measurement half
with 3 years of probationary credit for prior way through the extension, set another end
service elsewhere and is now concluding his date for me to complete tenure review, and
fifth Millsaps probationary year, has already now, by this terminal contract, President
served beyond the maximum period of pro Harmon unilaterally denies me tenure by
bation called for in the 1940 “Statement of violating his own invented process by deny
Principles.” Of immediate concern to us, ing me the opportunity to get to the end date
however, is the apparent discrepancy be contractually specified for me to complete
tween the content of your May 1 [1999] let the tenure process.
ter and the commitment the college had pre
viously made to Professor Moore. It is our Both these grievance claims were sum
understanding that during the 1996-1997 marily denied on my appeal to the Millsaps
academic year, when a decision on granting College Board of Trustees. During the in
tenure to Professor Moore should have been ternal grievance process, two other issues
made, his probationary period was ex appeared in the administrative officers’
tended. . . . A plain reading of the above- and board’s implementation of personnel
quoted [Dean Richard A.] Smith letter indi policy that made a bad situation worse.
cates to us that the administration made a The first is that current Dean Fichard Smith
commitment to Professor Moore for him to denied the validity of 3 years credit for
be evaluated for tenure during 1999-2000. prior teaching service at other institutions
Your May 1 letter, stating that his 1999 (I have had 15 years experience at five
2000 appointment is terminal and he will other institutions) explicitly given me in
not be evaluated for tenure, appears to us to my initial contract at Millsaps. The second
disregard that commitment. is the “kangaroo court” summary denial of
my appeals by someone on the board of
I have two grievances: a serious breach trustees, with no appearance or presenta
of academic due process in offering me a tion of the issues by me or my attorney and
terminal contract for 1999-2000, so seri no assurance that the grievance record was
ous as to amount to an illegal breach of even considered by the board. This sum
“Ordinary” Injustice | 215
mary dismissal violated the board’s own at the end, even denies me knowing the rea
precedents, it having had such hearings in son for my “termination” (contrary to
another similar case to mine in the 1980s. AAUP guidelines on faculty terminations).
The local AAUP president, in a letter to the How is any faculty member supposed to
board of trustees’ executive committee, in know what the institution expects regard
whose name the summary denials were ing job performance if the administrative
made, called this action “deeply shocking” officers and board implement a personnel
and destructive of academic community. policy such as in my case?
Why do I write about this? I do so partly What is the point? Weissberg (1998)
because of Weissberg’s (1998) character tries to draw some general lessons from
ization of the Nagel case: “There is scarcely Nagel’s travail at Illinois. They certainly
an academic alive who could not nervously are generally applicable to all faculty. First,
exclaim ‘Why, that could be me’ ” (p. 100). Weissberg says, nobody is safe—that is,
Partly, it is an expose of unethical, illegal there is no absolute secure protection from
personnel practices of academic admin incidents that can be manipulated to a fac
istrators that we must be reminded of oc ulty member’s disadvantage by a devious
casionally lest they proliferate further. administrator. In my case, rules were bent,
My unilateral termination breaks both broken, and made up. Why did I not enter
Millsaps and AAUP personnel policy rules formal grievances sooner? I can only say
and is exceedingly unfair. I was doing the that I had returned to my alma mater and
job I was hired to do. I have received merit was assuming the good will of all parties to
recognition in teaching, community ser personnel decisions at an institution my
vice, and personal research from division parents and I esteemed. It took me some
personnel committees while at Millsaps. I time to give up the assumption of good
compiled a record of meeting the new crite will. If other faculty can learn from cases
ria that were applied to me after a 6-year such as this, one lesson should be that one
probationary term as best I could. Now, I should not assume good will; document
have no way of presenting this new perfor and record everything having to do with
mance evidence because this process is one’s personnel case. I realize the cost of
summarily cut short by administrative de this to all concerned, but any other opera
cision (and board decision, on appeal), giv tional assumption is naïve at best.
ing me no way to present the additional Another lesson that Weissberg (1998)
performance evidence to the appropriate draws is that one should not count on
personnel decision-making bodies. Mod friends or outsiders to come to one’s rescue
ern personnel policy administration, aim once such an adverse personnel action has
ing to enhance employee performance, begun. In my case, happily this lesson does
calls for communication and mutual un not apply. It remains to be seen whether in
derstanding between employer and em ternal action by other faculty or active in
ployee regarding job performance evalua terest and oversight by outside agencies
tion criteria and evidence of performance. will make any difference to the ultimate
At Millsaps, to the contrary, beginning disposition of my case.
with my exceptional extension past the Weissberg’s (1998) last lesson is that
probationary time in April 1997, I have surrender only exacerbates. Surely, this is
had a series of surprises as rules have accurate. Attempts at appeasement, or
shifted, changed, and been made up. The quiet surrender, to such manipulation of
documentation of these surprises gives personnel policy surely only encourage the
every appearance of administrative offi administrators. Petty tyrants become em
cers’ effort to make up an adverse case boldened. Abuses become better executed,
against me to apply whenever they want. and more skillful, until abuses of personnel
President Harmon’s “terminal contract,” rules become institutionalized. Weissberg
concludes by seeing little hope for chang whom administrators count on to pay little
ing such a pattern of abuses. This is why I attention to personnel rules, procedures,
write publicly about my case: Unless fac and practices (until too late), forewarned is
ulty members affected by such abuses stand forearmed. To begin to reduce such abuses,
up and document their cases, such abuses vigilance must begin in one’s own case and
will continue. This is difficult because fac with the involvement in personnel policy
ulty members are used to working (and suf administration at one’s home institutions.
fering) individually. Personnel disputes are
embarrassing, particularly when things
can be made up about individuals. Little
support for faculty members affected is
perceived until too late (“I might be next”). REFERENCE
If colleges and universities—in my case, a
church-related college—are to have ethi
cal, modern personnel systems, however, Weissberg, Robert, “Academic Tyranny: The
then unethical abuses and the use of out Tale and the Lessons,” Policy Studies Re
moded industrial personnel practices (“I’m view, 15 (1998): 99-108. [See also www.
president, and I can fire anybody I want”) u-reform.org]
must be exposed. For faculty members,
CHAPTER 33
Congressional
Campaign Reform
Robert K. Goidel
Indiana State University
Donald A. Gross
University of Kentucky
Todd G. Shields
University of Arkansas
IS THERE A NEED FOR gressional elections removes, as completely

COMPREHENSIVE REFORM? as possible, the perception that money buys
political influence. Although we are not so
Overall, we are convinced that the optimal optimistic as to assume that public financ
solution to the campaign finance problem ing will create a clean, new world for poli
in America is full public financing of con tics, public financing does more to recon
gressional elections with provisions that cile the democratic value of the one person-
would ban soft money and independent one vote ideal with economic inequality
party expenditures and place McCain than does any other approach.
Feingold-type limits on issue advocacy Second, although some academics and
campaigns. There are many reasons that politicians have long derided public fund
suggest the need for such comprehensive ing proposals as “incumbency protection
reform. First, by removing the specter of acts” that would reduce electoral competi
private money, full public financing of con tion, the findings suggest that such a view is
EDITOR’S NOTE: This chapter is modified with permission from Robert K. Goidel, Donald A. Gross, and Todd G.
Shields, Money Matters: Consequences of Campaign Finance Reform in U.S. House Elections (Lanham, MD:
Rowman & Littlefield, 1999).
217
misinformed. Largely due to campaign strongly reduced because the influence of

funding practices, electoral politics in the private money would be massively re
United States is biased in favor of incum duced. Removing private money would
bents and the majority party. Public fund significantly reduce public perceptions that
ing enhances the electoral prospects of government is controlled by special inter
challengers and of the minority party, ests. Voter information would likely in
thereby enhancing partisan competition. crease because increased challenger spend
Third, we reject the argument that many ing should increase challenger name
critics of full public financing make regard recognition and attentiveness to issues on
ing the effects of public financing on citizen the part of citizens. Providing challengers
participation and information. Pointing to with money so that they can actually run
some academic studies demonstrating cor serious campaigns is likely to be the only
relations between spending and voter turn way that competition in congressional elec
out and between spending and candidate tions can be significantly increased. Voter
recognition, critics of reform argue that the turnout would likely increase in such a set
end result of public financing would be less ting, and political accountability would re
citizen participation and less citizen infor ceive a major boost. Overall, almost all
mation. On closer inspection, however, money spent during the electoral season
such a view appears to be largely without would be regulated and disclosed; voter in
merit. Although spending can potentially formation would increase; elections would
increase citizen participation and informa become more competitive; and in each con
tion levels, there is little reason to believe gressional election, there would be a loyal
that it normally does so. Increased spend opposition financially capable of provid
ing is not a magic bullet that naturally leads ing the citizen with alternative perspectives
to a more involved and informed elector on governing.
ate, nor is it necessarily true that reduced Of course, much of this may be consid
spending will lead to a less informed and ered immaterial for the practical politician
less involved citizenry. if Congress continues its stalemate regard
We recognize that campaign finance re ing the issue of campaign finance reform.
form may not lead to a more informed and Given this scenario, it is important to con
more involved citizenry. The central ques sider the politics of reform and the reasons
tion is whether any positive effects that re that we think that the reformist agenda will
form may have in reducing public cynicism eventually succeed.
and apathy will be outweighed by any neg
ative effects that may arise from reducing
candidate expenditures and, as a result, CAN CONGRESS PASS
possibly limit candidate mobilization ef REAL CAMPAIGN REFORM?
forts. Our analyses indicate that this much

is clear: Arguments that reform would have Given the current political climate and the
dire consequences on citizen participation behavior of Congress during the past sev
and information levels simply do not stand eral decades, one might conclude that our
up to scrutiny. call for comprehensive reform instead of
Returning to a consideration of the cri moderate reform is actually immaterial be
teria for evaluating campaign finance re cause the prospects for the implementation
form, our best evidence suggests that only of either type of reform is near zero. For
the comprehensive approach would have long-time observers of American politics,
modest to strong positive effects for all the the failure of campaign finance reform ef
criteria. Tensions between economic in forts, following a presidential election with
equality and political equality would be the most serious violations of campaign fi
Congressional Campaign Reform | 219
nance laws since Watergate, is hardly sur position comes in the form of filibuster in
prising. It was no less surprising when the the Senate or, as in 1992, a presidential
103rd Congress (1992-1994) failed to en veto.
act campaign finance reform despite hav Third, public opinion on the issue is per
ing a president who promised to sign the missive but not demanding, meaning that
legislation. For Democrats, reform has al although there is broad public support for
ways been easier to pass when it was as reform, the issue is not highly salient to in
sured of a veto by a Republican president. dividual voting decisions. One might be
Nor was it surprising when, in 1995, the in tempted to conclude from opinion polls
famous handshake between Bill Clinton that politicians have not been responsive to
and Newt Gingrich not only failed to result public opinion on the issue of campaign fi
in reform but also never even resulted in a nance reform. This is only partly true. Pub
bipartisan commission to recommend so lic opinion polls routinely show that the
lutions. Many cynics would simply argue public favors some type of reform and that
that although campaign finance reform politics is dominated by special interests. It
rhetoric makes good politics, there are sim is considerably less clear as to whether pub
ply too many reasons why Congress is inca lic opinion would support full public fi
pable of passing meaningful campaign fi nancing, particularly once it is labeled
nance reform. “welfare for politicians” by opponents.
First, there are serious partisan and More important, although public opinion
ideological differences between Democrats polls show support for reform, they also
and Republicans regarding both the nature show that campaign finance reform is not
of the problem and the acceptability of var an issue that drives voting decisions for
ious solutions. As the party of smaller gov individual voters. The Republican Revo
ernments, Republicans are naturally in lution of 1994, for example, followed a
clined to oppose public funding of election Republican-led Senate filibuster of cam
campaigns. Mitch McConnell (Republi paign finance reform. Citizens may want
can, Kentucky) illustrates this type of op the system cleaned up, but they are not de
position to campaign finance reform. He is manding political action.
a staunch believer that such reform efforts Finally, many suggest that the Buckley
involve the government in free speech is decision and subsequent Court decisions
sues, in which the government does not establish a fundamental constitutional
rightfully belong. Other Republicans op wall that prevents the implementation of
pose reform for partisan as opposed to any meaningful campaign finance reform.
ideological reasons. Despite President Senator McConnell has been the leading
Clinton’s flouting of existing election laws, opponent of comprehensive campaign fi
it is the Republicans who reign supreme nance reform for many years. His strategy
as kings (and queens) of campaign fund- to stop such reform relies heavily on the
raising. As a result, limits on such activities Buckley decision. Not only does it give him
may cut into a clear partisan advantage en a theoretical justification for his opposi
joyed by the Republican Party. tion but also it has the practical appeal of
Second, many Democrats support elec suggesting that even if comprehensive re
tion reform primarily so that they can lay form were desirable (which, according to
claim to the “good government” mantle him, it is not), it makes no sense to pass leg
during election campaigns. Their interest islation that the Supreme Court will de
in true reform, however, is often less than clare unconstitutional. It is in many ways a
sincere. As a result, they may vote for re compelling logic, and the Buckley decision
form on the floor, but they also count on is an important impediment to comprehen
Republican opposition, whether such op sive campaign finance reform.
WILL FINANCE REFORM Throughout the history of the United

EVENTUALLY PASS? States, corruption has bred public cynicism
and mistrust until a major scandal has
The reality of the political landscape does pushed the public beyond the breaking
make the immediate prospects of compre point and government has been forced to
hensive reform seem weak. We argue, how reform itself. The current campaign fi
ever, that comprehensive campaign finance nance system is no different. Eventually, a
reform will eventually be passed into law. crisis will be so severe that the public will
The current system is so scandalous and is demand reform. For this reason, it is not a
deteriorating so quickly that the arguments question of whether or not reform will
in favor of reform become more compel eventually be passed. The question is
ling each year. The systemic problems in whether we reform in the near future, when
the current campaign finance system can we can carefully reform in response to sys
not simply be wished away, and ignoring temic problems, or whether we reform in a
them virtually guarantees they will reach crisis atmosphere, when ill-advised reform
crisis proportions. Although Congress has efforts are more likely.
failed to pass any meaningful campaign We suggest that the Buckley decision, al
finance reform in recent memory, the po though a significant impediment to reform,
litical tide seems to be slowly moving to is not the insurmountable wall suggested
ward reform efforts. In the last Congress, by the critics of reform. First, we reject the
McCain-Feingoid was stopped in the Sen rhetorical arguments by apologists such as
ate through the use of a filibuster. When Senator McConnell who equate money
Newt Gingrich used parliamentary tactics with free speech. Money is not speech. If
to stop a vote on similar legislation in the you talk or write to someone encouraging
House of Representatives, supporters suc him or her to vote for a candidate, you have
cessfully used the discharge petition to broken no law. If you pay someone to vote
force House action. Although this is cer for a candidate, you have broken a law in
tainly no guarantee of success, it is an indi every state in the Union. Second, we are un
cation that the tide may be turning on the easy with the Supreme Court’s proposition
issue of campaign finance reform at the that money used for campaign expendi
federal level. tures is a form of constitutionally protected
Campaign finance reform is proceeding expression. Limiting campaign expendi
even more rapidly at the state level. tures does not limit speech but, rather, lim
Twenty-four states already have some pro its the amplification and dissemination of
vision for public funding of state legislative speech through the mass media. The
campaigns. As laboratories of democracy, Court’s decision equating candidate expen
the states provide a testing ground for pol ditures with free speech guarantees access
icy innovation. They can acquaint citizens to the media and the amplification of
and the politicos of the future with signifi speech to those who can afford it. Those
cant campaign reform, making similar ef who cannot afford such access may say
forts at the federal level appear less threat whatever they want, but they will say it
ening. much more softly.
Of course, without significant pressure Finally, even if we did accept the ap
from “outside the Beltway,” reform is un proximate equivalence between campaign
likely, even if it appears to enjoy fairly wide expenditures and free expression, we argue
public support in public opinion polls. As that the Supreme Court is simply wrong in
scandals continue to mount, the public be how it views the balance among constitu
comes ever more cynical and distrustful tional rights in the Buckley decision. As in
of the current campaign finance system. many civil rights questions, the Court often
Congressional Campaign Reform | 221
has to balance constitutional rights when Justice Department investigations of cam

evaluating electoral laws. Contribution paign fund-raising practices. Democrats,
limits, laws prohibiting vote buying, laws on the other hand, claimed to want reform
prohibiting the intimidation of voters, and but were more interested in portraying Re
regulations prohibiting electioneering near publicans as puppets bought, owned, and
a voting booth have all been upheld by the controlled with corporate dollars. Demo
Supreme Court as necessary to protect the cratic claims that the system is corrupt and
integrity of the electoral process. We view in need of reform are true, but Democrats
the current campaign finance system as no should at least acknowledge that they have
less a threat to the integrity of federal elec played an important role in further cor
tions. rupting the system.
To have meaningful campaign finance Even if the immediate prospects for
reform, the Buckley decision needs to be re campaign finance reform seem slight, re
versed, just as Supreme Court decisions form will eventually occur because the
that gave constitutional approval for slav problems in the current system of cam
ery and segregation were eventually over paign finance are so fundamental that citi
turned. Appropriate Supreme Court ap zens will eventually demand action. The
pointments could be used to allow the status quo in campaign finance is unaccept
Court to slowly modify Buckley or to sim able. Large contributors, including indi
ply reverse it, as the Supreme Court did viduals, corporations, and labor unions,
with the Plessy v. Ferguson (1896) deci dominate American politics in a manner
sion, which upheld segregation through reminiscent of the pre-Watergate era. Ac
the Brown v. Board of Education ruling. cess is bought and sold on a continuous ba
The second alternative is to pass a constitu sis. Elections are largely uncompetitive,
tional amendment in all effort to overturn and citizens are increasingly withdrawn
Buckley. Such an amendment has been in from politics and the electoral process.
troduced during recent sessions of Con Without reform, the future promises more
gress. Buckley is an impediment to mean of the same: more aggressive pursuit of soft
ingful campaign finance reform, but it is money by political parties and by party
not an insurmountable obstacle. leadership, more lucrative spending on is
Overall, the politics of reform ensure sue advocacy campaigns by parties and in
that reformist rhetoric will remain on the terest groups, increasingly uncompetitive
public agenda, but that immediate reform elections as Republicans learn to fully ex
is not likely. Republicans wanted to nail ploit the advantages of their majority party
President Clinton and Vice President Gore status, and an electorate that increasingly
for campaign finance violations, but they views politics as best left to those who can
were largely uninterested in altering a sys afford it. It is unlikely that campaign fi
tem that favors these violations. Although nance reform can cure all that ails the
this does not excuse the Clinton-Gore in American electoral process, but the follow
discretions, it is reasonable to assume that ing is clear: Without campaign finance re
had Bob Dole won the presidency in 1996, form, the political system will continue to
there would have been no congressional or lurch toward crisis.
CHAPTER 34
Violence, Guns,
Media, and Fathers
Mike Huckabee
Governor of Arkansas
I t was, without a doubt, the story of the

week: Two boys, an 11-year-old and a
14-year-old, were accused of killing
four classmates and their teacher at the
Westside Middle School near Jonesboro.
fire on a Long Island train, no one won
dered if this was just another act of
“northern aggression.” After these three
school shootings, however, pundits were
looking down their noses once again at our
The shootings spawned a worldwide reac region and my state.
tion. Reporters from throughout the world We have always had guns, but we have
descended on what had been a peaceful not always had students shooting each
community, and the story led the network other in schools. Something has changed
news for several days. Arkansas had not above and below the Mason-Dixon Line.
seen such a media crush since Bill Clinton Children grow up in a culture of violence,
was elected president in 1992. and they are doing it without strong, two-
It was the third in a series of shootings at parent families to teach them how to sur
southern high schools that involved stu vive it.
dents in Paducah, Kentucky, and Pearl,
Mississippi. Some asked if the “southern
gun culture” were to blame. I found the MEDIA VIOLENCE
questions hurtful, inappropriate, and
wrongheaded. The 14-year-old, after all, A typical American child will witness
had spent most of his life in Minnesota. I 8,000 murders and more than 100,000 acts
also found that the questions smacked of of violence on television before he or she
the disdain that some members of the me graduates from elementary school. Worse
dia and academia have for the South. When than the number of violent acts, however, is
Los Angeles erupted in flames following the way they are portrayed. It has become
the Rodney King verdict, no one asked if increasingly difficult to distinguish the
this was the result of the “western outlaw heroes from the villains. The violence never
mentality.” When Colin Ferguson opened has consequences. The person who kills
223
never shows guilt or remorse and rarely has Fathers are male role models and, when
to explain his or her actions. Often, the they do their job right, they teach children
death of a human being is portrayed as important lessons moms cannot impart
something humorous, not horrible. alone. A mother can love her children, pro
Obviously, it is too simplistic to blame vide for their needs, and even teach them to
only the media. The old argument that the throw a baseball, but she cannot give her
media merely reflects society and does not son a living example of how a man should
shape it is wearing thin, however. Adver treat his wife, his children, and his neigh
tisers who paid $2 million per 30-second bors. Only a dad can show how a man can
spot during the final “Seinfeld” episode be strong without being savage, romantic
were not doing so to “reflect” anything. without being lustful, and competitive
They were hoping to directly influence so without being violent. Likewise, a father is
ciety, and they would not pay $2 million a the first, most important man in any
pop if it had not worked in the past. If tele daughter’s life. He teaches her important
vision can sell us cars, shampoo, and politi lessons in how to treat the opposite sex and
cal candidates, then during the course of 18 how to expect to be treated. After seeing his
years why can’t it sell a young person on high standard of manhood, a daughter is
the idea that violence pays? less likely to settle for someone who will
Media violence sows the seeds among use her for her body, beat her up, and then
young people, but it would not take root if leave her with children she will have to
they grew up in strong families in which raise alone.
values were stressed. Unfortunately, many
kids grow up in homes in which scenes of
violence and conflict are commonplace. WHAT TO DO?
Every year, 1 million children watch their
parents argue, fight, feud, and then finally Want to fix our kids? Let’s fix the culture.
divorce or separate. In 1996, 1 million chil Let’s make sure our children spend more
dren were abused or neglected. time exercising their minds and less time
vegetating in front of the television. Let’s
reward media outlets that uplift our society
FATHERLESS FAMILIES and refuse to patronize those that tear it
down. Let’s value moms and dads as much
Approximately one third of all births are to as we do quarterbacks and movie stars.
unmarried women. For the first time in our After the Jonesboro shootings, one of
nation’s history, we are trying to raise a the suspect’s fathers was asked what went
large part of our population without fa wrong. He said he and the boy’s mother
thers. Although there are many brave, lov were divorced, that he did not really know
ing, and committed single mothers, father his son very well, and that he could not
less children are five times more likely to be imagine what happened. This statement re
poor and are more likely to be sick, drop vealed a lot, and not just about the shoot
out of school, get depressed, get in trouble, ings. When kids grow up with absent fa
and end up divorced themselves. All these thers, it is difficult for them to understand
facts contribute to the end result: violence. that the culture of violence they live in does
Sixty percent of America’s rapists, 72% of not have to extend to their homes and
adolescent murderers, and 70% of long- schools. This is true in Arkansas, Minne
term prison inmates are males who grew up sota, or anywhere else.
without fathers.
Part 5
WIN-WIN
THEORY
CHAPTER 35
Super-Optimizing
Solution Graphing
T his chapter attempts to put super-

optimizing or win-win analysis
into three different graphic or geo
metric models. Doing so serves the follow
ing purposes:
related approaches to learning to their
mutual benefit.
8. This may help facilitate the development
of a user-friendly interactive computer
program for super-optimizing that is
compatible with the Windows operating
1. Many people understand simple graphs system.
and notes better than verbose jargon or
unnecessary mathematics. This chapter deals with super-optimum
2. The graphs can generate new insights for solutions (SOS) from the perspectives of (a)
improving the general methodology. triangle or pyramid shapes, (b) trade-off or
indifference curves, and (c) arrow dia
3. The graphs can facilitate more applica grams. All three perspectives help one to
tions. understand the concepts of conservative
4. The graphs lend themselves to developing best expectation, liberal best expectation,
useful conceptual theory, such as the ways traditional compromise, attempted total
of classifying and generating goals, alter victory, and SOS as well as other relevant
natives, relations, and conclusions. concepts. Two additional perspectives of
(a) bar or line graphs and (b) pie charts or
5. The graphs also lend themselves to devel
circles are discussed in Chapter 5.
oping useful simple equations, such as
those associated with pie charts.
6. Graphs have interdisciplinary appeal to A TRIANGLE OR PYRAMID
economists or other scientists who tend to PERSPECTIVE
be more quantitative or more involved
with analytic geometry than are political Basic Concepts and Examples
scientists.
7. This may help associate super-optimizing Traditional policy arguments and lit
with game theory, operations research, igation negotiations tend to be one-
management science, decision theory, and dimensional and result in compromises.
227
228 | Win-Win Theory
Figure 35.1. A triangle approach. At C best, C pays $1; at L best, L receives $6; at C best and L best,
neither side is thinking about the possibility of separate benefits. Along the line of one-dimensional
negotiations, a $1 gain is a $1 loss for L, and vice versa. Along the SOS line, every point is better for C
than the previous C best and better for L than the previous L best. For example, at SOS1, C pays $1
but gets $4.01 for a net gain of $3.01, which is better than the C best of –$1 or paying $1. Likewise,
L receives $1 but gets $4.01 in separate benefits for a total of $5.01, which is better than the L best of
+$5 or receiving $5. At SOS2, C pays $5 but gets $4.01 for a net loss of $0.99, which is better than the
C best of –$1. Likewise, L receives $5 but also gets $4.01 for a total of $9.01, which is better than the
L best of $5. The threshold SOS to L is the L best plus $0.01. The threshold SOS to C is the C best mi
nus $.01 in a negotiation trade-off context.
The defendant (conservative side; C) says Generic and Actual Examples

“I will give you no more than $1.” The
plaintiff (liberal side; L) says “I must have The better way might be a win-win or
at least $5, or I go to trial.” They compro- super-optimizing solution whereby all ma-
mise at $3 (Figure 35.1). jor sides can achieve better results than
Both sides should feel cheated out of $2. their best (rather than their worst) initial
The C side consoles itself by saying the situ- expectations. All the previously discussed
ation could have been worse because the L solutions involve six incremental units of
plaintiff might have obtained $5 or even $6 benefits. The best the C side could do in
by going to trial, war, strike, and so on. The these negotiations or arguments is $6 in
L side consoles itself by saying the situation benefits minus $0 in costs for a net gain
could have been worse because the C de- of $6. The best the L side could do is $6
fendant might have been able to get away in benefits plus $6 in damages money re-
with paying only $1 or nothing by winning ceived for a total gain of $12. Nonmone
at a trial. In reality, both sides could suffer tary benefits could be used. We would then
great lose-lose losses from the cost of litiga- talk in terms of benefit-cost ratios rather
tion, a war, a strike, or other attempts at a than benefits minus costs or other ways
total win-lose victory. There has to be a of combining monetary and nonmonetary
better way. measures.
Super-Optimizing Solution Graphing | 229
Suppose, however, that a mediator or Compared With Other Perspectives

the parties can offer an idea whereby both
sides can obtain about $7 in benefits rather One advantage of a triangle perspective
than only $6. Then both sides will be able over bars, curves, pies, or arrow diagrams
to exceed their best initial expectations. is that it emphasizes the multiplicity of con
The C side would obtain $7 minus $6, servative, liberal, neutral, and SOS alterna
which is more than $0. The L side would tives. Everything to the left of $2 is conser
obtain $7 plus $6, which is more than $6. vative, and everything to the right of $4 is
Both C and L come out ahead of their per liberal. There is an infinity of dots in both
ceived best or actual maximum, regardless places. Likewise, any dot between 2 and 4
of which damages figure is used, so long as is considered neutral, and any dot above
the separate benefits figure more than cov the SOS line is a higher SOS. The peak is the
ers the damages. The benefits to the C de highest SOS within the triangle or pyramid,
fendant could even be $0 if the defendant’s but one can go beyond that aesthetic point.
best expectation were to pay more than $0. Aesthetics is an advantage of (a) pyra
Likewise, the separate benefits to the L mids over triangles, (b) cylinders or three-
plaintiff could even be close to $0 if the dimensional rectangles over bars, or (c)
plaintiff’s best expectation were to receive spheres over pie charts or circles. If one
an amount of damages that would merely wanted to add a third dimension or goal as
cover the plaintiff’s litigation costs. in multicriteria decision-making, the best
One example from litigation is the case way to do so would be to talk in terms of
of Travelers Insurance (TI) versus Sanyo composite benefits, costs, or profits on the
Electronics (SE) in the Chicago Federal vertical or horizontal axes of a triangle,
District Court in 1989. The SOS idea was bar, or indifference graph. Thus, the sepa
that the Japanese insurance company of SE rate benefits in Figure 35.1 could be a com
would make TI its agent in the United posite measure of Benefits 1 through 3.
States for selling marine insurance. It was This is easier than adding a third dimen
estimated that doing so would provide a sion geometrically, and it is more valid than
$10 million net gain in new insurance per ignoring an important third or fourth di
year, which could be split evenly between mension. Additional dimensions can be
TI and SE’s insurance company. TI would shown in pie charts by adding additional
then come out way ahead of its initial best pies.
expectations. Likewise, so would the Japa Regarding compositing diverse mea
nese insurance company and SE, who sures, see the following books by Nagel in
would divide their $5 million per year. order of increasing precision: “Combining
An example from legislative dispute res and Relating Goals,” in Policy Analysis:
olution involves the firm Archer Daniels The Social Science Research (Beverly Hills,
Midland (ADM), which wanted to spend CA: Sage, 1979); “Non-Monetary Vari
only $1 on antipollution devices, versus a ables,” in Policy Making: Goals, Means,
regulatory agency (Environmental Protec and Methods (New York: St. Martin’s,
tion Agency [EPA]), which wanted the firm 1984); and “Multiple Dimensions on Mul
to spend $5. Three dollars was the compro tiple Goals,” in Evaluation Analysis With
mise. An SOS idea might involve a new way Microcomputers (Greenwich, CT: JAI,
of processing soybeans that is more profit 1989). All three books also include chap
able and cleaner. ADM’s profits increase ters on making decisions with missing in
from $6 to $7. The EPA gets even more formation.
cleanliness than the requested $5 can buy. The book by Edwin Abbot called Flat
Both sides then achieve better than their land (New York: NAL, 1984) depicts a so
initial best expectations. This is the better ciety that knows length, width, planes, and
way. area but cannot conceive height, depth,
solids, or volume. It is, however, ahead gaining power or their ability to give some
of most contemporary thinking about thing desired other than apples.
disputes, which tends to be on a one- The curve labeled “after” shows that
dimensional level and not even two- there are now 110 apples available to be
dimensional triangles. This distorted think distributed between L and C. With this ex
ing has been promoted by the kind of pansion in resources, both L and C could
quantitative analysis that cannot deal with have more than their previous maximums
both benefits and costs simultaneously be or optimums. L could have 55 and C 55, L
cause the mathematics is not sufficiently could have 51 and C 59, or they could have
elegant. Instead, such thinkers emphasize any combination that adds to 110 in which
the single objective functions of operations both L and C get 51 or more. Actually, an
research, management science, and most increase in resources would be sufficient to
econometrics, which is one-dimensionality provide a SOS if it were 101 apples divided
on the dependent variable. They pride in half or (MaxL + MaxC + 1)/2.
themselves, however, on understanding Either the before curve or the after curve
continua and calculus. These concepts are is called a trade-off curve. When there are
above zero-dimensional points. A contin N apples available, if L gets X apples, then
uum, however, is just a point that has been C gets N – X apples. Whenever L gets an
spread open to form a straight line, a diago additional apple, C gets one less apple, and
nal, or a curve, like the base of the triangle vice versa. The curve is also called an indif
in Figure 35.1. ference curve because every point along the
curve adds up to N apples. The points are
thus indifferent or equal to each other in
TRADE-OFF OR terms of total resources. Other names in
INDIFFERENCE CURVES clude isoquant curve (same total quantity
at each point), production possibility func
Increasing Resources tion (every point indicates a different com
bination that can produce the same total
A second graphic perspective derives produced), and consumption possibility
from the economics of indifference or function (every point indicates a different
trade-off curves, as shown in Figure 35.2, combination that results in the same total
in which the liberal position is shown on consumed).
the vertical axis and the conservative posi
tion on the horizontal axis.
Figure 35.2A shows how one can Increasing Efficiency
change a liberal-conservative dispute from
a compromise to a win-win or super- Trade-off or indifference curves were
optimum solution by increasing the re used to illustrate how increasing resources
sources available. The curve labeled “be can bring about win-win or super-opti
fore” shows that there are 50 apples avail mum solutions in the winter 1997 issue of
able to be distributed between L and C. The Policy Evaluation. Such curves can also be
maximum position of L is therefore to get used to illustrate how using constant or
all 50 apples and give none to C. The maxi fixed resources more efficiently can lead to
mum position of C is likewise to get all 50 such solutions.
apples and give none to L. The same before curve that was used to
In the usual political context, a compro show the effect of increasing resources can
mise is reached whereby L gets less than 50, be used to show the effect of increasing effi
and the rest go to C. An even split would be ciency. The maximum for L is 50 apples
25 to L and 25 to C. L or C might get more and none to C. The maximum for C is 50
than 25 depending on their relative bar apples and none to L. Suppose, however,
Figure 35.2. Increasing Resources Versus Increasing Efficiency
that we invent a way to more than double more satisfied than it would with 50 of the
the efficiency of apples—that is, we greatly old apples. C also gets 52.5 satisfaction
increase their nutrition value, durability, units or 25 × 2.1. This happens by more
taste, or some other desirable characteris than doubling the efficiency of the apples,
tics. the products, or whatever L and C are
In the before situation, each apple was fighting over. One can then divide the new
worth 1 satisfaction unit. In the after situa products in half, and each side will come
tion shown in Figure 35.2C, each apple is out ahead of their previous maximums or
now worth 2.1 units of satisfaction. Thus, best expectations.
if L now gets only 25 of the 50 apples, L Thus, the trade-off curves illustrate the
will be more satisfied than it was with 50 of key approaches to win-win solutions—
the before apples. L gets 52.5 satisfaction namely, (a) increasing the resources, (b) in
units or 25 × 2.1. Likewise, if C now gets creasing the efficiency of the present re
only 25 of the new apples, it will be even sources, or (c) a combination of both. The
Figure 35.3. Arrow diagram. Arrow 1 indicates that conservative alternatives are directed mainly
toward conservative goals. Arrow 2 indicates that liberal alternatives are mainly directed toward lib
eral goals. Arrows 3a and 3b show that knowing the conservative and liberal goals and alternatives
helps develop one or more SOS alternatives. Arrows 4a and 4b show that SOS alternatives are di
rected toward both conservative and liberal goals. The double plus means that the proposed SOS
alternative achieves those two sets of goals even more strongly than the conservative or liberal alter
natives. Arrow 5 shows that the SOS alternative has to get over feasibility hurdles to be considered
an SOS alternative.
triangle or pyramid approach has the ad cate how one gets from one step or element
vantage of stimulating thinking along dif to another, where the elements are conser
ferent dimensions or different products vative and liberal goals, alternatives, and
than those involved in the original dispute. relations. The bottom line toward which
The arrow diagram approach (discussed these elements are directed is a feasible su
next) emphasizes the process or cyclical per-optimum conclusion.
steps involved in obtaining win-win or su The word elements is used rather than
per-optimum solutions. steps because steps imply a routinized se
quence. The process, however, involves fre
quent recycling. It also involves what could
ARROW DIAGRAMS be a leap of creativity in going from the in
put elements to the conclusions. The cre
The triangles, bars, curves, and pies tend to ativity, however, is lessened by drawing on
be static graphs. They help define the basic prior substantive and procedural experi
concepts of conservative best, liberal best, ences.
compromise, and super-optimum. The ar In addition to a tentative SOS conclu
row diagram, on the other hand, is a more sion, the output process elements also in
dynamic graph (Figure 35.3). It helps indi volve going through a feasibility analysis
that relates to political, administrative, empirically determine or both whether

economic, technology, psychological, and the SOS alternative does achieve the lib
legal feasibility as well as concerns for dis eral goals more than the liberal alterna
placed workers, firms, and other interests. tives (4b).
The output process should also involve
5. Subject the SOS alternative to a feasibility
communication with appropriate decision
analysis regarding approximately seven
makers regarding implementation.
feasibility hurdles. Go back to reconsider
The following are the components or ar
the goals, alternatives, relations, and ten
rows in the diagram:
tative conclusions. Keep going back after
each change until you are tentatively sat
1. Relate conservative alternatives to con
isfied that you have found a feasible SOS
servative goals.
ready to be implemented.
2. Relate liberal alternatives to liberal goals.
3. Use these relations and elements to help For further details, see Stuart Nagel,
develop an SOS alternative. “Generalized Policy Analysis,” Policy
4. Deduce or empirically determine or both Evaluation (autumn 1996). See also Stuart
whether the SOS alternative does achieve Nagel, Win-Win Policy: Basic Concepts
the conservative goals more than the con and Applications (Westport, CT: Quorum/
servative alternatives (4a). Deduce and/or Greenwood, 1997).
CHAPTER 36
Win-Win Game Theory
BASIC CONCEPTS and likely outcomes. Static models can be

in the form of matrices or game trees.
Outcomes and Persons Matrices can be four-cell or multicriteria
decision-making (MCDM) matrices with
Game theory is the study of general nor multiple criteria and alternative positions.
mative and empirical principles that relate We are mainly interested in MCDM matri
to how people interact with each other ces, in which conservative, liberal, neutral,
when they are seeking either mutual benefit and other goals are shown in the columns
or gain at the expense of the other players. and conservative, liberal, neutral, and other
The simplest and most common game the alternatives are shown in the rows along
ory is win-lose or zero-sum, whereby what with one or more win-win alternatives.
ever one side wins, the other side loses. We A dynamic model tends to have time
are mainly interested in win-win games or points along the horizontal axis and alter
interaction involving mutual benefit, espe native positions along the vertical axis.
cially mutual benefit in which all sides Such a time-path graph shows how the al
achieve more than their best initial expec ternatives change as the players move to
tations. ward a compromise or a win-win solution.
Another way of classifying games is by A dynamic model may also involve an
whether they have only two persons, sides, Edgeworth box diagram in which the play
coalitions, or viewpoints or whether they ers start at diagonally opposite points and
have more than two. We are mainly inter proceed to a compromise in the center. A
ested in games that involve two ideologies dynamic model may also show graphically
or interest groups. The groups are usually a the steps whereby one proceeds from a set
liberal group and a conservative group, al of goals and alternatives to a win-win solu
though each group may have subgroups. tion. This kind of dynamic arrow diagram
was provided in the article “More on SOS
Graphing” in the winter 1998 issue of Pol
Static and Dynamic icy Evaluation.
Another way of classifying games is in

terms of how they can be graphically ana Definitional and Probabilistic
lyzed. The main approaches are in terms of
a static model and a dynamic one. A static Another way of classifying game theory
model works with the goals and options for graphs is in terms of whether they facili
each player and seeks to deduce strategies tate developing strategies and normative
235
or empirical outcomes as contrasted to probabilistic substantially adds to the com

merely being useful in defining basic con plexity, especially if the probability can be
cepts. All the previously discussed game any value from 0 to 1.00. Such less likely
theory graphs can be classified in the facili situations are not considered here.
tating category. In the article “Graphic
SOS Approaches” in the winter 1997 issue
of Policy Evaluation, three definitional MATRIX GRAPHING
graphs are given. One is a bar graph show OR MODELING
ing the liberal and conservative outcomes
by how high a bar is above or how low it is Fourfold Table
below a zero level on benefits minus costs.
The second involves trade-off or indiffer Figure 36.1 is the classic example of a
ence curves, which show the liberal and two-person, non-zero-sum game. It is the
conservative outcomes by points on a prisoner’s dilemma. Two people are ar
curve. Any point involves the same total rested for attempted murder. If they both
utility. Points higher on the curve, however, confess, they will each receive a 3-year sen
allocate more utility to liberals and to the tence. If A agrees to turn state’s evidence
liberal side and less to the conservative side against B, then A will get only 30 days in
and vice versa for points lower on the jail and B will get 10 years. If B agrees to
curve. Win-win solutions involve moving turn state’s evidence against A, then B will
to higher curves or increasing the utility of get only 30 days in jail and A will get 10
what is being argued about. The third defi years. If neither confesses or cooperates,
nitional graph is a pie chart. It shows that then they will get 1 year each for violating
dividing a fixed pie involves win-lose so the gun laws. The best that A could do is 30
lutions. If the radius of the pie can be days if B does not testify against A, which A
increased by approximately 50%, then cannot count on. The best that B can do is
giving each side half of the new pie will 30 days if A does not testify against B,
result in each side having more than all of which B cannot count on. Thus, the best
the old pie. strategy is to compromise by neither side
The fourth type of graph is the pyramid cooperating.
or triangle. It is explained in the article This is a compromise between 10 years
“More on SOS Graphing” in the winter and 30 days. It is a compromise arrived at
1998 issue of Policy Evaluation. Two more generally through implicit cooperation
definitional graphs are explained here: (a) without any explicit negotiating between A
the teeter totter or scales of justice and (b) and B, although sometimes they may have
the metaphor of all boats rising with the a way of interacting. It is not a win-win so
tide. lution, which would involve both A and B
Game theory graphs can also be classi achieving a better result than serving 30
fied in terms of whether the relations be days each.
tween the alternatives and the outcomes Such a win-win solution to the pris
are reasonably well-known or are proba oner’s dilemma might involve their agree
bilistic or chancy. In win-win analysis, the ing to testify that C committed the at
relations are often expressed in mere direc tempted murder. They might testify so
tional signs, such as pluses or minuses. convincingly that not only do they serve no
There is high agreement on direction even jail time but also they share a $10,000 re
though there might not be with regard to ward. This is a win-win solution, unless
specific magnitudes. The magnitudes are they were expecting to do even better. So
unnecessary if the win-win solution domi ciety would be a loser if A and B really are
nates on all major goals—that is, the solu guilty. Then, this would be only a partial
tion scores higher than either the conserva win-win solution: Mr. C would be a loser if
tive or liberal alternatives. A relation that is he goes to prison for 10 years. Win-win so
Win-Win Game Theory | 237
Figure 36.1. The Prisoner’s Dilemma as a Four-Cell Payoff Table
lutions, however, are only supposed to ap MCDM Matrix

ply to parties who are in the mainstream.
An attempted murderer would not be con Table 36.1 extends the matrix idea away
sidered a mainstream person. In fact, we do from one player on the columns and one
not want such people to achieve a better re player on the rows. Instead, it puts the
sult than their best expectations because goals of all the major players on the col
this would be too contrary to the idea of de umns and the alternatives of all the major
terring crime. players on the rows. In the cells are shown
The prisoner’s dilemma has wide appli relation scores between each alternative
cability. Instead of talking about two pris and each goal. These scores can be shown
oners, one could talk about two people en on a 1 to 5 scale, in which 5 indicates that
tering into a business or other transaction. the alternative is highly conducive to the
Instead of talking about confessing or not goal, 4 indicates that the alternative is
confessing, one could talk about cheating mildly conducive, 3 indicates that the alter
or not cheating on the transaction. If one native is neither conducive nor adverse, 2
person cheats and gets away with it, he or indicates that the alternative is mildly ad
she will be well off; he or she will be badly verse, and 1 indicates that the alternative is
hurt, however, if both people cheat and sue highly adverse. A substitute approach in
each other. Therefore, they implicitly or ex volves using directional signs of ++, +, 0, –,
plicitly decide not to cheat, knowing that and ––.
there are civil court enforcers just as the One can show a totals column to the
two prisoners know about criminal court right, with a total score for the conserva
enforcers. tive alternative, the liberal alternative, the
Even so, the prisoner’s or the business neutral alternative, and the win-win alter
cheater’s dilemma is not a useful a way of native. This is not necessary if the win-win
viewing two-person or multiple-person alternative wins on all the major goals.
mutual benefit gains. It is not very useful This goals-alternatives matrix approach is
because what it considers to be a satisfac more consistent with spreadsheet analysis,
tory solution is a mere compromise rather decision-aiding software, MCDM, and es
than a win-win outcome. The graphing pecially multiple alternatives including the
leads in this direction because it only pro search for a win-win alternative. One can
vides for two positions: (a) Confess or co insert a question mark in the SOS cell at the
operate with the police or (b) do not con lower left-hand corner until one derives an
fess. There is not a third row or column appropriate win-win solution, possibly by
that relates to joining together in some way of the facilitator’s checklist discussed
kind of higher-level mutually beneficial in “Generating SOS Solutions” in the au
merger, conspiracy, or win-win interaction. tumn 1998 issue of Policy Evaluation.
Table 36.1 WIN-WIN ENVIRONMENTAL POLICY AS AN MCDM MATRIX
Criteria
C L
Alternatives Economic Development Clean Environment
C
Marketplace + –
L
Antipollution regulation – +
N
Compromise regulations 0 0
SOS
Improved manufacturing, agricultural, ++ ++
and other processes (more profitable
and cleaner)
NOTE: C, conservative; L, liberal; N, neutral; SOS, super-optimum or win-win solution.
DYNAMIC GRAPHS OR MODELS than their worst expectations. We have de

fined a win-win solution, however, as one
Time-Path Graph in which both sides achieve more than their
best expectations. This means that the
Figure 36.2 is a time-path graph show prosecutor should achieve something that
ing the negotiations between a prosecutor is worth more to the prosecutor than put
and a defense attorney. The initial demand ting the defendant away for 8.68 years. It
of the prosecutor at Time 0 is approxi also means that the defendant should achieve
mately 9 years. The initial offer of the de something that is worth more to the defen
fense attorney is approximately 3 years. dant than a sentence of less than 2.75 years.
The exact figures involve formulas that are Such sentences used to be more common in
discussed in the chapter “The Dynamics of the Anglo-American legal system. For ex
Converging Toward Equilibrium” in Stu ample, in the 1800s, it was common to
art Nagel and Marian Neef, Decision The send convicted defendants to Australia for
ory and the Legal Process (Lexington, MA: the rest of their lives in return for pleading
Lexington-Heath, 1979). At one time, the guilty or after a conviction. This might be
prosecutor demands 6.5 years, and the de worth more to the prosecutor than paying
fense attorney demands 3.5 years. They to imprison the defendant for 9 years. Like
reach a settlement at 4.72 years or 57 wise, the defendant may be happier to go to
months. This is a compromise between 8 Australia than to rot in a British prison for
years and 3 years. More important, the 2½ years. Modern equivalents involve
prosecutor is happy because he was willing agreeing to join the Marines or to engage in
to go as low as 4.34 years. The defense at dangerous community service that the de
torney is happy because he was willing to fendant considers glamorous.
go as high as 5.50 years. A time-path graph for a win-win solu
Some people would call this a win-win tion would involve the two sides diverging
solution because both sides achieved more rather than converging. The prosecutor
Figure 36.2. Time-Path Graph
might start by demanding 8.68 years and fendant. S* is the sentence at the point of
then increase the sentence to lifetime in convergence, which is Time 4.
Australia. The defendant might start at
2.75 years and then decrease the sentence
to no prison time at all. This might be Edgeworth Box
called an exploding or diverging time-path
graph. The two paths do not explode or di Figure 36.3 is an Edgeworth box show
verge forever—just until there is a point of ing the negotiation between the prosecu
agreement, as in the Australian sentence. tor and defense counsel from a different
One might also note that England saved perspective than that of the time-path
prison costs and succeeded in colonizing graph. The prosecutor can be considered
Australia. like a seller who is trying to increase the
To better understand the time-path price or sentence as high as possible. The
graph, it is helpful to define the symbols. defense attorney can be considered like a
POt0 is the prosecutor’s offer at Time 0. buyer who is trying to decrease the price
DOt0 is the defendant’s offer at Time 0. or sentence as low as possible. The case is
ALP is the adjusted bargaining limit of not quite the same as the one in the time-
prosecutor. This refers to the prosecutor’s path graph, and the symbols are slightly
perception of the sentence that would be different. LP is the prosecutor’s bargain
received at trial multiplied by the probabil ing limit without adjusting for litigation
ity of getting a conviction and or adjusted costs. LD is the defendant’s unadjusted
downward for saving litigation expense. bargaining limit. PC is the probability of
ALD is the adjusting bargaining limit of de conviction.
Figure 36.3. Edgeworth Box Diagram
In the Edgeworth diagram, the prose tralia. The defendant may consider such a
cutor starts in the lower left-hand cor sentence to be better than going to prison.
ner, hoping for a 10-year sentence. The The prosecutor may consider such a sen
defendant starts in the upper right-hand tence to be better than 10 years in prison
corner, hoping for a zero sentence. They from the prosecutor’s perspective. This is a
move diagonally toward the shaded fea win-win plea bargain that was often nego
sible region, which is between their re tiated between arrested defendants and
spective limits. They converge within that British prosecutors in the days of exile in
feasible region at a point that depends tropical Australia. It is also like the exile to
largely on bluffing factors. The shaded fea the Marines during World War II from the
sible region is analogous to the horizon perspectives of the defendant and the pros
tal strip in the time-path graph between ecutor.
the limits of the defendant and the prose A diverging (rather than a converging)
cutor. time-path graph is contrary to the usual
The win-win version of the Edgeworth thinking of economists and people who
box involves the defendant moving toward study negotiation for guilty pleas or other
the northeast instead of toward the south matters. Likewise, a diverging (rather than
west. It also involves the prosecutor mov converging) Edgeworth box is also con
ing toward the southwest instead of to trary to their usual thinking. The charac
ward the northeast. This is the equivalent teristic of being a new paradigm, however,
of their diverging in the direction of the de is an important aspect of win-win thinking
fendant accepting the life sentence to Aus and win-win game theory.
Figure 36.4. Game tree analysis of the prisoner’s dilemma. Whole numbers are tentative months.
Decimals are tentative probabilities (P or 1 – P).
PROBABILITY MODEL Note that regardless of the ideal group

solution, the best thing for A to do is to
Figure 36.4 is a game tree analysis. It shows squeal even if A is certain that B will clam
whether A should squeal on B or clam up in up. By squealing when B clams up, A gets
light of the circumstances. The key circum only 1 month, in contrast to receiving 12
stance is the penalty that A will get if A months by clamming up. If A squeals when
squeals or clams up. This depends on B squeals, A gets only 36 months, in con
whether B squeals or clams up. Thus, there trast to receiving 120 months by clamming
are four possibilities. If B squeals and A when B squeals. In many decision-making
squeals, then they both get 36 months, as situations, there is a threshold probability.
indicated in Table 36.1. If B squeals and A Above this probability, A should squeal,
clams up, then A gets 120 months and B and below the probability A should clam
gets 1 month. If B clams up and A squeals, up. A should squeal regardless of the prob
then A gets 1 month and B gets 120 ability of B squealing, however, given the
months. Finally, if they both clam up, then rewards, penalties, or outcomes shown in
they each get 12 months. the last column.
The ideal solution would be for both to The traditional perspective of the pris
cooperate by clamming up. This is ideal be oner’s dilemma, however, can be easily
cause it promotes the greatest happiness changed to a possibly more realistic per
for the greatest number of people involved. spective and then to a win-win perspective.
There are two people involved. Under the The more realistic view is that the alterna
alternative of both clamming up, the sum tives for 36 months and for 1 month are
of the two sentences is only 24 months. both likely to be understatements. In real
This minimizes the total unhappiness. Any ity, if A squeals on B, A might be dead after
of the other three possibilities will result in completing the 36 months or the 1 month
a greater sum of the two sentences. This is or even killed while in prison at the hands
sometimes used to illustrate how coopera of B’s friends, A’s former friends, or others.
tion is better than trying to succeed at If A is certain that B will squeal, then A
someone else’s expense. should refrain from squealing if being killed
or extralegally punished is worse than 84 the trade-off problem of inflation and un
extra months in prison, which is the differ employment, which is associated with the
ence between 36 months for squealing and Phillips curve. Conservatives are especially
120 for clamming up. Likewise, if A is cer sensitive about inflation, whereas liberals
tain that B will clam up, then A should re are especially sensitive about unemploy
frain from squealing if being killed or ex ment. The Phillips curve and traditional
tralegally punished is worse than 11 reasoning argue that reducing inflation
months in prison, which is the difference requires reducing the money supply by
between 1 month for squealing and 12 raising interest rates, raising taxes, and
months for clamming up. In this sense, 84 decreasing government spending. This,
and 11 months are equalizers or thresholds however, causes unemployment. Reducing
between squealing or clamming. One could unemployment supposedly requires in
also talk about an equalizing probability of creasing the money supply by lowering in
B squealing in which the penalties are not terest rates, lowering taxes, and increasing
equal, but they would be equal if multi government spending. This, however,
plied by their probabilities of occurring. causes inflation. Thus, we try to compro
It might also be realistic to note that mise between unacceptable inflation and
there are sometimes rewards for clamming unacceptable unemployment.
up other than just a shorter sentence or If, however, one thinks of reduced infla
smaller penalty. The rewards may involve tion and reduced unemployment as co
going to a resort as part of the victim pro effects of economic growth, then one has a
tection program or getting increased busi possible win-win solution to both goals.
ness if this is a business transaction rather Inflation is too many dollars chasing too
than criminal case negotiations. few goods. Economic growth can reduce
The win-win counterpart (as mentioned inflation by providing more goods. Eco
previously) might be to add another alter nomic growth can also reduce unemploy
native to the dichotomy of (a) A squeals on ment by providing more income, more
B or (b) A clams up. Another alternative spending, and more jobs. Thus, there is no
might be that both A and B turn state’s evi need to think that reducing inflation has to
dence against C, who is the real wrongdoer. cause increased unemployment or that re
We are, however, assuming that C’s friends ducing unemployment has to cause in
will not kill A and B, or that the rewards for creased inflation. By thinking in terms of
successfully fingering C will offset the a coeffects causal path model, one can
threat of being terminated. One might ar achieve a win-win solution. In other
gue that this win-win solution is not always words, draw an arrow from a question
available in the prisoner’s dilemma con mark to the conservative goal and an arrow
text. This is quite true. The more important from a question mark to the liberal goal.
point, however, is that this type of win-win Then ask what the question mark might be
cooperation (rather than more compro that can cause both the conservative and
mised cooperation) may frequently be the liberal goals to be achieved simulta
available if one thinks positively about the neously.
possibilities. The bottom of Figure 36.5 deals with
environmental policy. Conservatives are
concerned with the adverse effect that a
CAUSAL PATH MODELS strong environmental policy has on eco
nomic development, profits, and jobs. Lib
Closely related to the game tree graph is the erals are concerned with the adverse effect
causal path graph, which can be highly use that a weak environmental policy has on
ful to understanding win-win analysis. Fig clean air, clean water, conservation, toxic
ure 36.5 contains two examples of win-win chemicals, radiation, and other aspects of a
causal paths. The first example relates to clean environment. These two goals are
Figure 36.5. Win-Win Causal Paths
frequently viewed as being in conflict, ne such as bar graphs, indifference curves, pie
cessitating trade-off compromises. If one charts, and triangles (see the winter 1997
uses the coeffects causal path perspective, and the winter 1998 issues of Policy Evalu
one might be led to consider the win-win ation). An indifference curve can be any neg
values of new technologies that improve atively sloping curve for which the mean
manufacturing, transportation, energy, ag ing of the points can change. A pie chart
riculture, and other processes so as to make can be any geometric shape whose area can
them simultaneously more profitable and expand. A triangle or pyramid can be any
cleaner. An example is the new hybrid car, one-dimensional line or two-dimensional
which is partly internal combustion and plane in which a second or third dimension
partly electric and can travel 80 miles on a was formerly not recognized.
gallon of gasoline. The car is made of poly The concept of definitional graph hits
mer materials that are as light as aluminum close to home in the sense that the Policy
and as strong as steel. Such a car is less ex Evaluation Journal has used the teeter-
pensive for businesses to maintain in terms totter or the scales of justice as its logo ever
of fuel and repairs. It also generates only since it was first published in the summer of
about one fourth the pollution that a car 1992. This graph is inherently win-lose
that gets 20 miles per gallon generates. Ja rather than win-win. If one side of the
pan is already mass producing such cars for teeter-totter goes up, then the other side
the Japanese market. They will soon enter goes down. This is also the case with the
the American market and be promoted as scales of justice. Starting with the summer
both cost-saving and cleaner. 1998 issue, we tried to remedy this matter
by saying that traditional analysis involves
picking one side or the other. Win-win anal
DEFINITIONAL GRAPHS ysis involves determining how to get more
benefits minus costs for both sides. This is
Previously published win-win graphing ar the equivalent of a teeter-totter in which both
ticles have emphasized definitional graphs, sides can go up simultaneously. This is a
bad metaphor because it is contrary to the money to improve productivity, however, ra
reality of teeter-totters or scales of justice. ther than spend it on items such as real es
Starting with the summer 1999 issue, tate, luxury goods, and high CEO salaries.
the quarterly journal Policy Evaluation has The Clinton administration appeared to
used a new logo. The logo shows a boat ris be moving more realistically toward win-
ing as the tide rises. Beneath the boat is win policy. This is indicated by such exam
a version of President Kennedy’s often ples as HMO insurance vouchers that pro
quoted statement, “A rising tide can (po vide universal availability for health care
tentially) lift all boats.” The word poten while simultaneously providing quality
tially was added because even with tremen preventive health care. Clinton’s health
dous economic growth, there are many proposal, however, lacked economic and
people and groups of people who are political feasibility. Clinton had more suc
largely left behind because they do not have cess in stimulating new technologies that
adequate technology with which to work are both cleaner and less expensive, such as
or training to use the technology that is the hybrid car.
available. Thus, beneath the new logo, it The future, however, may look good
says “but some boats have holes that need for the win-win thinking of Kennedy,
refitting,” or supplementary training. Reagan, and Clinton. The public seems
The problem of how to provide eco to prefer this attitude over the win-lose
nomic growth while moving displaced attitude associated more with Johnson,
workers and firms to more productive uses Nixon, Carter, and Bush. Contemporary
may be the most important policy problem computer-based technology and other
in the world today. Displacement occurs technologies are making it more possible to
because of productivity improvements, increase benefits and decrease costs. Free
free trade, immigration, demilitarization, dom to compete domestically and in for
and jobs for women, minorities, the el eign trade is catching on and increasing the
derly, public aid recipients, the disabled, win-win atmosphere. Improved training
and other people who have been underem and adult education programs are enabling
ployed. All these displacement factors lead people to keep up better.
to world economic growth and win-win I hope this chapter provided useful new
benefits for most people. Those who are and old perspectives that are helpful in un
left out can be greatly helped through re derstanding and achieving win-win solu
training, temporary wage subsidies, com tions. A few years ago, the idea of finding
missioning employment agencies, trans solutions to policy problems or decision
portation subsidies, day care, and other problems that would exceed the best initial
job-finding facilitators. expectations of the major groups or sides
was laughed at. Since then, numerous rele
vant articles, book chapters, and books
CONCLUSIONS have been written that include principles,
examples, checklists, and facilitators.
President Kennedy is credited with the ex Useful facilitators include more realistic
pression, “A rising tide lifts all boats.” He win-win game theory, the MCDM matrix,
did not mention, however, that many per and the coeffects causal path models. They
sons fall behind due to lack of training, could give win-win analysis a broader the
contacts, capital, and other job facilitators. oretical perspective. They could also make
Reagan’s Lauffer curve theoretically com game theory and related perspectives more
bined a 30% across-the-board tax reduc useful. Broadness and usefulness are two
tion with increased tax revenue. He pro win-win goals worth achieving simulta
vided no specific incentives to spend the neously.
CHAPTER 37
Win-Win Mediation
T he conservative alternative in most

civil litigation is for the defendant
to win on trial. The defendant is
usually an insurance company or some
other type of business firm. The liberal al
only a relatively small cost to the defendant
when they are products that the defendant
manufactures or sells (Table 37.1).
ternative is generally for the plaintiff to win PRODUCT LIABILITY

on trial. The plaintiff is usually someone
who has been injured (a) in an automobile Table 37.2, on super-optimizing litigation
accident, (b) on the job, or (c) in an acci analysis, illustrates an approach to mediat
dent involving a consumer product. The ing super-optimum solutions (SOSs) that
neutral alternative is a compromise settle have major benefits for one side and low
ment between what the plaintiff is asking costs for the other. SOSs enable plaintiffs,
and what the defendant is offering. defendants, conservatives, liberals, and
The criteria for deciding which alterna other major parties to all simultaneously
tive is best include benefits to the defen achieve more than their best initial expec
dant, benefits to the plaintiff, costs to the tations. Such solutions are facilitated by
defendant, and costs to the plaintiff. The spreadsheet-based decision-aiding soft
conservative alternative does well on the ware. Table 37.2 illustrates this analysis us
conservative totals, with higher weight to ing Traveller’s Insurance v. Sanyo Elec
the conservative goals. The liberal alterna tronics as a specific illustrative example.
tive does well on the liberal totals, with The subject matter of the case was prod
higher weight to the liberal goals. uct liability. Traveller’s Insurance paid out
The object is to develop an alternative more than $900,000 in fine loss claims sup
whereby both the plaintiff and the defen posedly due to a defective combustible
dant can simultaneously achieve better re Sanyo tape deck. Traveller’s sued to be re
sults than their best initial expectations. imbursed. The case can be used especially
Such an alternative may involve the defen to indicate how win-win mediation can fa
dant giving the plaintiff valuable insurance cilitate super-optimum settlements.
or other products. Such products may be Table 37.2 illustrates what is involved in
worth much to the plaintiff in terms of this super-optimum settlement. The plain
market prices. They may, however, have tiff demands $700,000 as a minimum to
245
Table 37.1 RESOLVING TRAVELLER’S-SANYO LITIGATION
Goals
C L
Alternatives Benefits to Defendant Benefits to Plaintiff
C
Defendant wins on trials + –
L
Plaintiff wins on trials – +
N
Settle 0 0
Insurance
Products ++ ++
Credit unions
settle. The defendant offers $300,000 as a nese insurance company against Ameri
maximum to settle. The object of a super- cans but not considered worth pursuing by
optimum settlement is to provide the plain the Japanese company, although they were
tiff with more than $700,000 while simul of considerable value to the U.S. insurance
taneously not having the defendant pay company. The combination of equipment,
more than $300,000. In other words, the claims, and annuities had an estimated cost
problem is to find a number that is simulta value of only $326,000 to the defendant, as
neously more than $700,000 and smaller indicated in Table 37.2. The package, how
than $300,000, which are approximately ever, had an estimated purchase value of
the best expectations of the plaintiff and $1,099,000 to the plaintiff.
defendant, respectively. The following solution was suggested
Such a settlement can be arrived at by by the mediators and seriously considered
considering additional settlement criteria by the Japanese side:
beyond the exchange of money. In almost
every damages case, the defendant is an in
1. The Japanese insurance company sells
surance company, a manufacturer, a trans
marine insurance as one of its specialities
portation company, or some other kind of
but sells almost no marine insurance in
company that can offer something of con
the United States, only to Asian shipping
siderable value to the plaintiff but that has
companies.
relatively low cost to the defendant. In this
case, it was possible for the defendant to 2. There are many shipping companies in
consider offering electronic equipment, in the United States, however, including
surance claims, and insurance annuities to companies that fly the Panama flag or the
the plaintiffs and their insurance compa Liberia flag but are owned by Americans.
nies. The claims were held by Sanyo’s Japa They fly these flags for the same reason
Win-Win Mediation | 247
Table 37.2 WIN-WIN MEDIATION IN A PRODUCT LIABILITY CASE

INVOLVING TRAVELLER’S INSURANCE AND SANYO
ELECTRONICS
Goals
C L
Pro Defendant Pro Plaintiff

(Pay as Little (Receive as Much
Alternatives as Possible) as Possible)
C
Defendant’s initial offer = $300,000 + –
L
Plaintiff’s initial demand = $900,000 – +
N
Likely compromise settlement = $500,000 0 0
Computers from defendant to plaintiff
Big-screen TVs from defendant to plaintiff ++ ++
Insurance claims from defendant to plaintiff
that many corporations incorporate in wise make. This is a much better win-win
Delaware—namely, to decrease regula solution because both sides receive sub
tion. stantially. In the conventional litigation
solution, the defendant gives and the plain
3. The Japanese insurance company was
tiff receives.
willing to make a deal with the Traveller’s
The solution did not work for several
Insurance Company. The Traveller’s In
reasons. First, the law firm representing the
surance Company would become the
Traveller’s Insurance Company is one of
agent for selling marine insurance in the
the largest in the United States, and the
United States. The expected sales might
lawyers representing the firm were among
be as much as $10 million a year, with
the top litigation lawyers in the insurance
about $5 million to go to Traveller’s In
business. Their minds were so channeled
surance and $5 million to the Japanese in
along traditional thinking, however, that
surance company.
they could not conceive of anything other
than money coming from the defendant to
This kind of settlement would put the plaintiff. It was a mental block situa
the American insurance company ahead tion in part.
$5 million a year into the future, although Second, there was also quite possibly a
this is a gross figure and some expenses violation of legal ethics in that the Travel
would be involved. The Japanese insurance ler’s Insurance Company’s law firm was
company would be $5 million ahead every thinking of its own interests more than the
year as a result of sales it would not other interests of its client and also thinking very
shortsightedly. Any package arrangement vices, and advances that had been provided
would have to be worked out between the to the workers by the growers but not in ac
law firm and Traveller’s Insurance regard cordance with the proper paperwork pro
ing how the law firm would get paid. The cedures.
law firm was not willing to wait for a per The defendant’s initial expectation is to
centage of $5 million a year. It wanted cash have to pay nothing. This is an unrealistic
immediately. Traveller’s, however, could expectation because the defendant admit
have paid the firm’s fee in full rather than as tedly failed to comply with the proper de
a percentage of a damage payment. The duction procedures with no good defense
representative from Traveller’s, however, other than that the money was owed. The
was a bit browbeaten by his attorney. He defendant would thus be likely to lose on
did not exercise independent judgment but the issue of whether it complied with the
just agreed with his attorney. The deal re proper procedures. A penalty is likely to be
quired some good business sense and not assessed to deter such improprieties on the
legalistic lawyer sense. part of the specific defendant and other po
Finally, a solution involving a mutually tential defendants. The penalty is likely to
beneficial business arrangement is defi be substantial to have deterrent value.
nitely more complicated than merely writ There is also likely to be compensation to
ing a check. It would require people being the named defendants for their efforts plus
present from the marine insurance area of considerable litigation costs if the case goes
the Japanese firm and people being present to trial (Table 37.3).
from Traveller’s Insurance who might be The objective is thus to arrive at a SOS
involved in selling the marine insurance. whereby the workers in a sense receive
No such people were present, at least on more than $1 million and the defendant
the Traveller’s Insurance side. The person pays less than nothing. The key element in
who was present seemed to have little au the SOS is the establishment of a credit un
thority, and he seemed to be unwilling to ion mainly consisting of $100,000 from the
exercise whatever authority he did have. defendant to be deposited with interest for
The person on the Japanese side seemed to 5 years (Table 37.4).
have more authority, although there were The $100,000 can quickly generate $2
some language problems. He also seemed million worth of housing by serving as a
agreeable (although this may have reflected 10% down payment on a mortgage for ex
a cultural and personality difference) be isting or new housing units for the work
cause he appeared to be more willing to ers. The housing might be used as collateral
listen. for additional capital. It is also possible
that a federal or state government agency
will match the $1 million as part of an eco
LABOR-MANAGEMENT nomic development plan, thereby further
increasing the lending opportunities.
The following illustrative example in The workers thereby obtain multiple
volves leading growers in the Peoria, Illi family housing and a lending source for
nois, area (that employ approximately business opportunities that may be worth
7,000 farm workers a year) being sued by at least $2 million plus the benefits of an
the Migrant Legal Counsel, which is a legal improved grievance procedure, payments
services agency that specializes in the legal to named plaintiffs, and compliance infor
problems of migratory farm workers. mation. The total value is worth more than
The plaintiff’s initial expectation is to be their best expectation.
repaid approximately $1 million in wages. The growers thereby obtain the benefits
This is an unrealistic expectation because of not having to provide housing for the
the money was deducted for goods, ser workers. The growers also receive interest
Table 37.3 WIN-WIN MEDIATION IN A LABOR-MANAGEMENT CASE

INVOLVING A FARMWORKER PLAINTIFF NAMED RAMIREZ
Goals
C L
Little Money Much Money
Alternatives (Damages) to Plaintiff to Plaintiff
C
Defendant’s best expectation = $0 + –
L
Plaintiff’s best expectation = $1,000,000 – +
N
Likely compromise settlement = $500,000 0 0
Credit union, housing, and business
opportunities
Grievance procedures
Payment to named plaintiff ++ ++
Compliance information
Thus, many benefits for plaintiff and
low cost to defendant
on their savings and a subsequent return of there is not a concept that involves a higher
the principal if requested. The grievance level of dispute resolution than super-
procedures can decrease friction. The com optimum:
pliance information can increase credibil
ity. Payment to the named plaintiffs is a
1. In Pareto optimum solutions, the posi
cost rather than a benefit, but it is more
tions of all sides remain constant, but one
than offset by the benefits from the other
side may slightly improve its position.
relevant items of value. Therefore, the
This is not very optimum.
growers are making a net gain as a result of
this SOS settlement, which is the same as 2. Compromise solutions are optimum only
paying less than nothing. in a semantic or psychological way. They
may really be lose-lose situations. In these
solutions, everybody basically achieves
more than their worst expectations. This
SOME LESSONS
means that everybody could lose badly,
but they think they might have possibly
One moral of the story (or the bottom line
lost even worse.
of the analysis) is that what has been re
ferred to as an SOS may be relatively small 3. In an SOS, everybody achieves more than
thinking compared to what could be devel their best expectations, which sounds
oped in SOS dispute resolution. Currently, good. It is still a relative concept, how
Table 37.4 AN ALTERNATIVE WAY OF VIEWING A WIN-WIN

MEDIATION (THE RAMIREZ CASE)
Criteria
Relevant Items of Value ($)
Credit Union,
Housing, Payment to
and Business Grievance Named Compliance Relevant
Alternatives Opportunities Procedure Plaintiffs Information Totals ($)
Plaintiff’s SOS
settlement (major 2,000 >0 50 >0 >1,000
benefits)
Plaintiff’s best
expectations = $1,000 0 0 0 0 1,000
Likely compromise
settlement = $500 0 0 0 0 500
Defendant’s best
expectation = $0 0 0 0 0 0
Defendant’s SOS
settlement (low costs) <0 <0 50 ~0 <0
ever, dependent on the thinking that ini The marine insurance deal involves a pos
tially goes into what constitutes best ex itive gain for both the defendant and the
pectations. plaintiff.
4. In a zero-sum solution, what one side

The SOS may actually not even satisfy
gives up, the other side gains. Thus, the
Pareto optimally because one side does give
sum of the pluses and minuses add to
up something, and thus this side is worse
zero. In a non-zero-sum solution or an
off in an absolute sense from where it
expanded-sum solution, one side may
started. If Sanyo gives up a penny, then this
gain more than the other side loses. This is
is not a Pareto optimum solution, even if
closely related to an SOS with a product
the plaintiff gets $1 trillion dollars. It
exchange. The maker of the product gives
should not make any difference whether it
up less in his or her dollar-loss value than
is Pareto optimum because Pareto opti
the receiver of the product receives in
mally is a perversion of common sense. Vir
terms of his or her dollar-gain value.
tually no one would say that in the follow
5. We need a concept such as positive bene ing situation, Pareto solution A is better
fits to all that gets across the idea that all than non-Pareto solution B: Solution A in
sides could positively gain in an absolute volves one penny to the plaintiff and noth
sense and not just relative to their worst ing taken away from the defendant because
or best expectations. For example, in the maybe the government pays the penny to
Sanyo case, if the defendant expected at the plaintiff. This is a Pareto optimum. Un
best to pay $300,000 in damages and liti der solution B, the defendant gives up the
gation expenses but only paid $100,000, penny, and the plaintiff becomes $1 million
this is a $100,000 loss or negative cost. dollars richer. This would be considered
unacceptable under Pareto optimally. It is other insurance companies, artificially

an ideological orientation that is opposed raise prices to the detriment of the people
to the rich giving up anything on behalf of buying insurance, or decrease the services
the collective good. they provide. By agreeing to such an agree
The SOS-plus concept to which I refer is ment, both companies may benefit. The
one in which all sides positively gain. Com concept of superoptimality, however, needs
plicating this situation is the application of to consider the effect on third parties, such
it to litigation as contrasted to applying it as consumers or other companies.
to other kinds of disputes, such as policy For further details on win-win media
disputes. In litigation, there is a plaintiff tion, see “Multi-Criteria Dispute Resolu
who is suing for damages (i.e., asking for tion” in Stuart Nagel, Policy Analysis
dollars) and a defendant who generally Methods and Super-Optimum Solutions
states that the plaintiff is asking for too (Huntington, NY: Nova Science, 1994).
much: “I will give you less than what you For earlier background, see “Resolving
are asking for if you will agree to sign a re Rule-Applying, Litigation, and Related
lease and stop suing.” This kind of think Disputes” in Stuart Nagel and Miriam
ing inherently throws the whole problem Mills, Multi-Criteria Methods for Alterna
into an at least partly negative solution. tive Dispute Resolution: With Microcom
The proposed situation, however, puter Software Applications (Westport,
should be distinguished from a situation in CT: Greenwood-Quorum, 1990). For re
which the defendant proposes to the plain cent applications, see “Computer-Aided
tiff that they join together in a kind of con Mediation” in Stuart Nagel, Computer-
spiracy against others. An example is a case Aided Judicial Analysis: Predicting, Pre
in which the defendant insurance company scribing, and Administering (Westport,
and the plaintiff insurance company agree CT: Greenwood-Quorum, 1992).
that they will work together to wipe out
CHAPTER 38
Win-Win Allocation
T his chapter discusses the debate in

the U.S. Senate Judiciary Commit
tee over allocating funds to the
Law Enforcement Assistance Administra
tion. Ted Kennedy wanted a high minimum
allow for a larger allocation than the best
expectations of both the conservatives
($112 + $1 to the police) and the liberals
($129 + $1 to the courts). The next step is
to analyze various ways of increasing the
for the courts, whereas Strom Thurmond budget from $200 to $243, and then use
wanted a high minimum for the police. the best combination of these in light of
They agreed that crime reduction and due various criteria.
process were both desirable goals. They ba There is an alternative approach to in
sically agreed that the presence of the po creasing the budget to a super-optimum so
lice is at least twice (2 to 1) as effective in lution (SOS) amount that satisfies the best
reducing crime as the presence of judges, initial expectations of both liberals and
although judges do sentencing. They also conservatives. The alternative involves sat
basically agreed that judges are more than isfying conservatives by enabling the police
twice as important (3 to 1) as the police in and the courts to be more efficient in crime
separating the innocent from the guilty. reduction so they will need less money.
Given this information, how should $200
million be allocated to the police and to the
courts? EXPANDING THE BUDGET
Table 38.1 shows how the conservative
and liberal allocations are determined. A specific purpose that has been achieved is
Each allocation is determined by (a) multi clarifying the conservative allocation that
plying the percentages in the goal columns has to be exceeded and the liberal alloca
by the neutral, conservative, or liberal tion that also has to be exceeded simulta
weights; (b) summing across the products; neously. This information is summarized in
(c) dividing the sum by the total of the ap Table 38.1. The key items are labeled X
propriate weights to obtain a weighted av and Y. X is the amount of dollars that
erage allocation percentage; and then (d) would be allocated to the conservative
multiplying the total budget of $200 mil budget category or categories if the conser
lion by that allocation percentage. All dol vatives had their way. Y is the amount of
lar values are in millions. dollars that would be allocated to the lib
The super-optimum budget is $243 be eral budget category or categories if the lib
cause this is the minimum amount that will erals had their way. The objective is to de
253
Table 38.1 WIN-WIN ALLOCATION (ANTICRIME)a
Goals
C L N Allocation C Allocation L Allocation

Budget Crime Fair Wts. = 2 & 2 Wts. = 3 & 1 Wts. = 1 & 3 SOS
Categories Reduction Procedure C&L C&L C&L Allocation
C item X X+1
Money 2 1 $92 $112 $71 $113
b
for police (67%) (25%) (46%) (55%) (35%)c (46%)
L item Y Y+1
Money 1 3 108 88 129 130
for courts (33%) (75%) (54%) (44%) (65%) (54%)
Total 3= 2= $200 $200 $200 $243

(100%) (100%) (100%) (100%) (100%) (100%)
NOTE: C, conservative; L, liberal; N, neutral; SOS, super-optimum solution or win-win solution; Wts.,
weights for multiplying the allocation percentages for each of the two goals. X is the conservative alloca
tion to exceed. Y is the liberal allocation to exceed.
a. Expanding the budget means increasing it from the initial $200 to $243. Increasing effectiveness means
increasing the relation scores of 2 or 1 or both on crime reduction for conservatives and 1 or 3 or both on
fair procedure for liberals. Dollars are in millions.
b. The conservative 55% = [(3 × 67%) + (1 × 25%)]/4.
c. The liberal 35% = [(1 × 67%) + (3 × 25%)]/4.
velop useful and realistic ways of enabling To be a meaningful SOS allocation, the
both the conservatives and the liberals to recommendation must also be realistic.
have their ways simultaneously. Therefore, a multicriteria decision-making
Table 38.1 indicates that the conserva analysis must be performed to determine
tives will achieve more than their best ex the alternative or alternatives that can raise
pectations if the police are allocated $113. the additional $43. Possible alternatives of
It also indicates that the liberals will a general nature include the following:
achieve more than their best expectations if
the courts are allocated more than $129. 1. The legislature could be convinced to
Thus, the problem reduces to finding ways appropriate additional funds in view of the
whereby the police can be allocated $113 importance of the goals to be achieved and
and the courts can be allocated $130, the positive marginal rate of return from
which means finding $43 more than the investing in each of the budget categories.
initial budget constraint. This satisfies the
idea of useful information because it clari 2. The executive agency or agencies
fies that we do not need a budget of $500 or that are above the police and the courts
$800 to exceed the best expectations of could be convinced that from the total
both sides. We also will not be able to do it amount of money that they allocate, more
with a budget of only $210, $200, or less should be assigned to the police and the
than $200, unless we increase the relation courts in view of the same considerations
scores (discussed later). that might be presented to the legislature.
Win-Win Allocation | 255
These considerations might differ if the leg police forces as to how they could do a
islature is a Democratic Congress and the better job with regard to fair procedure and
executive agency is a Republican White crime reduction to get a foundation to
House. bankroll the experiment and implementa
tion.
3. Funds can be raised through income-
generating activities of the courts and the 6. A major source of internal funding at
police. This is a well-known alternative in universities is the taxation of academic and
higher education when state universities nonacademic employees by postponing
are turned down regarding budget requests raises, having ceilings on raises, or offering
by the state legislature and by the state nonmonetary fringe benefits, such as free
board of higher education. The universities education for the children of faculty and
then do fund-raising among alumni, cor staff. Manipulating salaries to deal with a
porations, and students. The police and $43 shortfall would not raise additional in
courts could charge higher fees for some of come; rather, it would only reduce ex
their services in the same manner in which penses. What might be needed is the equiv
state universities charge higher tuition, es alent of passing the hat or selling savings
pecially to wealthier students, to cover bonds or stamps among the employees to
scholarships for low-income students. The borrow money from them in anticipation
courts could charge higher fees for corpo that it will be repaid in better times. The in
rate litigation. The police could conceiv ternal loan would probably have to be paid
ably provide special services for fees that back in cash because the traditional ser
would be the equivalent of private security vices provided by courts and police are like
work. There could be political feasibility an entitlement, unlike the optional right to
problems given the frequent unwillingness attend a university tuition-free because
of private enterprise to tolerate what could one’s parents teach at the university.
be stimulating competition.
7. The idea of obtaining loans inter
4. Another analogous activity is seek nally from the people who work in the sys
ing contributions. There is no reason why tem also suggests the idea of obtaining
the courts cannot do a mailing to all law loans externally. It would not be appropri
yers in the jurisdiction asking for voluntary ate for the police force to borrow from the
contributions or even involuntary contri syndicate. The police force and the courts,
butions. The lawyers can be asked to pay a however, could be authorized to issue gov
practice fee for using the court facilities. ernmental bonds, just as any governmental
The fee could be based on various levels of agency could be so authorized. There may
earnings. The police currently ask for con be plenty of takers if the bonds provide for
tributions for various police pension activi the usual tax exemption, which is a key fac
ties. This can border on intimidation to tor enabling rich lenders to have large in
noncontributors, especially if it is associ comes without paying income tax.
ated with receiving a bumper sticker that
the contributor expects will constitute an Table 38.2 applies the same kind of win-
exemption from some traffic tickets. win allocation analysis to the antipoverty
problem. Conservatives tend to emphasize
5. Universities raise large amounts of training for work as the way to deal with
money through grants from foundations. poverty. Liberals tend to emphasize public
Courts and police forces could do related aid, although they are becoming more sup
activities. Doing so would serve two pur portive of training than they have been in
poses—to raise money and to stimulate in the past. The key conservative goal is put
novative thinking on the part of courts and ting low-income people to work. The key
Table 38.2 WIN-WIN ALLOCATION (ANTIPOVERTY)a
Criteria
L C
Minimum Job N Total L Total C Total
Standard of Living Opportunities (Neutral (Liberal (Conservative
Alternatives (C = 1, L = 3) (C = 3, L = 1) Weights) Weights) Weights) SOS
C
Education 1 3 $108 $88 $130 $131
(33%) (75%) (54%) (44%) (65%) (54%)
L
Public aid 2 1 $92 $112 $70 $113
(67%) (25%) (46%) (56%) (35%) (46%)
Totals 3 4 $200 $200 $200 $244

(100%) (100%) (100%) (100%) (100%) (100%)

a. The budget is $200. Dollar amounts are in millions. For other information, see the notes to Table 41.1.
liberal goal is giving low-income people a new budget of more than $242. This also
minimum standard of living. requires developing new ideas, such as the
The liberal allocation is 67% public aid seven ideas discussed previously, regarding
and 33% education. The conservative allo where the new win-win budget money will
cation is 25% public aid and 75% edu come from.
cation. The neutral or average allocation It is especially necessary for someone to
would be $108 to education out of a $200 make a thorough survey combined with
budget and $92 for public aid. The conser creative brainstorming of all the devices
vatives, however, would give a weight of 3 that various government agencies use to
to job opportunities and a weight of only 1 supplement their main source of income—
to minimum standard of living. This legislative appropriations filtered through
weighted average yields an allocation of higher-level executive agencies. The Rea
$130 to education and $70 to public aid. gan administration, for example, experi
The liberals would give a weight of about 3 mented with a variety of user fees. It might
to standard of living and 1 to job opportu be interesting to know more about the
nities. This liberal weighted average yields good and bad experiences with regard to
an allocation of $88 to education and $112 the fees. This is an area in which different
to public aid. government agencies can learn from each
The objective of this win-win analysis is other, such as learning from the income-
to arrange for more than $130 to go to edu raising methods for state universities. It is
cation to more than satisfy the conserva also an area in which there may be many
tives and to simultaneously arrange for analogs between private sector institutions
more than $112 to go to public aid to more and governmental institutions regarding
than satisfy the liberals. This requires a how to raise income when one is basically
providing a not-for-profit service and not modern technology that enables 1 police
selling merchandise. officer to survey a larger territory than pos
The key idea in this context is the impor sibly 5 or 10 police officers could in the
tance of thinking beyond the traditional al past.
location analysis, which tends to take a Again, it is often useful to reason by
budget constraint as a given and talks in analogy from the private sector to the pub
terms of how to allocate between the bud lic sector and vice versa or from one gov
get categories within that dollar amount. ernment agency to another. A good analog
One does not want to go to the opposite in this context is the way in which a large
extreme and totally ignore budget con hotel patrols every floor simultaneously
straints, which is the equivalent of ignor with one security guard. This is the equiva
ing economic and political feasibility. The lent of patrolling 20 streets if the hotel has
SOS analysis based on increasing the bud 20 floors. In the system that is in common
get emphasizes expanding the budget just use, on each floor a TV camera is mounted
enough to be able to determine a SOS allo out in the open that provides a view of the
cation in which both conservative and lib whole floor with or without the camera
eral best expectations are exceeded rather turning. A single security guard observes
than one in which each viewpoint gets an 20 TV screens simultaneously. It is diffi
infinite, excessive, or unrealistic amount. cult to watch 20 TV programs simulta
This provides a meaningful target to seek neously, but it is easy to see in the middle of
to reach. the night that on Screen 12 somebody is
crowbarring open a door or is assaulting
someone who just got off the elevator. Bet
INCREASING EFFECTIVENESS ter yet, nobody crowbars any doors or as
saults people because the TV cameras have
The next logical question is, what are the a deterrent effect by being out in the open.
substantive answers to improving the rela They have a similar deterring effect as po
tion scores or elasticity coefficients so as to lice cars driving on the highway with their
exceed both the conservative best alloca lights flashing rather than hiding behind
tion and the liberal best allocation? As with billboards.
ways of increasing the budget, there are The analog is a long-distance TV cam
many answers. The alternatives in this con era on a high post or rooftop every mile or
text might include ideas that (a) increase so on as many streets as one wants to cover.
police efficiency on crime reduction, (b) in The camera is equipped with a lens that
crease court efficiency on crime reduction, makes it almost the equivalent of a U2
(c) increase police efficiency on fair proce high-flying photography plane, although it
dure or separating the guilty from the inno does not have to be as powerful. The view
cent, and (d) also increase court efficiency of the long-distance camera is fed into the
on fair procedure. police station, where anything suspicious
becomes the basis for directing a police car
to go to the scene when police would other
Police on Crime Reduction wise not have known about the suspicious
event. This does not violate civil liberties.
This means developing suggestions These are not x-ray cameras that see into
whereby at a given dollar or even a reduced people’s bedrooms. They are not able to see
dollar amount, crime reduction can be in anything that a police officer could not see
creased so that the police are even more from a police car, but they substitute for
than twice as effective in reducing crime numerous police cars. They thereby in
than are the courts. One proposal that crease crime reduction efficiency while sav
might make sense is to make better use of ing substantial cost.
Courts on Crime Reduction abused by anyone who commits a crime

while released on bond and by any judge
One suggestion that might be made is to who releases such a person. As a result, the
have the courts give longer sentences. In general public becomes less supportive of
some other context, this might be a good other important safeguards for the inno
suggestion. In the current context, how cent besides pretrial release, such as right
ever, we are talking about ways of making to counsel, right to trial by jury, and right
the legal system more efficient without to appeal.
spending more money and possibly by Crimes committed by people released
spending less money. Longer sentences can on bond can be reduced by the judicial sys
be very expensive. One could argue that tem by adopting various inexpensive pro
they are not an added expense to a budget cedures such as the following:
that only covers the police and the courts.
But whatever budget covers the police and 1. Making use of the point systems that
the courts probably also covers the prison other courts have developed for screening
system. Longer sentences are thus not ap arrested people to determine whether they
propriate in this context because they are good risks to release: These point sys
would increase the $200 budget or increase tems take into consideration whether a per
the broader anticrime budget that includes son is married and has a family, whether he
prisons. or she has lived in the community for
We want to find a way that will enable awhile, and whether he or she has a job, in
the courts to reduce crime at no substantial contrast to more subjective and possibly
extra cost beyond the $200 budget and discriminatory criteria that rely on the de
maybe even save money. One such sugges fendant’s appearance. Experienced-based
tion relates to frequent types of crime— point systems are also better than rules of
namely, crimes that are committed by peo thumb that relate to the amount of the
ple who are released on bond pending trial. bond and thus the likelihood of being re
This kind of crime is especially undesirable leased. These rules heavily emphasize the
because it breeds disrespect for the legal severity of the charges rather than the indi
system on the part of both criminals and cators of the probability of crime commit
the citizens whose support the legal system ting and skipping out.
needs. It breeds disrespect by criminals be
cause they often suffer no additional nega 2. Having the released person report to
tive sanctions as a result of committing a the courthouse once a week or once every
crime while released because their original 2 weeks to sign in: This costs virtually
crime may be more serious and may be the nothing, but it is quite meaningful in letting
only one for which they will be prosecuted the defendant know that his or her where
and imprisoned. It also breeds disrespect abouts are of concern to the court.
because of the belief on the part of crimi
nals that they have gotten away with some 3. When it is time for the hearing or
thing extra when they have succeeded in trial, reminding the defendant to be in
committing a crime even while they are the court by mail or phone—doing so substan
oretically under court supervision. tially reduces the crime of skipping out. It
When crimes are committed by those re also indicates to the defendant that the
leased on bond, ordinary citizens believe court is keeping track of him or her and
that the courts are being too soft on ar thereby reduces other forms of crime com
rested people. The general public may not mitting. It costs very little to send a post
adequately understand the presumption card or to make a quick phone call, espe
of innocence and believe that it is being cially relative to the benefits received.
4. Occasionally going after and prose used for misdemeanor cases in which the
cuting some of the people who skip out in police officer believes the individual is
stead of waiting for them to commit a likely to show up in court but the crime is
crime while released: By waiting, the crimi not very severe.
nal justice system encourages crimes by Some liberals may object to such a sys
those released. It also encourages skipping tem on the grounds that the police officer
out because the odds of being prosecuted cannot be trusted with this kind of discre
for skipping out are low. If one has already tion. This might be true if we were talking
been charged with a serious crime for about giving police the discretion to shoot
which one was originally arrested and then a person on the spot when they believe that
another serious crime that is part of the sec the person would or should eventually be
ond arrest, the crime of skipping out then executed anyhow. In other words, we are
becomes relatively unimportant. not talking about increasing the police dis
cretion to be more punitive toward the peo
5. Maybe most important, shortening ple with whom the deal but, rather, increas
the length of time between arrest and trial: ing police discretion to be less punitive.
If the time is short, there is not much op Currently, they do not have the choice of is
portunity to skip out or commit a crime. suing a summons to appear in court in most
For a few weeks after being arrested and re jurisdictions. They must in effect arrest
leased, the arrested person may be on espe many people to whom they might other
cially good behavior for fear that the judge wise give summonses. They do, however,
will be especially harsh if the arrested per have an incentive to give a summons if al
son is rearrested so soon after being re lowed to do so because it would save them
leased. There are many ways that such the time and trouble of having to bring
delay can be reduced without expensive someone to the police station to be offi
hiring of more judges or violating one’s cially booked. In terms of crime reduction,
day in court. A system of efficient sequenc it is a waste financially to have police offi
ing of cases with priorities for criminal cers spending so much time bringing peo
cases over other cases can be helpful. ple to the police station for booking.
Whether a public policy is liberal or con
Police on Separating the servative sometimes cannot be determined
Innocent From the Guilty by just examining the policy out of context.
One has to be aware of the previous pre
In most jurisdictions, the police have vailing policy. Thus, passing a law provid
two choices when faced with someone who ing capital punishment only for murderers
is misbehaving. They can either arrest the is liberal if the previous law provided capi
person or reprimand, warn, and scare the tal punishment for pickpockets and shop
person before letting him or her go. This lifters, as English law did before the re
may result in many innocent people being forms of approximately 1800. Capital
arrested, as partly indicated by the fact that punishment for all murderers would be
such a small percentage of arrested people conservative now in England because the
are ever convicted of anything. What may country has virtually abolished capital
be needed is a middle alternative between punishment except for unusual situations,
arresting and releasing so that the police such as committing a murder of a guard
officer does not believe that he or she has to while one is serving life in prison. Like
arrest such a high percentage of those who wise, giving the police discretion to issue
are misbehaving. Some jurisdictions are summons would be conservative only if
making frequent use of the summons to ap they previously had the authority to
pear, which is like a traffic ticket. It can be give warnings. It is liberal, however, if they
previously had the authority to make ar what one can hear and see even better than
rests. More important, the summons to ap note taking. It enables controversies to be
pear enables the police to more efficiently resolved accurately, such as when one juror
separate the innocent from the guilty by thinks a witness said the defendant was
providing for a gray area, and it simulta present at a certain time and another juror
neously saves the criminal justice system thinks the witness said the defendant was
money in terms of police time and jail time. present at a different time. Videotaping
jury trials and bench trials is a good exam
ple of how to increase the efficiency of the
Courts on Separating courts on separating the innocent from the
the Innocent From the Guilty guilty without additional costs. It is also
one of many examples that could be given
Perhaps the most inefficient aspect of of how to obtain greater benefits at lower
the criminal court system relates to how costs (or at least not substantially higher
jury trials are conducted. In this context, costs) in the criminal justice system or in
by inefficiency I am not talking about other public policy fields.
spending money on jurors because they re A more mental orientation toward
ceive very little pay, and I am also not talk searching for procedures that increase ben
ing about delay due to jury trials because efits and decrease costs simultaneously is
delays tend to occur only during trials that needed. Likewise, we need a frame of mind
would take a long time anyway. Instead, I toward seeking solutions (to choosing and
am talking about inefficiency in separating allocating problems) that can exceed the
the innocent from the guilty. Specifically, in best expectations of both liberals and con
recent years, many suggestions have been servatives simultaneously.
made regarding ways in which jurors could
perform this separation function more ac
curately. DILBERT ON WIN-WIN
One way is to allow them to take notes ALLOCATION
because jurors may often make mistakes
because they cannot remember all the testi Dialogue at the Dilbert Company
mony, instructions, and other relevant in
puts. In most states, they have been prohib
Manager: I found a way to give more money
ited from taking notes as a carryover from
to every project without increasing the total
medieval times when few jurors could read
budget for projects!
or write and it was believed that those few
who could take notes would then dominate Lady with the big hair: Maybe you could
the juries. Since 1991, however, most ju recalculate our salary budget next.
rors have been allowed to take notes.
Changing the rules to allow for note taking
increases the efficiency of the courts in sep Analysis
arating the innocent from the guilty.
One could go further and require video With win-win thinking, it is quite possi
taping of all jury trials or even bench trials. ble for every worker to get a raise without
One purpose would be to save money that increasing the total budget. One approach
would otherwise be spent on court report involves merely distributing valuable re
ers and transcribing. The more important wards that do not come out of the budget.
purpose in this context is that the video For example, the head of a three-person
tapes would be available to the jurors or university department can give faculty
the judge to better review what was pre members reduced teaching loads or fewer
sented at the trial. The videotape preserves new preparations; schedule them to teach
only on Tuesday and Thursday rather than Allocation Problems” in Stuart Nagel, Pol
schedule them to teach Monday, Wednes icy Analysis Methods and Super-Optimum
day, and Friday or every day of the week; Solutions (Huntington, NY: Nova Science,
schedule them to teach back-to-back 1994). For background, see “Finding an
classes for a more compact schedule; ar Optimum Mix in Allocating Scarce Re
range for volunteer assistantships; and en sources” in Stuart Nagel, Policy Evalua
courage collaborative, mutually rewarding tion: Making Optimum Decisions (New
productivity. Valuable rewards that do York: Praeger, 1982). For recent applica
come out of the budget are available as pro tions, see “Allocating Scarce Resources” in
ductivity incentives in all occupations. If Stuart Nagel, Evaluative and Explanatory
productivity increases, then the monetary Reasoning (Westport, CT: Greenwood-
budget available is also likely to increase. Quorum, 1992).
For further details on win-win alloca
tion, see “Super-Optimum Solutions and
CHAPTER 39
Inconsistent Reactions
to Win-Win Analysis
I n 1988, I wrote three chapters on in

consistencies in evaluating the field
of policy studies. The chapters were
published in the book Policy Studies: Inte
gration and Evaluation (Westport, CT:
SIX INCONSISTENCIES
The six pairs of inconsistent reactions to

win-win analysis include the following:
Greenwood, 1988). These chapters in their

1. Some people state that win-win analysis
original form and in summary form have
is old hat. The APSR reviewer found a
been widely reprinted. A summary appears
1920 citation that he considered relevant.
in Policy Evaluation (spring, 1996). The
Others, including this same reviewer, im
six inconsistencies relate to the charges of
ply that this is just a flash in the pan with
policy studies as being (a) a faddish and
no lasting significance.
stale, (b) too practical and too theoretical,
(c) too multidisciplinary and too much 2. The same reviewer states that this is not
political science, (d) too quantitative and practical because it is too time-consuming
too subjective, (e) too underused and too for policymakers. Others might state that
overused, and (f) too conservative and too it is not sufficiently theoretical because it
liberal. does not deal with causal analysis.
These pairs of inconsistent charges have 3. It could be criticized as too broad because
been made against win-win analysis. They it can apply to a variety of situations.
were even made by the same person in Others could criticize it as being too fo
different sections in a recent American cused on public policymaking and not on
Political Science Review (APSR) review of specific disputes.
Stuart Nagel, Super-Optimum Solutions
4. It could be criticized as being too quanti
and Win-Win Policy: Basic Concepts and
tative if we use numbers or as too subjec
Principles (Westport, CT: Greenwood-
tive if we do not use numbers.
Quorum, 1997) and Stuart Nagel, Pub
lic Policy Evaluation: Making Super- 5. It is not used by policymakers, whereas
Optimum Decisions (Aldershot, UK: others may implicitly use it frequently.
Ashgate, 1998). This is a variation on Dale Carnegie’s
263
How to Influence People by Making 4. Win-win can be made quantitative, but

Them Think Your Ideas Are Their Ideas this is not necessary. Even when it is
(New York: Simon & Schuster, 1936). nonquantitative, it is still objective. One
can objectively determine the direction of
6. It has a conservative bias from a liberal
relations rather than magnitudes. One
perspective and a liberal bias from a con
can also determine what weights conser
servative perspective or could have or
vatives and liberals give to different goals,
sometimes does have a bias.
regardless of whether one agrees with
them.
5. Actual win-win is underused. The phrase
RESOLVING THE
may be overused in referring to (a) any ac
INCONSISTENCIES
tivity that achieves two purposes, (b)
compromises in which both sides achieve
Each of the six pairs of inconsistencies can more than their worst expectations, or (c)
be resolved in a win-win way. This ap solutions in which both sides achieve
proach resolves the alleged inconsistencies more than their initial expectations.
by showing that the positive aspects of all
the pairs of charges can exist simulta 6. Win-win is both conservative and liberal
neously. in the sense of exceeding the best expecta
Such win-win resolutions might include tions of both viewpoints.
the following:
1. The idea of resolving disputes by having BOOKS WITH

both sides win dates to prehistoric times, WIN-WIN TITLES
not just 1920. What we have now is a
more systematic analysis of win-win. There are at least three books with the
This includes an operational definition, phrase “win-win” in their titles. Each uses
which defines a win-win solution as one the concept in a way almost diametrically
in which all major sides can simulta opposed to the idea of all major sides
neously achieve better results than their achieve more than their best initial expec
best initial expectations. There are also tations. The following are the three books
checklists of creativity generators and in chronological order:
checklists of hurdles to overcome. There
are also many illustrative examples. 1. Fred Jandt, Win-Win Negotiating:
Turning Conflict Into Agreement (New
2. Win-win analysis is practical in the sense York: John Wiley, 1985): This is win-
that if the relations are accurately per win in the sense of ordinary compromises,
ceived, then the win-win solution will ef whereby both sides achive more than their
fectively achieve what both conservatives worst expectations. As the subtitle indi
and liberals are seeking. In terms of causal cates, the goal is simply to turn conflict into
theory, one could argue that if a solution agreement and not necessarily into a super-
is truly win-win, then one could predict optimum agreement.
that it will be adopted. This is so because
people are basically rational, and they
2. Hazel Henderson, Building a Win-
want to win. This means that they want to
Win World: Life Beyond Global Economic
achieve their goals.
Warfare (San Francisco: Berrett-Koehler,
3. Win-win does draw on many disciplines 1996): This is win-win in the sense that the
for its substance, but it is basically politi author thinks her policies are good for the
cal science in terms of process, especially world. They are minimalist policies, how
hurdles to overcome. ever, rather than growth policies. As the
Inconsistent Reactions to Win-Win Analysis | 265
subtitles indicate, she considers interna says “I will cut and you will choose.” This
tional trade to be a kind of evil economic leads to an even division of the pie. The
warfare. Most liberals and conservatives book proposes highly complicated varia
consider international trade, globalization, tions for any number of pie cutters and any
regional economic communities, and re set of tangible or abstract things of value.
lated concepts as having great potential for This is in contrast to super-optimizing, in
producing mutually beneficial effects, es which we seek to double or increase the size
pecially if public policy actively pursues of the pie so that if each person originally
new jobs for displaced workers and busi wanted the whole pie, each can now get
nesses. A more appropriate title might be more pie by taking half of the new doubled
“Building a Lose-Lose World” because all pie. A more appropriate title might be “The
sides suffer from failing to take advantage Lose-Lose Solution” because concentrat
of the mutually beneficial interaction asso ing on how to divide a pie is a distraction
ciated with international trade. This may from concentrating on how to enlarge a
be especially true of highly competitive in pie. Concentrating on dividing a fixed pie
ternational trade. or gross national product can even lead to
violent friction between or among races,
3. Steven Brams and Alan Taylor, The classes, genders, age groups, religions, na
Win-Win Solution: Guaranteeing Fair tionalities, and other groups that are stuck
Shares to Everybody (New York: Norton, in either-or thinking rather than trying to
1999): This is win-win in the sense of pie solve the dilemma super-optimally.
cutting between two people whereby one
Part 6
WIN-WIN
APPLICATIONS
CHAPTER 40
Coeffects Diagrams
and Win-Win Analysis
I n the summer 1999 issue of Policy

Evaluation, there was an article titled
“Win-Win Game Theory.” The article
concluded that the multicriteria decision-
making matrix and the coeffects causal
3. Having a productive economy versus hand
outs for the poor under social policy
4. Double voting versus nonvoting under
political policy
path model were the best theoretical or 5. Higher profits from free trade versus
methodological perspectives for analyzing higher losses from free trade under inter
policy problems to find win-win solutions. national policy
The purpose of this chapter is to apply 6. Repressing the sale and possession of ille
coeffects analysis to key problems from gal drugs versus the undesirable expense,
the fields of economic, technology, social, corruption, and other side effects of vig
political, international, and legal policy. orous antidrug enforcement
The essence of coeffects analysis is to view
conservative and liberal goals for a given Figure 40.7 abstractly shows win-win
policy problem as capable of becoming co generic policy. It shows that in the absence
effects simultaneously favorably influ of a win-win causal variable, there is a neg
enced by a win-win causal variable. ative noncausal correlation between the
The following are examples given here conservative goals and the liberal goals.
(along with references): Thus, one cannot be high on both sets of
goals, but instead can be relatively high on
1. The problem of inflation versus unem one and relatively low on the other in a
ployment under economic policy trade-off manner. With a win-win causal
2. Economic development versus a clean en variable, the two sets of goals can both in
vironment under technology policy crease simultaneously.
269
270 | Win-Win Applications
PROSPERITY POLICY
Figure 40.1. An example of win-win economic policy. For further details, see “Win-Win Econ
omies,” Policy Evaluation 5 (summer 1999): 5-21.
Figure 40.2. An example of win-win technology policy. For further details, see “Win-Win Technol
ogy Policy,” Developmental Policy Studies 5 (autumn 1999): 28-37.
Coeffects Diagrams and Win-Win Analysis | 271
DEMOCRACY POLICY
Figure 40.3. An example of win-win social policy. For further details, see “Social Policy: An Intro
duction,” in Handbook of Global Social Policy, ed. Stuart Nagel (New York: Dekker, 1999).
Figure 40.4. An example of win-win political policy. For further details, see “Government
Reform and Win-Win Analysis,” Policy Evaluation 3 (autumn 1997): 14-21.
PEACE POLICY
Figure 40.5. An example of win-win international policy. For further details, see “Mini-
Symposium on International Prosperity and Exchange,” Developmental Policy Studies 3 (spring
1997): 9-24.
Figure 40.6. An example of win-win legal policy.

*Huge expenses for police, courts, and prisons. Also corruption of law enforcers, developing
nations, and role models. Also AIDS, unemployment, crimes against property, and crimes against
persons. For further information, see “Legal Policy and Win-Win Thinking,” Policy Evaluation 3
(spring 1997): 12-25.
Coeffects Diagrams and Win-Win Analysis | 273
GENERIC POLICY
Figure 40.7. Win-win generic policy. For further details, see “Generalized Policy Analysis,”
Policy Evaluation (autumn 1996): 33-41.
CHAPTER 41
Win-Win Economics
W in-win or super-optimizing
analysis of public policy prob
lems tries to find feasible solu
tions that can enable conservatives, liber
als, and other major groups to all achieve
UNEMPLOYMENT AND INFLATION
Conservative Alternatives
Doing nothing is not likely to worsen

more than their best initial expectations si unemployment or inflation, but it is also
multaneously. not likely to help. Decreasing the money
The elements in the analysis include (a) supply and increasing interest rates may
conservative goals and alternatives, (b) lib decrease inflation but increase unemploy
eral goals and alternatives, (c) relations be ment. The same is true of decreasing gov
tween the major alternatives and goals, (d) ernment spending and increasing taxes.
the development of win-win solutions, and The Reagonomics approach involves de
(e) feasibility hurdles to overcome. creasing taxes to stimulate employment
The feasibility hurdles to be overcome and decreasing domestic spending to re
include economic, administrative, politi duce inflation. The Democratic counter
cal, psychological, legal, international, and part as of 1980 was to increase em
technological hurdles and the disruption of ployment through government jobs and
displaced firms and individuals. decrease inflation through price control
As applied to economics, we are espe (Table 41.1).
cially concerned with the alleged trade-offs Raising interest rates to decrease infla
(a) between unemployment and inflation; tion may have the effect of decreasing
(b) between economic growth and dis prices by reducing spending from bor
placed workers; (c) between increased gov rowed money. These benefits may be more
ernment spending, reduced taxes, and a than offset by the undesirable effects on re
reduced deficit; and (d) between capital ducing the ability of business to borrow for
ism and socialism. We will also briefly refer expansion, inventory, and other purposes.
to the economic policy problems of land, The reduction in spending may also have
labor, and capital, but these will be dis an adverse effect on employment.
cussed in less detail due to space limita Raising taxes and decreasing spending
tions. to fight inflation may not be politically fea
275
Table 41.1 UNEMPLOYMENT
Goals
C L
Lower unemployment to 3%
Lower inflation to 3% Distribution of inflation and
Alternatives Free enterprise unemployment
C
Do nothing
Decrease money supply and
increase interest rates
Decrease spending and + –
increase taxes
Decrease taxes and decrease
domestic spending
L
Increase money supply and
decrease interest rates
Increase spending and – +
decrease taxes
Job creation and price control
Tax breaks and subsidies
Decrease defense spending
N
Combine 0 0
Subsidies with strings attached
Large subsidies ++ ++
Objective allocation
sible. It would also reduce the ability of the Lowering interest rates to decrease un
government to give tax breaks and well- employment may have little impact be
placed subsidies to increase productivity. cause businesses are reluctant to borrow
when they are reducing their operations
and sales are down. Likewise, consumers
Liberal Alternatives are reluctant to borrow when they are al
ready heavily in debt and fearful of a reduc
Increasing the money supply and de tion in employment or hours.
creasing interests may stimulate employ Lowering taxes and increasing spending
ment but increase inflation. The same is to fight unemployment may not be politi
also true of increasing government spend cally feasible when the national debt and
ing and reducing taxes. deficit are already too high.
Win-Win Economics | 277
A Win-Win Alternative refers to all income generated anywhere in

the world that goes to Americans.
Increasing the adoption of new technol Economic growth is highly important
ogies and increasing the skills of workers because it provides the increased income
help to reduce inflation by (a) increasing that generates increased spending, taxes,
the productivity of labor to offset increased jobs, money for government programs,
wages, (b) increasing the quality of goods and appropriations for dealing with
to offset increased prices, and (c) increas schools, crime, health, transportation,
ing the gross national product (GNP) and communications, food, housing, defense,
domestic income to further offset increased new technologies, upgrading skills, and so
prices. on (Table 41.2).
Increasing the adoption of new technol
ogies and increasing the skills of workers
help to reduce unemployment by (a) mak Conservative and
ing the workers more employable; (b) in Liberal Approaches
creasing the GNP and domestic spending
to stimulate the creation of more jobs; and The conservative approach tends to em
(c) increasing the productivity and wage phasize taxing and spending that is helpful
rates, thereby offsetting a possible reduc to investment and business. The increased
tion in hours. investment does stimulate economic growth.
The conservative alternative of increas Conservatives advocate increased invest
ing interest rates in times of inflation and ment through lowering taxes for the upper-
decreasing them in times of unemployment income brackets and lowering the capital
does not make sense if inflation and unem gains tax. They also advocate spending for
ployment are problems simultaneously. highways, airports, railroads, and other
This would be the case if both were more expenditures that will facilitate business
than 3%. Likewise, the liberal alternative profits.
of having a budget surplus in times of infla The liberal approach tends to emphasize
tion and a budget deficit in times of unem taxing and spending that is helpful to con
ployment does not make sense when both sumption and workers. The increased con
inflation and unemployment are higher sumption does stimulate economic growth.
than approximately 3%. One can stimu Liberals advocate increased consumption
late new technologies and upgrade skills, through lowering taxes for the lower-
however, when inflation and unemploy income brackets and raising exemptions
ment occur simultaneously. for dependents and the standard deduc
tion. They also advocate government
spending for food stamps, housing vouch
ers, welfare, teacher salaries, health care,
ECONOMIC GROWTH AND
and other government expenditures that
DISPLACED WORKERS
result in high consumption.
Economic Growth
A Win-Win Package
Definition and Importance
A super-optimizing solution (SOS)
Economic growth refers to the annual package can promote economic growth
rate of increase in the GNP or the gross do more directly than through private invest
mestic product (GDP). The GNP refers to ment and consumption although increas
all income generated in the United States, ing investment and consumption. Such a
even if it goes to some foreigners. The GDP package might include the government
Table 41.2 ECONOMIC GROWTH
Goals
C L
Alternatives Investment Consumption
C
Trickle down + –
L
Percolate up – +
N
Both 0 0
Package ++ ++
providing (a) long-term, large-scale risk Displaced Workers and Firms

capital; (b) a stimulus to competition by
readily granting entry permits into all in Displacement of labor means displace
dustries and entry of foreign goods into the ment due to (a) productivity downsizing;
United States; (c) a stimulus to business (b) free trade; (c) immigration; (d) civilian
and labor to adopt new technologies and conversion; (e) and jobs for public aid re
upgrade worker skills; (d) funds for re cipients, the disabled, the elderly, minori
locating workers displaced by tariff reduc ties, and women.
tion, immigration, new technologies, or The issue here is how to find jobs for dis
conversion from defense production; (e) placed workers. The conservative empha
reductions in foreign tariffs to open new sis is to leave it up to the recipient to find a
markets; (f) an immigration policy that job on his or her own and not make it a re
brings in innovative, ambitious people sponsibility of other people.
with needed skills; (g) free speech to en The liberal emphasis is on the welfare
courage creativity, including suggestions to agency or another government agency do
improve productivity; (h) grants, patents, ing most of the job-finding work. The
and purchasing to stimulate inventions but neutral position might involve delegating
requiring licensing to stimulate diffusion the activity to a nonprofit organization
and competition; (i) an educational system (Table 41.3).
that is oriented toward preparation for A key conservative goal is to save tax
productive jobs and careers; and (j) conser money. This means encouraging job find
vation of natural resources and a produc ing to reduce welfare payments but not in
tive, healthful environment. curring high fees for job finding. A key lib
Other important economic indicators eral goal is to find jobs for displaced
besides economic growth include unem workers or welfare recipients not just to
ployment, inflation, and measures of in save welfare payments but also because
come equality. Major economic growth is jobs can increase the income, quality of
offset if the other indicators worsen or do life, and dignity of welfare recipients.
not improve. Doing so also has effects that relate to mul
Table 41.3 EQUITY VERSUS EFFICIENCY IN DISPLACEMENT OF LABOR
Goals
C L
Equity
Efficiency (i.e., Fairness to
(Merit or Survival Those Unemployed
Alternatives of the Fittest) to No Fault)
C
Marketplace (leaves to the labor marketplace) + –
L
Welfare handouts with few conditions – +
N
Welfare with conditions
No able-bodied eligibles, especially males
Bare minimum benefits 0 0
Residence requirements
Provide no due process
SOS or win-win solution (i.e., job facilitation)
Training
Wage subsidy
Employment agency commissions ++ ++
Rising GNP
Relocation
Welfare conditional on training and job
cooperation
NOTE: C, conservative; L, liberal; N, neutral; SOS, super-optimum solution or win-win solution. Dis
placement of labor means displacement due to (a) productivity downsizing; (b) free trade; (c) immigra
tion; (d) civilian conversion; (e) and jobs for public aid recipients, the disabled, the elderly, minorities, and
women.
tipliers, compounding, role models, and re which the government agency might other
ducing illegal activities. wise provide.
An SOS alternative is to contract out to This is a good example of contracting
a private profit-making firm at a commis out. The profit motive stimulates a more
sion of about $X per welfare recipient who successful rate in finding jobs than the rate
receives long-term employment. Half of of success by a government agency or a
the commission is paid after the worker has nonprofit organization. The firm also has
been on the job for 4 months and the other more capability than the recipient. Tax
half after 8 months. The firm is responsible money is saved in the long term as a result
for providing training, day care, employ of replacing welfare with work. It may also
ment leads, advice, and dispute resolution, be saved in the short term by costing less
Table 41.4 SOS SPENDING
Goals
C L
Budget Crime Fair N Allocation C Allocation L Allocation SOS

Categories Reduction Procedure (Wts. = 2 & 2) (Wts. = 3 & 1) (Wts. = 1 & 3) Allocation
C X X+1
Money 2 1 $92 $112 $71 $113
for police (67%) (25%) (46%) (55%) (35%) (46%)
L Y Y+1
Money 1 3 108 88 129 130
for courts (33%) (75%) (54%) (44%) (65%) (54%)
Total 3 2 $200 $200 $200 $243

(100%) (100%) (100%) (100%) (100%) (100%)
NOTE: C, conservative; L, liberal; N, neutral; SOS, super-optimum or win-win solution; Wts., weights for
multiplying the allocation percentages for each of the two goals. X is the conservative allocation to ex
ceed. Y is the liberal allocation to exceed. Dollars are in millions.
money per long-term job found than the allow for a larger allocation than the best
cost with a government agency or non expectations of both the conservatives
profit organization. Related activities can ($112 + $1 to the police) and the liberals
also help displaced business people find ($129 + $1 to the courts).
new jobs or new businesses.
Obtaining a Larger Budget

SPENDING, TAXING, AND or Using the Current Budget
THE DEFICIT More Efficiently
SOS Spending The next step would be to analyze vari

ous ways of increasing the budget from
Determining a Win-Win Budget $200 to $243 and then using the best com
bination of these in light of various criteria.
Each allocation is determined by (a) There is an alternative approach to increas
multiplying the percentages in the goal col ing the budget to an SOS amount that satis
umns by the neutral, conservative, or lib fies the best initial expectations of both lib
eral weights; (b) summing across the prod erals and conservatives. This approach
ucts; (c) dividing the sum by the total of the involves satisfying conservatives by en
appropriate weights to obtain a weighted abling the police and the courts to be more
average allocation percentage; and then (d) efficient in crime reduction so that they will
multiplying the total budget of $200 (dol need less money.
lar amounts are in millions) by that alloca The police can be more efficient by be
tion percentage (Table 41.4). ing more visible, such as by policing high
The super-optimum budget is $243 be ways with their red lights continuously
cause this is the minimum amount that will flashing. The courts can be more efficient
Table 41.5 TAX SOURCES
Goals
C L
Alternatives Stimulating Investment Ability to Pay

C
Sales tax + –
L
Income tax – +
N
Other or both 0 0
Decrease tax rates but increase taxes with ++ ++
many well-placed subsidies
in crime reduction by using better screen taxes, which are approximately equal
ing and reporting methods with regard to across the general public. The liberal posi
those who have been released on bail prior tion tends to emphasize income taxes,
to trial. which bear more heavily on those with
The alternative also involves satisfying greater ability to pay.
liberals by enabling the police and the Conservatives tend to emphasize taxes
courts to be more efficient in using fair pro on consumption, such as the sales tax or
cedures. The police can be more efficient the value-added tax. Liberals tend to em
and effective by giving a summons to ap phasize taxes on income, especially pro
pear in many arrest cases rather than book gressive income taxes for which the rates
ing and jailing the suspects. The courts can are higher on higher incomes. The neutral
be more efficient and effective regarding position is to use both sales taxes and in
fair procedure by allowing jurors to view come taxes, but the sales tax rates would be
each day’s trial on videotape. This helps lower than conservatives advocate and the
clarify matters that might otherwise be for income tax rates would be lower than liber
gotten. Jurors can also be allowed to take als advocate (Table 41.5).
notes, ask questions of judges and lawyers,
and receive some training before becoming
jurors. Conservative and Liberal Goals
A key conservative goal is to stimulate

SOS Taxing investment. A key liberal goal is to stimu
late consumption and to take into consid
Conservative and eration the equity goal of the ability to pay.
Liberal Alternatives Both conservatives and liberals recog
nize the need for some tax money to sup
The conservative position on tax port the government activities they en
sources tends to emphasize consumption dorse. The SOS is therefore not to abolish
all taxes. This would be undesirable to The Deficit

both conservatives and liberals if it means
abolishing the government activities they Dealing With the Deficit
endorse. Likewise, the neutral position
may result in a decrease in the government A statement of the conservative goal
activities endorsed by conservatives and might be to (a) have a strong national de
those endorsed by liberals. fense and (b) stimulate investment through
low taxes on the relatively rich. A fuller
statement of the liberal goal might be to (a)
have strong domestic policies, such as edu
Relations Between
cation and housing, and (b) stimulate con
Alternatives and Goals
sumption through low taxes on the rela
tively poor (Table 41.6).
Sales taxes score low on consumption
The SOS involves a reduction of taxes in
and ability to pay, whereas income taxes
the form of tax breaks designed to stimu
score higher. On the matter of stimulating
late greater productivity. Likewise, the SOS
investment, one can argue that relying on
involves an increase in spending in the form
sales taxes rather than income taxes frees
of well-placed subsidies designed to stimu
up more income for investment purposes.
late greater productivity. Increased pro
Regardless of how the different taxes
ductivity results in an increased GNP,
are scored on the two goals, there does tend
which means there will be an increased
to be a trade-off. Reliance on income taxes
base on which to apply the national tax
generally scores better on ability to pay
rate. Thus, the tax rate can decrease and
than on stimulating investment. This,
still generate increased tax revenue and
however, depends on the extent to which
thereby more money will be available for
the income tax provides for meaningful
government spending on defense, domestic
credits. Likewise, reliance on sales taxes
policies, deficit reduction, and more well-
generally scores worse on ability to pay
placed subsidies.
than on facilitating investment.
A Balanced Budget Amendment

The Win-Win Alternative
A related issue is whether there should
The SOS alternative involves substan be an amendment to the Constitution that
tially decreasing both kinds of tax rates requires the federal budget to be balanced
while simultaneously increasing the total each year with federal spending no higher
tax revenue by increasing the GNP tax than federal tax revenue.
base. This can partially be done by well- Conservatives endorse the balanced
placed tax breaks and subsidies to encour budget amendment to keep federal spend
age greater national productivity. ing down, especially if an exception is
An SOS alternative would score well on made for defense spending. They generally
both goals. This kind of alternative might consider other federal spending to be too
involve a combination of both taxes, but it liberal. They would also like a requirement
would be accompanied by well-placed sub of 60% congressional approval for tax in
sidies and tax credits to stimulate increased creases. As of 2000, when there was a fed
productivity. The tax credits could also in eral surplus, pressure for a balanced bud
clude an earned-income payment for those get amendment had greatly lessened, but it
who are regularly working but not earning may increase in the future.
very much income and thus do not have Liberals oppose the amendment because
much ability to pay high taxes. they want to allow for federal spending to
Table 41.6 THE DEFICIT OF SPENDING OVER TAXES
Goals
C L
Alternatives Defense and Investment Domestic and Consumption
C
Decrease domestic spending + –
Increase taxes for the poor
L
Decrease defense spending – +
Increase taxes for the rich
N
Decrease both spend 0 0
Increase both taxes
Increase spending ++ ++
Decrease taxes
fight unemployment and to promote eco revenue. It also allows for a reduction in
nomic growth. If these considerations are spending for welfare, with increased
covered, they would endorse a prohibition spending for economic growth activities.
on deficit spending because deficits lead to Such growth can result in increases in both
government borrowing, which boosts in profits and wages.
terest rates. Such increases interfere with An economic growth amendment may
consumer purchasing and business expan be necessary that requires or recommends
sion. that the federal government promote at
The neutral position is to have a bal least 3% economic growth per year. The
anced budget amendment but with excep amendment can mandate the establish
tions. The conservatives especially want an ment of a quasi-public consortium for eco
exception for a declared war or a joint reso nomic growth. Its governing board could
lution relating to military action. Liberals consist of three representatives from the
want an exception for high unemployment National Association of Manufacturers
or at least an exception when 60% of Con and the U.S. Chamber of Commerce, three
gress votes for an increase in the national representatives from the American Federa
debt. tion of Labor and Congress of Industrial
An SOS alternative would be to pro Organizations, and three representatives
mote economic growth through training, from the Senate, House, and the presi
new technologies, competition, exports, dency. It could have a substantial appro
government capital, and other means. priation for encouraging economic growth
Growth in the GNP allows for a reduction activities.
in income tax rates, with an increase in tax
Table 41.7 OWNERSHIP AND OPERATION
Goals
C L
Alternatives High Productivity Equity
C
Government ownership and operation (socialism) + –
L
Private ownership and operation (capitalism) – +
N
Some government and some private 0 0
100% government owned and 100% private operation
100% private with government incentives ++ ++
Both SOSs
ORGANIZING THE ECONOMY nonresponsive capitalism and responsive

or nonresponsive socialism. Responsive
Alternative Ways of Relating the ness in this context refers to being respon
Government to the Economy sive to consumers and workers. Socialism
is traditionally thought of as being more re
sponsive to consumers and workers.
Socialism refers to government owner
ship and public policy designed to facilitate
equality of income and wealth. Capitalism
refers to private ownership with no public Government Versus Private
policy designed to facilitate equality of in Ownership and Operation
come, wealth, and opportunity. One could
conceivably talk in terms of four policies of The SOS alternative of contracting out
(a) private ownership and no equality, (b) to private operation can even apply to pub
private ownership and equality, (c) govern lic schools, post offices, and municipal
ment ownership and no equality, and (d) transportation. In former socialistic coun
government ownership and equality. The tries, it can also apply to contracting out
two elements of capitalism (private owner government-owned factories and land (Ta
ship and inequality) tend to go together, as ble 41.7).
do the two elements of socialism (public Contracting out does not have to be to
ownership and equality). only one private entrepreneur. The two
There can be democratic or dictatorial most qualified lowest bidders can both re
capitalism and democratic or dictatorial ceive contracts for different geograph
socialism, depending on whether there are ical areas, sectors of the industry, or other
universal voting rights and minority pol aspects of the contract to encourage com
itical rights. There can be responsive or petition.
Productivity and the liberal goals can be create artificially low prices to satisfy con
further increased through appropriate gov sumers as voters. The mixed economy
ernment incentives by way of well-placed scores in the middle on both business prof
tax credits and subsidies. This goes beyond its and low prices (Table 41.8).
what can be achieved by way of govern The SOS alternative may draw on the
ment ownership or control combined with stimulus to innovation and efficiency of
contracting out to private operation. private profit making. The SOS alterna
Workplace quality, environmental pro tive may encourage competition through
tection, and consumer protection are not well-placed seed money and other competi
necessarily promoted by government own tion facilitators. Doing so results in lower
ership. The socialist steel mills in Poland prices through a competitive marketplace
were a good example of poor workplace rather than through a monopolistic one or
quality under socialism. The socialistic through artificial price constraints.
Tennessee Valley Association in the United The marketplace is associated with capi
States was a good example of poor en talism. It may not be associated with com
vironmental protection under socialism. petition if the marketplace leads to monop
Government-owned power companies hav olies or firms working together to decrease
ing monopoly control are good examples competition. Regulation or government
of the lack of consumer protection under ownership is associated with socialism. It is
socialism. even more likely to lead to monopoly, but
All these goals can be better achieved by monopoly in the hands of the state rather
requiring them as part of the contract when than private enterprise. The marketplace
contracting out. This is likely to produce may lead to better business profits than
greater compliance than traditional gov does regulation. Regulation may lead to
ernment regulation. The threat of not better consumer prices than does the mar
having the contract renewed but instead ketplace.
having it go to a competing company can An SOS alternative is competition,
generate greater compliance. This is bet which is likely to lead to even better total
ter than relying on the supposed altruism business profits than is the marketplace, al
of managers of government factories who though not necessarily better profits for
are not rewarded or punished for comply each firm. Competition is likely to lead to
ing with goals. The government can pro better consumer prices and quality of prod
vide further incentives by way of well- ucts than is regulation. Competition can
placed subsidies and tax credits to supple be stimulated through laws that require (a)
ment the liberal contract provisions in the licensing of patents and facilities; (b) low
contracting. ering of tariffs to increase international
competition; (c) seed money to get new
businesses established or expanded to
Competition as a Key Factor make an industry more competitive; and
(d) leasing of networks of electricity, tele
The conservative alternative to an un phone, and cable TV.
regulated marketplace may lead to only
one or a few firms dominating most indus
tries. This arrangement may be profitable Equality in
in the short term, although it is contrary to Socialism and Capitalism
low prices. The liberal alternative of gov
ernment ownership or tight regulation Capitalism differs from socialism mainly
tends to result in a government monopoly in terms of government versus private own
or stifled private enterprise. This results in ership and operation of the major means of
reduced business profits, although it might production and distribution. Capitalism
Table 41.8 COMPETITION
Goals
C L
Alternatives Business Profits Low Prices
C
Marketplace (monopoly) + –
L
Government ownership or tight regulation (monopoly) – +
N
Some of both (mixed economy) 0 0
Stimulate competition through well-placed subsidies ++ ++
also differs from socialism with regard to nue Service (IRS) instead of paying the IRS
the extent to which inequality of income (Table 41.9).
and wealth is allowed. A better approach is to emphasize the
Under pure capitalism, there are no lim earned-income credit whereby the people
its to the degree of permissible inequality in below a minimum level who work are re
income and wealth. Under socialism, there warded by receiving an IRS payment.
are progressive income taxes and inheri Those who do not work receive public aid
tance taxes designed to promote a substan and assistance in finding a job. The SOS
tial amount of equality in income and may also provide tax breaks and subsidies
wealth. for upgrading individual skills to increase
Capitalism justifies economic inequality one’s productivity.
as a stimulus to increased productivity. The
theory is that people will work harder and
be more innovative to receive the rewards
Political and Economic
of greater income and wealth. Socialism
Competition and Prosperity
justifies having greater income equality as
the fair or equitable thing to do, especially
in the context of providing a minimum Figure 41.1 includes data only for indus
floor regarding food, shelter, and clothing trial nations. A separate figure could be
to the poor. made for developing nations. Among in
An SOS alternative that does well with dustrialized nations, those that provide for
regard to both the conservative and liberal competition in politics and economics have
goals involves allowing considerable in more prosperity than those that do not pro
equality in income and wealth but provid vide for competition in both activities. In
ing a minimum floor. This can be done dustrialized nations that provide for com
through a negative income tax whereby petition in only one of the two activities are
people who are below the minimum level likely to have middling prosperity, al
receive a payment from the Internal Reve though competition in politics may be
Table 41.9 EQUITY
Goals
C L
Equity
Alternatives Productivity (Minimum Floor)
C + –
Income inequality (capitalism)
L – +
Income equality (socialism)
N 0 0
In between
SOS or win-win solution ++ ++
Negative income tax or earned-income credit
Tax breaks for upgrading skills
more important to prosperity than compe are macroeconomic issues, in contrast to is
tition in economics. sues that deal with the individual firm or
Figure 41.1 is designed mainly to relate with land, labor, and capital as the major
political and economic competition as key factors of production. Sometimes, govern
causes in prosperity. One could also inter ment policy is added as a fourth factor. We
pret Figure 41.1 as tending to show that consider government policy to be present
countries that have economic competition in discussing how to promote effectiveness,
are more likely to have political competi efficiency, and equity in using the other
tion and vice versa. In addition, the figure three factors and other societal resources.
could also be interpreted as tending to
show that industrialized nations are more
likely to have a higher standard of living Land
than nonindustrialized nations regardless
of political and economic competition. An A key trade-off issue dealing with land
other conclusion is that whether a country or natural resources in the United States is
has capitalistic private ownership or so the alleged conflict between high farm pro
cialistic government ownership is virtually duction and high farm income. The United
irrelevant to prosperity in comparison to States may be the only country in the world
political and economic competition and in in which farmers have been encouraged to
dustrialization. produce less to create artificially high
prices. In other countries, farmers are en
couraged to grow more to feed the popula
OTHER ECONOMIC ISSUES tion and have crops for export. A win-win
solution that was recently adopted under
The previously discussed economic issues the title of “Freedom to Farm” allows
all deal with the economy as a whole. They farmers to produce all they want in antici
Figure 41.1. Political and Economic Competition as Key Causes of Prosperity
pation that the world market will be able to crease. As a result, farmers could sell more
absorb their extra production. goods overseas, and so could all American
Unfortunately, when subsidies were producers. This would be a super win-win
abolished for setting aside land, the ability for America and the consumers of Ameri
of Asian and Russian markets to buy de can products.
creased. The problem is not the lack of de
mand or that American farm products are
high priced. There is plenty of demand, and Labor
American farmers are highly efficient. The
problem seems to be that when China or A good example of win-win labor policy
Russia want to buy wheat, they are likely to relates to the minimum wage. Whenever
buy it from Australia, Argentina, or Can there is a suggestion of raising the mini
ada because they can afford Australian, mum wage, management talks about hav
Argentinian, and Canadian dollars more ing to lay off workers, whose families will
than they can afford U.S. dollars. The U.S. starve. Labor talks about families already
dollar is high priced compared, for exam starving because the minimum wage is not
ple, to the Canadian dollar. a living wage. The usual result, however, is
The American government drives up the a compromise in which both sides are al
price of the dollar whenever it seeks to sell lowing for some alleged starvation. A win-
U.S. Treasury bonds to borrow from new win solution is needed whereby manage
lenders to pay off old lenders. We could re ment, for example, could pay less than 4
duce the national debt (like we have re monetary units an hour and labor could re
duced the annual deficit) through eco ceive more than 5 monetary units per hour.
nomic growth, which provides increased This involves minimum-wage vouchers
government revenue and decreased welfare that are worth $1. They are given to unem
spending. The price of the dollar would de ployed workers or to employers to enable
an employer to pay workers $4 an hour and the tax-supported Ministry of Interna

plus a $1 voucher that can be cashed at a tional Trade and Industry. A conflict of in
bank. terest exists in the stock brokerage industry
To receive this $1 subsidy, the employer between investors and brokers. The prob
must agree to provide on-the-job training lem is that those who sell stocks and bonds
to bring the workers’ skills up to the $5-an would like to get as large a cut of their sales
hour level within 6 months. Likewise, to re as possible. Those who buy stocks and
ceive this $1 subsidy, the worker must bonds would like to pay as small a commis
agree to participate in the on-the-job train sion as possible.
ing and to pass the final exam. This is a Commissions could be increased to make
win-win for management and workers. It is both sellers and buyers simultaneously
also a win-win for society because it saves happy by changing the current payment
tax money that might otherwise go to un system, which pays sellers a percentage of
employment compensation, public aid, what they get the investor to buy. This in
food stamps, public housing, anticrime ex herently encourages brokers to encourage
penses, Medicaid, and other services for investors to buy more than they possibly
the unemployed. Society also benefits be should and to buy more of certain shares
cause these newly employed people pay that pay high commissions. A win-win al
taxes that support productivity-increasing ternative would be to pay on the basis of
public policy. The workers are also better good performance. That way, a broker
role models for their children and grand would get a substantial percentage of the
children. dividends within the first 5 years or what
Workers who already work for the firm ever percentage and time period are negoti
would also be eligible to participate in the ated. The broker could also get a substan
on-the-job training to be in the voucher tial percentage of the increase in the value
program to increase their wages above the of stock upon resale. Such an arrangement
minimum wage. The voucher program, could enable good brokers to make much
however, is especially beneficial to the more money, which would also benefit the
economy if it enables unemployed people stock buyers. A minimum fee could be pro
to work at the minimum wage or above vided on the basis of hours worked.
when they otherwise would not be hired. There is a need for more performance
This kind of wage voucher could also apply pay in all fields of the private and public
to elderly workers, disabled workers, and sectors so as to enable both sellers and con
others to temporarily fill the gap between sumers to come out ahead of their best ini
what employers are willing to pay and tial expectations. Total profits of stock sell
what might be considered a living wage. ers could also be increased if banks were
allowed to sell stock. The competition
could allow qualified banks to make a le
Capital gitimate profit, which they are currently
denied. The stock buyers would also bene
An example that deals with capital in fit from the competition. Indeed, stimu
our set of land, labor, and capital examples lated competition and the structured or
is the stock market. It is a major source channeled profit motive may be the two
of capital under U.S. capitalism, although most important concepts in win-win eco
Japan relies more heavily on bank savings nomic policy.
CHAPTER 42
Super-Optimization
A New Approach to
National Environmental Policymaking
Lawrence Susskind
Consensus Building Institute
Massachusetts Institute of Technology-
Harvard Public Disputes Program
M any policy analysts strongly be

lieve that the gains in envir
onmental protection achieved
during the past decade or two have come at
the expense of economic growth and im
Netherlands. When we think of optimal
ity in decision making, we think in terms
of maximizing an objective at the least pos
sible cost. Therefore, for example, if we
were committed to reducing water pol
proved social welfare. Political conserva lution, we would want to do it in the most
tives often do not accept the argument that efficient way (i.e., not spend a guilder
the achievement of environmental protec more than we had to for each unit of im
tion (or sustainable development) might provement achieved). A super-optimal de
bring with it new opportunities for eco cision, however, is not so much con
nomic development in addition to im cerned with achieving a goal at the least
provements in social welfare. It is now time possible cost as it is with achieving that
to subject national environmental policy- goal while simultaneously achieving the
making to much closer scrutiny, and even greatest level of benefits possible in other
to change the way we handle policymak domains. Thus, a super-optimal policy
ing, to ensure that all future efforts to en with regard to reducing water pollution
hance environmental quality guarantee would not only reduce water pollution to
economic improvement and enhance social the greatest extent possible but also do so
welfare. One way to move in this direction in a way that spun off as much long-term
is to adopt an approach to policymaking investment in new technology as possible,
called super-optimization. created as many new jobs as possible for
Super-optimization is a new approach, those who really needed them, and reduced
one that happens to fit quite well with pollution levels in other media at the same
the “polder model” so prominent in The time.
291
PREREQUISITES FOR are directly involved, however, this is not

SUPER-OPTIMAL POLICYMAKING an antidemocratic proposal.
Representation of All Relevant Stakeholder Effective Facilitation by a Neutral Party.

Interests. To achieve super-optimality in Most joint problem-solving efforts involv
environmental decision making, it is essen ing large numbers of people need to be fa
tial to involve representatives of all stake- cilitated by a neutral party with process
holding interests in the process of decision management skills and a fair amount of
making. Elected representatives can some substantive knowledge about the policy in
times handle this responsibility. In some sit question. In the search for super-optimal
uations, however, ad hoc representatives— policies, a neutral party needs to manage
selected just for the purpose of deciding the recruitment of stakeholder represen
how to handle a particular decision—will tatives, assist in the creation and opera
need to be involved. A systematic appraisal tion of a new forum, and explain the joint
of the interests of all stakeholders must problem-solving process to the outside
be completed prior to bringing the groups world. The parties may even decide to
together. This will ensure an appropriate ask the neutral party to help monitor im
agenda for problem solving. The ground plementation or serve a mediating role if
rules for representation and decision mak disagreements emerge at any point. There
ing must be clear from the outset, and are professional facilitators skilled in this
whatever is decided must still be acted on kind of work.
by those with the formal authority to do so.
A Redefinition of Agency and Organiza
Creation of New Forums for Joint Problem tional Leadership. One of the key obsta
Solving. National policy questions are cles to formulating super-optimal policy is
typically handled in rather narrow policy the resistance of agency heads, corporate
arenas. Thus, environmental policy is usu CEOs, and nongovernmental organization
ally drafted by environmental agency per directors. When each believes that he or she
sonnel, reviewed by environmental special must be in charge of the process or dictate
ists in the parliament, and debated by the terms of acceptable policy, the search
environmental activists with the strongest for ways of maximizing benefits across
possible interest in the subject. Only when multiple policy arenas is difficult, if not im
final decisions have been made are others possible. Only when agency and organiza
drawn into the political debate. By that tional leaders master the process of lateral
time, of course, it is too late to craft super- leadership can the search for super
optimal policy proposals. To achieve optimality succeed. This requires those in
super-optimality, new forums must be de positions of authority to commit to a joint
signed that bring together potential bene problem-solving rather than a top-down
ficiaries of new policies—even if they do approach to policymaking. Unfortunately,
not view themselves as stakeholders. These many senior officials inside and outside
forums must emphasize the search for government have not yet mastered the skill
“added value.” For this to happen, they of “leading from the side,” usually by ex
need to (a) operate informally, (b) bring ample, rather than leading by issuing force
knowledgeable decision makers together ful mandates from the top down.
before they have made their decision, and
(c) involve a range of recognized experts An Emphasis on Strategic Partnerships.
who can help bring the parties to the most The implementation of super-optimal poli
informed conclusion possible. Such forums cies often requires “partnering” among un
need to operate out of the glare of the pub familiar coalition participants. By its very
lic spotlight. Because all key stakeholders definition, super-optimal policy cuts across
Super-Optimization: A New Approach | 293
policy arenas in new ways. Thus, strategic nomic benefits and improvements in social
partnerships, involving cooperation among welfare?
groups that have not worked together be Such an experiment would require
fore (even among former “enemies”), may cabinet-level coordination. It would not
be necessary. The design and management have to take a very long time to design and
of such partnerships requires a great deal implement. Also, it should be organized
of attention. There almost always needs to specifically to determine whether super
be a “managing” partner, but even in such optimality is a feasible goal of national
cases, the ground rules governing the obli policymaking. Therefore, a learning or
gations of all the other partners must be evaluation component should be included.
clearly understood by everyone. Such new The key elements of such a national ex
relationships may take time to evolve. In periment would include
struction in the tools and techniques of
partnering may well have to be included as 1. An important environmental policy ques
part of any agreement. tion that needs to be addressed at the na
tional level
2. Commitments from multiple ministries
A NATIONAL EXPERIMENT (and other levels of government) and non
governmental leaders to participate
A super-optimal approach to the next 3. A skilled facilitator (or facilitation group)

round of national environmental policy- 4. A careful process design (with clear
making in The Netherlands might well be benchmarks for evaluating the results)
the subject of a national experiment. Can
you imagine an approach to environmen A super-optimal approach to envir
tal policymaking that brings together rep onmental policymaking or sustainable
resentatives of several ministries to search development can be achieved only if the
for improvements in environmental policy leadership across multiple policy areas is
that simultaneously seek to maximize eco prepared to try something new.
CHAPTER 43
Win-Win Decentralizing
I n this chapter, I discuss three aspects

of win-win decentralization. The first
involves conflict between the central
government and state-local governments.
The second involves conflict between gov
Conservatives like state-local agencies
because these agencies are more sensitive to
what business firms want because they are
seeking to attract business firms to the state
or the local communities. Liberals (espe
ernmental and business decision making. cially the president) generally like central
The third involves a related conflict be government because they are more con
tween governmental and individual deci cerned with getting the votes of workers,
sion making. and a vote from a worker is worth as much
as a vote from management, even though
management might have more money.
CENTRAL VERSUS Likewise, U.S. Senators are sensitive to the
STATE-LOCAL GOVERNMENTS needs of the larger cities in their states be
cause these cities wield the swing vote in
As shown in Table 43.1 (dollar amounts determining which senatorial candidate
are in millions), the conservative alterna will get elected.
tive is to give 100% of the jurisdiction to Conservatives are generally reluctant to
state or local agencies, or all $500 if $500 is say they like state-local agencies because
being allocated. The liberal alternative is to these agencies are more sensitive to busi
give 100% of the jurisdiction to the central ness profits, landlords, creditors, manufac
government, or all $500 if $500 is being al turers, retailers, and other business inter
located. Neutral alternatives might include ests. Instead, conservatives talk about the
the following: (a) Jurisdiction goes to the need for government that is more respon
central government, with many and strong sive to the people and the fact that state-
regional offices; (2) the central government local agencies are more responsive because
supplies the funding, but state and local they are closer. Liberals are not so reluctant
agencies make the rules and enforce them; to say they like central government because
or (c) the central government makes the it is more sensitive to higher wages, better
rules, and the state-local agencies do the workplaces, and various consumer inter
enforcing. ests. In addition, they will emphasize the
EDITOR’S NOTE: This chapter is modified from Stuart Nagel, ed., Cross-National Issues in Public Administra
tion and Policy: Privatizing, Decentralizing, and Democratizing (Westport, CT: Quorum-Greenwood, 1999).
295
Table 43.1 DECENTRALIZING TO LOWER AGENCIES OR TO

PROVINCES IN GENERAL
Goals
C L
Alternatives Responsiveness Uniformity or Widespread
C
State-local + –
Allocate 100% or all $500
L
Central – +
Allocate 100% or all $500
N
Regional offices 0 0
Central money, state-local rules
Central rules, state-local enforcement
SOS
Both get $500 ++ ++
Or more than $250 apiece
NOTE: C, conservative; L, liberal; N, neutral; SOS, super-optimum solution or win-win solution. Dollar
amounts are in millions.
undesirability of some states permitting overlapping jurisdictions. Doing so may

low wages and bad workplaces, which will not be very efficient in terms of incremental
attract business to those states. Thus, liber improvement divided by dollars spent as a
als tend to talk in terms of the need for na measure of efficiency. Doing so, however,
tional uniformity—that is, uniformly high may be more effective in terms of obtaining
labor standards, not uniformly low stan clean air and water because three heads are
dards. better than one for developing ideas or
If we accept the goals as those that are rules and for enforcing them.
purported, then we are talking about re Thus, the win-win solution (for greater
sponsiveness to state-local needs and uni responsiveness and greater uniformity of
formity of high standards. These are ab high standards and achievement) may be to
stract concepts that could be applied to provide more than $500 for each of the two
such matters as environmental protection, levels, or at least more than $250 apiece.
decreasing unemployment, adequate Giving only $250 apiece would be a split
health care, and other substantive matters. the-difference compromise. This takes at
In this context, if both sides really want the face value that both sides truly want the
environment to be healthy in terms of clean substantive goals to be achieved in the cen
air and water, then agency at all three levels tral government, the state governments,
of government should be encouraged to and the local governments regarding crime,
work toward this goal even if there are unemployment, environment, or whatever
Win-Win Decentralizing | 297
Table 43.2 CENTRAL GOVERNMENT VERSUS BUSINESS FIRMS ON

NEW TECHNOLOGIES
Goals
C L
C
Business decisions + –
L
Government decisions – +
N
Both 0 0
SOS
2% payroll tax ++ ++
Not collected if used for new
technologies
the substantive goals may be. Thus, win- Liberals likewise again talk about the need
win decentralization tends to result in for uniformity on the assumption that most
more authority for all units that have an in or many business firms will fail to adopt
terest in seeing the goals achieved. new technologies. The win-win solution
might be the one proposed by Secretary of
Labor Robert Reich. He once was enam
CENTRAL VERSUS ored of the Japanese MITI, but he later
BUSINESS DECISIONS thought such an approach involved virtu
ally playing God. Instead, he advocated a
Table 43.2 indicates that conservatives 2% payroll tax on every business firm in
would like to leave the adoption of new the United States but with hopes that no
technologies solely to business firms, with firm would pay the tax.
no government interference. Liberals like The reason they would not have to pay
government agencies such as the Japanese is because the tax law would provide that
Ministry of International Trade and Indus they get a 100% credit if they use the
try (MITI), which makes major technology money to buy new technologies. All they
decisions regarding auto manufacturing, would have to do at payroll tax time is sub
steel, electronics, computers, and so on. mit a form indicating how they have spent
Conservatives abolished the U.S. Office the money on new technologies. They
of Technology Assessment because they would have a strong interest in not sending
viewed it partly as a step toward a U.S. the money to Washington. They would
MITI. also have a strong interest in improving
In this context, conservatives again talk their technology as best as they can.
about responsiveness and business firms Some people would argue that business
knowing best what technologies they need. firms would spend the money wisely with
Table 43.3 CENTRAL GOVERNMENT VERSUS INDIVIDUAL DECISIONS

ON TRAINING
Goals
C L
C
Individual decisions + –
L
Government decisions – +
N
Both 0 0
SOS
Vouchers from government
Individual decisions on how to spend ++ ++
the vouchers
out the payroll tax. Such an argument runs training programs, such as the Works Prog
contrary to the fact that when President ress Administration of the depression years
Reagan gave business firms a 30% across or the public school system but for adults.
the-board tax break, very little money went By letting individuals make training de
into new technologies; rather, it was spent cisions, conservatives argue that respon
on real estate, luxury goods, and high CEO siveness to individual abilities and inter
salaries, as contrasted to the Japanese in ests is more likely to be met. Leaving it to
vestment. Thus, the 2% payroll tax credit the individuals is also more likely to be re
does combine (a) responsiveness to the sponsive to market forces of supply and
needs of the business firms because they demand. Liberals justify a more govern
know what technologies they need and (b) mental approach on the grounds that such
the goal of having the United States more an approach can bring everybody up to a
uniformly increase its technology. certain level of computer literacy and
knowledge of contemporary science. By
raising virtually everybody above such
CENTRAL VERSUS a threshold, a desirable uniformity is ob
INDIVIDUAL DECISIONS tained.
A win-win solution might involve the
Table 43.3 indicates that conservatives federal government giving a $2,000 train
would like to leave the decision to individ ing voucher to every man, woman, and
uals as to whether to get training and what child or at least to every adult older than
training to get to be able to adopt to chang age 18. Such a voucher could be used to pay
ing times, especially technologies. Liberals for whatever training individuals thought
would like to have the government set up best in light of their abilities and interests
Win-Win Decentralizing | 299
and in light of the current supply and de tralized in terms of funding. This provides
mand for people with the training the indi the best of both in a win-win way. The win
viduals pursue. ners are not only conservatives and liberals
Such a policy would be highly respon but also (a) individual trainees, whose
sive. It would also result in a high degree of training enables them to earn higher and
training, which would not occur if people more satisfying incomes; (b) their trainers,
had to use their own money. Some people who make money performing a service by
do not have the money available. Those upgrading the skills of trainees; (c) the gov
who do may not be farsighted enough to ernment, which gets more revenue from
spend it on training. The voucher would be the increased gross national product that
worthless unless it is spent for training. It more than offsets the cost of the vouchers;
would be an earmarked voucher, similar to (d) the children and grandchildren of the
a housing voucher or food stamps, that trainees, who now have better role models;
could be cashed in only by accredited train (e) the customers, clients, patients, and
ing programs or on-the-job training pro other beneficiaries of the better trained in
grams. The existence of so many vouchers dividuals; and (f) taxpayers, who receive
would stimulate entrepreneurs to develop savings in various forms of public aid that
worthwhile training programs to attract might be paid to the trainees who might
the voucher holders. otherwise be unemployed without the
Such a policy would be highly decentral training.
ized in terms of decision making but cen
CHAPTER 44
Win-Win Justice
DEFINING JUSTICE tend to favor the have-nots or the general

population in a society. Conservative bi
Justice is one of the most important con ases tend to favor those who are relatively
cepts in social, political, legal, and general well-off.
philosophy, and yet it is one of the most Good examples are the widely accepted
subjective. It is easy to define justice with principles of Pareto optimality and utilitar
words that are like synonyms, but it is diffi ian pragmatism. The basic principle of
cult to define justice in operational terms Pareto optimality is that social policy A is
so that one can objectively say that one just if it results in at least one person in a so
public policy alternative is more just than ciety improving in terms of his or her well
another. In a thesaurus or a dictionary, jus being and all other persons at least remain
tice is defined in terms of fairness, equity, ing constant but not worsening. Social pol
and other words that get at the idea of do icy A is better than B if two people rather
ing what is right, good, or better in social than one person undergo improvements.
policy. The basic related principle of utilitarian
One could read whole books on the sub ism is that social policy A is just if it results
ject, not just dictionary definitions, and in improved happiness for a majority of the
still not come away with any objective cri people in a society while allowing the pos
teria as to what justice is unless one is will sibility of some people worsening but not
ing to accept the assumptions of the au below a minimum threshold. Social policy
thors of the books. These assumptions A is better than B if it promotes more hap
either are on such a high level of generality piness for more people.
that they are cliches or synonyms for the The two principles conflict partly be
concept of justice or have built-in biases in cause one has a conservative bias and the
a liberal or conservative direction (and other has a liberal bias. Strict Pareto optim
thus are acceptable only if one has a liberal ality would consider progressive income
or conservative value orientation to begin taxes combined with government aid for
with). the poor to be unjust because rich people
Simple examples could be given of prin might have a net loss between their costs
ciples of social ethics that at first glance do and benefits. Poor people would have a to
seem like they have objective reality but at tal net gain that might more than offset the
second glance tend to have distinctly lib total net loss of the rich. There are more
eral or conservative biases. Liberal biases poor than rich people, and a dollar given to
301
a poor person may increase happiness and 2” is endorsed by approximately 10%.

more than a dollar taken from a rich person Exceeding both assumptions is endorsed
decreases happiness. Such a system of pro by approximately 100%, which equals
gressive taxes and government aid would 40% + 50% + 10%.
be considered just by a utilitarian philos Just because 100% endorse something
ophy given its definition and its liberal does not make it objectively fair or good or
biases. objectively real or true. The correct word
This chapter discusses a different way of ing is as follows: more fair than the previ
conceptualizing justice so that social poli ous system, the fairer between two acts, or
cies can be considered just or unjust or can the fairest of a set of acts. For some people,
be considered more just or less just regard criteria are fair because they are fairly
less of whether one has a liberal or conser adopted. If conservatives have a majority,
vative set of values. The objective is not to however, liberals will consider it unfair. If
arrive at compromises in accordance with liberals have a majority, then conservatives
Aristotle’s golden mean or the modera will consider what they adopted to be un
tion of Confucius. The objective is to be fair. For some, there is no fairness in rules
able to simultaneously achieve the goals or (procedural or substantive), only in how
achieve better than the goals of conserva they are adopted.
tives and liberals, including doing well for That which is just is that which super-
both the rich and the poor simultaneously. optimizes:
1. A just policy is one that exceeds the best

THE OBJECTIVITY OF JUSTICE initial expectations simultaneously of
conservatives, liberals, and other major
Justice refers to both procedural rules and groups on the problem to which the pol
substantive rules. Justice is objective if one icy relates.
accepts certain assumptions: 2. An unjust policy is one that does worse
than the worst initial expectations simul
1. The conservative assumption is that the taneously of conservatives, liberals, and
goal to convict the guilty is most im other major groups on the problem to
portant. This goal includes convicting which the policy relates.
approximately 90% of all guilty defen 3. A policy that is not clearly just or unjust is
dants, guilty arrested, or guilty perpe one that neither does better than the prior
trators. best expectations of conservatives, liber
2. The liberal assumption is that the goal to als, and so on nor worse than the prior
acquit the innocent is most important. worst expectations of conservatives, lib
This goal includes acquitting approxi erals, and so on.
mately 90% of all innocent defendants or
innocent arrested persons.
EXAMPLES
It is good to exceed both conservative
and liberal best expectations simulta Three super-optimum solutions (SOSs) or
neously. This relates to 90% convict guilty win-win examples can be given that draw
and 90% acquit innocent. Exceeding both on criminal, civil, and economic justice.
expectations is good because it would be The key dilemma or dispute in criminal jus
endorsed by the highest percentage. As tice is based on the desire of conservatives
sumption 1 is endorsed by 40% of the law to have all guilty persons convicted versus
yer population, and Assumption 2 is en the desire of liberals to have all innocent
dorsed by 50%. “Do not know between 1 persons acquitted (Table 44.1). The objec
Win-Win Justice | 303
Table 44.1 WIN-WIN CRIMINAL JUSTICE
Goals
C L
Alternatives Convict the Guilty Acquit the Innocent
C
Easier to convict the guiltya + –
L
Easier to acquit the innocentb – +
N
Between <C and >L 0 0
c
>C and >L ++ ++

a. Examples of rules that make it easier to convict the guilty include 6-person juries, majority votes, limited
appeals, and restrictions on calling or cross examining witnesses.
b. Examples of rules that make it easier to acquit the innocent include 12-person juries, unanimous vote,
easier appeals, and less restrictions on calling and cross examining witnesses.
c. An SOS alternative in this context would be any rule that simultaneously increases the probability of
convicting the truly guilty and increases the probability of acquitting the truly innocent. Examples are
better training of jurors and judges on the meaning of various jury instructions or legal concepts and al
lowing the jurors to ask questions of the judges or lawyers to obtain clarification of legal concepts or evi
dence matters.
tive is to develop procedures of super- may mean public policy directed toward
optimum justice in which there is improve safer cars, safer roads, and safer drivers.
ment in the achievement of both goals The key dilemma in economic justice is
over the status quo. One example is video based on the desire of conservatives to have
taping all trials to provide an easily acces individualistic private enterprise versus the
sible record of the testimony, thereby fa desire of liberals to conduct business in a
cilitating greater accuracy in both the more collectivistic way (Table 44.3). One
convicting of the guilty and the acquitting form of super-optimum economic justice in
of the innocent. this context is to have title or ultimate re
The key dilemma in civil justice is based sponsibility for factories, farms, public ed
on the desire of conservatives to protect ucation, police protection, and other such
business firms and insurance companies societal activities in the hands of govern
from liability to consumers, workers, and ment while contracting out the operations
others versus the desire of liberals to have for all such activities. Another form of
injured consumers, workers, and others super-optimum economic justice is to have
adequately compensated (Table 44.2). The a free market that is made competitive
objective is to develop procedures that will through well-placed government subsidies
simultaneously save business from liability and tax breaks designed to stimulate multi
and save would-be victims from injury. In ple competing firms in every industry. Still
the realm of automobile accidents, this another form of super-optimum economic
Table 44.2 WIN-WIN CIVIL OR TORT JUSTICE
Goals
C L
Alternatives Avoid Liability and Lawyers Compensate the Injured
C
Difficult liabilitya + –
L
Easy liability – +
N
In between 0 0
Reduce accidentsb ++ ++

a. Having a defense of contributory negligence makes it relatively difficult for the plaintiff to establish lia
bility. Having a system of no fault makes it relatively easy for the plaintiff to establish liability. Compara
tive negligence is in between.
b. Reducing auto accidents by improving cars refers especially to installing airbags to protect drivers. Im
proving roads refers especially to installing more median strips to prevent head-on collisions. Improving
drivers refers especially to imposing more severe penalties for drunk drivers.
Table 44.3 WIN-WIN ECONOMIC JUSTICE
Goals
C L
Alternatives Quality Goods Low Prices
C
Marketplace monopolya + –
L
Government ownership monopolyb – +
N
Some of both or mixed economy 0 0
Stimulate competitionc ++ ++

a. The marketplace may lead to monopoly or oligopoly by virtue of one or a few strong firms eventually
dominating the industry and eliminating or greatly reducing quality and price competition.
b. Government ownership normally results in only one firm in an industry or in a region.
c. Competition can be stimulated by public policy through giving seed money to new firms; by requiring
the sharing (at reasonable fees) of patents, railroad tracks, telephone lines, electric lines, and other facili
ties; and from international trade in goods, services, labor, ideas, and factories.
Win-Win Justice | 305
Table 44.4 WIN-WIN JUSTICE
Goals
C L
Alternatives Conservative Liberal
C
Conservative + –
L
Liberal – +
N
Neutral 0 0
SOS or win-win solution ++ ++
NOTE: C, conservative; L, liberal; N, neutral; SOS, super-optimum solution or win-win solution. An

objectively just policy has been found on the SOS row if the policy scores (a) higher on the liberal totals
than the liberal alternative and (b) simultaneously higher on the conservative totals than the conservative
alternative. In the this generalized context, this means scoring better than a 14 in both columns. An ob
jectively unjust policy has been found on the SOS row if the policy scores lower on the liberal totals alter
native. In this generalized context, this means scoring lower than a 10 in both columns. A policy that is
neither objectively just nor objectively unjust has been found on the SOS row if the policy scores (a) lower
on the liberal totals than the liberal alternative but higher than the conservative alternative, (b) lower on
the conservative totals than the conservative alternative but higher than the liberal alternative, or (c) both.
In this generalized context, this means scoring between 10 and 14 in both columns.
justice in the realm of labor-management ables conservatives, liberals, and other ma
class conflict is to provide for relatively jor ideological viewpoints all to simulta
high wages to satisfy labor but relatively neously achieve better than their best ini
low payments to satisfy management. The tial expectations. The second principle is
difference is in the form of a wage-supple that an objectively unjust policy exists if
ment voucher with strings attached de the policy causes conservatives, liberals,
signed to provide for the upgrading of and other major ideological viewpoints all
skills through on-the-job training and the to simultaneously achieve worse than their
hiring of unemployed people, especially worst initial expectations. The third princi
those outside the labor force. ple is that a policy is neither objectively just
or unjust if it enables one or more major
ideological viewpoints to achieve worse
than their best expectations, although they
PRINCIPLES
achieve better than their worst expecta
tions.
The previously discussed examples lead to SOS or win-win analysis is difficult to
three principles of super-optimum or win- refute for the following reasons:
win justice (Table 44.4). All three princi
ples can be illustrated by all three exam
ples, rather than one example for each 1. If the solution really does exceed the con
principle. The first principle is that an ob servative alternative on the totals column
jectively just policy exists if the policy en that uses conservative goals and weights,
then it is difficult for conservatives to the optimum choice or allocation because

object to the SOS. this choice or allocation is influenced by
2. Likewise, if the SOS exceeds the previous many other things.
liberal best on liberal goals and weights,
then it is difficult for liberals to object Win-win solutions have not been
to it. achieved very often in the past. The lack of
3. There are not very many neutrals in occurrence is probably not due to the lack
highly controversial choice or allocation of potential existence of such solutions.
situations. Even so, SOSs tend also to ex Rather, it is more likely due to the dispu
ceed the neutral best even though this is tants thinking in terms of either compro
not one of the definitional elements of an mises or war, strike, or litigation. What is
SOS. needed is more thinking in terms of the pos
4. It is difficult to criticize the weights that sibility of arriving at super-optimum jus
are used because these are empirical tice. Normally, one thinks of self-fulfilling
rather than normative weights. The prophecies as being undesirable, such as
weights do not indicate that a given goal when the prediction of failure helps cause
has high or low importance. Instead, they failure. A self-fulfilling prophecy, however,
indicate that conservatives or liberals can be something highly desirable. For ex
tend to evaluate the goal under consider ample, predicting the possibility of a SOS
ation as having high or low importance. helps facilitate such solutions.
This is an empirical statement about what This chapter has sought to clarify the
is rather than a normative statement concept of super-optimum justice with ex
about what should be. amples and general principles. Traditional
philosophy has been concerned with hav
5. It is usually difficult to criticize the rela ing a just society, economy, and polity. Per
tion scores. They are basically rank or haps it might be more fruitful to think also
ders or relative direction on which there is in terms of the super-optimum society,
likely to be consensus, as contrasted to economy, and polity. Win-win ideas can
more precise measures over which there perhaps help stimulate the development of
may be much disagreement, although more applications and details of win-win
not necessarily disagreement that makes policies toward the development of a win-
any difference in terms of the conclusions. win or super-optimum society, economy,
For example, no two people are likely to and polity.
say that the Washington Monument is For further details on win-win justice, see
smaller than the White House. No two “Justice and Super-Optimizing Analysis”
people are likely to agree through obser in Stuart Nagel, Legal Scholarship, Micro
vation, however, on the height in inches computers, and Super-Optimizing Deci
of the White House or the Washington sion-Making (Westport, CT: Greenwood-
Monument. In other words, the more pre Quorum, 1993). For background, see
cision that is demanded, the more unnec “Public Policy Goals” in Stuart Nagel,
essary disagreement is likely to occur. Public Policy: Goals, Means, and Methods
6. If there is disagreement regarding the (New York: St. Martin’s, 1984). For re
weights or the relation scores, the dis cent applications, see “The Ten Com
agreement can possibly be easily resolved mandments and Win-Win Analysis” in
through the what-if analysis or threshold Stuart Nagel, Super-Optimum Solutions
analysis. It is likely to show that regard and Win-Win Policy: Basic Concepts and
less of which position is right, the bottom Principles (Westport, CT: Greenwood-
line is basically the same with regard to Quorum, 1997).
Section
III
POLICY
EVALUATION
BIBLIOGRAPHIES
Part 1
POLICY
EVALUATION
IN GENERAL
CHAPTER 45
Core Bibliography
and Background
T his chapter contains mainly books

that cut across the subfields of eco
nomic, technology, social, politi
cal, international, and legal policy. For ex
ample, there is a core of principles that
General Scope of Policy Studies
Parsons, Wayne. Public Policy: An Introduc

tion to the Theory and Practice of Policy
Analysis. Cheltenham, UK: Elgar, 1995.
relate to process, methods, values, and use, Shafritz, Jay, ed. International Encyclopedia of
regardless of subfield. Public Policy and Administration. Boulder,
There are three main topics covering CO: Westview, 1998.
core courses, types of methods by disci Dunn, William, and Rita Kelly, eds. Advances
pline, and types of substance by discipline. in Policy Studies Since 1950. New Bruns
Disciplines mainly refer to the social sci wick, NJ: Transaction Publishing, 1992.
ences but also to the natural sciences and Nagel, Stuart, ed. Encyclopedia of Policy
the humanities. Methods could also be Studies. New York: Dekker, 1994.
classified by techniques (see the spring
1999 issue of Policy Evaluation). Sub
stance could also be classified by policy Policy Substance
subfield (see the autumn 1998 issue of Pol
icy Evaluation). Cochran, Clark, Lawrence Mayer, T. Carr, and
Joseph Cayer, eds. American Public Policy:
An Introduction. New York: St. Martin’s,
1996.
CORE COURSES Dye, Thomas. Understanding Public Policy.
Englewood Cliffs, NJ: Prentice Hall, 1998.
Crotty, William, ed. Post-Cold War Policy: The
There are four references listed under Social and Domestic Context. Chicago:
each subtopic of the core courses. The first Nelson-Hall, 1995.
two are non-Policy Studies Organization Lowi, Theodore, and Alan Stone, eds. Nation
(PSO) books. The second two are either in alizing Government: Public Policies in
a PSO series or were developed by the PSO. America. Beverly Hills, CA: Sage, 1978.
311
312 | Policy Evaluation in General
Policy Process Wagner, Peter, Carol Weiss, Bjorn Wittrock,

and Hellmut Wollman, eds. Social Sciences
Anderson, James. Public Policymaking. and Modern States: National Experiences
Boston: Houghton Mifflin, 1997. and Theoretical Crossroads. Cambridge,
Jones, Charles. An Introduction to the Study of UK: Cambridge University Press, 1991.
Public Policy. Belmont, CA: Wadsworth, Ingram, Helen, and Dean Mann, eds. Why Pol
1984. icies Succeed or Fail. Beverly Hills, CA: Sage,
Eyestone, Robert. Public Policy Formation. 1980.
Greenwich, CT: JAI, 1984. Weiss, Carol. Using Social Research in Public
May, Judith, and Aaron Wildavsky, eds. The Policy Making. Lexington, MA: Lexington
Policy Cycle. Beverly Hills, CA: Sage, 1978. Books, 1977.
Policy Methods TYPES OF METHODS

BY DISCIPLINE
Dunn, William. Public Policy Analysis: An In
troduction. Englewood Cliffs, NJ: Prentice Social Science Research Methods
Hall, 1994.
Quade, E. S. Analysis for Public Decisions. King, Gary, Robert Keohane, and Sidney Verba.
Santa Monica, CA: RAND, 1989. Designing Social Inquiry: Scientific Infer
Nagel, Stuart. Public Policy: Goals, Means, and ence in Qualitative Research. Princeton, NJ:
Methods. New York: St. Martin’s, 1984. Princeton University Press, 1994.
Palumbo, Dennis, Stephen Rawcett, and Paula Selltiz, Claire, Marie Jahoda, Morton Deutsch,
Wright, eds. Evaluating and Optimizing and Stuart Cook. Research Methods in So
Public Policy. Lexington, MA: Lexington cial Relations. New York: Holt, 1962.
Books, 1981. Zeisel, Hans. Say It With Figures. New York:
Harper & Row, 1968.
Policy Values
Political Science
Bok, Derek. The State of the Nation. Cam
bridge, MA: Harvard University Press, Bingham, Richard, and Marcus Ethridge, eds.
1996. Reaching Decisions in Public Policy and Ad
MacRae, Duncan. The Social Function of So ministration. White Plains, NY: Longman,
cial Science. New Haven, CT: Yale Univer 1982.
sity Press, 1976. Cole, Richard. Introduction to Political Science
Fischer, Frank, and John Forester, eds. Con and Policy Research. New York: St. Mar
fronting Values in Policy Analysis: The Poli tin’s, 1996.
tics of Criteria. Newbury Park, CA: Sage, Welch, Susan, and John Conner. Quantitative
1987. Methods for Public Administration. Bel
Nagel, Stuart. Policy Theory and Policy Evalu mont, CA: Dorsey, 1998.
ation: Concepts, Knowledge, Causes, and
Norms. Westport, CT: Greenwood, 1990.
Economics
Use Friedman, Lee. Microeconomic Policy Analy

sis. New York: McGraw-Hill, 1984.
Glaser, Edward, Harold Abelson, and Kathalee Gramlich, Edward. Benefit-Cost Analysis of
Garrison, eds. Putting Knowledge to Use. Government Programs. Englewood Cliffs,
San Francisco: Jossey-Bass, 1983. NJ: Prentice Hall, 1981.
Core Bibliography and Background | 313
Weimer, David, and Aidan Vining. Policy Anal Porto, Brian. The Craft of Legal Reasoning.
ysis: Concepts and Practice. Englewood Orlando, FL: Harcourt-Brace, 1998.
Cliffs, NJ: Prentice Hall, 1992. Sigler, Jay, and Benjamin Beede, eds. The Legal
Sources of Public Policy. Lexington, MA:
Lexington Books, 1977.
Sociology
Chelimsky, Eleanor, and William Shadish, eds. Humanities

Evaluation for the 21st Century: A Hand
book. Thousand Oaks, CA: Sage, 1997. Hayakawa, Samuel. Language in Thought and
Mohr, Lawrence. Impact Analysis for Program Action. New York: Harcourt Brace, 1949.
Evaluation. Garden City, NY: Dorsey, 1988. Ruby, Lionel. Logic: An Introduction. Philadel
Rossi, Peter, and Howard Freeman, eds. Evalu phia: J. B. Lippincott, 1950.
ation: A Systematic Approach. Newbury Titus, Harold. Ethics for Today. New York:
Park, CA: Sage, 1989. American Book, 1947.
Psychology TYPES OF PROBLEMS

BY DISCIPLINE
Pitz, Gordon, and Jack McKillip. Decision
Analysis for Program Evaluators. Beverly All major disciplines (especially in the so
Hills, CA: Sage, 1984. cial sciences) have relevant perspectives on
Winterfeldt, Detlof, and Ward Edwards. Deci all policy subfields. For example, the prob
sion Analysis and Behavioral Research. lem of unemployment is relevant to politi
Cambridge, UK: Cambridge University cal science, sociology, psychology, natural
Press, 1986. science and engineering, law, and the arts
Yates, Frank. Judgment and Decision Making. (especially literature, but also music and
Englewood Cliffs, NJ: Prentice Hall, 1990. visual arts such as movies), not just eco
nomics.
In mentioning basic disciplines, their ap
Engineering/Business (Operations plied counterparts should also be men
Research/Management Science) tioned. These counterparts are even closer
to the specific policy problems and policy
Miser, Hugh, and Edward Quade, eds. Hand subfields. For example, the applied coun
book of Systems Analysis: Overview of terpart of economics is business, for natu
Uses, Procedures, Applications, and Prac ral science it is engineering, for sociology it
tice. Amsterdam: North-Holland, 1985. is social work, for psychology it is clinical
Raiffa, Keeney. Decisions With Multiple Objec work and education, and for political sci
tives: Preferences and Value Tradeoffs. New ence it is public administration and law.
York: John Wiley, 1976.
Richmond, Samuel. Operations Research for
Management Decisions. New York: Ronald, Social Science Problems
1968.
Abt, Clark, ed. Problems in American Social
Policy Research. Council for Applied Social
Legal Research, 1980.
Currie, Elliott, and Jerome Skolnick. America’s
Jacobstein, Myron, and Roy Mersky, eds. Fun Problems: Social Issues and Public Policy.
damentals of Legal Research. Mineola, NY: Berkeley: University of California Press,
Foundation Press, 1981. 1988.
Farley, Reynolds. The New American Reality: Suedfeld, Peter, and Philip Tetlock, eds. Psy
Who We Are, How We Got Here, Where We chology and Social Policy. New York: Hemi
Are Going. New York: Russell Sage, 1996. sphere, 1992.
Political Technology
Anderson, James, David Brady, Charles Brooks, Harvey, and Chester Cooper, eds.
Bullock, and Joseph Stewart. Public Policy Science for Public Policy. Elmsford, NY:
and Politics in America. Pacific Grove, CA: Pergamon, 1987.
Brooks/Cole, 1984. Kuehn, Thomas, and Alan Porter, eds. Science,
Levine, Herbert. Political Issues Debated. Technology, and National Policy. Ithaca,
Englewood Cliffs, NJ: Prentice Hall, 1982. NY: Cornell University Press, 1981.
Lipson, Leslie. The Great Issues of Politics. Shrader-Frechette, Kristin, and Laura Westra.
Englewood Cliffs, NJ: Prentice Hall, 1989. Technology and Values. Lanham, MD:
Rowman & Littlefield, 1997.
Economic
Legal
Farley, Reynolds, ed. State of the Union: Amer
Freedman, Warren. Society on Trial: Current
ica in the 1990s: Economic Trends. New
Court Decisions and Social Change. Spring
York: Russell Sage, 1995.
field, IL: Charles C Thomas, 1965.
O’Neill, Terry, and Karin Swisher. Economics
Katsh, Ethan. Taking Sides: Clashing Views on
in America: Opposing Viewpoints. New Ha
Controversial Legal Issues. Guilford, CT:
ven, CT: Greenhaven, 1992.
Dushkin, 1995.
Phillips, Llad, and Harold Votey. Economic
Tucker, Edwin. Adjudication of Social Issues:
Analysis of Pressing Social Problems. Chi
Text, Cases, and Problems. St. Paul, MN:
cago: Rand McNally, 1977.
West, 1971.
Social Humanities
Farley, Reynolds, ed. State of the Union: Amer Diesing, Paul. Science and Ideology in the Pol
ica in the 1990s: Social Trends. New York: icy Sciences. Hawthorne, NY: Aldine, 1982.
Russell Sage, 1995. Gutmann, Amy, and Dennis Thompson, eds.
Lazarsfeld, Paul, William Sewell, and Harold Ethics and Politics: Cases and Comments.
Wilensky, eds. The Uses of Sociology. New Chicago: Nelson-Hall, 1990.
York: Basic Books, 1967. Rothman, David, and Stanton Wheeler. Social
Widdison, Harold, ed. Social Problems 94/95. History and Social Policy. San Diego: Aca
Guilford, CT: Dushkin, 1994. demic Press, 1981.
Psychological THE POLICY PROCESS
Oskamp, Stuart. Applied Social Psychology. Legislative Process

Slife, Brent. Taking Sides: Clashing Views on Gross, Bertram. The Legislative Struggle: A
Controversial Psychological Issues. Guil Study in Social Combat. New York:
ford, CT: Dushkin, 1994. McGraw-Hill, 1953.
Core Bibliography and Background | 315
Keefe, William, and Morris Ogul. The Ameri Judicial Process

can Legislative Process: Congress and the
States. Englewood Cliffs, NJ: Prentice Hall, Abraham, Henry. The Judicial Process. Oxford,
1985. UK: Oxford University Press, 1993.
Ripley, Randall. Congress: Process and Policy. Smith, Christopher. Courts, Politics, and the Ju
New York: Norton, 1978. dicial Process. Chicago: Nelson-Hall, 1997.
Tarr, Alan. Judicial Process and Judicial
Policymaking. St. Paul, MN: West, 1994.
Executive Process
Electoral Process
Campbell, Colin. The U.S. Presidency in Crisis: Berelson, Bernard R., Paul F. Lazarsfeld, and
A Comparative Perspective. Oxford, UK: William N. McPhee. Voting: A Study of
Oxford University Press, 1998. Opinion Formation in a Presidential Cam
Cohen, Jeffrey. Presidential Responsiveness paign. Chicago: University of Chicago Press,
and Public Policy-Making: The Public and 1954.
the Policies That Presidents Choose. Ann Lijphart, Arend, and Bernard Grofman, eds.
Arbor: University of Michigan Press, 1997. Choosing an Electoral System: Issues and
Thomas, Norman C., and Joseph A. Pika. The Alternatives. New York: Praeger, 1984.
Politics of the Presidency, rev. 4th ed. Wash Margolis, Michael, and Gary Mauser, eds. Ma
ington, DC: Congressional Quarterly, 1977. nipulating Public Opinion: Essays on Public
Opinion as a Dependent Variable. Pacific
Grove, CA: Brooks/Cole, 1989.
Administrative Process
Lobbying Process
Lynn, Naomi, and Aaron Wildavsky, eds. Pub Keefe, William. Parties, Politics, and Public
lic Administration: The State of the Disci Policy in America. Washington, DC: Con
pline. Chatham, NJ: Chatham, 1990. gressional Quarterly, 1998.
Perry, James, ed. Handbook of Public Adminis Key, V. O., Jr. Politics, Parties, and Pressure
tration. San Francisco: Jossey-Bass, 1989. Groups. New York: Crowell, 1953.
Rabin, Jack, Bartley Hildreth, and Gerald Truman, David B. The Governmental Process:
Miller, eds. Handbook of Public Adminis Political Interests and Public Opinion. New
tration. New York: Dekker, 1998. York: Knopf, 1953.
CHAPTER 46
Policy Problems or Subfields
T he following bibliography consists

of two policy books for each pol
icy subfield. The first level of orga
nization is divided into economic, social,
technology, political, and legal policy
ECONOMIC POLICY:
PROMOTING PROSPERITY
Economy as a Whole
fields. Each field is divided into two major Inflation and Unemployment
subfields. For example, the economic field
is divided into macroeconomic and micro- Schultze, Charles. Memos to the President: A
economic policy. Each major subfield is Guide Through Macroeconomics for the
then divided into approximately three spe Busy Policymaker. Washington, DC: Brook
cific subfields. For example, the macro ings Institution, 1992.
economic subfield is divided into inflation- Dubnick, Melvin, and Alan Gitelson, eds. Pub
unemployment, taxing-spending, and or lic Policy and Economic Institutions. Green
ganizing the economy. The last specific wich, CT: JAI, 1991.
subfield refers to public-private interaction
and to monopoly versus competition.
Within each specific subfield, there are Taxing, Spending, and the Deficit
two books. The first is a non-Policy Studies
Organization (PSO) book that seems quite Reischauer, Robert, ed. Setting National Prior
relevant. The second is a PSO book on the ities: Budget Choices for the Next Century.
subject. A PSO book is one that (a) began Washington, DC: Brookings Institution,
as a Policy Studies Review or Policy Studies 1997.
Journal issue in short form; (b) is published Samuels, Warren, and Larry Wade, eds. Taxing
in a series coordinated by PSO for Lex and Spending Policy. Lexington, MA: Lex
ington, Sage, Greenwood, JAI, Macmillan, ington Books, 1980.
Ashgate, or another PSO series or set; and/
or (c) was funded, edited, or coordinated
by PSO with in-house funds or personnel.
317
Organizing the Economy SOCIAL AND PSYCHOLOGICAL

POLICY: PROMOTING MERIT
Ross, Randy. Government and the Private Sec TREATMENT AND PERSONAL
tor: Who Should Do What? Santa Monica, DEVELOPMENT
CA: RAND, 1988.
Thompson, Dennis, ed. The Private Exercise of
Public Functions. New York: Associated Groups
Faculty Press, 1985.
Ethnic and Gender
Karst, Kenneth. Belonging to America: Equal

Factors of Production Citizenship and the Constitution. New Ha
ven, CT: Yale University Press, 1989.
Palley, Marian, and Michael Preston, eds. Race,
Land and Agriculture Sex, and Policy Problems. Lexington, MA:
Castle, Emery, ed. The Changing American
Countryside: Rural People and Places.
Lawrence: University of Kansas, 1995. Poverty and Public Aid
Hadwiger, Don, and William Browne, eds. The
New Politics of Food. Lexington, MA: Danziger, Sheldon, and Daniel Weinberg, eds.
Lexington Books, 1978. Fighting Poverty: What Works and What
Doesn’t. Cambridge, MA: Harvard Univer
sity Press, 1986.
Goldstein, Richard, and Stephen Sachs, eds.
Labor and Management Applied Poverty Research. Totowa, NJ:
Rowman & Allanheld, 1983.
Moore, Thomas. The Disposable Work Force:
Worker Displacement and Employment
Instability in America. Hawthorne, NY: Families and Reproduction
Aldine, 1996.
Flood, Lawrence, ed. Unions and Public Pol Zimmerman, Shirley. Understanding Family
icy: The New Economy, Law, and Demo Policy: Theories & Applications. Thousand
cratic Politics. Westport, CT: Greenwood, Oaks, CA: Sage, 1995.
1995. Anderson, Elaine, and Richard Hula, eds. The
Reconstruction of Family Policy. Westport,
CT: Greenwood, 1991.
Business and Consumers

Personal Development
Buchholz, Rogene. Business Environment and
Public Policy: Implications for Manage Education
ment and Strategy Formulation. Englewood
Cliffs, NJ: Prentice Hall, 1986.
Bierlein, Louann. Controversial Issues in Edu
Judd, Richard, William Greenwood, and cational Policy. Newbury Park, CA: Sage,
Fred Becker, eds. Small Business in a Regu 1993.
lated Economy: Issues and Policy Implica
Gove, Samuel, and Thomas Stauffer, eds. Policy
tions. Westport, CT: Quorum, 1988.
Controversies in Higher Education. West
port, CT: Greenwood, 1986.
Policy Problems or Subfields | 319
Leisure Applied Science
Feld, Alan, Michael O’Hare, and Mark Energy

Schuster, eds. Patrons Despite Themselves:
Taxpayers and Arts Policy. New York: New Davis, David. Energy Politics. New York: St.
York University Press, 1983. Martin’s, 1993.
Hutcheson, John, Francis Noe, and Robert Walsh, Roberta, and John Heilman, eds. Ener
Snow, eds. Outdoor Recreation Policy: Plea gizing the Energy Policy Process. Westport,
sure and Preservation. Westport, CT: Green CT: Quorum, 1994.
wood, 1990.
Medical Care
TECHNOLOGY AND
SCIENCE POLICY: Rushefsky, Mark. Health Care Politics and Pol
PROMOTING INNOVATION icy in America. Armonk, NY: Sharpe, 1995.
Mills, Miriam, and Robert Blank, eds. Health
Insurance and Public Policy: Risk, Alloca
Physical Planning
tion, and Equity. Westport, CT: Greenwood,
1992.
Environment
Kamieniecki, Sheldon, George Gonzalez, and Technological Innovation

Robert Vos, eds. Flashpoints in Environ
mental Policymaking: Controversies in Irwin, Steven. Technology Policy and America’s
Achieving Sustainability. Albany: State Uni Future. Washington, DC: Henry Stimpson
versity of New York Press, 1997. Center, 1993.
Ingram, Helen, and Kenneth Godwin, eds. Pub Lambright, Henry, and Dianne Rahm, eds.
lic Policy and the Natural Environment. Technology and U.S. Competitiveness: An
Greenwich, CT: JAI, 1985. Institutional Focus. Westport, CT: Green
wood, 1992.
Housing
DOMESTIC POLITICS:
van Vliet, Willem, ed. The Encyclopedia of PROMOTING DEMOCRACY
Housing. Thousand Oaks, CA: Sage, 1998.
Hays, Allen, ed. Ownership, Control, and the There are four books (rather than two) un
Future of Housing Policy. Westport, CT: der each of these political categories be
Greenwood, 1983. cause effective formulation and implemen
tation of public policy requires effective
political institutions. It also requires pros
Transportation and Communication perity, merit treatment, personal develop
ment, peace, and law. Thus, a better reason
Bonnet, Thomas. Telewars in the States: Tele for four books is that PSO members gener
communications Issues in a New Era of ally read and write more political books
Competition. Lexington, KY: Council of than economic, social, technological, inter
Governors’ Policy Advisors, 1996. national, or legal books. There are also
Altshuler, Alan, ed. Current Issues in Transpor fewer subcategories under political. The
tation Policy. Lexington, MA: Lexington first two books are non-PSO, and the sec
Books, 1979. ond two are PSO.
Government Reform Campaigning
Levels of Government Piven, Frances, and Richard Cloward. Why

Americans Don’t Vote. New York: Pan
Katz, Ellis, and Alan Tarr, eds. Federalism and theon, 1988.
Rights. Lanham, MD: Rowman & Little- Sorauf, Frank. Inside Campaign Finance:
field, 1996. Myths and Realities. New Haven, CT: Yale
Light, Paul. Thickening Government: Federal University Press, 1992.
Hierarchy and the Diffusion of Accountabil Crotty, William, ed. Political Participation and
ity. Washington, DC: Brookings Institution, American Democracy. Westport, CT: Green
1995. wood, 1991.
Benton, Edwin, and David Morgan, eds. Inter Crotty, William, ed. Paths to Political Reform.
governmental Relations and Public Policy. Lexington, MA: Lexington Books, 1980.
Westport, CT: Greenwood, 1986.
Meyer, Fred, and Ralph Baker, eds. State Policy
Problems. Chicago: Nelson-Hall, 1993. INTERNATIONAL POLITICS:
PROMOTING WORLD PEACE,
PROSPERITY, AND DEMOCRACY
Branches of Government
In this international section, three books
Collier, Kenneth. Between the Branches: The (rather than two) are listed for each subsec
White House Office of Legislative Affairs. tion, given the importance of the section to
Pittsburgh, PA: University of Pittsburgh the PSO concern for developing nations.
Press, 1997. The first two books are non-PSO books,
Dunn, Charles. American Democracy Debated. and the third is a PSO book. There is only
Glenview, IL: Scott, Foresman, 1982. one PSO book per subsection (rather than
Calista, Donald, ed. Bureaucratic and Govern two) because PSO editors have shown
mental Reform. Greenwich, CT: JAI, 1986. more interest in domestic policy rather
Eyestone, Robert, ed. Public Policy Formation. than international or cross-national pol
Greenwich, CT: JAI, 1984. icy. The Developmental Policy Studies
Newsletter-Journal seeks to remedy this
imbalance.
Electoral Policy
Representation World Peace
Grofman, Bernard, ed. Political Gerryman United Nations and
dering and the Courts. Edison, NJ: Agathon, International Organizations
1990.
Lijphart, Arend, and Bernard Grofman. Luard, Evan. The United Nations: How It
Choosing an Electoral System: Issues and Works and What It Does. New York: St.
Alternatives. New York: Praeger, 1984. Martin’s, 1994.
Grofman, Bernard, Arend Lijphart, Robert Baehr, Peter, and Leon Gordenker. The United
McKay, and Howard Scarrow, eds. Repre Nations in the 1990s. New York: St. Mar
sentation and Redistricting Issues. Lexing tin’s, 1992.
ton, MA: Lexington Books, 1982. Bartlett, Robert, Priya Kurian, and Madhu
Nagel, Stuart, and Vladimir Rukavishnikov. Malik, eds. International Organizations and
Combining Capitalism, Socialism, and De Environmental Policy. Westport, CT: Green
mocracy. Aldershot, UK: Ashgate, 1998. wood, 1995.
Policy Problems or Subfields | 321
International Law and

Technology Transfer
Dispute Resolution
Muir, Albert. The Technology Transfer System:

Crocker, Chester, Fen Hampson, and Pamela Inventions Marketing, Licensing, Patenting,
Aall, eds. Managing Global Chaos: Sources Setting, Practice, Management, Policy.
of and Responses to International Conflict. Alameda, CA: Latham, 1997.
Washington, DC: U.S. Institute of Peace, Kash, Don. Perpetual Innovation: The New
1996. World of Competition. New York: Basic
Carnegie Commission on Preventing Deadly Books, 1989.
Conflict. Preventing Deadly Conflict: Final Lee, Yong, ed. Technology Transfer and Public
Report With Executive Summary. New Policy. Westport, CT: Quorum, 1997.
York: Carnegie, 1997.
Nagel, Stuart, and Miriam Mills, eds. System
atic Analysis in Dispute Resolution. West International Social-Political Policy
port, CT: Quorum, 1991.
Immigration
War and Defense Policy Cornelius, Wayne, Philip Martin, and James
Hollifield, eds. Controlling Immigration: A
Ripley, Randall, and James Lindsay, eds. U.S. Global Perspective. Stanford, CA: Stanford
Foreign Policy After the Cold War. Pitts University Press, 1994.
burgh, PA: University of Pittsburgh Press, Teitelbaum, Michael, and Myron Weiner, eds.
1997. Threatened Peoples, Threatened Borders:
Snow, Donald, and Eugene Brown. An Intro World Migration and U.S. Policy. New
duction to U.S. Foreign Policy: Beyond the York: American Assembly, 1995.
Water’s Edge. New York: St. Martin’s, 1997. Kraft, Michael, and Mark Schneider. Popula
Kolodziej, Edward, and Robert Harkavy, eds. tion Policy Analysis. Lexington, MA: Lex
Security Policies of Developing Countries. ington Books, 1978.
Lexington, MA: Lexington Books, 1982.
Poverty and Discrimination

International Economic-
Gurr, Ted. Minorities at Risk: A Global View of
Technology Policy
Ethnopolitical Conflicts. Washington, DC:
U.S. Institute of Peace, 1993.
Trade and Tariffs McFate, Katherine, Roger Lawson, and
William Wilson, eds. Poverty, Inequality,
Blake, David, and Robert Walters. The Politics and the Future of Social Policy: Western
of Global Economic Relations. Englewood States in the New World Order. New York:
Cliffs, NJ: Prentice Hall, 1987. Russell Sage, 1995.
Lawrence, Robert, Albert Bressand, and DeGregori, Thomas, and Harrell Rodgers, eds.
Takatoshi Ito, eds. Integrating National Poverty Policy in Developing Countries.
Economies: A Vision for the World Econ Greenwich, CT: JAI, 1994.
omy: Openness, Diversity, and Cohesion.
Washington, DC: Brookings Institution,
1996. Human Rights
Browne, William, and Don Hadwiger, eds.
World Food Policies: Toward Agricultural Gillies, David. Between Principle and Practice:
Interdependence. Boulder, CO: Rienner, Human Rights in North-South Relations.
1986. Montreal: McGill-Queen’s, 1996.
Hanski, Raija, and Markku Suksi, eds. An In Bill of Rights

troduction to the International Protection of
Human Rights. Utrecht, The Netherlands: Freedom of Speech and Assembly
Institute for Human Rights, 1997.
Cingranelli, David, ed. Human Rights and De Emerson, Thomas. The System of Freedom of
veloping Countries. Greenwich, CT: JAI, Expression. New York: Vintage, 1970.
1996. Tedford, Thomas. Freedom of Speech in the
United States. New York: Random House,
1985.
LEGAL POLICY: PROMOTING LAW Wasby, Stephen. Civil Liberties. Lexington,
COMPLIANCE, ESPECIALLY MA: Lexington Books, 1976.
CONSTITUTIONAL LAW
Compliance With the Law Freedom of Religion
Traditional Crimes Lugo, Luis, ed. Religion, Public Life, and the
American Polity. Nashville: University of
Walker, Samuel. Sense and Nonsense About Tennessee Press, 1994.
Crime: A Policy Guide. Belmont, CA: Wads- Monsma, Stephen, and Christopher Soper. The
worth, 1989. Challenge of Pluralism: Church and State in
Fisch, Mark. Annual Editions: Criminology 98/ Five Democracies. Lanham, MD: Rowman
99. New York: McGraw-Hill, 1998. & Littlefield, 1997.
Baker, Ralph, and Fred Meyer. Evaluating Al Dunn, William. Values, Ethics, and the Practice
ternative Law-Enforcement Policies. Lex of Policy Analysis. Lexington, MA: Lex
ington, MA: Lexington Books, 1979. ington Books, 1983.
Business Wrongdoing and Incentives Fair Criminal Procedure
Geis, Gilbert, and Ezra Stotland. White Collar Bartollas, Clemens, Stuart Miller, and Paul
Crime: Theory and Research. Beverly Hills, Wice. Participants in American Criminal
CA: Sage, 1980. Justice: The Promise and the Performance.
Stone, Alan. Regulation and Its Alternatives. Englewood Cliffs, NJ: Prentice Hall, 1983.
Washington, DC: Congressional Quarterly, Levine, James, Michael Musheno, and Dennis
1982. Palumbo. Criminal Justice in America: Law
Anderson, James. Economic Regulatory Pol in Action. New York: John Wiley, 1986.
icies. Lexington, MA: Lexington Books, Doig, Jameson. Criminal Corrections: Ideals
1976. and Realities. Lexington, MA: Lexington
Books, 1983.
Governmental Wrongdoing and

Judicial Review Fair Civil Procedure
Frederickson, George. Ethics and Public Ad Abraham, Henry. The Judicial Process. Oxford,
ministration. Armonk, NY: Sharpe, 1993. UK: Oxford University Press, 1993.
Handler, Joel. The Conditions of Discretion: Smith, Christopher. Courts, Politics, and the Ju
Autonomy, Community, Bureaucracy. New dicial Process. Chicago: Nelson-Hall, 1997.
York: Russell Sage, 1986. Dubois, Philip. The Analysis of Judicial Re
Calista, Donald. Bureaucratic and Governmen form. Lexington, MA: Lexington Books,
tal Reform. Greenwich, CT: JAI, 1986. 1982.
Part 2
POLICY STUDIES
ORGANIZATION
BOOKS
CHAPTER 47
Policy Studies
Organization Policy Books
T he Policy Studies Organization

(PSO) is frequently asked by vari
ous people and organizations for
bibliographic references to various catego
ries of public policy books. The main pur
Review. A third purpose of this bibliog
raphy is thus to provide readers of the
Policy Evaluation Newsletter-Journal with
a list of PSO books so that they can order
the less expensive although less complete
pose of the following bibliography is to journal versions if they want to do so. A list
help answer such inquiries. of the journal versions is given on pages 5
The bibliography also provides a sum 13 of Policy Studies Index (Champaign, IL:
mary of some of the publication work of PSO, 1995).
the PSO. This is only part of the PSO publi The books listed here are arranged by
cation program because book publishing topic and subtopic rather than chronologi
does not include the publishing of the (a) cally. All major topics and subtopics within
Policy Studies Journal, (b) Policy Studies policy studies are covered. The books were
Review, (c) Policy Evaluation, (d) Devel originally conceived to emphasize analysis
opmental Policy, (e) Creativity Plus, (f) of lasting value, as contrasted to more
Peace, Prosperity, and Democracy, and (g) news-oriented policy analysis. Therefore,
the MKM-PSO-DSI Journal. There are even the older books have contemporary
also nine directories dealing with training significance. Most of the books are still in
programs, research centers, government print. Nearly all the journal counterparts
agencies, funding sources, publishers, rele are still in print and generally available for
vant journals, interest groups, policy stud approximately $5 apiece to individuals
ies personnel, and relevant associations. and $10 to libraries and institutions.
Merely listing the books, the symposium A PSO public policy book is a book that
journal issues, the journals, and the direc (a) was initially printed in summary form
tories also misses the numerous people or a symposium issue of Policy Studies
who are involved in authoring and editing Journal or Policy Studies Review; (b) was
chapters, articles, symposia, papers, and initially or subsequently published in a
other PSO products. PSO series with Sage, Lexington, Green
Most of these books have counterparts wood, Macmillan, or another PSO pub
in the form of symposium issues of the Pol lisher; (c) was edited by the PSO publica
icy Studies Journal or the Policy Studies tions coordinators; (d) was funded by PSO
325
326 | Policy Studies Organization Books
funds; (e) the royalties from which are paid Holden, Matthew, and Dennis Dresang. What
to PSO; or (f) has any one or more of the Government Does. Beverly Hills, CA: Sage,
previous five characteristics. We invite sug 1975.
gestions for future book topics, authors, Lowi, Theodore, and Alan Stone. Nationalizing
editors, contributors, and funding sources. Government: Public Policies in America.
Beverly Hills, CA: Sage, 1978.
Nagel, Stuart. Policy Studies in American and
BOOKS THAT CUT Elsewhere. Lexington, MA: Lexington
ACROSS POLICY PROBLEMS Books, 1975.
Basic Concepts and

Purpose of Policy Studies Multidisciplinary Relations
McCall, George, and George Weber. Social Sci

Definitions, History,
ence and Public Policy: The Roles of Aca
and Overview
demic Disciplines in Policy Analysis. New
York: Associated Faculty Press, 1984.
Dunn, William. Policy Analysis: Perspectives,
Nagel, Stuart. Policy Studies and the Social Sci
Concepts, and Methods. Greenwich, CT:
ences. Lexington, MA: Lexington Books,
JAI, 1986.
1975.
Dunn, William, and Rita Kelly. Advances in
Nagel, Stuart, with Lisa Bievenue. Social Sci
Policy Studies Since 1950. New Brunswick,
ence, Law, and Public Policy. Lanham, MD:
NJ: Transaction Publishing, 1992.
University Press of America, 1992.
Nagel, Stuart. Research in Public Policy Analy
sis and Management. Greenwich, CT: JAI
(annual series).
_____. PSO Directories. Champaign, IL: PSO Teaching
(various years).
_____. Policy Studies Review Annual. Beverly Bergerson, Peter. Teaching Public Policy: The
Hills, CA: Sage, 1977. ory, Research, and Practice. Westport, CT:
Greenwood, 1991.
_____. The Policy Studies Handbook.
Lexington, MA: Lexington Books, 1980. Coplin, William. Teaching Policy Studies.
_____. Basic Literature in Policy Studies: A
Comprehensive Bibliography. Greenwich,
CT: JAI, 1984.
_____. Contemporary Public Policy Analysis. Utilization of Research
Tuscaloosa: University of Alabama Press,
1984. Weiss, Carol. Using Social Research in Public
_____. Encyclopedia of Policy Studies. New Policy Making. Lexington, MA: Lexington
York: Dekker, 1994. Books, 1977.
Nagel, Stuart, and Miriam Mills. Professional
Development in Policy Studies. Westport,
CT: Greenwood, 1993. Policy Theory: Causes,
Effects, and Goals
Substance Issues Theory in General
Crotty, William. Post-Cold War Policy: The Chen, Huey-tshy, and Peter Rossi. Using The
Social and Domestic Context. Chicago: ory to Improve Program and Policy Evalua
Nelson-Hall, 1995. tion. Westport, CT: Greenwood, 1992.
Policy Books | 327
Gregg, Phillip. Problems of Theory in Policy Methods of

Analysis. Lexington, MA: Lexington Books, Public Policy Evaluation
1976.
Nagel, Stuart. Public Policy: Goals, Means, and
Methods. New York: St. Martin’s, 1984. Methods in General
_____. Policy Studies: Integration and Evalua
tion. Westport, CT: Greenwood, 1988. Nagel, Stuart. Improving Policy Analysis.
_____. Policy Theory and Policy Evaluation: Beverly Hills, CA: Sage, 1980.
Concepts, Knowledge, Causes, and Norms. _____. Evaluative and Explanatory Reasoning.
Westport, CT: Greenwood, 1990. Westport, CT: Quorum, 1992.
Rae, Douglas, and Theodore Eismeier. Public
Policy and Public Choice. Beverly Hills, CA:
Sage, 1979.
Statistical-Inductive Methods
Dolbeare, Kenneth. Public Policy Evaluation.

Causal Analysis Beverly Hills, CA: Sage, 1975.
Nagel, Stuart, and Marian Neef. Policy Analy
Dye, Thomas, and Virginia Gray. The Determi sis in Social Science Research. Beverly Hills,
nants of Public Policy. Lexington, MA: CA: Sage, 1979.
Palumbo, Dennis. The Politics of Program
Ingram, Helen, and Dean Mann. Why Policies Evaluation. Newbury Park, CA: Sage, 1987.
Succeed or Fail. Beverly Hills, CA: Sage,
Scioli, Frank, and Thomas Cook. Methodol
1980.
ogies for Analyzing Public Policies. Lexing
Nagel, Stuart. Causation, Predication, and Le
ton, MA: Lexington Books, 1975.
gal Analysis. Westport, CT: Quorum, 1986.
Impact Analysis Optimizing-Deductive Methods
Danzinger, Sheldon, and Kent Portney. The Dis Nagel, Stuart. Policy Evaluation: Making Opti
tributional Impacts of Public Policies. New mum Decisions. New York: Praeger, 1982.
York: St. Martin’s, 1988. _____. Law, Policy, and Optimizing Analysis.
Grumm, John, and Stephen Wasby. The Analy Westport, CT: Quorum, 1986.
sis of Policy Impact. Lexington, MA: Lex Nagel, Stuart, and Marian Neef. Operations
ington Books, 1981. Research Methods: As Applied to Political
Science and the Legal Process. Beverly Hills,
CA: Sage, 1976.
Normative Analysis _____. Legal Policy Analysis. Lexington, MA:
Dunn, William. Values, Ethics, and the Practice _____. Decision Theory and the Legal Process.
of Policy Analysis. Lexington, MA: Lex Lexington, MA: Lexington Books, 1979.
ington Books, 1983. Palumbo, Dennis, Stephen Fawcett, and Paula
Fischer, Frank, and John Forester. Confronting Wright. Evaluating and Optimizing Public
Values in Policy Analysis: The Politics of Policy. Lexington, MA: Lexington Books,
Criteria. Newbury Park, CA: Sage, 1987. 1981.
Nagel, Stuart. Higher Goals for America: Tullock, Gordon, and Richard Wagner. Policy
Doing Better Than the Best. Lanham, MD: Analysis and Deductive Reasoning. Lexing
University Press of America, 1989. ton, MA: Lexington Books, 1978.
Policy Analysis Software Nagel, Stuart. The Legal Process From a Behav
ioral Perspective. Belmont, CA: Dorsey,
Nagel, Stuart. Microcomputers as Decision 1969.
Aids in Law Practice. Westport, CT: Quo
rum, 1987.
_____. Decision-Aiding Software and Legal Policy Formation
Decision-Making: A Guide to Skills and Ap
plications Throughout the Law. Westport, Eyestone, Robert. Public Policy Formation.
CT: Quorum, 1989. Greenwich, CT: JAI, 1984.
_____. Law, Decision-Making, and Micro McClain, Paula. Minority Group Influence:
computers: Cross-National Perspectives. Agenda Setting, Formulation, and Public
Westport, CT: Quorum, 1991. Policy. Westport, CT: Greenwood, 1993.
_____. Decision-Aiding Software: Skills, Ob Mills, Miriam. Conflict Resolution and Public
stacles, and Applications. New York: Mac Policy. Westport, CT: Greenwood, 1990.
millan, 1991. _____. Alternative Dispute Resolution in the
_____. Applications of Decision-Aiding Soft Public Sector. Chicago: Nelson-Hall, 1991.
ware. New York: Macmillan, 1992. Nagel, Stuart, and Miriam Mills. Multi-Criteria
_____. Computer-Aided Decision Analysis: Methods for Alternative Dispute Resolu
Theory and Applications. Westport, CT: tion. Westport, CT: Quorum, 1990.
Quorum, 1993.
_____. Systematic Analysis in Dispute Resolu
Nagel, Stuart, and Lisa Bievenue. Teach Your
tion. Westport, CT: Quorum, 1991.
self Decision-Aiding Software. Lanham,
MD: University Press of America, 1992.
Nagel, Stuart, and David Garson. Advances in
Social Science and Computers. Greenwich,
Policy Implementation
CT: JAI (annual series).
Edwards, George. Public Policy Implementa
tion. Greenwich, CT: JAI, 1984.
Win-Win Policy Evaluation Mazmanian, Daniel, and Paul Sabatier. Effec
tive Policy Implementation. Lexington,
Nagel, Stuart. Global Policy Studies: Interna MA: Lexington Books, 1981.
tional Interaction Toward Improving Public Palumbo, Dennis, and Donald Calista. Imple
Policy. New York: Macmillan, 1991. mentation and the Policy Process: Opening
_____. Legal Scholarship, Microcomputers, Up the Black Box. Westport, CT: Green
and Super-Optimizing Decision-Making. wood, 1990.
Westport, CT: Quorum, 1993. Palumbo, Dennis, and Marvin Harder. Imple
_____. The Policy Process and Super-Optimum menting Public Policy. Lexington, MA: Lex
Solutions. Huntington, NY: Nova Science, ington Books, 1981.
1994.
Electoral Processes
POLICY PROCESSES
AND STRUCTURES Crotty, William. Paths to Political Reform.
Processes _____. Political Participation and American
Democracy. Westport, CT: Greenwood,
General 1991.
DeSario, Jack, and S. Langton. Citizen Partici
May, Judith, and Aaron Wildavski. The Policy pation in Public Decision Making. West
Cycle. Beverly Hills, CA: Sage, 1978. port, CT: Greenwood, 1987.
Policy Books | 329
Government Branches Judicial Branch
Dubois, Philip. The Analysis of Judicial Re

Administrative Branch form. Lexington, MA: Lexington Books,
1982.
Caiden, Gerald, and Heinrich Siedentopf. Strat
_____. The Politics of Judicial Reform.
egies for Administrative Reform. Lexington,
MA: Lexington Books, 1982.
Jackson, Donald, and Neal Tate. Comparative
Calista, Donald. Bureaucratic and Governmen
Judicial Review and Public Policy. Westport,
tal Reform. Greenwich, CT: JAI, 1986.
Frederickson, George, and Charles Wise. Pub
Nagel, Stuart. Improving the Legal Process.
lic Administration and Public Policy. Lex
ington, MA: Lexington Books, 1977.
Nagel, Stuart, and Marian Neef. The Legal Pro
Ingraham, Patricia, and David Rosenbloom.
cess: Modeling the System. Beverly Hills,
The Promise and Paradox of Civil Service
CA: Sage, 1977.
Reform. Pittsburgh, PA: University of Pitts
burgh Press, 1992.
Kelly, Rita. Promoting Productivity in the Pub
lic Sector: Problems, Strategies, and Pros Levels of Government
pects. New York: St. Martin’s, 1988.
Mitchell, Jerry. Public Authorities and Public
States, Provinces, and Federalism
Policy. Westport, CT: Greenwood, 1992.
Nagel, Stuart. Public Administration and
Benton, Edwin, and David Morgan. Intergov
Decision-Aiding Software: Improving Pro
ernmental Relations and Public Policy.
cedure and Substance. Westport, CT: Green
wood, 1990.
Jones, Charles, and Robert Thomas. Public
Rosenbloom, David. Public Personnel Policy:
Policy Making in a Federal System. Beverly
The Politics of Civil Service. New York:
Hills, CA: Sage, 1976.
Associated Faculty Press, 1985.
Judd, Dennis. Public Policy Across States and
Communities. Greenwich, CT: JAI, 1985.
Legislative Branch Meyer, Fred, and Ralph Baker. State Policy
Problems. Chicago: Nelson-Hall, 1993.
Grofman, Bernard, Arend Lijphart, Robert
McKay, and Howard Scarrow. Represen
tation and Redistricting Issues. Lexington, Urban Policy
Rieselbach, Leroy. Legislative Reform. Lexing Lineberry, Robert, and Louis Masotti. Urban
ton, MA: Lexington Books, 1978. Problems and Public Policy. Lexington,
Marshall, Dale. Urban Policy Making. Beverly
Executive Branch Hills, CA: Sage, 1979.
Rich, Richard. Analyzing Urban-Service Distri
Edwards, George, Steven Shull, and Norman butions. Lexington, MA: Lexington Books,
Thomas. The Presidency and Public Policy 1982.
Making. Pittsburgh, PA: University of Pitts _____. The Politics of Urban Public Service.
burgh Press, 1985. Lexington, MA: Lexington Books, 1982.
Herzik, Eric, and Brent Brown. Gubernatorial Rosentraub, Mark. Urban Policy Problems:
Leadership and State Policy. Westport, CT: Federal Policy and Institutional Change.
Greenwood, 1991. New York: Praeger, 1986.
Rural Policy Dubnick, Melvin, and Alan Gitelson. Public

Policy and Economic Institutions. Green
Browne, William, and Don Hadwiger. Rural wich, CT: JAI, 1991.
Policy Problems: Changing Dimensions. Samuels, Warren. Fundamentals of the Eco
Lexington, MA: Lexington Books, 1982. nomic Role of Government. Westport, CT:
Rodgers, Harrell, and Gregory Weiher. Rural Greenwood, 1989.
Poverty: Special Causes and Policy Reforms.
Sears, David, and Norman Reid. Rural Devel
Stimulating the Total Economy
opment Strategies. Chicago: Nelson-Hall,
1995.
Holzer, Marc, and Stuart Nagel. Productivity
and Public Policy. Beverly Hills, CA: Sage,
1984.
Local Policy
Redburn, Stevens, Terry Buss, and Larry
Ledebur. Revitalizing the U.S. Economy.
Ben-Elia, Nahum. Strategic Changes and Orga
New York: Praeger, 1986.
nizational Reorientations in Local Govern
Samuels, Warren, and Larry Wade. Taxing and
ment: A Cross-National Perspective. New
Spending Policy. Lexington, MA: Lexington
York: Macmillan, 1996.
Books, 1980.
Busson, Terry, and Philip Coulter. Policy Evalu
ation for Local Government. Westport, CT:
Greenwood, 1987.
Carmon, Naomi. Neighbourhood Policy and Land, Labor, and Capital
Programmes: Past and Present. New York:
Macmillan, 1990. Bulmer, Charles, and John Carmichael. Em
Fasenfest, David. Community Economic De ployment and Labor-Relations Policy.
velopment. New York: Macmillan, 1993. Lexington, MA: Lexington Books, 1980.
McGowan, Robert, and Edward Ottensmeyer. Flood, Lawrence. Unions and Public Policy:
Economic Development Strategies for State The New Economy, Law, and Democratic
and Local Government. Chicago: Nelson- Politics. Westport, CT: Greenwood, 1995.
Hall, 1993. Hadwiger, Don, and William Browne. The New
Meyer, Peter. Comparative Studies in Local Politics of Food. Lexington, MA: Lexington
Economic Development: Problems in Pol Books, 1978.
icy Implementation. Westport, CT: Green Judd, Richard, William Greenwood, and Fred
wood, 1993. Becker. Small Business in a Regulated Econ
Redburn, Stevens, and Terry Buss. Public Pol omy: Issues and Policy Implications. West
icies for Distressed Communities. Lexing port, CT: Quorum, 1988.
ton, MA: Lexington Books, 1982.
SPECIFIC POLICY PROBLEMS Economic Tools
Hula, Richard. Market-Based Public Policy.

Economic Policy New York: Macmillan, 1988.
Stone, Alan, and Edward Harpham. The Politi
General Economic Policy cal Economy of Public Policy. Beverly Hills,
CA: Sage, 1982.
Anderson, James. Economic Regulatory Pol Thompson, Dennis. The Private Exercise of
icies. Lexington, MA: Lexington Books, Public Functions. New York: Associated
1976. Faculty Press, 1985.
Policy Books | 331
Budgets and Productivity Health and Biomedical
Holzer, Marc, and Stuart Nagel. Productivity Blank, Robert. Biomedical Policy. Chicago:
and Public Policy. Beverly Hills, CA: Sage, Nelson-Hall, 1995.
1984. Blank, Robert, and Miriam Mills. Biomedical
Levine, Charles, and Irene Rubin. Fiscal Stress Technology and Public Policy. Westport,
and Public Policy. Beverly Hills, CA: Sage, CT: Greenwood, 1989.
1980. Mills, Miriam, and Robert Blank. Health Insur
ance and Public Policy: Risk, Allocation,
and Equity. Westport, CT: Greenwood,
Technology Policy 1992.
Straetz, Ralph, Marvin Lieberman, and Alice
Innovation, Dispersion, and Impact Sardell. Critical Issues in Health Policy.
Bartlett, Robert. Policy Through Impact As
sessment: Institutionalized Analysis as a
Policy Strategy. Westport, CT: Greenwood,
Food Policy
1989.
Haberer, Joseph. Science and Technology Pol
Browne, William, and Don Hadwiger. World
icy. Lexington, MA: Lexington Books,
Food Policies: Toward Agricultural Interde
1977.
pendence. Boulder, CO: Rienner, 1986.
Hadden, Susan. Risk Analysis, Institutions, and
Public Policy. New York: Associated Faculty Hadwiger, Don, and William Browne. Public
Press, 1984. Policy and Agricultural Technology: Adver
Lambright, Henry, and Dianne Rahm. Technol sity Despite Achievement. New York:
ogy and U.S. Competitiveness: An Institu Macmillan, 1987.
tional Focus. Westport, CT: Greenwood, Helmuth, John, and Don Hadwiger. Interna
1992. tional Agricultural Trade and Market Devel
Roessner, David. Government Innovation Pol opment Policy in the 1990s. Westport, CT:
icy: Design, Implementation, Evaluation. Greenwood, 1993.
New York: St. Martin’s, 1988. Webber, David. Biotechnology: Assessing So
cial Impacts and Policy Implications. West
port, CT: Greenwood, 1990.
Energy Policy
Ender, Richard, and John Kim. Energy Re Environmental Policy

sources Development: Politics and Policies.
Westport, CT: Quorum, 1987.
Herzik, Eric, and Alvin Mushkatel. Problems General
and Prospects for Nuclear Waste Disposal
Policy. Westport, CT: Greenwood, 1993. Ingram, Helen, and Kenneth Godwin. Public
Lawrence, Robert. New Dimensions to Energy Policy and the Natural Environment. Green
Policy. Lexington, MA: Lexington Books, wich, CT: JAI, 1985.
1979. Mann, Dean. Environmental Policy Forma
Walsh, Lawrence, and Martin Heisler. Interna tion. Lexington, MA: Lexington Books,
tional Energy Policy. Lexington, MA: 1981.
Lexington Books, 1980. _____. Environmental Policy Implementation.
Walsh, Roberta, and John Heilman. Energizing Lexington, MA: Lexington Books, 1982.
the Energy Policy Process: The Impact of Nagel, Stuart. Environmental Politics. New
Evaluation. Westport, CT: Quorum, 1994. York: Praeger, 1974.
International Environment Waste Disposal
Downing, Paul, and Kennth Hanf. Interna Davis, Charles E., and James Lester. Dimen
tional Comparisons in Implementing Pollu sions of Hazardous Waste Politics and Pol
tion Laws. Dordrecht, The Netherlands: icy. Westport, CT: Greenwood, 1988.
Kluwer Nijhoff, 1983.
Feldman, David. Global Climate Change and
Public Policy. Chicago: Nelson-Hall, 1994. Social Policy
General Social Policy

Natural Resources
Rodgers, Harrell. Public Policy and Social In

and Conservation
stitutions. Greenwich, CT: JAI, 1984.
Desai, Uday. Moving the Earth: Cooperative

Federalism and Implementation of the Sur
Poverty Policy
face Mining Act. Westport, CT: Greenwood,
1993.
DeGregori, Thomas, and Harrell Rodgers. Pol
Foss, Phillip. Federal Land Policy. Westport, icy Studies in Developing Countries. Green
CT: Greenwood, 1987. wich, CT: JAI, 1994.
Welch, Susan, and Robert Miewald. Scarce Goldstein, Richard, and Stephen Sachs. Ap
Natural Resources: The Challenge to Public plied Poverty Research. Totowa, NJ: Row-
Policymaking. Beverly Hills, CA: Sage, man & Allanheld, 1983.
1983. James, Dorothy. Analyzing Poverty Policy.
Parks and Wilderness

Gender
Hutcheson, John, Jr., Frances Noe, and Robert
Snow. Outdoor Recreation Policy: Pleasure Kelly, Rita Mae, and Jane Bayes. Comparable
and Preservation. Westport, CT: Green Women, Pay Equity, and Public Policy.
wood, 1990. Westport, CT: Greenwood, 1988.
Mangun, William. Public Policy Issues in Wild Palley, Marian, and Michael Preston. Race, Sex,
life Management. Westport, CT: Green and Policy Problems. Lexington, MA:
wood, 1991. Lexington Books, 1979.
Race
Housing and
Transportation
Riddlesperger, James, and Donald Jackson.
Presidential Leadership and Civil Rights
Altshuler, Alan. Current Issues in Transporta Policy. Westport, CT: Greenwood, 1995.
tion Policy. Lexington, MA: Lexington
Books, 1979.
Hays, Allen. Ownership, Control, and Future Age
of Housing Policy. Westport, CT: Green
wood, 1993. Dixon, John, and Rubert Scheurell. Social Secu
Montgomery, Roger, and Dale Marshall. rity Programs: A Cross-Cultural Compara
Housing Policy in the 1980s. Lexington, tive Perspective. Westport, CT: Greenwood,
MA: Lexington Books, 1980. 1995.
Policy Books | 333
Native Americans Political-Legal Policy
Legters, Lyman, and Fremont Lyden. American Foreign Policy

Indian Policy. Westport, CT: Greenwood,
1964. Clarke, Duncan. Public Policy and Political In
Lyden, Fremont, and Lyman Legters. Native stitutions: United States Defense and For
Americans and Public Policy. Pittsburgh, eign Policy—Policy Coordination and Inte
PA: University of Pittsburgh Press, 1992. gration. Greenwich, CT: JAI, 1985.
Crotty, William. Post-Cold War Policy: The In
ternational Context. Chicago: Nelson-Hall,
1995.
Education Fraenkel, Richard M., Don Hadwiger, and
William Browne. The Role of the U.S.
Gove, Samuel, and Thomas Stauffer. Policy Agriculture in Foreign Policy. New York:
Controversies in Higher Education. West Praeger, 1979.
port, CT: Greenwood, 1986. Harkavy, Robert, and Edward Kolodziej.
Gove, Samuel, and Frederick Wirt. Political Sci American Security Policy and Policy-
ence and Social Politics. Lexington, MA: Making. Lexington, MA: Lexington Books,
Lexington Books, 1976. 1980.
Jones, L. R., and Glen Bixler. Research in Public
Policy Analysis and Management. Green
wich, CT: JAI, 1992.
Crime Kolodziej, Edward, and Robert Harkavy. Secu
rity Policies of Developing Countries. Lex
Baker, Ralph, and Fred Meyer. Evaluating Al ington, MA: Lexington Books, 1982.
ternative Law-Enforcement Policies. Lex Merritt, Richard. Foreign Policy Analysis.
ington, MA: Lexington Books, 1979. Lexington, MA: Lexington Books, 1975.
Doig, Jameson. Criminal Corrections: Ideals Nagel, Stuart. Global Policy Studies: Interna
and Realities. Lexington, MA: Lexington tional Interaction Toward Improving Public
Books, 1979. Policy. New York: Macmillan, 1991.
Gardiner, John, and Michael Mulkey. Crime
and Criminal Justice. Lexington, MA:
Lexington Books, 1975. Civil Liberties
Meyer, Fred, and Ralph Baker. Determinants of
Law-Enforcement Policies. Lexington, MA: Cingranelli, David. Human Rights: Theory and
Lexington Books, 1979. Measurement. New York: Macmillan, 1988.
Thompson, Joel, and Larry Mays. American Nagel, Stuart. The Rights of the Accused.
Jails. Chicago: Nelson-Hall, 1991. Beverly Hills, CA: Sage, 1972.
Wasby, Stephen. Civil Liberties. Lexington,
_____. Civil Liberties: Policy and Policy
Population and Family Policy Making. Carbondale: Southern Illinois Uni
versity Press, 1976.
Anderson, Elaine, and Richard Hula. The Re
construction of Family Policy. Westport, CT:
Greenwood, 1991. Legal Policy
Kraft, Michael, and Mark Schneider. Popula
tion Policy Analysis. Lexington, MA: Lex Nagel, Stuart. Research in Law and Policy
ington Books, 1978. Studies. Greenwich, CT: JAI (annual series).
_____. Modeling the Criminal Justice System. Africa

Beverly Hills, CA: Sage, 1977.
_____. Legal Scholarship, Microcomputers, Nagel, Stuart. African Development and Public
and Super-Optimizing Decision-Making. Policy. New York: St. Martin’s, 1994.
Nagel, Stuart, Erika Fairchild, and Anthony
Champagne. The Political Science of Crimi
Asia
nal Justice. Springfield, IL: Charles C
Thomas, 1983.
Mills, Miriam, and Stuart Nagel. Public Ad
ministration in China. Westport, CT: Green
DEVELOPING NATIONS wood, 1993.
Nagel, Stuart. Asian Development and Public
General Policy. New York: St. Martin’s, 1994.
Nagel, Stuart, and Miriam Mills. Public Policy
Ashford, Douglas. Comparing Public Policies: in China. Westport, CT: Greenwood, 1993.
New Concepts and Methods. Beverly Hills,
CA: Sage, 1978.
Groth, Alexander, and Larry Wade. Compara Eastern Europe
tive Resource Allocation: Politics, Perfor
mance, and Policy Priorities. Beverly Hills,
Nagel, Stuart, and Vladimir Ruksavishnikov.
CA: Sage, 1984.
Eastern European Development and Public
_____. Public Policy Across Nations: Social
Policy. New York: St. Martin’s, 1994.
Welfare in Industrial Settings. Greenwich,
CT: JAI, 1985.
Lazin, Fred, Samuel Aroni, and Yehuda
Gradus. The Policy Impact of Universities in Latin America
Developing Regions. New York: St. Mar
tin’s, 1988. Nagel, Stuart. Latin American Development
Nagel, Stuart, and Miriam Mills. Developing and Public Policy. New York: St. Martin’s,
Nations and Super-Optimum Policy Analy 1994.
sis. Chicago: Nelson-Hall, 1993.
CHAPTER 48
Recent Policy Studies
Organization Policy Books
I n 1989 and 1990, the Policy Studies

Organization (PSO) was honored to
be the subject of an attempted take
over. The takeover has been analogized
to the takeover of the Sudentenland or
BOOKS THAT CUT
ACROSS POLICY PROBLEMS
Basic Concepts and

Purposes of Policy Studies
Nabisco, Incorporated, but this time there
was a win-win solution. Both the con Definitions, History, and Overview
sumers and the producers came out ahead.
A key result was to stimulate PSO to be Doron, Gideon, and Alex Mintz. “Policy Sci
even more useful by providing more and ences: State-of-the-Art.” PSR symposium,
even better books, journals, newsletters, 1992.
workshops, and other products to read Dunn, William, and Rita Kelly. Advances in
ers, authors, reader-authors, and author- Policy Studies Since 1950. New Brunswick,
readers. NJ: Transaction Publishing, 1992.
The purpose of this chapter is to list the Nagel, Stuart. Encyclopedia of Policy Studies.
new PSO books, those that have been pub New York: Dekker, 1994.
lished since 1990. It includes PSO journal _____. Research in Public Policy Analysis and
symposia, but only if they have not yet Management. Greenwich, CT: JAI, 1997.
been converted into books. Nagel, Stuart, and Miriam Mills. Professional
Books prior to 1990 and some from the Developments in Policy Studies. Westport,
1990s are included in Chapter 52 and in CT: Greenwood, 1993.
the autumn 1996 issue of the Policy Evalu
ation Newsletter-Journal. PSO books are
Substance Issues
those that were initially published in the
Policy Studies Journal or Policy Studies Re Crotty, William. Post-Cold War Policy: The So
view, subsequently published in a PSO cial and Development Context. Chicago:
book series in expanded form edited by Nelson-Hall, 1995.
PSO staff, funded by PSO funds, or all Nagel, Stuart. The Super-Optimum Society.
three. Huntington, NY: Nova Science, 1999.
335
Multidisciplinary Relations Policy Analysis Software
Nagel, Stuart, and Lisa Bievenue. Social Sci Nagel, Stuart. Decision-Aiding Software:
ence, Law, and Public Policy. Lanham, MD: Skills, Obstacles, and Applications. New
University Press of America, 1992. York: Macmillan, 1991.
_____. Law, Decision-Making, and Microcom
puters: Cross-National Perspectives. West
Teaching port, CT: Quorum, 1991.
_____. Applications of Decision-Aiding Soft
Bergerson, Peter. Teaching Public Policy: The ware. New York: Macmillan, 1992.
ory, Research, and Practice. Westport, CT: _____. Computer-Aided Decision Analysis:
Greenwood, 1991. Theory and Applications. Westport, CT:
Quorum, 1993.
Nagel, Stuart, and Lisa Bievenue. Teach Your
Policy Theory, Causes, Effects, self Decision-Aiding Software. Lanham,
and Goals MD: University Press of America, 1992.
Nagel, Stuart, and David Garson. Advances in
General Social Science and Computers. Greenwich,
CT: JAI, (annual series).
Chen, Huey-tsyh, and Peter Rossi. Using The
ory to Improve Program and Policy Evalua
tions. Westport, CT: Greenwood, 1992. Win-Win Policy Evaluation
Nagel, Stuart. Policy Theory and Policy Evalu
ation: Concepts, Knowledge, Causes, and Nagel, Stuart. Global Policy Studies: Interna
Norms. Westport, CT: Greenwood, 1990. tional Interaction Toward Improving Public
Policy. New York: Macmillan, 1991.
_____. Legal Scholarship, Microcomputers,
Normative Analysis and Super-Optimizing Decision-Making.
Mucciaroni, Gary. “Whither Public Policy?
_____. The Policy Process and Super-Optimum
Liberalism, Conservatism, and Social
Solutions. Huntington, NY: Nova Science,
Change.” PSR symposium, 1990.
1994.
_____. Win-Win and Super-Optimizing Policy:
Basic Concepts and Principles. Westport,
Methods of Public Policy Evaluation CT: Quorum, 1996.
_____. Applications of Super-Optimizing Anal
General ysis. Greenwich, CT: JAI, 1997.
Nagel, Stuart. Evaluative and Explanatory

Reasoning. Westport, CT: Quorum, 1992.
POLICY PROCESSES AND
STRUCTURES
Creativity
General Processes and Structures
Nagel, Stuart. Creativity: Being Usefully Inno
vative in Solving Diverse Problems. Hun Lazin, Fred. The Policy Process and Developing
tington, NY: Nova Science, 1999. Nations. Greenwich, CT: JAI, 1997.
_____. Creativity in Public Policy: Generating Nagel, Stuart. Political Policy to Promote De
Super-Optimum Solutions. Aldershot, UK: mocracy. Lexington, MA: Lexington Books,
Ashgate, 1999. 1999.
Recent Policy Books | 337
Nagel, Stuart, William Crotty, and James and Substance. Westport, CT: Greenwood,
Scaritt. Political Reform and Developing 1990.
Nations. Greenwich, CT: JAI, 1996.
Executive Branch
Processes
Herzik, Eric, and Brent Brown. Gubernatorial
Policy Information Leadership and State Policy. Westport, CT:
Greenwood, 1991.
McClain, Paula. Minority Group Influence:
Agenda Setting, Foundation, and Public
Judicial Branch
Mills, Miriam. Conflict Resolution and Public
Jackson, Donald, and Neal Tate. Comparative
_____. Alternative Dispute Resolution in the
Judicial Review and Public Policy. Westport,
Public Sector. Chicago: Nelson-Hall, 1991.
Nagel, Stuart, and Miriam Mills. Multi-Criteria
Nagel, Stuart. Computer-Aided Judicial Analy
Methods of Alternative Dispute Resolution.
sis: Predicting, Prescribing, and Adminis
tering. Westport, CT: Quorum, 1992.
tion. Westport, CT: Quorum, 1991. _____. Judicial Policy to Promote Legal Effi
ciency. Lexington, MA: Lexington Books,
1999.
Policy Implementation
Palumbo, Dennis, and Donald Calista. Imple Levels of Government

mentation and the Policy Process: Opening
Up the Black Box. Westport, CT: Green
States, Provinces, and Federalism
wood, 1990.
Agnew, John. “Political Centralization and De
centralization in Europe and North Amer
Electoral Processes ica.” PSJ symposium, 1990.
Meyer, Fred, and Ralph Baker. State Policy
Crotty, William. Political Participation and
Problems. Chicago: Nelson-Hall, 1993.
American Democracy. Westport, CT: Green
wood, 1991.
Rural Policy
Government Branches
Sears, David, and Norman Reid. Rural Devel
Administrative Branch opment Strategies. Chicago: Nelson-Hall,
1995.
Ingraham, Patricia, and David Rosenbloom.
The Promise and Paradox of Civil Service
Reform. Pittsburgh, PA: University of Pitts Local Policy
burgh Press, 1992.
Mitchell, Jerry. Public Authorities and Public Ben-Elia, Nahum. Strategic Changes and Orga
Policy. Westport, CT: Greenwood, 1992. nizational Reorientations in Local Govern
Nagel, Stuart. Administration and Decision- ment: A Cross-National Perspective. New
Aiding Software: Improving Procedure York: Macmillan, 1996.
Carmon, Naomi. Neighbourhood Policy and Budgets and Productivity

Programmes: Past and Present. New York:
Macmillan, 1990. Caiden, Naomi. Public Budgeting and Finan
Fasenfest, David. Community Economic De cial Administration in Developing Nations.
velopment. New York: Macmillan, 1993. Greenwich, CT: JAI, 1996.
McGowan, Robert, and Edward Ottensmeyer.
Economic Development Strategies for State
and Local Governments. Chicago: Nelson- Technology Policy
Hall, 1993.
Meyer, Peter. Comparative Studies in Local General Technology Policy
Economic Development: Problems in Pol
icy Implementation. Westport, CT: Green Nagel, Stuart. Technology Policy to Promote
wood, 1993. Innovation and Productivity. Lexington,
SPECIFIC POLICY PROBLEMS Technological Innovation, Dispersion,

and Impact
Economic Policy
Lambright, Henry, and Dianne Rahm. Technol
ogy and U.S. Competitiveness: An Institu
General Economic Policy tional Focus. Westport, CT: Greenwood,
1992.
Dubnick, Melvin, and Alan Gitelson. Public Lee, Yong. “Technology Transfer and Public
Policy and Economic Institutions. Green Policy: Preparing for the Twenty-First Cen
wich, CT: JAI, 1991. tury.” PSJ symposium, 1994.
Nagel, Stuart. Economic Policy to Promote
Prosperity. Lexington, MA: Lexington
Books, 1999. Energy Policy
Herzik, Eric, and Alvin Mushkatel. Problems

and Prospects for Nuclear Waste Disposal
Land, Labor, and Capital
Pijawka, David, and Alvin Mushkatel. “Devel
Flood, Lawrence. Unions and Public Policy:
opment of Nuclear Waste Policy: Siting the
The New Economy, Law, and Democratic
High-Level Nuclear Waste Repository.” PSR
Politics. Westport, CT: Greenwood, 1995.
symposium, 1992.
Walsh, Roberta, and John Heilman. Energizing
the Energy Policy Process: The Impact of
Economic Tools Evaluation. Westport, CT: Quorum, 1994.
Including Privatization
Brewer, Lucy. “In the Public Interest.” PSJ sym Health and Biomedical
posium, 1996.
Johnston, Van. “Privatization and Reinventing Blank, Robert. Biomedical Policy. Chicago:
Government.” PSJ symposium, 1997. Nelson-Hall, 1995.
Lowry, Robert. “Nonprofits and Public Pol Correa, Hector. Abortion Policy. Huntington,
icy.” PSR symposium, 1996. NY: Nova Science, 1994.
Graber, David, and James Johnson. “Environ Natural Resources and Conservation
mental Health Policy.” PSJ symposium,
1995. Desai, Uday. Moving the Earth: Cooperative
Harlow, Karen. “Long-Term Care Financ Federalism and Implementation of the Sur
ing and Public Policy.” PSR symposium, face Mining Act. Westport, CT: Greenwood,
1997. 1993.
Mills, Miriam, and Robert Blank. Health Insur
ance and Public Policy: Risk, Allocation,
and Equity. Westport, CT: Greenwood, Parks and Wilderness
1992.
Whittemore, Kenneth. “Mental Health Policy.” Hutcheson, John, Jr., Francis Noe, and Robert
PSJ symposium, 1994. Snow. Outdoor Recreation Policy: Pleasure
and Preservation. Westport, CT: Green
wood, 1990.
Mangun, William. Public Policy Issues in Wild
Food Policy
life Management. Westport, CT: Green
wood, 1991.
Hadwiger, Don, and Ross Talbot. “Agricultural
Mohai, Paul. “Change in the United States De
Trade and Marketing Policies.” PSJ sympo
partment of Agriculture Forest Service and
sium, 1992.
Its Consequences for National Forest Pol
Helmuth, John, and Don Hadwiger. Interna
icy.” PSJ symposium, 1995.
tional Agricultural Trade and Market Devel
opment Policy in the 1990s. Westport, CT:
Greenwood, 1993.
Webber, David. Biotechnology: Assessing So Housing and Transportation
cial Impacts and Policy Implications. West
port, CT: Greenwood, 1990. Hayes, Allen. Ownership, Control, and Future
of Housing Policy. Westport, CT: Green
wood, 1993.
Maggio, Mark, and T. Maze. “Transportation
Environmental Policy Infrastructure Policy.” PSJ symposium,
1993.
General
Caldwell, Lynton. Environmental Policy- Social Policy

making. Westport, CT: Quorum, 1996.
Graber, David, and James Johnson. “Environ General Social Policy
mental Health Policy.” PSJ symposium,
1995. Nagel, Stuart. Social Policy to Promote Merit
Treatment. Lexington, MA: Lexington
Books, 1999.
International Environment
Desai, Uday. “Comparative Environmental Poverty Policy

Politics and Policy.” PSR symposium, winter
1992. DeGregori, Thomas, and Harrell Rodgers. Pov
Feldman, David. Global Climate and Public erty Policy in Developing Countries. Green
Policy. Chicago: Nelson-Hall, 1994. wich, CT: JAI, 1994.
Gender Thompson, Joel, and Larry Mays. American

Jails. Chicago: Nelson-Hall, 1991.
Correa, Hector. Abortion Policy. Huntington,
NY: Nova Science, 1994.
Population and Family Policy
Race Anderson, Elaine, and Richard Hula. The Re

construction of Family Policy. Westport, CT:
Jackson, Donald. “The American Presidency Greenwood, 1991.
and Civil Rights Policy.” PSJ symposium, Correa, Hector. Abortion Policy. Huntington,
autumn 1993. NY: Nova Science, 1994.
Riddlesperger, James, and Donald Jackson. Lowell, Lindsay, and Demetrios Papdemetriou.
Presidential Leadership and Civil Rights “Immigration and U.S. Integration Policy
Policy. Westport, CT: Greenwood, 1995. Reforms, and Economic Change.” PSR sym
posium, 1992.
Age
Political-Legal Policy
Cutler, Neal, and Phoebe Liebig. Employing the
Elderly. Westport, CT: Quorum, 1997.
Dixon, John, and Rubert Scheurell. Social Secu
Foreign and International Policy
rity Programs: A Cross-Cultural Compara
tive Perspective. Westport, CT: Greenwood,
Crotty, William. Post-Cold War Policy: The In
1995.
ternational Context. Chicago: Nelson-Hall,
Harlow, Karen. “Long-Term Care Financing
1995.
and Public Policy.” PSR symposium, 1997.
Jones, L., and Glenn Bixler. Mission Financing
to Realign National Defense. Greenwich,
CT: JAI, 1992.
Native Americans
Lowell, Lindsay, and Demetrios Papa
demetriou. “Immigration and U.S. Inte
Legters, Lyman, and Fremont Lyden. American
gration Policy Reforms, and Economic
Indian Policy. Westport, CT: Greenwood,
Change.” PSR symposium, 1992.
1994.
Lyden, Fremont, and Lyman Legters. Native Nagel, Stuart. Global Policy Studies: Interna
Americans and Public Policy. Pittsburgh, tional Interaction Toward Improving Public
PA: University of Pittsburgh Press, 1992. Policy. New York: Macmillan, 1991.
_____. Resolving International Disputes
Through Super-Optimum Solutions. Green
Education wich, CT: JAI, 1997.
Bhola, H. “Adult Education Policy and Perfor Also see international aspects of eco
mance: An International Perspective.” PSR nomic, technology, social, and political
symposium, 1994. policy.
Crime Civil Liberties
Nagel, Stuart. Legal Policy to Promote Compli Cingranelli, David. Human Rights and De
ance. Lexington, MA: Lexington Books, veloping Nations. Greenwich, CT: JAI,
1999. 1997.
Crotty, William. Political Participation and Regions

American Democracy. Westport, CT: Green
wood, 1991. Africa
Jackson, Donald. “The American Presidency
and Civil Rights Policy.” PSJ symposium, Nagel, Stuart. African Development and Public
autumn 1993. Policy. New York: St. Martin’s, 1994.
Nagel, Stuart. Constitutional Policy to Pro
mote Rights. Lexington, MA: Lexington
Books, 1999. Asia
Watson, Sara, and David Pfeiffer. “Disability Is
sues in Public Policy.” PSJ symposium, Mills, Miriam, and Stuart Nagel. Public Ad
1993. ministration in China. Westport, CT: Green
_____. “Disability Issues in Public Policy.” PSR wood, 1993.
symposium, 1994. Nagel, Stuart. Asian Development and Public
Policy. New York: St. Martin’s, 1994.
_____. India Development and Public Policy.
Legal Policy Aldershot, UK: Ashgate, 1999.
Nagel, Stuart, and Miriam Mills. Public Policy
Nagel, Stuart. Legal Scholarship, Microcom in China. Westport, CT: Greenwood, 1993.
puters, and Super-Optimizing Decision-
Making. Westport, CT: Quorum, 1993.
_____. Research in Law and Policy Studies. Eastern Europe
Greenwich, CT: JAI (annual series).
Nagel, Stuart, and Vladimir Rukavishnikov.
See also the references listed under the Eastern European Development and Public
subsection Judicial Branch under Policy Policy. New York: St. Martin’s, 1994.
Processes and Structures and those listed
under the subsection Crime under Social
Policy. Latin America
Nagel, Stuart. Latin American Development

Electoral and Governmental Reform and Public Policy. New York: St. Martin’s,
1994.
See Policy Processes and Structures.
Processes and Structures

DEVELOPING NATIONS
Lazin, Fred. The Policy Process and Developing
General
Brinkerhoff, Derick. Basic Concepts in Devel Specific Policy Problems

opmental Policy Studies. Greenwich, CT:
JAI, 1997. Caiden, Naomi. Public Budgeting and Finan
Nagel, Stuart. Developmental Policy Studies. cial Administration in Developing Nations.
Huntington, NY: Nova Science, 1999. Greenwich, CT: JAI, 1996.
Nagel, Stuart, and Miriam Mills. Developing Cingranelli, David. Human Rights and De
Nations and Super-Optimum Policy Analy veloping Nations. Greenwich, CT: JAI,
sis. Chicago: Nelson-Hall, 1993. 1997.
DeGregoni, Thomas, and Harrell Rodgers. Also see the cross-national aspects of
Poverty Policy in Developing Countries. economic, technology, social, and political
Greenwich, CT: JAI, 1996. policy.
Nagel, Stuart, William Crotty, and James
Scaritt. Political Reform and Developing
CHAPTER 49
The Impact of Policy Studies
Organization Books
FEDERAL POLICYMAKING The following list presents examples of

the books that have resulted from the
grants, although in many instances there
Thirteen Federal Departments
have been multiple books per department.
The departments are listed in alphabetical
As a test of your knowledge concerning order. Each volume is an edited book to
various prestigious public policy research which many experts have contributed.
institutes, which one of the following has
been commissioned by the most cabinet-
level departments in the federal govern Department of Agriculture
ment to publish a general analysis of the de Hadwiger, Don, and William Browne.
partments’ public policy problems? The New Politics of Food. Lexington,
MA: Lexington-Heath, 1978.
Brookings Institution
Institute for Policy Studies Department of Commerce
American Heritage Foundation McGowan, Robert, and Ed Ottensmeyer.
Perspectives on Economic Develop
Urban Institute
ment. Westport, CT: Greenwood,
American Enterprise Institute 1989.
Policy Studies Organization
Defense Department
The correct answer seems to be the Pol Harkavy, Robert, and Edward Kolodziej.
icy Studies Organization (PSO). There are American Security Policy and Policy-
13 federal departments. The PSO has been Making. Lexington, MA: Lexington-
commissioned to do a symposium on the Heath, 1980.
policy problems of 10 of the 13 depart
ments by the departments. It has been com Department of Education
missioned by the Ford Foundation or other Gove, Samual, and Federick Wirt. Politi
funding sources to do symposia for the cal Science and School Politics. Lex
other 3 departments. ington, MA: Lexington-Heath, 1980.
343
Department of Energy The fact that the PSO has interacted well
Lawrence, Robert. New Dimensions to with government agencies does not mean
Energy Policy. Lexington, MA: that it has neglected the theoretical aspects
Lexington-Heath, 1979. of public policy studies. The Policy Studies
Journal (Vol. 17, pp. 240-241, 1988) listed
more than 20 landmark volumes in theo
Department of Health and Human Services
retical policy analysis that PSO has devel
Goldstein, Richard, and Stephen Sachs. oped, including the volume Policy Theory
Applied Poverty Research. Totowa, and Policy Evaluation (Westport, CT:
NJ: Rowman & Allanheld, 1983. Greenwood, 1989) and the PSO-Sage Year
book in Politics and Public Policy.
Department of Housing and Urban Develop
ment
Montgomery, Roger, and Dale Marshall. Thirteen More
Housing Policy for the 1980s.
Lexington, MA: Lexington-Heath, On pages 42 and 43 of the autumn 1996
1980. issue of Policy Evaluation, there is a list of
13 PSO books associated with the general
Department of the Interior work of the 13 cabinet-level federal depart
ments. Because that list was prepared a few
Foss, Phillip. Federal Lands Policy.
years ago, if you were currently the head of
a federal department, you would ask PSO,
“What have you done for me lately?”
Department of Justice I am glad you asked that question. It
Dubois, Philip. The Analysis of Judicial gives me an opportunity to show how ac
Reform. Lexington, MA: Lexington- tive PSO is in covering all 13 departments
Heath, 1982. with new symposia. The former announce
ment listed 13 references, 1 for each de
partment. Ten were commissioned by
Department of Labor
the departments and 3 by other funding
Bulmer, Charles, and John Carmichael. sources. The following list also contains 13
Employment and Labor-Relations references, 1 for each department. All these
Policy. Lexington, MA: Lexington- are more recent than the previously men
Heath, 1980. tioned 13 references. None are repeated.
All have been funded by the departments,
State Department the Ford Foundation, or other funding
Merritt, Richard. Foreign Policy Analy sources.
sis. Lexington, MA: Lexington- The PSO anticipates updating its analy
Heath, 1975. sis of the activities of the 13 or more de
partments every few years. This reflects its
interest in being policy relevant. Future
Department of Transportation
lists will also reflect the PSO’s interest in
Altshuler, Alan. Current Issues in Trans being highly international and interdisci
portation Policy. Lexington, MA: plinary.
Lexington-Heath, 1979.
Department of Agriculture
Treasury Department Browne, William, and Don Hadwiger.
Samuels, Warren, and Larry Wade. Tax World Food Policies: Toward Agricul
ing and Spending Policy. Lexington, tural Interdependence. Boulder, CO:
MA: Lexington-Heath, 1980. Rienner, 1986.
The Impact of PSO Books | 345
Department of Commerce Democratic Politics. Westport, CT:

Judd, Richard, William Greenwood, and Greenwood, 1995.
Fred Becker. Small Business in a Regu
lated Economy: Issues and Policy State Department
Implications. Westport, CT: Quorum,
Crotty, William. Post-Cold War Policy:
1988.
The International Context. Chicago:
Nelson-Hall, 1995.
Department of Defense
Jones, L., and Glenn Bixler. Mission Fi Department of Transportation
nancing to Realign National Defense.
Greenwich, CT: JAI, 1992. Maggio, Mark, and T. Maze. Transporta
tion Infrastructure Policy (PSO-PSJ
Symposium, 1993). Urbana, IL: PSO.
Department of Education
Gove, Samuel, and Thomas Stauffer. Pol
Treasury Department
icy Controversies in Higher Educa
tion. Westport, CT: Greenwood, 1986. Levine, Charles, and Irene Rubin. Fiscal
Stress and Public Policy. Beverly Hills,
Department of Energy CA: Sage, 1980.
Ender, Richard, and John Kim. Energy

Resources Development: Politics and
Policies. Westport, CT: Quorum, 1987. Still Six More
Department of Health and Human Services The following books were commis
Mills, Miriam, and Robert Blank. Health sioned by federal government agencies.
Insurance and Public Policy. West None of the books listed here were pub
port, CT: Greenwood, 1992. lished in “Policy Studies and Federal Policy
Making,” which appeared on pages 675
and 676 of the Policy Studies Review, Vol
Department of Housing and Urban Develop
ume 9, Issue 3:
ment
Hays, Allen. Ownership, Control, and
the Future of Housing Policy. West Department of Agriculture
port, CT: Greenwood, 1993. Browne, William, and Don Hadwiger.
Rural Policy Problems: Changing Di
Department of the Interior mensions. Urbana, IL/Lexington,
MA: PSO/Lexington Books, 1982.
Hutcheson, John, Francis Noe, and Rob
ert Snow. Outdoor Recreation Policy:
Pleasure and Preservation. Westport, Department of Commerce
CT: Greenwood, 1990. Dubnick, Mel, and Alan Gitelson. Public
Policy and Economic Institutions. Ur
Department of Justice bana, IL/Greenwich, CT: PSO/JAI,
Doig, Jameson. Criminal Corrections: 1991.
Ideals and Realities. Lexington, MA:
Lexington Books, 1983. Department of Education
Gove, Samuel, and Thomas Stauffer. Pol
Department of Labor icy Controversies in Higher Educa
Flood, Lawrence. Unions and Public Pol tion. Urbana, IL/Westport, CT: PSO/
icy: The New Economy, Law, and Greenwood, 1986.
Department of Health and Human Services tural Interdependence. Boulder, CO:

Straetz, Ralph, Marvin Lieberman, and Rienner, 1986.
Alice Sardell. Critical Issues in Health Lawrence, Robert, and Martin Heisler.
Policy. Urbana, IL/Lexington, MA: International Energy Policy. Urbana,
PSO/Lexington Books, 1991. IL/Lexington, MA: PSO/Lexington
Books, 1980.
Department of Justice
Doig, Jameson. Criminal Corrections:
Ideals and Realities. Urbana, IL/Lex STATE POLICYMAKING
ington, MA: PSO/Lexington Books,
1983. The following books were all commis
sioned with state funds through state gov
Department of Labor ernment agencies or state universities:
Papademetriou, Demetrios, and Lindsey
Alaska state funds
Lowell. Immigration Policy. Urbana,
IL/Westport, CT: PSO/Greenwood, Ender, Richard, and John Kim. Energy
1991. Resources Development: Politics and
Policies. Urbana, IL/Westport, CT:
PSO/Greenwood, 1987.
CROSS-NATIONAL POLICYMAKING
Colorado and Wyoming state funds
Federal Republic of Germany funding Davis, Charles, and James Lester. Dimen
sions of Hazardous Waste: Politics
Caiden, Gerald, and Heinrich Siedentopf.
and Policy. Urbana, IL/Westport, CT:
Strategies for Administrative Reform.
PSO/Greenwood, 1988.
Lexington, MA: PSO/Lexington Books,
1982.
Delaware and Illinois state funds
Downing, Paul, and Kenneth Hanf. Inter
Polley, Marian, and Michael Preston.
national Comparison in Implement
Race, Sex, and Policy Problems. Ur
ing Pollution Laws. Dordrecht: The
bana, IL/Lexington, MA: PSO/Lex
Netherlands, Kluwer-Nijhof, 1983.
ington Books, 1979.
Israeli government funding Florida and Oklahoma state funds

Lazin, Fred, Samuel Aroni, and Yehuda Benton, Edwin, and David Morgan. In
Gradus. The Policy Impact of Univer tergovernmental Relations and Public
sities in Developing Regions. Urbana, Policy. Urbana, IL/Westport, CT: PSO/
IL/New York: PSO/Macmillan, 1998. Greenwood, 1986.
People’s Republic of China funding Ohio state funds

Mills, Miriam, and Stuart Nagel, eds. Redburn, Stevens, and Terry Buss. Public
Public Administration in China. West Policies for Distressed Communities.
port, CT: Greenwood, 1993. Urbana, IL/Lexington, MA: PSO/
Nagel, Stuart, and Miriam Mills, eds. Lexington Books, 1982.
Public Policy in China. Westport, CT:
Greenwood, 1993. Texas state funds
Rosentraub, Mark. Urban Policy Prob
U.S. government funding lems: Federal Policy and Institutional
Browne, William, and Dan Hadwiger. Change. Urbana, IL/New York: PSO/
World Food Policies: Toward Agricul Praeger, 1986.
Part 3
ALTERNATIVE
DISPUTE
RESOLUTION (ADR)
AND SUPER-OPTIMUM
SOLUTION (SOS)
CHAPTER 50
Alternative Dispute Resolution
A t the international level, alternative

dispute resolution (ADR) means al
ternatives to war. At the economic
level, it means alternatives to strikes and
lockouts. At the litigation level, it means al
_____. “The Defense Attorney’s Role in Plea
Bargaining.” Yale Law Journal 84 (1975):
1179.
American Law Institute. Remedies for Viola
tions of International Law. Philadelphia:
ternatives to going to courts and trials. American Law Institute, 1984.
ADR in a more positive sense means (a) ar Berney, Arthur, et al., eds. “Representing the
bitration with a win-lose decision by an Poor.” In Legal Problems of the Poor: Cases
ad hoc judge called an arbitrator and (b) and Material. Boston: Little, Brown, 1975.
mediation with a compromise decision by Blankenburg, Erhard, and Helmut Meier, eds.
an ad hoc judge called a mediator. Innovations in the Legal Services. Cam
Arbitration and mediation can be vol bridge, MA: Oelgeschlager, Gunn, & Hain,
untary regarding (a) whether the parties 1980.
agree to have an arbitration or mediation Brakel, Samuel. Judicare: Public Funds, Private
process and (b) whether the parties agree to Lawyers, and Poor People. Chicago: Ameri
accept the decision of the arbitrator or me can Bar Foundation, 1974.
diator. If the arbitration or mediation is _____. “Prospects of Private Bar Involvement in
voluntary, then either side can withdraw Legal Services.” American Bar Association
before the process begins or can refuse to Journal 66 (1980): 726-28.
abide by the decision. Nonvoluntary or Brickman, Lester, and Richard Lempert, eds.
compulsory arbitration or mediation may “Delivery of Legal Services.” Law and Soci
be required by law or by a previous con ety Review special issue (1976).
tractual agreement of the parties. Brunelli, Richard. “Coin-Flip or Computer?
Systemization of Legal Hunches Could Be
the Ultimate Litigation Tool.” Chicago
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350 | ADR and SOS
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Poverty Law Reporter. Chicago: Commer Alternatives. Lexington, MA: Lexington-
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352 | ADR and SOS
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“Decision Theory and Juror Decision- Science Microcomputer Review 4 (1986):
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1984. Wice, Paul. Freedom for Sale: A National Study
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Quatrone. Volunteer Attorneys and Legal Lexington-Heath, 1974.
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SUPER-OPTIMUM MEDIATION
Equality and Dessert. Cambridge, MA:
Ballinger, 1979.
Staller, Jerome. “The Advantages of Alternative The following references provide further
Dispute Resolution in Tort Cases.” The relevant reading for those who wish to fol
Practical Lawyer 31 (1985): 57-66. low up on the topic of super-optimum me
Steuer, Ralph. Multiple Criteria Optimization: diation in rule making and other disputes:
Theory, Computation, and Application.
New York: John Wiley, 1986. Fisher, Roger, and William Ury. Getting to Yes:
Stumpf, Harry. Community Politics and Legal Negotiating Agreement Without Giving In.
Services: The Other Side of the Law. Beverly Boston: Houghton Mifflin, 1981.
Hills, CA: Sage, 1975. Folberg, Jay, and Alison Taylor. Mediation: A
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Defendants. Arlington, VA: Institute for De flicts Without Litigation. San Francisco:
fense Analyses, Systems Evaluation Divi Jossey-Bass, 1984.
sion, 1972. Goldberg, Stephen, Eric Green, and Frank
Thomas, W. A Decade of Bail Reform. Berke Sander, eds. Dispute Resolution. Boston:
ley: University of California Press, 1976. Little, Brown, 1985.
354 | ADR and SOS
Moore, Christopher. The Mediation Process: Hendrick, Rebecca. “The Role of Heuristic
Practical Strategies for Resolving Conflict. Thinking in Policy Analysis.” In Public Pol
San Francisco: Jossey-Bass, 1986. icy Analysis and Management, ed. Stuart
Nagel, Stuart. Higher Goals for America: Nagel. Greenwich, CT: JAI, 1992.
Doing Better Than the Best. Lanham, MD: Kmietowicz, K., and A. Pearman. Decision
University Press of America, 1988. Theory and Incomplete Knowledge.
Nagel, Stuart, and Miriam Mills. Multi-Criteria Brookfield, VT: Gower, 1981.
Methods for Alternative Dispute Reso Kotz, Samuel, and Donna Stroup. Educated
lution: With Microcomputer Software Ap Guessing: How to Cope in an Uncertain
plications. Westport, CT: Greenwood- World. New York: Dekker, 1983.
Quorum, 1990.
Mack, Ruth. Planning on Uncertainty: Deci
sion Making in Business and Government
tion. Westport, CT: Greenwood-Quorum,
Administration. New York: John Wiley,
1991.
1971.
Nyhart, Daniel, ed. Computer Models and
Moore, Carl. Profitable Applications of the
Modeling for Negotiation Management.
Break-Even Systems. Englewood Cliffs, NJ:
Cambridge: MIT Press, 1987.
Prentice Hall, 1971.
Susskind, Lawrence, and Jeffrey Cruikshank.
Breaking the Impasse: Consensual Ap Nagel, Stuart “Changing in the Goals, Means,
proaches to Resolving Public Disputes. New or Methods.” In Policy Studies: Integration
York: Basic Books, 1987. and Evaluation. Westport, CT: Greenwood,
Ury, William, Jeanne Brett, and Stephen 1988.
Goldberg. Getting Disputes Resolved: De _____. “Multiple Missing Information.” In
signing Systems to Cut the Costs of Conflict. Evaluation Analysis With Microcomputers.
San Francisco: Jossey-Bass, 1988. Greenwich, CT: JAI, 1989.
For further reading that relates to sensi

tivity analysis, see the following:
Carroll, Owen. Decision Power With Super-

NOTE
sheets. Burr Ridge, IL: Dow Jones-Irwin,
1986.
Dawes, Robyn. Rational Choice in an Uncer 1. From Stuart Nagel and Miriam Mills,
tain World. New York: Harcourt Brace Multi-Criteria Methods for Alternative Dispute
Jovanovich, 1988. Resolution: With Microcomputer Software Ap
Harris, Clifford. The Break-Even Handbook. plications (Westport, CT: Greenwood-Quorum,
Englewood Cliffs, NJ: Prentice Hall, 1978. 1990).
CHAPTER 51
Literature Relevant to
Super-Optimum Solutions
S uper-optimum solutions (SOSs) to

public policy problems can enable
conservatives, liberals, and other ma
jor groups to all achieve better than their
best or optimum expectations simulta
The second stream of inspiration has
come from people in the field of mediation
and alternative dispute resolution. The key
literature includes Lawrence Susskind and
Jeffrey Cruikshank, Breaking the Impasse:
neously. The object of SOS analysis is to Consensual Approaches to Resolving Dis
find such solutions to policy problems and putes (New York: Basic Books, 1987);
to generate general principles of relevant Stephen Goldberg, Eric Green, and Frank
concepts, creativity, and feasibility that cut Sander, eds., Dispute Resolution (Boston:
across specific policy problems. Little, Brown, 1984); and Stuart Nagel and
Miriam Mills, “Microcomputers, P/G%,
and Dispute Resolution” (Ohio State Jour
RELEVANT IDEAS nal on Dispute Resolution 2 [1987]: 187
AND LITERATURE 223).
The third stream of inspiration has
There are many relevant ideas and books come from people who are expansionist
that have played important parts in the de thinkers, including the conservative econo
velopment of the concept of achieving mist Arthur Laffer and the liberal econo
SOSs. One stream of ideas relates to the use mist Robert Reich. They have in common a
of computers to facilitate systematic, eval belief that policy problems can be resolved
uative, and explanatory reasoning. The key by expanding the total pie of resources or
literature includes Patrick Humphreys and other things of value available to be distrib
Ayleen Wisudha, Methods and Tools for uted to the disputants. The expansion can
Structuring and Analyzing Decision Prob come from well-placed subsidies and tax
lems (London: London School of Econom breaks with strings attached to increase na
ics and Political Science, 1987); Saul Gass tional productivity. This kind of thinking
et al., eds., Impacts of Microcomputers on can apply to disputes involving blacks and
Operations Research (Amsterdam: North- whites, rich and poor, males and females,
Holland, 1986); and Stuart Nagel, Evalua North and South, urban and rural, and
tion Analysis With Microcomputers (Green other categories of societal disputants. The
wich, CT: JAI, 1989). key literature includes Ira Magaziner and
355
356 | ADR and SOS
Robert Reich, Minding America’s Busi DIALECTIC THINKING AND SOSs

ness: The Decline and Rise of the American
Economy (New York: Harcourt Brace,
1982); and Paul Roberts, The Supply Side Ways of Viewing the
Revolution (Cambridge, MA: Harvard Evolution of Civilization
University Press, 1984).
In addition to decision-aiding soft Probably the least common way of view
ware with a multicriteria decision-making ing the evolution of civilization is a kind of
spreadsheet base, win-win dispute resolu negative perspective in which it is believed
tion, and expansionist growth economics, that there was once some golden age and
one might also find origins of SOS thinking we have, in general, been going downhill
in the dialectic analysis of Hegel and Marx. ever since that time. To some extent, this is
The essence of the dialectic is that progress “garden of Eden thinking.” It is not taken
or change tends to proceed from a status very seriously by anybody. The reality is
quo thesis to a conflicting antithesis to that thousands of years ago, people lived
ward a higher-level synthesis. For Marx, very much like animals, hiding from other
the main thesis was existing capitalism that animals that wanted to eat them. They
emphasized private ownership and distri spent all day scrounging for food and lived
bution in accordance with supply, demand, to age 20. It was far from a garden of Eden
and inheritance. The antithesis was a form existence. Some religious thinkers believe
of socialism that emphasized government that the paradise period was in the age of
ownership and distribution in accordance theocracy, which reached a peak maybe at
with one’s contribution. The synthesis was approximately the time of the Crusades.
a form of ideal communism that empha This was still the middle of the Dark Ages,
sized withering away of the state and distri prior to the Renaissance. People did not
bution in accordance with need. The im live in caves, but their living conditions
plicit and sometimes explicit goals were were not much better.
greater national productivity and equity of The most common view is the idea of a
fairness in providing opportunities regard kind of linear or maybe even exponential
less of class, ethnic group, or other non- progress. If we are going to associate each
merit considerations. of these viewpoints with somebody, the
There is some question as to whether first viewpoint would be associated largely
Marx’s ideal communism would be highly with Catholic theologians who believe that
productive compared to a state that pro either the garden of Eden or the time of
vides well-placed subsidies and tax breaks. greatest papal power was the best time pe
There is also some question as to whether riod we have ever had. This reality is not as
Marx’s ideal communism would be equita sociated with any prominent Catholic phi
ble by allocating in proportion to need losophers, such as Aquinas or Maritain, or
rather than allocating to encourage so with a kind of crude Russian peasant view
cially desired behavior with a minimum of the world. It is particularly present in
constraint that considers need. The impor Eastern Europe orthodoxy. One would ex
tant point regarding the predecessors of pect it to be more likely to be present there
super-optimum analysis is that the dialecti than in Western Europe, where life is rea
cal materialism of Karl Marx was partly sonably good. If one’s life is miserable, one
meant to achieve a synthesis that would en tends to either look for pie in the sky or to
able advocates of capitalism and socialism dwell on some previous glories or both be
to both achieve better than their best initial cause the notion of heaven is similar to
expectations simultaneously. It was largely the garden of Eden. Rousseau is the phil
SOS thinking in purpose, although not nec osopher most associated with long-term
essarily in effect. progress.
Literature Relevant to SOSs | 357
One could consider the first perspective One could put into a separate category
as being the conservative perspective, people such as Bentham and John Stuart
wanting to go back in time. The second Mill, who talk about optimizing. One
perspective is liberal in looking to the fu could put Adam Smith and other conserva
ture here on Earth. The third perspective is tive economists of the 1800s and the 1900s
the dialectic that states that there is no con into this category. It is a position that could
tinuous progress—that the world involves be either conservative or liberal, depending
a conflict between the present and some an on what goals one is seeking to optimize. It
tithesis to it out of which results a synthesis is a higher level of thinking than pragma
that is likely to be better than either what tism. It does not apply as an evolutionary
existed before or what conflicts with it. It is school, however, unless one argues that the
a notion of progress, but one that involves optimum is the equilibrium. This is what
conflict or a kind of dialectic turmoil to Adam Smith argues—namely, that the
achieve it rather than it occurring virtually world will be optimum if the government
automatically as a result of one invention leaves it alone. The invisible hand of the
leading to two or more other inventions free marketplace will make for an optimum
and so on in a kind of exponential growth society. This, however, is really more a nor
or geometric progression. Marx and Hegel mative position of what should be rather
are most closely associated with the dialec than an empirical position of what is likely
tic. There could be a left-wing dialectic or a to be. It is difficult to argue that natural
right-wing dialectic in which the synthesis evolution is toward a free marketplace
in Marx’s case is ultimately a form of pure when it seems that every free marketplace
communism, and the synthesis in Hegel’s that has ever existed has always degener
case is a form of pure nationalism and ab ated into oligopoly or monopoly as some
stract ideals rather than material well businesses tend to take over, with the ex
being. Hegel’s dialectic gave rise to Hitler. ception of agriculture. There can be a mo
Marx’s dialectic gave rise to Lenin. Both nopoly, however, with regard to the sale of
are related to SOS analysis in the sense of a grain as contrasted to growing it, and there
status quo such as a conservative policy be can also be a monopoly if the government
ing attacked by a liberal policy. owns and operates all the farms.
Out of the conflict, a compromise could
arise rather than a higher-level synthesis.
No great philosopher has ever been espe Super-Optimum Analysis
cially in favor of the idea of compromise Fits Into the Broader Context
because it sounds so compromising in the
sense of not really standing up for princi All the previously discussed viewpoints
ple. The closest might be the pragmatists, tend to emphasize where the world is go
who argue that if something works then it ing, although they also indicate where it
is good and true. This is a low standard. should be going. All these viewpoints talk
SOS analysis does not simply ask that some about the inevitable role of God, the invisi
thing work. That is the approach of Herbert ble hand of the marketplace, inevitable
Simon—that is, to choose policies that can progress, and the inevitable dialectic.
meet a minimum threshold. On a higher Super-optimum analysis strongly em
philosophical level, one could say that such phasizes that no super-optimum solutions
an orientation is associated with John are inevitable. They require careful gen
Dewey and William James but not so much erating, adopting, implementing, and fa
with Bentham because he constantly talked cilitating. They do not happen acciden
about optimizing and the greatest happi tally. The following are important relevant
ness for the greatest number. This is opti aspects of win-win or super-optimum
mizing language, not satisfying language. analysis:
358 | ADR and SOS
1. Major progress has been made in the of whether they were narrow personal
past: This recognition boosts morale that goals or, better yet, liberal societal goals.
progress can be made in the future. The essence of progressive education is en
2. Much needs to be done: Pointing out how couraging the students to participate in the
bad things are inspires work to change learning process, to make up their own
things. minds, and to be captains of their own fate.
This is hated by authoritarians, who want
3. The world will get much worse if we do children to be dictated to because they
not work hard to improve it: This is the themselves were dictated to. His emphasis
pessimistic element in win-win analysis. on education rather than public policy-
4. The world will get much better if we do making reflects his own background. He is
work hard to improve it: This is the opti associated most with the philosophy of ed
mistic element in win-win analysis. ucation rather than the philosophy of gov
ernment or political science.
The position is taken that the world is
currently horrible compared to what it
could be, and it will inevitably get even SOURCES OF
more horrible unless something is done TRADE-OFF THINKING
about it. In this sense, it is related to the
viewpoint that emphasizes the fact that
things get worse if left to natural evolution. Pollution Example
The optimistic view is that by carefully
generating, adopting, implementing, and The idea of a pollution prevention cen
facilitating SOS, the world could be a much ter emphasizes the technological fix as con
better place in which to live, but there are trasted to an economic approach or a regu
no invisible hands or natural forces bring latory legal approach. The objective is to
ing it about—it has to be done deliberately. develop research on all manufacturing pro
None of the previously mentioned view cesses designed to prevent pollution from
points talk about the role of human beings occurring in the first place. It is based on
in determining their own future through the simple notion that it may be cheaper to
deliberate planning. They portray human prevent pollution than to use any other ap
beings as just being swept along by cosmic proach. Other approaches include
philosophical forces.
In that regard, maybe the democratic Finding some kind of commercial value for
pragmatists, such as John Dewey, come the waste products
closest to the win-win perspective on the Cleaning up the waste after it occurs
bad present along with the good future if
Retrofitting existing facilities
we work at it. They may have low stan
dards for what to achieve (although they Ordering by legal fiat a pollution reduction
vary). Lasswell would probably consider with penalties for failing to comply
himself a democratic pragmatist who had
high standards for world democracy, and The Archer Daniels Midland example
to some extent so did John Dewey. William takes a pollution reduction perspective in
James, however, was possibly overly influ arguing that there may be ways of process
enced by the conservative types, who em ing soybeans that can generate less pollu
phasized individuals seeking to maximize tion and also decrease the cost of process
their own good rather than higher-level ing. It is a matter of thinking in terms of
goals. The important point is that Dewey increasing benefits and decreasing costs si
placed emphasis on encouraging individu multaneously. If one starts with this posi
als to work to achieve their goals regardless tion, one is more likely to succeed than if
Literature Relevant to SOSs | 359
one starts with the following more tradi lower expenses simultaneously. Saying it
tional positions: takes money to make money implies that
expenses have to increase for income to in
We can reduce pollution, but it is going to crease, which may be true in a shortsighted
cost us something to do it. business perspective.
We can save manufacturing costs, but it will
decrease our compliance with the pollu
tion laws. GENERALIZING THE
SOS ORIENTATION
Both perspectives assume that if benefits
are going to increase, they have to be paid Much of the previous discussion relates to
for with higher costs. If costs are lowered, discussing super-optimum analysis on a
then the logical counterpart is that benefits more philosophical level to get people to
will be reduced. think more in terms in which it is possible
to have one’s cake and eat it too. The devi
ant exception is having one’s cake and not
Damming the SOS Stream being able to eat it or being in a position in
which benefits and costs have to act in a
Traditional reasoning has many streams, more traditional way. We would not want
such as the following: to go so far as to say especially in the short
run that every little mundane situation
1. Some kind of Newtonian view of the uni lends itself to simultaneously increasing
verse that says for every action there has benefits and decreasing costs. We are not
to be a reaction talking about buying paperclips. If one
2. Some kind of economics perspective that wants more paperclips, one has to spend
says there is no free lunch more money.
3. The cliché about the world is full of trade We are talking about problems of liter
offs acy, disease, and poverty. We are in effect
saying that if one wants less poverty, one
4. The way accountants view the world in does not have to spend more money to
terms of income and expenses moving in achieve it if one thinks in terms of a broader
opposite directions, meaning that if you time horizon than the expenditures of to
want to increase your income, you have day as contrasted to today and tomorrow.
to increase your expenses The poverty example is especially good be
5. The idea that it takes money to make cause a small amount of well-placed subsi
money dies today can produce large benefits to
morrow and a reduction in tax costs. In
The last expression may make sense in talk terms of public policy, that idea can be
ing about well-placed subsidies that may thought of as being universally applicable.
take awhile to pay off. Even in this case, There is no policy problem to which it does
however, the overall benefits increase and not apply. The environmental field is not in
the overall costs decrease across the time any way an exception. It just happens to be
horizon. The expression should be changed a field in which a great deal of experimen
to state that well-placed subsidies can tation is under way with new incentives
make it possible to increase income and and new ways of thinking.
CHAPTER 52
Super-Optimum
Solution Publications
SUPER-OPTIMUM SOLUTION Public Policy Evaluation: Making Super-

BOOKS AUTHORED OR EDITED Optimum Decisions. Aldershot, UK: Ash-
BY STUART NAGEL gate, 1997.
(Alphabetical by Book Title) Resolving International Disputes Through
Super-Optimum Solutions. Greenwich, CT:
JAI, 1997.
Applications of Super-Optimizing Analysis.
Greenwich, CT: JAI, 1997. The Super-Optimum Society. Aldershot, UK:
Ashgate, 1997.
Creativity in Public Policy: Generating Super-
Super-Optimum Solutions. Symposium issue of
Optimum Solutions. Aldershot, UK:
Public Budgeting and Financial Manage
Ashgate, 1999.
ment, 1992.
Developing Nations and Super-Optimum Pol
Systematic Analysis in Dispute Resolution.
icy Analysis. Chicago: Nelson-Hall, 1991.
Westport, CT: Greenwood-Quorum, 1991.
Higher Goals in America: Doing Better Than
Win-Win Policy: Basic Concepts and Princi
the Best. Lanham, MD: University of Amer
ples. Westport, CT: Greenwood-Quorum,
ica Press, 1989.
1997.
Legal Process Controversies and Super-Opti
mum Solutions. Westport, CT: Greenwood-
Quorum, 1997.
Legal Scholarship, Microcomputers, and Super- SUPER-OPTIMUM SOLUTION
Optimizing Decision-Making. Westport, CT: JOURNAL ARTICLES
Greenwood-Quorum, 1993. BY STUART NAGEL
Multi-Criteria Methods in Alternative Dispute (Alphabetical by Journal Title)
Resolution: With Microcomputer Software
Applications. Westport, CT: Greenwood- African Administrative Studies. “Privatization,
Quorum, 1990. Inflation, and Super-Optimum Solutions:
Policy-Analysis Methods and Super-Optimum In Russia and Eastern Europe,” 37, (1991):
Solutions. Huntington, NY: Nova Science, 45-54.
1994. Asian Journal of Political Science. “Public Pol
The Policy Process and Super-Optimum Solu icy in Asia and Super-Optimizing Analysis,”
tions. Huntington, NY: Nova Science, 1994. 2 (1994): 1-31.
361
362 | ADR and SOS
Australian Journal of Public Administration. Mediation Quarterly. “Multi-Criteria Dispute

“Institutionalizing Improved Policy Analy Resolution Through Computer-Aided Me
sis,” 52 (1993): 241-47. diation Software,” 7 (1989): 175-89.
Chinese Public Administration Review. “Super- Ohio State Journal on Dispute Resolution.
Optimizing and Chinese Policy Problems,” “Microcomputers, P/G%, and Dispute Res
1 (1992): 121-56. olution,” 2 (1987): 187-221.
_____. “The Need for Improved Policy Analysis PA Times. “Super-Optimum Solutions Keep Ev
and Implementing Institutions in Develop erybody Happy,” 15 (January 1992): 4, 20.
ing Areas,” 2 (1993): 1-38. The Peacebuilder. “Arms Control, Super-
_____. “Super-Optimizing Across Four Conti Optimum Solutions, and Decision-Aiding
nents,” 3 (1993): 1-34. Software,” 1 (1990): 10-1.
Developmental Policy Studies. “Economic, So Philippine Journal of Public Administration.
cial, Technology, and Political Policy,” 2 “Super-Optimizing Analysis and Philippine
(spring 1996): 5-40. Policy Problems,” 35 (1991): 1-32.
_____. “Mini-Symposium on Inter- and Intra- Policy Evaluation. “Professional Develop
National Dispute Resolution,” 2 (autumn ments,” 9 (1990): 835-41.
1996): 16-47. _____. “Generating and Facilitating Super-
_____. “USIA Win-Win Traveling Seminars,” 2 Optimum Solutions,” 1 (summer 1992): 8-12.
(winter 1996): 28-35. _____. “Super-Optimizing Analysis,” 1 (spring
_____. “Mini-Symposium on International 1992): 30-34.
Prosperity,” 3 (spring 1997): 9-24. _____. “Trends, Developing Nations, and
_____. “Win-Win Developmental Administra SOS,” 1 (spring 1992): 28-9.
tion,” 3 (autumn 1997): 6-11. _____. “Adopting Super-Optimum Solutions,”
Hong Kong Public Administrators. “Introduc 2 (spring 1996): 23-5.
tion: Super Optimum Solutions in Public _____. “Generalized Policy Analysis,” 2 (au
Controversies,” 1 (1991): 18-25. tumn 1996): 35-45.
Indian Journal of Asian Affairs. “The Need for _____. “Implementing Super-Optimum Solu
Improved Policy Analysis in Developing and tions,” 2 (spring 1996): 25-7.
Industrialized Nations,” 7 (1994): 1-34. _____. “Mini-Symposium on Policy Fields and
Indian Journal of Public Administration. Win-Win Thinking,” 2 (winter 1996): 14-27.
“Super-Optimizing Analysis and Industrial _____. “Win-Win Feasibility,” 2 (winter 1996):
Policy of India,” 39 (1993): 123-27. 27-33.
International Journal of Public Administration. _____. “Mini-Symposium on Legal Policy and
“Super-Optimizing China: Reunification as Win-Win Thinking,” 3 (spring 1997): 12-25.
an Example,” 16 (1993): 1459-81. _____. “Political Policy Controversies,” 3 (au
International Legal Practitioner. “Multi-Crite tumn 1997): 14-21.
ria Legal Dispute Resolution,” 16 (1991): Policy Issues for the 1990s. “Super-Optimum
90-92. Solutions in Public Controversies,” 10
Journal of Management Science and Policy (1992): 495-516.
Analysis. “Super-Optimum Mediation in Ad Policy Studies Journal. “Universal Values and
judicating Dispute,” 7 (1990): 157-62. Win-Win Policy,” 23 (1995): 388-91.
Journal of Rural Development and Administra _____. “Win-Win Policy,” 23 (1995): 181-82.
tion. “Super-Optimizing Analysis and Paki Policy Studies Review. “Higher Goals for Pub
stan Land Reform,” 24 (1992): 12-17. lic Policy,” 9 (1990): 835-42.
The Key. “Doing Better Than Zero Crime,” 15 Ratio Juris. “What’s New and Useful in Law
(1989): 7. Analysis Technology?” 5 (1992): 172-90.
_____. “Super-Optimum Mediation in Rule- Social Indicators Research. “Doing Better Than
Making Controversies,” 6 (1989): 70-78. the Optimum,” 21 (1989): 193-220.
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SUPER-OPTIMUM SOLUTION “Super-Optimum Solutions in Governmental

BOOK CHAPTERS Decision Making.” In Handbook of Gov
BY STUART NAGEL ernmental Accounting and Finance, ed.
(Alphabetical by Book Title) Nicholas G. Apostolov and Larry D.
Crumbley, 30/1-30/47. New York: John
Wiley, 1992.
“The Law of Developing Nations and Super- “Win-Win Policy System and Economic Devel
Optimum Solutions.” In Advances in Devel opment.” In Handbook of Support De
opmental Policy Studies, Vol. 1, 125-91. velopment, ed. K. Tom Liou. New York:
Greenwich, CT: JAI, 1996. Dekker, 1997.
“Education Policy and Multi-Criteria Decision- “Public Policy Toward Government Organiza
Making.” In Advances in Educational Pro tion.” In Modern Organizations: Adminis
ductivity, ed. Herbert J. Walberg, 123-171. trative Theory in Contemporary Society, ed.
Greenwich, CT: JAI, 1993. Ali Farazmand, 125-42. New York: Praeger,
“Super-Optimum Solutions in Public Contro 1994.
versies.” In Advances in Policy Studies Since “Broadening the Applicability of Multi-
1950, ed. William N. Dunn and Rita Mae Criteria Dispute Resolution.” In Multi-
N. Kelly, 495-516. New Brunswick, NJ: Criteria Methods for Alternative Dispute
Transaction Publishing, 1992. Resolution, 223-43. Westport, CT: Quo
“Super-Optimum Solutions in Public Contro rum, 1990.
versies.” In Advances in Social Science and “Finding a Super-Optimum Solution in a Labor-
Computers, 223-40. Greenwich, CT: JAI, Management Dispute.” In Multi-Criteria
1993. Methods for Alternative Dispute Resolu
“Education Policy and Multi-Criteria Decision- tion, 157-69. Westport, CT: Quorum, 1990.
Making.” In Analytic Methods for Educa “The Formulation and Implementation of
tion Productivity, ed. Herbert J. Walberg. Super-Optimum Solutions in Policy Analysis
Greenwich, CT: JAI, 1991. and Program Evaluation.” In Policy Analy
“Judicial Process Controversies and Super- sis and Programme Evaluation, ed. Ray C.
Optimum Solutions.” In Computer-Aided Rist. Brussels: International Institute of Ad
Judicial Analysis, 167-84. Westport, CT: ministrative Sciences, 1991.
Quorum, 1992. “Projecting Trends in Public Policy.” In Policy
“Super-Optimum Solutions to Procedural Con Theory and Policy Evaluation: Concepts,
troversies.” In Computer-Aided Judicial Knowledge, Causes, and Norms, 161-204.
Analysis: Predicting, Prescribing, and Ad Westport, CT: Greenwood, 1990.
ministering. Westport, CT: Quorum, 1991. “The Need for Improved Policy Analysis.” In
“Decision-Aiding Software and Super- Professional Developments in Policy Studies,
Optimum Solutions.” In Encyclopedia of 207-22. Westport, CT: Greenwood, 1993.
Policy Studies, 49-68. New York: Dekker, “The SOS Process: Generating, Adopting, Im
1994. plementing, and Facilitation.” In Profes
“SOS Causation.” In Evaluative and Explana sional Developments in Policy Studies, 171
tory Reasoning, 191-203. Westport, CT: 80. Westport, CT: Greenwood, 1993.
Quorum, 1992. “Super-Optimizing Analysis and Policy Stud
“SOS Evaluation.” In Evaluative and Explana ies.” In Professional Developments in Policy
tory Reasoning, 113-33. Westport, CT: Studies, 135-40. Westport, CT: Greenwood,
Quorum, 1992. 1993.
“Super-Optimizing Analysis and Developmen “Super-Optimizing Analysis and Chinese Pol
tal Policy.” In Global Policy Studies, 22-84. icy Problems.” In Public Policy in China, 95
New York: Macmillan, 1991. 120. Westport, CT: Greenwood, 1993.
“Governmental Structures and Super-Optimum “Approaches to Arriving at Superoptimum So
Solutions.” In Handbook of Developing lutions.” In Public Productivity Handbook,
Nations, ed. Ali Farazmand. New York: ed. Marc Holzer, 281-304. New York:
Dekker, 1991. Dekker, 1992.
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“Applications of SOS Analysis.” In Research SUPER-OPTIMUM SOLUTION

Annual on Social Science and Computers, ARTICLES AND CHAPTERS
Vol. 5. Greenwich, CT: JAI, 1997. AUTHORED BY OTHERS
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search Annual on Social Science and Com
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“Legal Policy and Win-Win Thinking.” In Re erty: A Policy Analysis.” In Applications in
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search in Public Policy Analysis and Man Applications of Super-Optimizing Analysis.
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search in Public Policy Analysis and Man Glavinskas, Edward. “Doing Better Than the
agement, Vol. 8. Greenwich, CT: JAI, 1997. Best in Pharmaceutical Drugs.” In Applica
“Policy Fields and Win-Win Thinking.” In Re tions of Super-Optimizing Analysis. Green
search in Public Policy Analysis and Man wich, CT: JAI, 1997.
agement, Vol. 9. Greenwich, CT: JAI, 1998. Golembiewski, Robert. “Two Super-Optimum
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Methods and Tools for Structuring and Ana puter Software Applications. Westport, CT:
lyzing Decision Problems. London: London Greenwood-Quorum, 1990.
School of Economics and Political Science, Nagel, Stuart, and Miriam Mills, eds. System
1987. atic Analysis in Dispute Resolution. West
Jandt, Fred. Win-Win Negotiations: Turning port, CT: Greenwood-Quorum, 1990.
Conflict Into Agreement. New York: Basic Osborn, Alex. Applied Imagination: Principles
Books, 1989. and Procedures of Creative Problem Solv
Kash, Don. Perpetual Innovation: The New ing. New York: Scribner’s, 1963.
World of Competition. New York: Basic Palda, Kristian. Industrial Innovation: Its Place
Books, 1989. in the Public Policy Agenda. Toronto: Fraser
Kelly, Rita Mae, ed. Promoting Productivity in Institute, 1984.
the Public Sector: Problems, Strategies, and Raskin, Marcus. The Common Good: Its Poli
Prospects. New York: St. Martin’s, 1988. tics, Policies, and Philosophy. New York:
Kressel, Kenneth, and Dean Pruitt, eds. Media Routledge Kegan Paul, 1986.
tion Research: The Process and Effective
Roberts, Paul. The Supply Side Revolution.
ness of Third-Party Intervention. San Fran
Cambridge, MA: Harvard University Press,
cisco: Jossey-Bass, 1989.
1984.
LeBoeuf, Michael. The Productivity Challenge:
Ruby, Lionel. Logic: An Introduction. Phila
How to Make It Work for America and You.
delphia: J. B. Lippincott, 1950.
New York: McGraw-Hill, 1982.
Sabine, George. A History of Political Theory.
Levine, James, Michael Musheno, and Dennis
New York: Holt, 1950.
Palumbo. Criminal Justice: A Public Policy
Salamon, Lester, ed. Beyond Privatization: The
Approach. New York: Harcourt, Brace and
Tools for Government Action. Washington,
Jovanovich, 1980.
DC: Urban Institute, 1989.
Lindsey, Lawrence. The Growth Experiment:
How the New Tax Policy Is Transforming Sato, Ryuzo, and Gilber Suzawa. Research
the U.S. Economy. New York: Basic Books, and Productivity: Endogenous Technical
1990. Change. Boston: Auburn House, 1983.
Magaziner, Ira, and Robert Reich. Minding Sawhill, Isabel, ed. Challenge to Leadership:
America’s Business: The Decline and Rise of Economic and Social Issues for the Next
the American Economy. New York: Har Decade. Washington, DC: Urban Institute,
court, Brace and Jovanovich, 1982. 1988.
Mole, Veronica, and Dave Elliott. Enterprising Sternlieb, George, and David Listokin. New
Innovation: An Alternative Approach. Lon Tools for Economic Development: The En
don: Frances Pinter, 1987. terprise Zone, Development Bank, and
Moore, Christopher. The Mediation Process: RFC. New Brunswick, NJ: Rutgers Univer
Practical Strategies for Resolving Conflict. sity, 1981.
San Francisco: Jossey-Bass, 1986. Susskind, Lawrence, and Jeffrey Cruikshank.
Nagel, Stuart. Higher Goals for America: Breaking the Impasses: Consensual Ap
Doing Better Than the Best. Lanham, MD: proaches to Resolving Public Disputes. New
University Press of America, 1989. York: Basic Books, 1987.
_____. Developing Nations and Super-Opti Thomas, Wayne. Bail Reform in America.
mum Policy Analysis. Chicago: Nelson- Berkeley: University of California Press,
Hall, 1991. 1976.
Nagel, Stuart, and Miriam Mills, “Microcom Titus, Harold. Ethics for Today. New York:
puters, P/G%, and Dispute Resolution.” American Book, 1947.
Creativity in Public Policy Bibliography | 367
Ury, William, Jeanne Brett, and Stephen NOTE

Goldberg. Getting Disputes Resolved: De
signing Systems to Cut the Costs of Conflict. 1. From Stuart Nagel, Creativity in Public
San Francisco: Jossey-Bass, 1988. Policy: Generating Super-Optimum Solutions
Walker, Samuel. Sense and Nonsense About (Aldershot, UK: Ashgate, 1999).
Crime: A Policy Guide. Pacific Grove, CA:
Brooks/Cole, 1989.
Winslow, Robert. Crime in a Free Society.
Encino, CA: Dickenson, 1977.
CHAPTER 54
Further Reading on
Super-Optimum Solutions
I f you would like to read further about

win-win policy and super-optimizing
analysis, various books by authors
other than Nagel might be helpful. These
include the following:
Levine, David I. Reinventing the Workplace:
How Business and Employees Can Both
Win. Washington, DC: Brookings Institu
tion, 1995.
Magaziner, Ira C., and Robert B. Reich.
Minding America’s Business: The Decline
Barfield, Claude E., and John H. Makin, eds. and Rise of the American Economy. New
Trade Policy and U.S. Competitiveness. York: Harcourt Brace, 1982.
Washington, DC: American Enterprise Insti Mitra, Gautam, ed. Computer Assisted Deci
tute for Public Policy Research, 1987. sion Making: Expert Systems, Decision
Chickering, A. Lawrence. Beyond Left and Analysis, Mathematical Programming. Am
Right: Breaking the Political Stalemate. sterdam: Elsevier, 1986.
Oakland, CA: Institute for Contemporary Myers, Norman, and Julian L. Simon. Scarcity
Studies, 1993. or Abundance? A Debate on the Environ
Cohen, Steven, and Ronald Brand. Total Qual ment. New York: Norton, 1990.
ity Management in Government: A Practical Noyes, Richard, ed. Now the Synthesis: Capi
Guide for the Real World. San Francisco: talism, Socialism and the New Social Con
Jossey-Bass, 1993. tract. New York: Holmes & Meier, 1991.
Common, Michael. Sustainability and Policy: Rehfuss, John A. Contracting Out in Govern
Limits to Economics. Cambridge, UK: Cam ment: A Guide to Working With Outside
bridge University Press, 1995. Contractors to Supply Public Services. San
Dobel, J. Patrick. Compromise and Political Francisco: Jossey-Bass, 1989.
Action: Political Morality in Liberal and Romm, Joseph J. Lean and Clean Management:
Democratic Life. Lanham, MD: Rowman & How to Boost Profits and Productivity by
Littlefield, 1990. Reducing Pollution. Tokyo: Kodansha In
Kettl, Donald F. Sharing Power: Public Gover ternational, 1994.
nance and Private Markets. Washington, Sawhill, Isabel V., ed. Challenge to Leadership:
DC: Brookings Institution, 1993. Economic and Social Issues for the Next
Krone, Robert, ed. Total Quality Management. Decade. Washington, DC: Urban Institute
Symposium issue of Journal of Management Press, 1988.
Science and Policy Analysis (spring/summer Susskind, Lawrence, and Jeffrey Cruikshank.
1991). Breaking the Impasse: Consensual Ap
369
370 | ADR and SOS
proaches to Resolving Public Disputes. New and Administering. Westport, CT: Quorum,
York: Basic Books, 1987. 1992.
Walsh, Kieron. Public Services and Market “SOS Evaluation” and “SOS Causation.” In
Mechanisms: Competition, Contracting and Evaluative and Explanatory Reasoning.
the New Public Management. New York: Westport, CT: Quorum, 1992.
St. Martin’s, 1995. “Super-Optimizing Analysis and Policy Stud
Zagare, Frank C. Game Theory: Concepts and ies,” “The SOS Process: Generating, Adopt
Applications. Beverly Hills, CA: Sage, 1984. ing, Implementing, and Facilitating,” and
“The Need for Improved Policy Analysis.”
For further materials by Stuart Nagel, In Professional Developments in Policy
the following books might be helpful: Studies. Westport, CT: Greenwood, 1993.
“Super-Optimum Solutions and Public Contro
Developing Nations and Super-Optimum Pol versies.” In Social Science, Law, and Public
icy Analysis. Chicago: Nelson-Hall, 1993. Policy. Lanham, MD: University Press of
America, 1992.
Higher Goals in America: Doing Better Than
the Best. Lanham, MD: University Press of
America, 1989.
Nagel has been especially interested in
applying super-optimum analysis to the
Legal Scholarship, Microcomputers, and Super-
policy problems of developing nations.
Optimizing Decision-Making. Westport, CT:
Publications in Nagel books regarding this
Quorum, 1993.
topic include the following:
Multi-Criteria Methods for Alternative Dispute
Resolution With Microcomputer Software
“Developing Nations and Public Policy.” In En
Applications. Westport, CT: Quorum, 1990.
cyclopedia of Policy Studies. New York:
Policy Analysis Methods and Super-Optimum
Dekker, 1994.
Solutions. Huntington, NY: Nova Science,
“Improving Public Policy Toward and Within
1993.
Developing Countries.” In Public Adminis
The Policy Process and Super-Optimum Solu
tration and Decision-Aiding Software: Im
tions. Huntington, NY: Nova Science, 1993.
proving Procedure and Substance.
Super-Optimizing Analysis. Symposium in
Public Budgeting and Financial Manage
Introduction to African Development and Pub
ment: An International Journal (1992).
lic Policy. New York: Macmillan/St. Mar
tin’s, 1994.
The following chapters in other Nagel Introduction to Asian Development and Public
books might also be helpful: Policy. New York: Macmillan/St. Martin’s,
1994.
“Arriving at Super-Optimum Solutions.” In Re Introduction to Eastern European Development
search in Public Policy Analysis and Man and Public Policy. New York: Macmillan/
agement. New York: JAI, 1995. St. Martin’s, 1994.
“Broadening the Applicability of Multi-Criteria Introduction to Latin American Development
Dispute Resolution.” In Systematic Analysis and Public Policy. Macmillan/St. Martin’s,
in Dispute Resolution. Westport, CT: Quo 1994.
rum, 1991. Introduction to Public Administration in
“Computer-Aided Super-Optimizing” and “The China. Westport, CT: Greenwood, 1993.
SOS Demo Disk.” In Teach Yourself Deci “Preface: Chinese Policy Studies” and “Super-
sion-Aiding Software. Lanham, MD: Uni Optimizing Analysis and Chinese Policy
versity Press of America, 1992. Problems.” In Public Policy in China.
“Judicial Process Controversies and Super- Westport, CT: Greenwood, 1993.
Optimum Solutions.” In Computer-Aided “Super-Optimizing Analysis and Developmen
Judicial Analysis: Predicting, Prescribing, tal Policy.” In Global Policy Studies: Inter
Further Reading on Super-Optimum Solutions | 371
national Interaction Toward Improving Nagel, Teach Yourself Decision-Aiding

Public Policy. New York: Macmillan/St. Software (Champaign, IL: Decision Aids,
Martin’s, 1991. 1989). Additional details can be obtained
from Stuart Nagel, Decision-Aiding Soft
For further details regarding win-win or ware: Skills, Obstacles, and Applications
super-optimizing policy evaluation, see the (New York: Macmillan, 1990) or Stuart
following: Nagel, Evaluation Analysis With Micro
computers (Greenwich, CT: JAI, 1989). To
Levine, David. Reinventing the Workplace: obtain the software, write Decision Aids,
How Business and Employees Can Both Inc., 711 Ashton Lane South, Champaign,
Win. Washington, DC: Brookings Institu IL 61820 or phone (217) 352-7700.
tion, 1995. For further details concerning public
Nagel, Stuart. Legal Scholarship, Microcom policy evaluation, see Yehezkei Dror, De
puters, and Super-Optimizing. Westport, sign of Policy Sciences (New York: Elsevier,
CT: Greenwood-Quorum, 1993. 1971); Harold Lasswell, A Pre-View of
_____. Policy-Analysis Methods and Super- Policy Sciences (New York: Elsevier,
Optimum Solutions. Huntington, NY: Nova 1971); Stuart Nagel, ed., Encyclopedia of
Science, 1994. Policy Studies (New York: Dekker, 1983);
_____. The Policy Process and Super-Optimum Stuart Nagel, ed., Basic Literature in Pol
Solutions. Huntington, NY: Nova Science, icy Studies: A Comprehensive Bibliog
1994. raphy (Greenwich, CT: JAI, 1984); and
Nagel, Stuart, and Miriam Mills. Developing Stuart Nagel, The Policy-Studies Hand
Nations and Super-Optimum Policy Analy book (Lexington, MA: Lexington-Heath,
sis. Chicago: Nelson-Hall, 1993. 1980). For materials specifically dealing
_____. Professional Developments in Policy with confliction evaluations of policy stud
Studies. Westport, CT: Greenwood, 1993. ies, see the bibliography titled “The Pros
Noyes, Richard, ed. Now the Synthesis: Capi and Cons of Systems Analysis in Policy
talism, Socialism, and the New Social Con Studies” in Basic Literature in Policy
tract. New York: Holmes & Meier, 1991. Studies: A Comprehensive Bibliography
Susskind, Lawrence, and Jeffrey Cruikshank. (Greenwich, CT: JAI, 1984, pp. 33-36).
Breaking the Impasse: Consensual Ap For analysis and evaluation of the policy
proaches to Resolving Public Disputes. New studies field, see Stuart Nagel, Policy
York: Basic Books, 1987. Studies: Integration and Evaluation (New
York: Praeger, 1988); and Stuart Nagel,
For further information concerning the Professional Developments in Policy
P/G% decision-aiding software, see Stuart Studies (Westport, CT: Greenwood, 1992).
Part 4
PROFESSIONALISM
IN POLICY
EVALUATION
CHAPTER 55
Obtaining Funding
T he following references on ideas

for funding are meant to supple
ment the funding material pre
sented in Chapter 16:
Golden, Hal. The Grant Seekers: The Founda
tion Fund Raising Manual. Dobbs Ferry,
NY: Oceana, 1976.
Golden, Joseph. The Money Givers. New York:
Random House, 1971.
Allen, Herb, et al. The Break Game: The Real The Grantsman Quarterly Journal.
ities of Foundation Fundraising. San Fran Hall, Mary. Developing Skills in Proposal Writ
cisco: Glide, 1973. ing. Eugene: University of Oregon, Office of
American Bar Association Special Committee Federal Relations, 1976.
on Youth Education for Citizenship. The $$ Krathwohl, David R. How to Prepare a Re
Game: A Guidebook on the Funding of Law search Proposal. Syracuse, NY: Syracuse
Related Education Programs. Chicago: University, 1966.
American Bar Association, 1975. Mercer, Jane R., University of California-River
Carroll, James A., and Charles R. Knerr. side. “Research Proposal Writing From the
Viewpoint of Peer Review Committee.” Un
“Changes in Federal Support for Political
published paper presented at the American
Science.” American Political Science Associ
Sociological Association annual meeting,
ation annual meeting, 1975.
1975.
Church, David M. Seeking Foundation Funds. Schmandt, Jurgen. Financing and Control of
Philadelphia: National Public Relations Academic Research. Austin, TX: LBJ School
Council of Health and Welfare Services, of Public Affairs, 1977.
1966. Useem, Michael, Harvard University. “Federal
Dermer, Joseph. How to Raise Funds From Government Influence on Social Research.”
Foundations. Hartsdale, NY: Public Services Unpublished paper presented at the Ameri
Materials Center, 1972. can Sociological Association annual meet
Dermer, Joseph, ed. How to Get Your Fair ing, 1972.
Share of Foundation Grants. Hartsdale, NY: White, Virginia P. Grants: How to Find Out
Public Service Materials Center, 1973. About Them and What to Do Next. New
York: Plenum, 1975.
Eckman Center. Notes and Brochures From
Grantsmanship Seminar. Eckman Center,
8399 Topanga Canyon Blvd., Canoga Park, There are many directories of funding
CA 91303. sources, including the following:
375
376 | Professionalism in Policy Evaluation
American Political Science Association. Re Federal Grants Information Center. Federal
search Support for Political Scientists. Grants Reporter. Washington, DC: Federal
Washington, DC: American Political Science Grants Information Center.
Association, 1977. Foundation News and the Foundations Grants
Aroeste, Jean L., ed. Annual Register of Grant Index. New York: Foundation Center.
Support. New Providence, NJ: Marquis
Grantsman Quarterly Journal. P.O. Box 200,
Who’s Who (annual).
Pine City, MN 55063.
Catalog of Federal Domestic Assistance. Wash
ington, DC: Government Printing Office Sclar, Deanna, ed. Annual Register of Grant Sup
(annual). port. New Providence, NJ: Bowker (annual).
Commerce Business Daily. Contains daily list Walton, Ann D., and F. Emerson Andrews, eds.
ing of requests for proposals. The Foundation Directory. New York: Foun
dation Center, 1960.
CHAPTER 56
Getting Published
BASIC PUBLISHING BOOKS Manuscripts.” Political Science 11 (1978):

480-83.
Martin, Fenton, and Robert Goehlert. Political Cabell Publishing Company. Directory of Pub
Science Journal Information. Washington, lishing Opportunities in Business Adminis
DC: American Political Science Association, tration and Economics. Beaumont, TX:
1990. Cabell, 1978.
Nagel, Stuart, and Kathleen Burkholder. Policy Chase, Janet. “Normative Criteria for Scientific
Publishers and Associations Directory. Ur Publication.” American Sociologist 5
bana, IL: Policy Studies Organization, 1980. (1970): 262-65.
Simon, Rita, and James Fyfe. Editors as Gate Directory of Publishing Opportunities. Wash
Keepers: Getting Published in the Social Sci ington, DC: Academic Media, 1975.
ences. Lanham, MD: Rowman & Littlefield,
Dodds, Robert. Writing for Technical and Busi
1994.
ness Magazines. New York: John Wiley,
Wagner, John. Political and Social Science Jour
1969.
nals: A Handbook for Writers and Re
Fry, Bernard, and Herbert Whit. Publishers and
viewers Santa Barbara, CA: ABC-CLIO,
Libraries: A Study of Scholarly and Re
1983.
search. Lexington, MA: Lexington Books,
1976.
Giles, Michael, and Gerald Wright, Jr. “Politi
SOURCES FROM
cal Scientists’ Evaluations of Sixty-Three
SCHOLARLY JOURNALS
Journals.” Political Science (summer 1975):
254-56.
American Council of Learned Sciences. Prob
lems of Scholarly Publications in the Hu Harris, John. Technical Writing for Social Sci
manities and Social Sciences. New York: entists. Chicago: Nelson-Hall, 1976.
American Council of Learned Sciences, Hopskins, Anne, et al. “Guide to Publication in
1959. Political Science.” Washington, DC: APSA
Beyer, Janice. “Editorial Policies and Practices Committee on the Status of Women and the
Among Leading Journals in Four Scientific Women’s Caucus, 1974.
Fields.” Sociological Quarterly 19 (1978): Kalvelage, Carl, and Morley Sega. “Journals of
68-88. Interest in Political Science Research.” In
Bonjean, Charles, and Jan Hullum. “Reasons Research Guide in Political Science. Morris
for Journal Rejection: An Analysis of 600 town, NJ: General Learning Press, 1976.
377
King, W., R. Kilmann, and K. Sochats. “De Trelease, Sam. How to Write Scientific and
signing Scientific Journals: Issues and Survey Technical Papers. Cambridge: MIT Press,
Results.” Management Science 24 (1978): 1969.
774-84. Van Leunen, Mary-Claire. A Handbook for
Lindsey, Duncan. The Scientific Publication Scholars. New York: Knopf, 1976.
System in Social Science. San Francisco:
Jossey-Bass, 1978.
Linton, Marigold. The Simplified Style Manual:
For the Preparation of Journal Articles in OTHER SOURCES
Psychology, Social Sciences, Education, and ON BOOK PUBLISHING
Literature. Norwalk, CT: Appleton-Cen
tury-Crofts, 1972. Abt, Clark. “Publishing Needs of Applied So
Marien, Michael. “A World Institute Guide to cial Research Community Within the Socio-
Future Periodicals.” Fields Within Fields Economic Structure of Social Science Pub
(summer 1974). lishing.” Paper presented at the 11th World
McKerrow, R. B., and Henry Silver. On the Congress of Sociology, 1978. Available from
Publication of Research. New York: Mod Abt Associates, 55 Wheeler Street, Cam
ern Language Association of America, 1964. bridge, MA.
Merritt, Richard, and Gloria Psyzka. “The Peri Andrews, Deborah, and Margaret Blickel.
odicals Literature.” In The Student Political Technical Writing: Principles and Forms.
Scientist’s Handbook. Cambridge, MA: New York: Macmillan, 1978.
Schenkman, 1969. Applebaum, Judith, and Nancy Evans. How to
Michalos, Alex. “Social Indicators Research: A Get Happily Published. New York: Harper
Case Study of the Development of a Jour & Row, 1978.
nal.” Paper presented at the 9th World Con Bailey, Herbert, Jr. The Art and Science of Book
gress of Sociology, 1978. Available from the Publishing. New York: Harper & Row,
Department of Philosophy, University of 1970.
Guelph, Guelph, Canada. Baker, Clifford. A Guide to Technical Writing.
Mitchell, John. Writing for Professional and London: Pittman, 1961.
Technical Journals. New York: John Wiley, Ballcin, Richard. A Writer’s Guide to Book
1968. Publishing. Gloucestershire, UK: Haw
Mullins, Carolyn. A Guide to Writing and Pub thorn, 1977.
lishing in the Social and Behavioral Sciences. Barzun, Jacques, and Henry Graff. The Modern
New York: John Wiley, 1977. Researcher. New York: Harcourt Brace,
National Equity Into Scholarly Communica 1957.
tion. “Conclusions and Recommenda Benjamin, Curtis. A Candid Critique of Book
tions.” Chronicle of Higher Education (May Publishing. New York: Bowker, 1977.
7, 1979). Bingley, Clive. Book Publishing Practice. New
Nolan, Paul, and James Salem, eds. The Teacher York: Lockwood, 1966.
as Writer. Lanham, MD: Scarecrow, 1970. _____. The Business of Book Publishing.
Sherman, Theodore. Modern Technical Writ Elmsford, NY: Pergamon, 1972.
ing. Englewood Cliffs, NJ: Prentice Hall, Bishop, Malden Grange. Billions for Confu
1966. sion: The Technical Writing Industry. Chi
Smigel, Erwin, and Laurence Ross. “Factors in cago: Rand McNally, 1963.
the Editorial Decision.” American Sociolo Blond, Anthony. The Publishing Game. Fresno,
gist 5 (1970): 19-21. CA: Cape, 1972.
Thomas, Payne E. L. A Guide for Authors: Change Publications. Professional Develop
Manuscript, Proof, and Illustration. Spring ment: A Guide to Resources. Washington,
field, IL: Charles C Thomas, 1969. DC: Change, 1977.
Getting Published | 379
Chase, Janet. “Normative Criteria for Scientific Mullins, Carolyn. A Guide to Writing and Pub
Publication.” American Sociologist 5 lishing in the Social and Behavioral Sciences.
(1970): 262-65. New York: John Wiley, 1977.
Coser, Lewis. “Publishers as Gatekeepers of One Book/Five Ways: The Publishing Proce
Ideas.” Annals of the American Academy dures of Five University Presses. Los Altos,
of Political and Social Science 421 (1975): CA: Kaufmann, 1977.
14-22.
“Perspectives on Publishing.” Annals of the
Feld, Howard Green. Books: From Writer to
American Academy of Political and Social
Reader. New York: Crown, 1976.
Science 421 (1975).
Gill, Robert. The Author, Publisher, Printer
Complex. Philadelphia: Williams & Wil Powell, Walter. “Publisher’s Decision-Making:
kins, 1958. What Criteria Do They Use in Deciding
Grannis, Chandler. What Happens in Book Which Books to Publish?” Social Research
Publishing. New York: Columbia University 45 (1978): 227-52.
Press, 1967. Putman, John. “The Future of Scholarly Pub
Hill, Mary, and Wendell Cochran. Into Print: A lishing in Political Science.” Paper presented
Practical Guide to Writing, Illustrating, and at the symposium “The Future of Political
Publishing. Los Altos, CA: Kaufmann, Science Book Publishing in the 1970s” for
1977. the American Political Science Association,
Hill, William Leonard. The Publish-It-Yourself 1972. Available from the Association of
Handbook: Literary Tradition and How-To American University Presses, One Park Ave
Without Commercial or Vanity Publishers. nue, New York, NY 10016.
Yonkers, NY: Pushcart, 1973. Reynolds, Paul. The Non-Fiction Book: How
Huenefeld, John. The Huenefeld Guide to to Write and Sell It. New York: William
Book Publishing. Bedford, MA: Huenefeld, Morrow, 1970.
1971.
Van Leunen, Mary-Claire. A Handbook for
Kurian, George Thomas. The Directory of
Scholars. New York: Knopf, 1992.
American Book Publishing, From Founding
Fathers to Today’s Conglomerates. New Wyckoff, Edith. Editing and Producing the
York: Simon & Schuster, 1975. Small Publication. New York: Van Nos
Lee, Marshall. Bookmaking: The Illustrated trand, 1956.
Guide to Design/Production, Editing. New Yulinsky, Corey. “A Research Note on the Pub
York: Bowker, 1979. lication Activities of the Applied Social
Literary Market Place With Names & Num Research Community.” Available from
bers: The Directory of American Book Pub Abt Associates, 55 Wheeler Street, Cam
lishing. New York: Bowker, 1979. bridge, MA.
CHAPTER 57
Finding an Academic Niche
OBTAINING JOBS Political Science,” News for Teachers of

Political Science 1 and 7 (summer 1983);
American Political Science Association, Direc Fiona Chen, Teaching Computer Applica
tory of Political Science Department Chair tion in Public Administration (Cheney:
persons (for developing mailing lists to send Eastern Washington University, School of
materials, including a cover letter, vita, and Public Affairs, 1984); and Stuart Nagel,
reference letters). See also Association for “Microcomputers and Public Policy Anal
Public Policy Analysis Management’s Mem ysis,” in Microcomputers and Public Pro
bership Directory for writing to policy ductivity, edited by Don Calista (special is
schools. Letters from effective mentors are sue of Public Productivity Review, 1985).
highly recommended, but act on your own if On the P/G% software, see Stuart
such letters cannot be obtained. Nagel, “P/G% Analysis: A Decision-
American Political Science Association, Person Aiding Program,” Social Science Micro
nel Newsletter. See also American Political computer Review 3 (1985): 243; and
Science Association, Public Administration Stuart Nagel, Evaluation Analysis With
Times for policy jobs in universities and gov Microcomputers (Westport, CT: Green
ernment. wood, 1988).
Caplow, Theodore, and Reece McGee. The Background material exists on teaching
Academic Marketplace. New York: Basic from a perspective of societal goals to be
Books, 1958. achieved, policy alternatives for achieving
Mann, Thomas. Alternative Careers for Politi them, and relations between goals and al
cal Scientists. Washington, DC: American ternatives to choose the best alternative,
Political Science Association, 1976. combination, or allocation. For example,
see Chapter 1 in Stuart Nagel, Public Pol
icy: Goals, Means, and Methods (New
COMPUTERS IN TEACHING York: St. Martin’s, 1984). See also the in
structor’s manual that accompanies that
On using microcomputers as a teaching book. Also see Stuart Nagel, “Using Mi
tool, see Kenneth Kraemer, “Curriculum crocomputers and P/G% for Teaching Pol
Recommendations for Public Management icy Analysis and Public Policy,” in Teach
Education in Computing,” Public Admin ing Public Administration, edited by Peter
istration Review 46 (1986): 595-602; Bergerson and Brian Nedwek (St. Louis: St.
Herbert E. Weisberg, “Microcomputers in Louis University, 1985).
381
CHAIRING AND ADMINISTERING Peterson, Christopher, Steven F. Maier, and

Martin E. P. Seligman. Learned Helpless
Nanus, Burt. Visionary Leadership. San Fran ness: A Theory for the Age of Control. New
cisco: Jossey-Bass, 1992. York: Oxford University Press, 1993.
Schwarz, Roger. The Skilled Facilitator: Prac Seligman, Martin E. P. Learned Helplessness.
tical Wisdom for Developing Effective San Francisco: Freeman, 1975.
Groups. San Francisco: Jossey-Bass, 1994. Smith, Page, Killing the Spirit: Higher Educa
Tucker, Allan. Chairing the Academic Depart tion in America. New York: Penguin, 1990.
ment: Leadership Among Peers. Washing Walters, R. J., and R. D. Parke. “The Influence
ton, DC: American Council on Education, of Punishment and Related Disciplinary
1981. Techniques on Social Behavior of Children.
Theory and Empirical Findings.” In Prog
ress in Experimental Personality Research,
ACADEMIC DEMOCRACY ed. B. A. Masker. New York: Academic
AND OTHERWISE Press, 1967.
Deci, Edward L., and Richard M. Ryan. Intrin

sic Motivation and Self-Determination in
Human Behavior. New York: Plenum, 1985.
CHAPTER 58
Creativity
CREATIVITY Osborn, Alex. Applied Imagination: Principles

and Procedures of Creative Problem Solv
Baker, Sam. Your Key to Creative Thinking: ing. New York: Scribner’s, 1963.
How to Get More and Better Ideas. New Rothenberg, Albert. The Emerging Goddess:
York: Harper & Row, 1962.
The Creative Process in Art, Science, and
Campbell, David. Take the Road to Creativity
Other Fields. Chicago: University of Chi
and Get Off Your Dead End. Greensboro,
cago Press, 1979.
NC: Center for Creative Leadership, 1977.
Gabriel, H. W. Techniques for Creative Stein, Morris, and Shirley Heinze. Creativity
Thinking for Management. Englewood and the Individual: Summaries of Selected
Cliffs, NJ: Prentice Hall, 1970. Literature in Psychology and Psychiatry.
Hare, Paul. Creativity in Small Groups. New York: Free Press, 1960.
Newbury Park, CA: Sage, 1991. Taylor, Calvin, and Frank Barron, eds. Scien
Koestler, Arthur. The Art of Creation. New tific Creativity: Its Recognition and Devel
York: Macmillan, 1964. opment. New York: John Wiley, 1963.
Lasswell, Harold. The Future of Political Sci
Zaltman, Gerald, Robert Duncan, and Jonny
ence. Chicago: Atherton, 1963. [See the two
Holbek. Organizations and Innovation.
chapters on cultivation of creativity]
New York: John Wiley, 1973.
Lichtgarn, Fred. Basic Components of Creativ
ity. Cupertino, CA: Aim, 1979. Zeleny, Milan. Multiple Criteria Decision
Nierenberg, Gerard. The Art of Creative Making. New York: McGraw-Hill, 1982.
Thinking. New York: Simon & Schuster, [See the chapter “Invention of Alternatives
1982. and Conflict Dissolution”]
383
Part 5
PUBLIC POLICY
AND OTHER
DISCIPLINES
CHAPTER 59
Natural Science
SCIENCE AND Kraft, Michael, and Norman Vig. Technology

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Part 6
SPECIAL
RESOURCES
CHAPTER 62
Policy Problems
by Developing Regions
I n the winter 1997 issue of Develop

mental Policy Studies, on pages 37 and
38 there is a bibliography of Africa,
Asia, Eastern Europe, and Latin America
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van de Walle, Ndulu. Agenda for Africa’s TECHNOLOGY POLICY PROBLEMS
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Deacon, Bob. The New Eastern Europe: Africa
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Policy Studies
Organization Books
POLICY THEORY Palumbo, Dennis, Stephen Fawcett, and

Paula Wright. Evaluating and Opti
The Policy Studies Organization (PSO) has mizing Public Policy. Urbana, IL/Lex
published numerous and varied books ington, MA: PSO/Lexington Books,
dealing with public policy studies from a 1981.
broad, cross-cutting perspective, and it has Scioli, Frank, and Thomas Cook. Meth
also published in-depth case studies. Many odologies for Analyzing Public Pol
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edge, Causes, and Norms (Greenwood,
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ume 9, Issue 4. The following list is a sam Determinants of Public Policy. Ur
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the four aspects of policy theory: ington Books, 1980.
Eyestone, Robert. Public Policy Forma
Conceptual theory tion. Urbana, IL/Greenwich, CT: PSO/
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tives, Concepts, and Methods. Urbana, Ingram, Helen, and Dean Mann. Why
IL/Greenwich, CT: PSO/JAI, 1986. Policies Succeed or Fail. Urbana, IL/
Gregg, Phillip. Problems of Theory in Beverly Hills, CA: PSO/Sage, 1980.
Policy Analysis. Urbana, IL/Lexing
ton, MA: PSO/Lexington Books, 1976. Normative theory
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and Elsewhere. Urbana, IL/Lexington, fronting Values in Policy Analysis:
MA: PSO/Lexington Books, 1975. The Politics of Criteria. Urbana, IL/
Newbury Park, CA: PSO/Sage, 1987.
Theory of Knowing Dunn, William. Values, Ethics, and the
Dolbeare, Kenneth. Public Policy Evalu Practice of Policy Analysis. Urbana,
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PSO/Sage, 1975. Books, 1983.
403
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Doing Better Than the Best. Urbana, Values in Policy Analysis: The Politics of
IL/Lanham, MD: PSO/University Criteria. Newbury Park, CA: Sage, 1987.
Press of America, 1989. Frohock, F. Public Policy: Scope and Logic.
Goodin, R. Political Theory and Public Policy.
PRESCRIPTIVE THEORY Chicago: University of Chicago Press, 1982.
AND METHODS
Gregg, P., ed. Problems of Theory in Policy
Analysis. Lexington, MA: Lexington-
Perhaps the most important, but least em
Heath, 1976.
phasized, approach within policy studies is
the evaluative, prescriptive, or normative Groth, A., and L. Wade, eds. Comparative Re
approach, as contrasted to the explana source Allocation: Politics, Performance,
tory, predictive, or causal approach of the and Policy Priorities. Beverly Hills, CA:
descriptive method. Public policy evalua Sage, 1984.
tion can be defined as the process of deter Ingram, H., and D. Mann, eds. Why Policies
mining which of various alternative public Succeed or Fail. Beverly Hills, CA: Sage,
or governmental policies will best achieve a 1980.
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between the policies and the goals. The fol New York: American Elsevier, 1971.
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and methodology written by political sci ernment: Public Policies in America. Beverly
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CHAPTER 64
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LAW BIBLIOGRAPHY Roesch, Ronald, and Raymond Corrado, eds.

Evaluation and Criminal Justice Policy.
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1. On the general nature and back
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405
Press, 1966); and Jay Sigler and Benjamin for State Courts, 1982); RAND Corpora
Beede, The Legal Sources of Public Policy tion Institute of Civil Justice, Report on the
(Lexington, MA: Lexington-Heath, 1977). First Three Program Years April 1980
On policy studies in general, see Stuart March 1983 (Santa Monica, CA: RAND,
Nagel, ed., Encyclopedia of Policy Studies 1983); and Stuart Nagel and Marian
(New York: Dekker, 1983). Neefs, eds., Policy Research Centers Direc
tory (Urbana, IL: Policy Studies Organiza
2. Articles by Stuart Nagel dealing with tion, 1978).
the development of legal policy studies in
clude “Law and the Social Sciences: What 5. On publishing outlets relevant to le
Can Social Science Contribute?” American gal policy studies, see Roy Mersky et al.,
Bar Association Journal 51 (1965): 356 Author’s Guide to Journals in Law, Crimi
58; “Public Law Research as Policy Sci nal Justice, and Criminology (Washington,
ence,” in The Legal Process From a Behav DC: Haworth, 1979); Henry Weinhofen,
ioral Perspective (Homewood, IL: Dorsey, Legal Writing Style (St. Paul, MN: West,
1969); and “Some Proposals for Facili 1961); and Anne Newton et al., Informa
tating Socio-Legal Teaching and Re tion Sources in Criminal Justice: An Anno
search,” Journal of Legal Education 24 tated Guide to Directories, Journals, and
(1972): 590-602 (symposium issue on Newsletters (Hackensack, NJ: National
“Non-Traditional Research in Law”). Council on Crime and Delinquency, 1976).
3. On training programs relevant to le 6. On funding sources relevant to legal

gal policy studies, see Herbert Packer and policy studies, see National Science Foun
Thomas Ehrlich, New Directions in Legal dation Law and Social Science Program,
Education (New York: McGraw-Hill, Grants Awards (Washington, DC: Na
1972); “Papers Presented at the Curricu tional Science Foundation, 1982); Na
lum Committee Meeting, Association of tional Institute of Justice, Annual Report:
American Law Schools,” Denver Law 1982 (Washington, DC: National Institute
Journal 44 (1967): 1-62; George Felkenes, of Justice, 1982); and Stuart Nagel and
The Criminal Justice Doctorate: A Study of Marian Neef, eds., Policy Grants Direc
Doctoral Programs in the United States tory (Urbana, IL: Policy Studies Organiza
(Chicago: University of Illinois at Chicago, tion, 1977).
1980); and William D. Coplin, ed.,
Teaching Policy Studies: What and How 7. On associations relevant to legal pol
(Lexington, MA: Lexington-Heath, 1978). icy studies, see Association of American
Law Schools, 1982 Annual Meeting Pro
4. On research centers relevant to legal grams (Washington, DC: Association of
policy studies, see “Social Research and the American Law Schools, 1982); Ameri
Law,” Journal of Legal Education 23 can Bar Association, Annual Meeting
(1971): 1-254; Laurens Walker, ed., “De Program: 1982 (Chicago: American Bar
velopments in Law and Social Sciences Re Association, 1982); and Stuart Nagel
search,” North Carolina Law Review 52 and Kathleen Burkholder, eds., Policy
(1974): 969-1089; American Bar Founda Publishers and Associations Directory
tion, Annual Report (Chicago: American (Urbana, IL: Policy Studies Organization,
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search in Judicial Administration: The Fed
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Center for State Courts, Annual Report: Stewart Macaulay, eds., Law and the Be
1978 (Williamsburg, VA: National Center havioral Sciences (Indianapolis, IN:
Legal Policy | 407
Bobbs-Merrill, 1977); Richard Schwartz Marvin Marcus, Crime and Justice in

and Jerome Skolaik, eds., Society and the America: Critical Issues for the Future
Legal Order: Cases and Materials in the (Elmsford, NY: Pergamon, 1979).
Sociology of Law (New York: Basic Books,
1970); and Sidney Simpson and Julius
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Society (St. Paul, MN: West, 1949). LEGAL SCHOLARSHIP,
MICROCOMPUTERS, AND SUPER
9. Literature that takes a process ori OPTIMIZING DECISION-MAKING1
entation toward legal policy includes Carl
Auerbach et al., eds., The Legal Process:
Abel, Richard, ed. Plea Bargaining. Denver,
An Introduction to Decision-Making by
CO: Law and Society Association, 1979.
Judicial, Legislative, Executive, and Ad
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Robert Siedman, Law, Order, and Power Appleman, John, ed. Successful Jury Trials.
(Reading, MA: Addison-Wesley, 1971). Deerfield, IL: Callahan, 1952.
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Readings (Denver, CO: University of Den Black, Guy. The Application of Systems Analy
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theAmerican Future (Engelwood Cliffs, Sharpe, 1986.
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and Mary Grossman, eds., Law and the and Roger Park. Teaching Law With Com
Change in Modern America (New York: puters: A Collection of Essays. Denver, CO:
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Contracts. St. Paul, MN: West, 1987. Decisionmaking in Criminal Justice: To
Channels, Noreen. Social Science Methods in ward the Rational Exercise of Discretion.
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Allanheld, 1985. Green, Mark, and Mark Pinsky, eds.. America’s
Clark, Homer. The Law of Domestic Relations Transition: Blueprints for the 1990s. New
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Index
Attempted total victory (ATV), 31, 32-34, 36
Abbot, E., 229
Automobile industry, 94
Abortion policy, 27
Academic freedom:
due process and, 45
protection of, 44-45

Baker v. Carr, 167, 168
See also Sexual harassment

Bayh-Dole Act of 1980, 59-60, 63
Academic programs. See Education

Beaufre, A., 150
Academic tyranny, 111-112

Behavior:
background, 112-113, 213-215

behavior process analysis, 156
colleagues, indifference of, 118, 215

socially desirable, 189-190, 190 (table)
future and, 120-121

Bibliographies:
institutional amorality and, 118-119

academic democracy, 382
memos/investigations/injunctions, 114-117
alternative dispute resolution, 349-353
outside intervention, 119

arts/leisure policy, 391-392
surrender, institutionalized abuse and, 119 biological science, 389-390
120, 215-216
computers in teaching, 381
trigger incident, retirement and, 113-114

core courses, 311-312
vulnerability to, 117-118, 215

creativity, 365-367, 383
AIDS, 126
cross-national policymaking, 346
Air transportation industry, 93-94

department chairing/administering, 106,
Allocation. See Funding; Win-win allocation

382
Alternative dispute resolution. See

developing nations, 334, 341-342
Bibliographies
domestic politics, 319-320
American Civil Liberties Union, 119

economic policy, 312-313, 314, 317-318,
American Evaluation Association, 156

330-331, 338, 393, 399
American Political Science Association

education, 340, 394
(APSA), 177
employment opportunities, 106, 381
Anti-discrimination policy, 197-198, 201

environmental policy, 331-332, 339
(table)
federal policymaking, 343-346
Aron, R., 150

general policy issues, 326-328, 335-336,
Arrow diagrams, 232-233, 232 (figure)

401
413
414 | Handbook of Public Policy Evaluation
international politics, 320-322, 399-401

Causal theory, 139-141
language/culture, 392
Child care, 126-127, 197
legal policy, 313, 314, 322, 333-334, 341,

Childhood immunization rates, 126
400-401, 405-412
Children’s Health Insurance Program (CHIP),
methodologies by discipline, 312-313

125, 126
networking/professional development,
Child support measures, 126
106-107
Civil Rights Act of 1964, 43, 192
philosophy, 391
Clayton Anti-Trust Act, 196
physical science/engineering, 313, 387-389

Coeffects analysis, 269, 270-273 (figures)
policy processes/structures, 314-315, 328 Colegrove v. Green, 167, 168
330, 336-338
Colonialism/imperialism, 28-30, 29 (table)
Policy Studies Organization books, 325 Competition:
346, 403-404
political/economic, prosperity and, 286
policy theory, 403-404
287, 288 (figure)
political science/public administration,

win-win economics and, 285, 286 (table)
107, 312, 314, 333, 340-341, 394-395,

See also University-industry technology
400
transfer
prescriptive theory/methods, 404

Compromise, 31, 59, 249
problems by discipline, 313-314, 330-334,

Conceptual theory, 133-136
338-341, 399-401
Congressional elections. See Campaign
publishing, 106, 377-379

finance reform
sensitivity analysis, 354

Conservative best expectation (CBE), 31, 32
social/psychological policy, 312, 313-314,
36
318-319, 332-333, 339-340, 393-394,

Consumer policy, 196, 201 (table)
400
Criminal justice practice:
state policymaking, 346

jury selection/practice, 19-22, 20 (table)
super-optimum mediation, 353-354

policy reform, 198, 201 (table)
super-optimum solutions, 355-356, 361 prison population rates and, 26 (table), 27,
371
30
teaching practices, 106, 381

See also Win-win allocation; Win-win
technology/science policy, 314, 319, 331,

justice
338-339, 387-390, 399-400
tenure issues, 107
Big tradeoff perspective. See Equality-

Day care. See Child care
efficiency tradeoff
Decentralization. See Win-win
Brown v. Board of Education, 221
decentralization
Buckley decision, 219, 220-221
Decision making. See Policy analysis; Policy
decisions
Deficit issues, 282-283, 283 (table)
Campaign finance reform:

Dekker, M., 178
Buckley decision and, 219, 220-221

Department of Housing and Urban
citizen participation and, 218

Development (HUD), 91
ideological differences and, 219

Developing nations, 81-82
interest in, 219

See also Foreign policy; Policy reform
partisan competition, 217-218, 221

Dirksen-Stevenson Institute:
practicality of, 218-219

allocation criteria, 176
public financing and, 217

establishment of, 176-177
public opinion on, 219

faculty recruitment, 175
realization of, 220-221

funding for, 175
Campbell, D., 156

future trends in, 177-178
Index | 415
interdisciplinary focus of, 179

labor policy, 197, 201 (table)
international interests of, 178-179

minimum wage legislation, 126, 288-289
public policy impact of, 179

race/gender relations and, 13, 14 (table)
research/publishing activities of, 177

sweatshop industries, 26
service activities, 177, 178

training, 29 (table), 30, 197, 277, 289,
student recruitment, 175

298-299, 298 (table)
Displacement, 16, 17 (table), 244, 278-280,

unemployment/inflation, win-win analysis,
279 (table)
275-277, 276 (table)
Domestic politics. See Political policy

unemployment, minorities/elderly and, 22
Downsizing. See Organizational downsizing
23, 23 (table)
Drug use rates, 126

See also Academic tyranny; Profit sharing
Energy regulation, 198
Environmental policy:
Earned-income tax credit, 126, 286

joint problem solving and, 292, 293
Economic policy:
resource protection, 198, 201 (table)
budget cuts/balancing, 26 (table), 30

super-optimization approach to, 291-293
coeffects analysis, 269, 270 (figure)

win-win equity and, 13-16, 15 (table)
consumer policy, 196, 201 (table)

Equality-efficiency tradeoff, 7-8, 8 (figure)
evaluation questions, 75
alternative to, 10-12, 11 (figure)
growth, win-win analysis, 71, 72 (figures),

assumptions in, 8-9
277-278, 278 (table)

decision makers in, 9, 10
inflation, 196, 275-277, 276 (table)

indifference curves and, 32-34, 33 (figure)
interest rate manipulation, 25-26, 26

policy guide of, 9-10
(table), 275-276
social welfare function and, 9, 10
international trade/investment, 28-30, 29

See also Win-win economics; Win-win
(table)
equity
labor policy, 197, 201 (table)
Medicare Medicaid replacement, 29
(table), 30
Fair Labor Standards Act of 1938, 192, 197
neoclassical approach, 82-83

Family Independence Agency (FIA), 211-212
policy fields, causal relations among, 151 Farming policies, 25, 287-288
152, 151 (table)

Federal Reserve System, 195, 196
unemployment, 195-196, 275-277, 276

Federal Trade Commission, 196
(table)
Firearms, 223
See also Equality-efficiency tradeoff; Profit

Food stamp benefits, 7
sharing; Win-win economics

Foreign policy:
Education:
job training, 29(table), 30, 197, 277, 289,

colonialism/imperialism, 28-30, 29 (table)
298-299, 298 (table)

developing nations, policy innovations
policy programs, 109-110, 198, 201

and, 81-82
(table)
See also Dirksen-Stevenson Institute;

retaliatory tariffs, 25, 26 (table), 30
Professional practice bibliographies

Free speech, 199, 201 (table)
Efficiency. See Equality-efficiency tradeoff

Friedman, M., 196
Elderly population, 22-23, 23 (table)

Funding:
Employment policy:
institutions and, 184-186
displacement, 16, 17 (table), 244, 278 public health research, 127
280, 279 (table)

source list, 105, 375-376
government regulation and, 191-192, 195 subjects funded, 181-183
196
See also Win-win allocation
Game theory. See Win-win game theory

prison populations and, 26 (table), 27, 30
Gender relations:
tort reform, 29 (table), 30
job discrimination and, 198

See also Win-win justice
win-win equity and, 13, 14 (table)

Legal Services Corporation (LSC), 22, 89, 90,
Government ownership, 94, 95, 97, 192, 284 198
285, 284 (table)

Lewis, J. P., 83
Government reform, 199-200, 201 (table)

Liberal best expectation (LBE), 31, 32-36
Gross National Product (GNP) growth, 71,

Literature. See Bibliographies
72 (figures)
Litigation, 93, 96, 192
Gun culture, 223

air transportation industry and, 93
automobile industry, 94
telecommunications, 95
Harris v. Forklift System, 44

triangle/pyramid perspective of, 227-230,
Headstart Program, 10, 126

228 (figure)
Health insurance, 125

win-win civil/tort justice and, 303, 304
Health Management organizations, 29

(table)
(table), 30
See also Win-win mediation
Horowitz, D. L., 85
Los Angeles Department of Water and Power
Housing, 90-91
v. Manhart, 43
Lose-lose policies, 6, 25-27, 26 (table)
Immigration policy, 27
Immunization rates, 126

Managed care, 126, 244
Indifference curves, 7, 32-34, 33 (figure),

Maoz, Z., 150
230-232, 231 (figure)

Market system:
Individual Right Foundation, 119

automobile industry and, 94
Infant mortality, 126

inequality in, 8
Inflation policy, 195-196, 275-277, 276

labor practices and, 65-66, 67-68
(table)
pollution control and, 13
Institutions. See Organizational downsizing;

public policy matters and, 191-192, 192
Policy decisions
(table)
Interest rate adjustments, 25-26, 275-276

telecommunications and, 94-95
International Labor Organization (ILO), 163

Mathematical optimizing, 156
International Studies Association (ISA), 177

Mediation. See Win-win mediation
Islamic fundamentalism, 30
Media violence, 223-224
Medicare/ Medicaid, 29 (table), 30, 90, 126,
198
Kassebaum-Kennedy law, 125

Medicare Trust Fund, 126
Keynes, J. M., 71, 196

Meritor Savings Bank v. Vinson, 43
Knowing, theory of, 136-139

Michigan welfare reform program, 211-212
Labor. See Employment policy; Unions

Middle East policies, 30
Ministry of International Trade and Industry
(MITI), 297
Labor-management disputes, 248-249, 249 Miriam K. Mills Research Center for Super-
250 (tables)
Optimizing Analysis and Developing
Lauffer curve, 244

Nations, 176
Legal policy:
Monopolies, 97, 196

Mortgage supplement program, 91
evaluation questions, 77-78

Multicriteria decision making (MCDM), 139,
policy reform, 198, 201 (table)

155-156, 237-238, 238 (table)
Index | 417
Multiple Affect Adjective Checklist

optimum vs. actual, deviation between,
(MAACL), 54-55, 55 (table)

140-141
originality and, 135
professional ethics and, 141
Nagel, S., 112, 238

prohibition vs. allocation policies, 139-140
National Aeronautics and Space

proposed policies, adoption vs. rejection,
Administration (NASA), 27, 28

139
National Association of Scholars (NAS), 41

societal values and, 141-143
National Institutes of Health (NIH), 127

theory of knowing and, 136-139
National Labor Relations Act (NLRA), 197

usefulness continuum, 135
Neef, M., 238

See also Policy evaluation; Policy reform
Nelson, J., 81
Policy analysis framework, 145
backward logic test, 149
brainstorming, 147
Okun, A., 7
development process, 145, 146 (table)
Organizational downsizing, 47
distillation process, 147-148
cutback management, 48-49

operationalization, 149-150
degenerative interaction, 50
propositions in, 148
demotion experience, articulated design of,

statements and, 147-148
53-56
systematic display, 148-149
Multiple Affect Adjective Checklist
term definition, 146-147
(MAACL) and, 54-55, 55 (table), 56
Policy analysis methodology:
organization development (OD), value-
analysis software and, 156-157
guided technology, 49, 56-57
behavior process analysis, 156
regenerative interaction, 49-50, 50
mathematical optimizing and, 156
(figure), 51, 56, 57
multicriteria decision making (MCDM)
super-optimum solutions and, 47-48, 52

and, 155-156
53, 55-56
perspective evaluation, criteria for, 156

town meeting approach, design of, 49-53
157
perspectives in, 155
transfer
quasi-experimentation and, 156
Policy decisions, 81
Palestine Liberation Organization (PLO), 30

developing nations, policy innovation and,
Pareto optimum solutions, 249, 250-251,

81-82
301-302
institutions/politics and, 83-84
Patent system, 28
neoclassical economics and, 82-83
Patient’s Bill of Rights, 126

process perspective of, 84-85
Phillips curve, 71, 242

Policy evaluation, 75-79, 99-100
Plessy v. Ferguson, 221

funding institutions, 184-186
Policy analysis, 133-134

methodologies of, 192-193, 193 (table)
adopted policies, success vs. failure, 139

subjects funded, 181-183
analysis elements, sources of, 136-137

See also Policy analysis
causal theory and, 139-141

Policy reform, 159
conceptual theory and, 133-136

characteristics of, 159-161
decision making, methodological problems

human resource development and, 160
in, 137-139
hybrid reforms, 160
implementation feasibility, 135-136

implementation, strategic approach to,
importance and, 134-135

163-165, 164 (figure)
normative theory and, 141-143

macroeconomic analysis, 160
policy intervention trends, 161-163, 161

Professional practice bibliographies:
(figure)
academic democracy, 382
public sector institutions and, 160

computers in teaching, 381
See also Campaign finance reform

department chairing/administering, 106,
Policy research, 167

382
causal analysis, prediction/explanation,

employment opportunities, 106
167-168, 168 (table)

funding sources, 105, 375-376
normative analysis, prescription/

political science profession, 107
evaluation, 169, 170 (table)

professional development/networking,
win-win/super-optimizing evaluation, 171 106-107
174, 172 (table)

publishing information, 106, 377-379
Policy Studies Organization (PSO), 117, 175

teaching, 106
government-impact activities of, 206

tenure issues, 107
interdisciplinary activities of, 206-207

Profit sharing, 65
international/cross-national policy studies

adoption of, 65-67
and, 205
base wages, bonus absorption and, 69
See also Bibliographies

flexibility and, 65-66
Policy theory:
impact of, 66
causal theory, 139-141

international practices and, 67-68, 70
conceptual theory, 133-136

job security and, 66, 67, 68-69
normative theory, 141-143

labor-management tensions and, 66
theory of knowing, 136-139

market pressures and, 65-66, 67, 68
Political policy:
motivational device of, 66
budget cuts/balancing, 26 (table), 30

taxation policy and, 69

unemployment levels and, 66-67, 68

union/non-union employees, 68-69
free speech, 199, 201 (table)

win-win elements in, 69, 70
government reform, 199, 201 (table)

Project Zero, 212
international trade/investment, 28-29

Publications. See Bibliographies
line-item veto, 27-28, 29 (table), 30

Public functions, 88-89
Middle Eastern independence, 30

administration of, 87, 89-92
patent system, 28
administrator, selection criteria for, 91-92
policy fields, causal relations among, 151 air transportation industry, 93-94
152, 151 (table)

terrorism suppression, 29-30

government ownership, 94, 95, 97
world peace, 199, 201 (table)

housing, public/private, 90-91
See also Campaign finance reform; Win-

Legal Services Program, 89-90
win justice
litigation and, 93, 94, 95, 96
Pollution regulation, 13-16, 15 (table), 198

public involvement in, 92-95
Poverty, 197, 255-256, 256 (table)

public non-involvement in, 92, 95-96
Prisoner’s dilemma, 236-237, 237 (figure),

regulation and, 94, 95, 96-97
241-242, 241 (figure)

subsidies and, 92-93, 96
Prison. See Criminal justice practice

telecommunications, 94-95
Private sector. See Public functions

Public health policy:
Productivity, 103
child care investment, 126-127
decision making and, 104

government role in, 126, 198, 201 (table)
maximizing output, 103-104

managed care, 126, 244
stimulation of, 282

racial/ethnic minorities and, 126
Product liability, 196, 245-248, 247 (table)

research funding, 127
Products Safety Commission, 196

universal health care, 125
Index | 419
Public housing, 90-91

See also Academic tyranny; Policy research
Public policy:
Redistribution systems, 7, 8-10

Redistricting policies, 16-19, 18 (table)
equality-efficiency tradeoff curve and, 9-10

See also Policy research
Regulation, 93, 96-97, 192
evaluative methods, 192-193, 193 (table)

air transportation industry, 94
government structures and, 190-191, 191

(table)
telecommunications, 95
incentives, socially desirable behavior and,

Rent subsidies, 91
189-190, 190 (table)

Research. See Policy research
public/private sector activities and, 191 Rossi, P., 156
192, 192 (table)
restructuring/reorientation perspective, 10

12, 11 (figure)
Sexual harassment, 41
super-malimum alternatives in, 25

academic freedom and, 41-42, 44-46
trends in, 193-194, 194 (table)

definitions of, 42-43, 44-45
See also Policy analysis; Public functions

due process and, 45
Public policy/20th century, 195

legal determination of, 43-44
beneficial results of, 200, 201 (table)

prevention of, 45-46
consumer policy, 196

Sherman Anti-Trust Act, 196
criminal justice, 198

Social policy:
discrimination, 197-198
anti-discrimination policy, 197-198, 201
economic issues, 195-197

(table)
environment/energy, 198
free speech, 199

criminal justice and, 198, 201 (table)
government reform, 199-200

health policy, 198

policy fields, causal relations among, 151
labor policy, 197
152, 151 (table)
optimizing outcomes, 201-203, 202 (table)

poverty eradication, 197, 201 (table)
political policy issues, 199-200

training programs, 29 (table), 30
poverty eradication, 197

welfare reform, 26 (table), 30
social issues, 197-198

technology/science policy, 198

Social welfare function, 9, 10
unemployment/inflation, 195-196
Societal activities. See Public functions
world peace, 199

Space exploration, 27, 28, 29 (table), 30
Public sector. See Public functions Spending policy, 25, 280-281, 280 (table)
Subsidies, 91, 92-93, 96, 192
Substitutability principle, 7
Quasi-experimentation, 156
Sudman, S., 115, 116
Super-malimum alternatives. See Lose-lose
policies
Race relations:
Super-optimum solutions (SOSs), 31, 359
anti-discrimination policy, 197-198, 201

aboveness in, 34
(table)
arrow diagrams of, 232-233, 232 (figure)
employment opportunity and, 13, 14

attempted total victory, 31, 32-34, 36
(table)
bar graph approach, 31-32, 32 (figure)
public housing and, 91

conceptual development of, 355-356
redistricting and, 16-19, 18 (table)

consensual nature of, 59
unemployment policy and, 22-23, 23

conservative best expectation (CBE), 31,
(table) 32-36
dialectic thinking and, 356-357

super-optimizing solutions and, 230-232,
graphing of, 227-233

231 (figure)
indifference curves, tradeoffs and, 32-34,

See also Equality-efficiency tradeoff; Win-
33 (figure), 230-232, 231 (figure)

win economics
joint problem solving in, 292

Training, 29 (table), 30, 197, 277, 289, 298
liberal best expectation (LBE), 31, 32-36
299, 298 (table)
organizational leadership and, 292

Traveller’s Insurance v. Sanyo Electronics, 245
pie charts/circles and, 34-37, 35 (figure)

Triangle/pyramid perspective, 227-230, 228
strategic partnerships in, 292-293

(figure)
trade-off thinking and, 358-359

Twenty-first Century Research Fund, 127
traditional compromise and, 31

Tyranny. See Academic tyranny
triangle/pyramid perspective, 227-230, 228
(figure)
university-industry technology transfer, 59 Unemployment. See Employment policy
64, 61-63 (tables)

Unions, 68-69
See also Organizational downsizing; Win-

University-industry technology transfer,
win equity; Win-win mediation

59-60
Super-optimum technology policy. See

cost/benefit analysis, 60-61, 62 (table)
University-industry technology transfer

inhibition/promotion factors, 61-62, 63
Sweatshop industries, 26
(table)
success in, 60, 61 (table)
super-optimum policy solution of, 62-64
Tariffs, retaliatory, 25, 26 (table), 30

Utilitarianism, 301
Taxation policies:
earned income tax credit, 126, 286
inflation/unemployment and, 195-196,

Violence:
275-276
broken homes and, 224
profit sharing and, 69

culture of, 223
public policy and, 191, 192 (table)

media violence, 223-224
super-optimum solutions and, 281-282,

Voting rights, 198
281 (table)
Technology policy:
alternative energy development, 26

Waltz, K., 149
(table), 30
War policies:

Cambodian conflict, 26-27
environment/energy, 198
world peace and, 199

Weiss, C. H., 85
policy fields, causal relations among, 151 Weitzman, M., 65, 66, 69
152, 151 (table)

Welfare programs, 16, 197
space exploration, 27, 28, 29 (table), 30

Welfare reform, 26 (table), 30, 126, 211-212
unemployment/inflation and, 277

Williamson, O., 83

Win-lose situations, 6, 235
transfer
Win-win allocation, 253
Telecommunications, 94-95
analysis of, 260-261
Terrorism, 29-30
arrest vs. summons, 259-260
Three-strikes rule, 30
budget expansion, 253-257, 254 (table),
Tort reform, 29 (table), 30

256 (table)
Trade-off perspective:
crime reduction, 257-259
cost-benefit relationship and, 71

effectiveness maximization, 257-260
Index | 421
jury trials and, 260

minority redistricting, 16-19, 18 (table)
multicriteria decision making analysis and,

race/gender relations, 13, 14 (table)
254-255
unemployment policy, 22-23, 23 (table)
Win-win analysis, xi, 5, 24

See also Super-optimum solutions (SOSs)
applications, example of, 6

Win-win game theory:
bibliography, 6, 264-265
causal path models, 242-243, 243 (figure)
coeffects diagrams and, 269, 270-273

definitional graphs, 235-236, 243-244
(figures)
dynamic models and, 235, 238-241
facilitator checklist, 5-6

Edgeworth box diagram, 235, 239-241,
inconsistencies, charges/resolution of, 263 240 (figure)
264
fourfold table, 236-237, 237 (figure)
policy evaluation, 75-79, 99-100

multicriteria decision making (MCDM)
steps in, 5
and, 237-238, 238 (table)
Win-win decentralization:
players/outcomes and, 235
business vs. central government decisions,

prisoner’s dilemma, 236-237, 237 (figure),
297-298, 29 (table)
241-242, 241 (figure)
central vs. state/local governments, 295 probability model and, 236, 241-242, 241
297, 296 (table)

(figure)
individual vs. central government

static model and, 235
decisions, 298-299, 298 (table)

time-path graph, 238-239, 239 (figure)
Win-win economics, 275

Win-win justice:
competition, 285, 286 (table)

civil/tort justice, 303, 304 (table)
deficit issues, 282-283, 283 (table)

criminal justice, 302-303, 303 (table)
displaced workers/firms, 278-280, 279

economic justice, 303-305, 304 (table)
(table)
justice defined, 301-302
economic growth and, 277-278, 278

objective justice and, 302
(table)
pareto optimality and, 301-302
economic organization, 284-287

principles of, 305-306, 305 (table)
equality, socialism/capitalism and, 285 utilitarianism and, 301
286, 287 (table)

Win-win mediation, 245, 246 (table)
government vs. private ownership/

compromise solutions and, 249
operation, 284-285, 284 (table)

labor-management dispute, 248-249, 249
land use issues, 287-288
250 (tables)
minimum wage/job training and, 288 Pareto optimum solutions and, 249, 250
289
251
political/economic competition, prosperity

product liability, 245-248, 247 (table)
and, 286-287, 288 (figure)

super-optimum solutions-plus concept,
spending, 280-281, 280 (table)

249-251
stock brokerage industry, 289

zero-sum solutions and, 250
taxation, 281-282, 281 (table)

Win-win situations, 6, 27-30, 29 (table)
unemployment/inflation and, 275-277,

economic growth, 71, 72 (figures)
276 (table)
redistricting programs, 171-173, 172

(table)
Win-win equity, 24
Works Progress Administration (WPA), 298
criminal justice practice, 19-22, 20 (table)

World Bank, 160
environmental policy, 13-16, 15 (table)

World peace, 199, 201 (table)
equity vs. efficiency, 13-19
equity vs. equity, 19-23
labor displacement, 16, 17 (table)

Zero-sum solutions, 250
About the Editor
S tuart S. Nagel, PhD, is Professor

Emeritus of Political Science at the
University of Illinois at Urbana-
Champaign. He is secretary-treasurer and
publications coordinator of the Policy
Committee, the National Labor Relations
Board, and the Legal Services Corporation,
and he has been a professor at the Univer
sity of Arizona and Penn State University.
He has authored, coauthored, edited, or
Studies Organization and coordinator of coedited Sage books such as Improving
the Dirksen-Stevenson Institute and the Policy Analysis (1980), Law and Social
Miriam K. Mills Research Center for Change (1970), The Legal Process (1977),
Super-Optimizing Analysis and Develop Modeling the Criminal Justice System
ing Nations. His major awards include fel (1977), Policy Analysis in Social Science
lowships and grants from the Ford Foun Research (1979), Policy Studies Review
dation, Rockefeller Foundation, National Annual (1977), Productivity and Public
Science Foundation, National Social Sci Policy (1984), and The Rights of the Ac
ence Council, East-West Center, and the cused (1972). He has also edited Sage series
Center for Advanced Study in the Behav in public policy, criminal justice, and policy
ioral Sciences. Previous positions include studies.
an attorney for the U.S. Senate Judiciary
423

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This book is dedicated to the universities at which I

learned and taught public policy in classrooms:

Sage Publications, Inc.

2455 Teller Road

Thousand Oaks, California 91320

Sage Publications Ltd.

London EC2A 4PU

Sage Publications India Pvt. Ltd.

New Delhi 110 048 India

Printed in the United States of America

Library of Congress Cataloging-in-Publication Data

Handbook of public policy evaluation / edited by

Includes bibliographical references and index.

Policy sciences — Evaluation — Handbooks, manuals, etc.

Evaluation research (Social action programs) — Handbooks, manuals, etc.

This book is printed on acid-free paper.

Acquisition Editor: Rolf Janke

Section I: FOUNDATION IDEAS

Part 1: WIN-WIN METHODS

2. The Big Trade-Off: Fundamental Law or Red Herring? 7

4. Lose-Lose and Win-Win Policies 25

5. Graphic Approaches to Understanding

Part 2: WIN-WIN EXAMPLES

8. University to Industry Transfer 59

9. Profit Sharing and Job Anxiety:

10. Another Win-Win Occurrence 71

Part 3: PUBLIC POLICY STUDIES

12. Integrating Institutions and

13. Public and Private Sectors for

14. Sherman the Shark on Policy Evaluation 99

Part 4: POLICY PROFESSIONALISM

16. Professionalism Books for

17. Survey on Running a Policy Program 109

18. Academic Tyranny: The Tale and the Lessons 111

Part 5: POLICYMAKER PERSPECTIVES

Part 1: BASIC CONCEPTS

21. Building Frameworks for Policy Analysis 145

22. Causal Relations Among Policy Fields 151

Part 2: METHODS AND

23. Diverse Methods for Policy Analysis 155

24. Interactive Policy Analysis: Process Methods for

Policy Reform 159

25. Changing Policy Research 167

26. Recruiting People and Obtaining Funds 175

27. Funding for Policy Evaluation 181

Part 3: POLICY EVALUATION TRENDS

29. Public Policy in the 20th Century 195

30. The Future of the Policy Studies Organization 205

Part 4: POLICY EVALUATION SUBSTANCE

33. Congressional Campaign Reform 217

Robert K. Goidel, Donald A. Gross,

and Todd G. Shields

34. Violence, Guns, Media, and Fathers 223

Part 5: WIN-WIN THEORY

36. Win-Win Game Theory 235

37. Win-Win Mediation 245

38. Win-Win Allocation 253

39. Inconsistent Reactions to Win-Win Analysis 263

Part 6: WIN-WIN APPLICATIONS

41. Win-Win Economics 275

6. A variety of applications, as contrasted to public policy, public administration, politi

islature may be black. A victory of more Proportional districting deliberately cre